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HomeMy WebLinkAbout12-11-2024 Administration Committee Meeting Complete Agenda Packet SPECIAL NOTICE PUBLIC ATTENDANCE & PARTICIPATION AT PUBLIC MEETINGS Administration Committee Meeting Wednesday, December 11, 2024 5:00 p.m. Your participation is always welcome. OC San offers several ways in which to interact during meetings. You will find information as to these opportunities below. IN-PERSON MEETING ATTENDANCE You may attend the meeting in-person at the following location: Orange County Sanitation District Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 ONLINE MEETING PARTICIPATION You may join the meeting live via Teams on your computer or similar device or web browser by using the link below: Click here to join the meeting We suggest testing joining a Teams meeting on your device prior to the commencement of the meeting. For recommendations, general guidance on using Teams, and instructions on joining a Teams meeting, please click here. Please mute yourself upon entry to the meeting. Please raise your hand if you wish to speak during the public comment section of the meeting. The Clerk of the Board will call upon you by using the name you joined with. Meeting attendees are not provided the ability to make a presentation during the meeting. Please contact the Clerk of the Board at least 48 hours prior to the meeting if you wish to present any items. Additionally, camera feeds may be controlled by the meeting moderator to avoid inappropriate content. HOW TO PARTICIPATE IN THE MEETING BY TELEPHONE To join the meeting from your phone: Dial (213) 279-1455 When prompted, enter the Phone Conference ID: 266 548 942# All meeting participants may be muted during the meeting to alleviate background noise. If you are muted, please use *6 to unmute. You may also mute yourself on your device. Please raise your hand to speak by use *5, during the public comment section of the meeting. The Clerk of the Board will call upon you by using the last 4 digits of your phone number as identification. NOTE: All attendees will be disconnected from the meeting at the beginning of Closed Session. If you would like to return to the Open Session portion of the meeting, please login or dial-in to the Teams meeting again and wait in the Lobby for admittance. WATCH THE MEETING ONLINE The meeting will be available for online viewing at: https://ocsd.legistar.com/Calendar.aspx SUBMIT A COMMENT You may submit your comments and questions in writing for consideration in advance of the meeting by using the eComment feature available online at: https://ocsd.legistar.com/Calendar.aspx or sending them to OCSanClerk@ocsan.gov with the subject line “PUBLIC COMMENT ITEM # (insert the item number relevant to your comment)” or “PUBLIC COMMENT NON-AGENDA ITEM”. You may also submit comments and questions for consideration during the meeting by using the eComment feature available online at: https://ocsd.legistar.com/Calendar.aspx. The eComment feature will be available for the duration of the meeting. All written public comments will be provided to the legislative body and may be read into the record or compiled as part of the record. For any questions and/or concerns, please contact the Clerk of the Board’s office at 714-593-7433. Thank you for your interest in OC San! December 3, 2024 NOTICE OF REGULAR MEETING ADMINISTRATION COMMITTEE ORANGE COUNTY SANITATION DISTRICT Wednesday, December 11, 2024 – 5:00 P.M. Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 ACCESSIBILITY FOR THE GENERAL PUBLIC Your participation is always welcome. Specific information as to how to participate in this meeting is detailed on the Special Notice attached to this agenda. In general, OC San offers several ways in which to interact during this meeting: you may participate in person, join the meeting live via Teams on your computer or similar device or web browser, join the meeting live via telephone, view the meeting online, and/or submit comments for consideration before or during the meeting. The Regular Meeting of the Administration Committee of the Orange County Sanitation District will be held at the above location and in the manner indicated on Wednesday, December 11, 2024 at 5:00 p.m. ADMINISTRATION COMMITTEE MEETING DATE BOARD MEETING DATE 12/11/24 12/18/24 * JANUARY DARK 01/22/25 02/12/25 02/26/25 03/12/25 03/26/25 04/09/25 04/23/25 05/14/25 05/28/25 06/11/25 06/25/25 07/09/25 07/23/25 AUGUST DARK 08/27/25 09/10/25 09/24/25 10/08/25 10/22/25 11/12/25 11/19/25 * * Meeting will be held on the third Wednesday of the month ROLL CALL ADMINISTRATION COMMITTEE Finance, Information Technology, Environmental Services and Human Resources Meeting Date: December 11, 2024 Time: 5:00 p.m. COMMITTEE MEMBERS (13) Christine Marick, Chair Glenn Grandis, Vice-Chair Brad Avery Rose Espinoza Farrah Khan Jordan Nefulda Andrew Nguyen Robbie Pitts David Shawver Chad Wanke John Withers Ryan Gallagher (Board Chair) Jon Dumitru (Board Vice-Chair) OTHERS Scott Smith, General Counsel STAFF Rob Thompson, General Manager Lorenzo Tyner, Assistant General Manager Jennifer Cabral, Director of Communications Mike Dorman, Director of Engineering Laura Maravilla, Director of Human Resources Riaz Moinuddin, Director of Operations & Maintenance Wally Ritchie, Director of Finance Lan Wiborg, Director of Environmental Services Kelly Lore, Clerk of the Board ORANGE COUNTY SANITATION DISTRICT Effective 11/14/2024 BOARD OF DIRECTORS Complete Roster AGENCY/CITIES ACTIVE DIRECTOR ALTERNATE DIRECTOR Anaheim Stephen Faessel Carlos A. Leon Brea Christine Marick Cecilia Hupp Buena Park Joyce Ahn Art Brown Cypress Scott Minikus Bonnie Peat Fountain Valley Glenn Grandis Ted Bui Fullerton Bruce Whitaker Nick Dunlap Garden Grove Stephanie Klopfenstein John O’Neill Huntington Beach Pat Burns Gracey Van Der Mark Irvine Farrah N. Khan Kathleen Treseder La Habra Rose Espinoza Jose Medrano La Palma Debbie Baker Mark I. Waldman Los Alamitos Jordan Nefulda Shelley Hasselbrink Newport Beach Brad Avery Erik Weigand Orange Jon Dumitru John Gyllenhammer Placentia Chad Wanke Ward Smith Santa Ana Johnathan Ryan Hernandez Benjamin Vazquez Seal Beach Schelly Sustarsic Lisa Landau Stanton David Shawver Carol Warren Tustin Ryan Gallagher Austin Lumbard Villa Park Robbie Pitts Jordan Wu Sanitary/Water Districts Costa Mesa Sanitary District Bob Ooten Art Perry Midway City Sanitary District Andrew Nguyen Tyler Diep Irvine Ranch Water District John Withers Douglas Reinhart Yorba Linda Water District Tom Lindsey Gene Hernandez County Areas Board of Supervisors Doug Chaffee Donald P. Wagner ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, December 11, 2024 - 5:00 PM Board Room Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 ACCOMMODATIONS FOR THE DISABLED: If you require any special disability related accommodations, please contact the Orange County Sanitation District (OC San) Clerk of the Board’s office at (714) 593-7433 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. AGENDA POSTING: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted outside OC San's Headquarters located at 18480 Bandilier Circle, Fountain Valley, California, and on the OC San’s website at www.ocsan.gov not less than 72 hours prior to the meeting date and time above. All public records relating to each agenda item, including those distributed less than 72 hours prior to the meeting to a majority of the Board of Directors, are available for public inspection with the Clerk of the Board. AGENDA DESCRIPTION: The agenda provides a brief general description of each item of business to be considered or discussed. The recommended action does not indicate what action will be taken. The Board of Directors may take any action which is deemed appropriate. MEETING RECORDING: A recording of this meeting is available within 24 hours after adjournment of the meeting at https://ocsd.legistar.com/Calendar.aspx or by contacting the Clerk of the Board. NOTICE TO DIRECTORS: To place items on the agenda for a Committee or Board Meeting, the item must be submitted to the Clerk of the Board: Kelly A. Lore, MMC, (714) 593-7433 / klore@ocsan.gov at least 14 days before the meeting. For any questions on the agenda, Board members may contact staff at: General Manager: Rob Thompson, rthompson@ocsan.gov / (714) 593-7110 Asst. General Manager: Lorenzo Tyner, ltyner@ocsan.gov / (714) 593-7550 Director of Communications: Jennifer Cabral, jcabral@ocsan.gov / (714) 593-7581 Director of Engineering: Mike Dorman, mdorman@ocsan.gov / (714) 593-7014 Director of Environmental Services: Lan Wiborg, lwiborg@ocsan.gov / (714) 593-7450 Director of Finance: Wally Ritchie, writchie@ocsan.gov / (714) 593-7570 Director of Human Resources: Laura Maravilla, lmaravilla@ocsan.gov / (714) 593-7007 Director of Operations & Maintenance: Riaz Moinuddin, rmoinuddin@ocsan.gov / (714) 593-7269 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, December 11, 2024 CALL TO ORDER PLEDGE OF ALLEGIANCE ROLL CALL AND DECLARATION OF QUORUM: Clerk of the Board PUBLIC COMMENTS: Your participation is always welcome. Specific information as to how to participate in a meeting is detailed in the Special Notice attached to this agenda. In general, OC San offers several ways in which to interact during meetings: you may participate in person, join the meeting live via Teams on your computer or similar device or web browser, join the meeting live via telephone, view the meeting online, and/or submit comments for consideration before or during the meeting. REPORTS: The Committee Chairperson and the General Manager may present verbal reports on miscellaneous matters of general interest to the Directors. These reports are for information only and require no action by the Directors. CONSENT CALENDAR: Consent Calendar Items are considered to be routine and will be enacted, by the Committee, after one motion, without discussion. Any items withdrawn from the Consent Calendar for separate discussion will be considered in the regular order of business. 1.2024-3977APPROVAL OF MINUTES RECOMMENDATION: Approve minutes of the Regular meeting of the Administration Committee held November 13, 2024. Originator:Kelly Lore Agenda Report 11-13-2024 Administration Committee Meeting Minutes Attachments: 2.2024-3800INVEST AND/OR REINVEST ORANGE COUNTY SANITATION DISTRICT’S FUNDS AND ADOPT INVESTMENT POLICY STATEMENT RECOMMENDATION: Recommend to the Board of Directors to: Adopt Resolution No. OC SAN 24-XX entitled: “A Resolution of the Board of Directors of the Orange County Sanitation District, Authorizing the Orange County Sanitation Page 1 of 4 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, December 11, 2024 District’s Treasurer to Invest and/or Reinvest the Orange County Sanitation District’s Funds, Adopting the Orange County Sanitation District’s Investment Policy Statement and Performance Benchmarks, and Repealing Resolution No. OC SAN 23-23”. Originator:Wally Ritchie Agenda Report Orange County Sanitation District Calendar Year 2024 Investment Policy Statement (Redline) Orange County Sanitation District Calendar Year 2025 Investment Policy Statement (Clean) Proposed Resolution No. OC SAN 24-XX Attachments: 3.2024-3981UPDATE TO RECORDS MANAGEMENT PROGRAM PROCEDURES AND RECORDS RETENTION SCHEDULE RESOLUTION RECOMMENDATION: Recommend to the Board of Directors to: Adopt Resolution No. OC SAN 24-XX entitled: “A Resolution of the Board of Directors of the Orange County Sanitation District Adopting the Records Management Program Procedures and Records Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OC SAN 24-02”. Originator:Jennifer Cabral Agenda Report Resolution No. OC SAN 24-XX Records Management Procedure Manual Redline Records Retention Schedule Redline Attachments: 4.2024-3989PAYMENT OF ANNUAL NATIONAL POLLUTANT DISCHARGE AND ELIMINATION SYSTEM (NPDES) PERMIT FEES RECOMMENDATION: Recommend to the Board of Directors to: Approve payment in an amount not to exceed $950,000 for the annual NPDES ocean discharge permit fees for Fiscal Year 2024-2025. Originator:Lan Wiborg Agenda ReportAttachments: 5.2024-3986PROFESSIONAL SERVICES AND IT HARDWARE FOR TEAMS VOICE DEPLOYMENT RECOMMENDATION: Recommend to the Board of Directors to: A. Approve a Purchase Order Contract to Enabling Technologies for the purchase of Professional Services and IT Hardware for Teams Voice Deployment using OMNIA Contract No. R200803, for an amount not to exceed $438,342; and Page 2 of 4 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, December 11, 2024 B. Approve a contingency of $65,751 (15%). Originator:Wally Ritchie Agenda ReportAttachments: NON-CONSENT: 6.2024-3990LEGISLATIVE AFFAIRS UPDATE FOR THE MONTH OF NOVEMBER 2024 RECOMMENDATION: Recommend to the Board of Directors to: Receive and file the Legislative Affairs Update for the month November 2024. Originator:Jennifer Cabral Agenda Report Federal Legislative Update Federal Matrix State Legislative Update Local Legislative Update Presentation - Local Legislative Update Attachments: 7.2024-3992PUBLIC AFFAIRS STRATEGIC PLAN FOR FISCAL YEARS 2024-2026 MID-YEAR UPDATE RECOMMENDATION: Recommend to the Board of Directors to: Receive and file the Public Affairs Strategic Plan for Fiscal Years 2024- 2026 Mid-Year Update. Originator:Jennifer Cabral Agenda Report Public Affairs Strategic Plan, FY 2024-2026 Presentation - PAO Strat Plan FY2024-26 Mid-Year Update Attachments: INFORMATION ITEMS: None. DEPARTMENT HEAD REPORTS: Page 3 of 4 ADMINISTRATION COMMITTEE Regular Meeting Agenda Wednesday, December 11, 2024 CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: At this time Directors may request staff to place an item on a future agenda. ADJOURNMENT: Adjourn the meeting until the Regular Meeting of the Administration Committee on February 12, 2025 at 5:00 p.m. Page 4 of 4 ADMINISTRATION COMMITTEE Agenda Report Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 File #:2024-3977 Agenda Date:12/11/2024 Agenda Item No:1. FROM:Robert Thompson, General Manager Originator: Kelly A. Lore, Clerk of the Board SUBJECT: APPROVAL OF MINUTES GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Approve minutes of the Regular meeting of the Administration Committee held November 13, 2024. BACKGROUND In accordance with the Board of Directors Rules of Procedure,an accurate record of each meeting will be provided to the Directors for subsequent approval at the following meeting. RELEVANT STANDARDS ·Resolution No. OC SAN 24-09 ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·November 13, 2024 Administration Committee meeting minutes Orange County Sanitation District Printed on 12/3/2024Page 1 of 1 powered by Legistar™ Orange County Sanitation District Minutes for the ADMINISTRATION COMMITTEE Wednesday, November 13, 2024 5:00 PM Board Room Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 CALL TO ORDER A regular meeting of the Administration Committee of the Orange County Sanitation District was called to order by Committee Chairwoman Christine Marick on Wednesday, November 13, 2024 at 5:00 p.m. in the Orange County Sanitation District Headquarters. Director Chad Wanke led the pledge of allegiance. ROLL CALL AND DECLARATION OF QUORUM: The Clerk of the Board declared a quorum present as follows: PRESENT:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) ABSENT:None STAFF PRESENT: Rob Thompson, General Manager; Lorenzo Tyner, Assistant General Manager; Mike Dorman, Director of Engineering; Laura Maravilla, Director of Human Resources; Riaz Moinuddin, Director of Operations and Maintenance; Wally Ritchie, Director of Finance; Lan Wiborg, Director of Environmental Services; Kelly Lore, Clerk of the Board; Mo Abiodun; Yiping Cao; Sam Choi; Daisy Covarrubias; Rhea de Guzman; Thys DeVries; Brian Engeln; Al Garcia; Bryce Hockensmith; Mark Kawamoto; Tina Knapp; Rebecca Long; Joe Manzella; Enisha Matthews; Tom Meregillano; Rob Michaels; Thomas Vu; Kevin Work; and Ruth Zintzun were present in the Board Room. Arturo Diaz was present telephonically. OTHERS PRESENT: Scott Smith, General Counsel; Eric Sapirstein, ENS Resources; and Jennifer Farr, Davis Farr were present in the Board Room. Gina Ayala, Orange County Water District and Cori Takkinen, Townsend Public Affairs, Inc. were present telephonically. PUBLIC COMMENTS: None. REPORTS: Chair Marick reminded the Committee that the Steering and Board meetings will be held one week early this month, on November 20, due to the Thanksgiving holidays on November 28 and 29. She also reminded the Directors to turn their microphone on when speaking. General Manager Rob Thompson did not provide a report. Page 1 of 8 ADMINISTRATION COMMITTEE Minutes November 13, 2024 CONSENT CALENDAR: 1.APPROVAL OF MINUTES 2024-3919 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Approve minutes of the Regular meeting of the Administration Committee held October 9, 2024. AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 2.CONSOLIDATED FINANCIAL REPORT FOR THE FIRST QUARTER ENDED SEPTEMBER 30, 2024 2024-3799 Originator: Wally Ritchie MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Orange County Sanitation District First Quarter Financial Report for the period ended September 30, 2024. AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 3.PUBLIC AFFAIRS UPDATE FOR THE MONTH OF OCTOBER 2024 2024-3803 Originator: Jennifer Cabral MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Public Affairs Update for the month of October 2024. Page 2 of 8 ADMINISTRATION COMMITTEE Minutes November 13, 2024 AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 4.RENEWAL OF ESRI GIS ENTERPRISE LICENSE AGREEMENT SUBSCRIPTION AND SUPPORT 2024-3889 Originator: Wally Ritchie MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Approve Amendment No. 3 of Agreement 334620 with Environmental Systems Research Institute, Inc. for the renewal of the Sole Source GIS Enterprise License Agreement, for a three-year period commencing December 31, 2024, through December 30, 2027, for a total amount not to exceed $494,000; and B. Approve a not to exceed contingency of $24,700 (5%). AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 5.CONTINGENCY INCREASE FOR ANNUAL TRUE-UP OF MICROSOFT ENTERPRISE LICENSE AGREEMENT (ELA) FOR MICROSOFT ENTERPRISE SOFTWARE LICENSES 2024-3899 Originator: Wally Ritchie MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Approve a contingency increase of $525,748 (36%) to the existing Contract for annual true-up of the Microsoft ELA for a new total contingency amount of $746,322 (51%). AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) Page 3 of 8 ADMINISTRATION COMMITTEE Minutes November 13, 2024 NOES:None ABSENT:None ABSTENTIONS:None 6.MICROSOFT ENTERPRISE LICENSE AGREEMENT (ELA) FOR MICROSOFT ENTERPRISE SOFTWARE LICENSES 2024-3915 Originator: Wally Ritchie MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Approve a Purchase Order for a three-year contract to purchase Microsoft Enterprise licenses under the Microsoft ELA in accordance with Microsoft Volume Enterprise Enrollment - for State and Local government, Riverside County Master Licensing Agreement 01E73970, payable annually and with a contract expiration date of December 31, 2027, for a total amount not to exceed $2,255,657; and B. Approve a contingency of $451,131 (20%). AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 7.GENERAL MANAGER APPROVED PURCHASES AND ADDITIONS TO THE PRE-APPROVED OEM SOLE SOURCE LIST 2024-3923 Originator: Wally Ritchie MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Page 4 of 8 ADMINISTRATION COMMITTEE Minutes November 13, 2024 A. Receive and file Orange County Sanitation District purchases made under the General Manager’s authority for the period of July 1, 2024 to September 30, 2024; and B. Approve the following additions to the pre-approved Original Equipment Manufacturers (OEM) Sole Source List: ·ROCKWELL ENGINEERING & EQUIPMENT CO - Horizontal Pump (Replaces OEM Manufacturer VAUGHAN COMPANY, INC. - Designated Representative) ·VEOLIA WTS SERVICES USA, INC. - Bar Screen Repair Parts (Replaces OEM Manufacturer SUEZ WTS/ VEOLIA WTS - Name Change). AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 8.TRIPLE QUADRUPOLE GAS CHROMATOGRAPH MASS SPECTROMETER (TQ-GC/MS) SYSTEM 2024-3925 Originator: Lan Wiborg MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Approve a Purchase Order to VWR International, LLC for the purchase of a Triple Quadrupole Gas Chromatograph Mass Spectrometer (TQ-GC/MS) System using NASPO Master Agreement No. MA2024005 for a total amount not to exceed $325,947. AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 9.2025 LEGISLATIVE AND REGULATORY PLAN 2024-3897 Originator: Jennifer Cabral MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Page 5 of 8 ADMINISTRATION COMMITTEE Minutes November 13, 2024 Directors to: Adopt the Orange County Sanitation District 2025 Legislative and Regulatory Plan. AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None Director John Withers departed the meeting at 5:05 p.m. NON-CONSENT: 10.LEGISLATIVE AFFAIRS UPDATE FOR THE MONTH OF OCTOBER 2024 2024-3791 Originator: Jennifer Cabral Senior Public Affairs Specialist Rebecca Long introduced the item, and Eric Sapirstein, President of ENS Resources, who provided a PowerPoint presentation on the federal update. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Legislative Affairs Update for the month October 2024. AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:John Withers ABSTENTIONS:None Director Withers returned to the meeting at 5:21 p.m. 11.ORANGE COUNTY SANITATION DISTRICT ANNUAL COMPREHENSIVE FINANCIAL REPORT FOR THE YEAR ENDED JUNE 30, 2024 2024-3807 Originator: Wally Ritchie Director of Finance Wally Ritchie introduced Finance Manager Ruth Zintzun who introduced Accounting Supervisor Bryce Hockensmith, who discussed additional details Page 6 of 8 ADMINISTRATION COMMITTEE Minutes November 13, 2024 regarding the financial cycle, the FY 2023-24 budget versus actuals, CIP expenditures, available resources, and the debt profile. Next, Ms. Zintzun introduced Jennifer Farr from Davis Farr, who presented the results of the independent audit conducted by Davis Farr. Ms. Zintzun concluded the presentation and outlined the next steps. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Orange County Sanitation District’s (OC San) Annual Comprehensive Financial Report for the year ended June 30, 2024, prepared by staff and audited by Davis Farr, Certified Public Accountants, along with the following reports prepared by Davis Farr: 1. Report to the Board of Directors; 2. Independent Accountants’ Report on Agreed-Upon Procedures Applied to Appropriations Limit Worksheets; and 3. Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards. AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None 12.ORANGE COUNTY SANITATION DISTRICT POPULAR ANNUAL FINANCIAL REPORT FOR THE YEAR ENDED JUNE 30, 2024 2024-3895 Originator: Wally Ritchie MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Orange County Sanitation District Popular Annual Financial Report for the year ended June 30, 2024. AYES:Brad Avery, Jon Dumitru, Ryan Gallagher, Glenn Grandis, Farrah Khan, Christine Marick, Jordan Nefulda, Andrew Nguyen, David Shawver, Chad Wanke, John Withers, Jose Medrano (Alternate) and Jordan Wu (Alternate) NOES:None ABSENT:None ABSTENTIONS:None Page 7 of 8 ADMINISTRATION COMMITTEE Minutes November 13, 2024 INFORMATION ITEMS: 13.EMPLOYEE ENGAGEMENT SURVEY RESULTS 2024-3924 Originator: Jennifer Cabral Public Affairs Supervisor Daisy Covarrubias presented the results of the employee engagement survey, covering the survey's content, key feedback, and subsequent actions. ITEM RECEIVED AS AN: Information item. DEPARTMENT HEAD REPORTS: Mr. Ritchie reported that due to expiring contracts, Vazquez+Company LLP had recently been retained for Internal Audit Services; and PFM Financial Advisors had been retained as OC San's Municipal Financial Advisor. CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: None. ADJOURNMENT: Chair Marick declared the meeting adjourned at 5:48 p.m. to the next Regular Administration Committee meeting to be held on Wednesday, December 11, 2024 at 5:00 p.m. Submitted by: __________________ Kelly A. Lore, MMC Clerk of the Board Page 8 of 8 ADMINISTRATION COMMITTEE Agenda Report Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 File #:2024-3800 Agenda Date:12/11/2024 Agenda Item No:2. FROM:Robert Thompson, General Manager Originator: Wally Ritchie, Director of Finance SUBJECT: INVEST AND/OR REINVEST ORANGE COUNTY SANITATION DISTRICT’S FUNDS AND ADOPT INVESTMENT POLICY STATEMENT GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: Adopt Resolution No.OC SAN 24-XX entitled:“A Resolution of the Board of Directors of the Orange County Sanitation District,Authorizing the Orange County Sanitation District’s Treasurer to Invest and/or Reinvest the Orange County Sanitation District’s Funds,Adopting the Orange County Sanitation District’s Investment Policy Statement and Performance Benchmarks,and Repealing Resolution No. OC SAN 23-23”. BACKGROUND This agenda item presents updates to the Orange County Sanitation District (OC San)Investment Policy Statement for consideration by the Administration Committee as it is the oversight committee for the Investment Policy (Section 19.2).Most changes are in Section 18.0 (Reporting).This section was revised to better align with the Reporting Requirements language on the Local Agency Investment Guidelines published by the California Debt and Investment Advisory Commission. Other changes include: -Expanding the definition of eligible commercial paper to be consistent with state statutes. Commercial paper issuers to include special purpose corporations,trusts,and limited liability companies in Section 8.4 (Commercial Paper). -Adding language to adjust callable agency exposure to the percent of the portfolio instead of the percent of total agencies in Section 14.2 (Diversification).This removes the moving target on the callable agency limit. With adoption of the Resolution,the Board of Directors would readopt OC San’s Investment Policy Statement,portfolio performance benchmarks,and monitoring and reporting requirements for calendar year 2025. Orange County Sanitation District Printed on 12/3/2024Page 1 of 3 powered by Legistar™ File #:2024-3800 Agenda Date:12/11/2024 Agenda Item No:2. RELEVANT STANDARDS ·Comply with OC San Policy: OC San Investment Policy ·Comply with Government Code Sections 53607 & 53646 PROBLEM Government Code §53607 allows for the Board of Directors to delegate authority to invest and/or reinvest OC San’s funds to the Treasurer for a one-year period.Government Code §53646 requires OC San to review its Investment Policy annually and readopt its Policy at a public meeting,which will establish specific performance benchmarks and objectives and specific monitoring and reports. Pursuant to Government Code §53646,OC San’s Investment Policy must be reviewed and readopted prior to December 31, 2024. PROPOSED SOLUTION With adoption of the proposed Resolution,the Board of Directors would renew its delegation of investment authority to the Director of Finance/Treasurer for a one-year period,January 1,2025 to December 31,2025,in compliance with the requirements of Government Code §53607.Each year, the Board of Directors will consider similar actions,along with the annual reconsideration of OC San’s Investment Policy. TIMING CONCERNS The Board of Directors delegation of authority to the Director of Finance/Treasurer to invest and/or reinvest OC San’s funds will expire on December 31, 2024. RAMIFICATIONS OF NOT TAKING ACTION OC San’s Director of Finance/Treasurer will not have the authority to invest and/or reinvest OC San’s funds and OC San will not be in compliance with Government Code §53646. PRIOR COMMITTEE/BOARD ACTIONS December 2023 -Adopted Resolution No.OC SAN 23-23 entitled:“A Resolution of the Board of Directors of the Orange County Sanitation District Authorizing the Orange County Sanitation District’s Treasurer to Invest and/or Reinvest the Orange County Sanitation District’s Funds,Adopting the Orange County Sanitation District’s Investment Policy Statement and Performance Benchmarks,and Repealing Resolution No. OC SAN 22-36”. ADDITIONAL INFORMATION OC San’s Investment Policy Statement is a comprehensive document describing the policy, authorizations,benchmarks,delegations,and investment limitations.The Investment Policy will govern the investment activities of OC San's external investment manager on behalf of OC San. Orange County Sanitation District Printed on 12/3/2024Page 2 of 3 powered by Legistar™ File #:2024-3800 Agenda Date:12/11/2024 Agenda Item No:2. Annual Review of Investment Policy The Investment Policy includes the requirement that OC San shall review its Investment Policy annually (Sections 1.2 and 19.1).OC San’s investment manager reviewed the existing policy to ensure that the language remains current with the Government Code.The proposed Investment Policy is attached with redlined changes from the most recent approved policy in December 2023. Annual Delegation of Investment Authority Effective January 1,1997,Government Code §53607 states that governing boards of local agencies may only delegate authority to invest and/or reinvest agency funds to the agency's Treasurer for a one-year period. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Orange County Sanitation District Calendar Year 2024 Investment Policy Statement (Redline) ·Orange County Sanitation District Calendar Year 2025 Investment Policy Statement (Clean) ·Proposed Resolution No. OC SAN 24-XX Orange County Sanitation District Printed on 12/3/2024Page 3 of 3 powered by Legistar™ ORANGE COUNTY SANITATION DISTRICT INVESTMENT POLICY STATEMENT 1.0 Policy: It is the policy of the Orange County Sanitation District (OC San) to invest public funds in a manner which ensures the safety and preservation of capital while meeting reasonably anticipated operating expenditure needs, achieving a reasonable rate of return and conforming to all state and local statutes governing the investment of public funds. 1.1. This Investment Policy is set forth by OC San for the following purposes: 1.1.1. To establish a clear understanding for the Board of Directors, OC San management, responsible employees and third parties of the objectives, policies and guidelines for the investment of OC San’s idle and surplus funds. 1.1.2. To offer guidance to investment staff and any external investment advisors on the investment of OC San funds. 1.1.3. To establish a basis for evaluating investment results. 1.2. OC San establishes investment policies which meet its current investment goals. OC San shall review this policy annually and may change its policies as its investment objectives change. 2.0 Scope: This Investment Policy applies to all financial assets of OC San; except for the proceeds of OC San’s capital projects financing program, which are invested in accordance with provisions of their specific bond indentures; and such other funds excluded by law or other Board-approved covenant or agreement. These funds are accounted for by OC San as Enterprise Funds as represented in OC San’s Annual Comprehensive Financial Report. 3.0 Standard of Prudence: The standard of prudence to be used by OC San internal staff, and any authorized investment advisor(s), shall be as described in Section 53600.3 of the California Government Code as follows: Except as provided in subdivision (a) of Section 27000.3, all governing bodies of local agencies or persons authorized to make investment decisions on behalf of those local agencies investing public funds pursuant to this chapter are trustees and therefore fiduciaries subject to the prudent investor standard. When investing, reinvesting, purchasing, acquiring, exchanging, selling, or managing public funds, a trustee shall act with care, skill, prudence, and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the Page 1 Page 2 anticipated needs of the agency, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of funds of a like character and with like aims, to safeguard the principal and maintain the liquidity needs of the agency. Within the limitations of this section and considering individual investments as part of an overall strategy, investments may be acquired as authorized by law. 4.0 Investment Objectives: The primary objectives of OC San’s investment activities, in priority order, and as described in Section 53600.5 of the California Government Code, shall be: 4.1 Safety: The safety and preservation of principal is the foremost objective of the investment program of OC San. Investments shall be selected in a manner that seeks to ensure the preservation of capital in OC San’s overall portfolio. This will be accomplished through a program of diversification, more fully described in Section 14.0, and maturity limitations, more fully described in Section 15.0, in order that potential losses on individual securities do not exceed the income generated from the remainder of the portfolio. 4.2 Liquidity: The investment program will be administered in a manner that will ensure that sufficient funds are available for OC San to meet its reasonably anticipated operating expenditure needs. 4.3 Return on Investments: The OC San investment portfolio will be structured and managed with the objective of achieving a market rate of return throughout budgetary and economic cycles, commensurate with legal, safety and liquidity considerations. 5.0 Delegation of Authority: 5.1 Authority to manage OC San’s investment program is derived from the California Government Code Sections 53600 et seq. and Sections 53635 et seq. The Board of Directors hereby delegates management responsibility for OC San’s investment program to its Director of Finance/Treasurer, who shall establish written procedures for the operation of the investment program, consistent with this policy. The Financial Management Manager/Assistant Treasurer shall be responsible for day-to-day administration, monitoring and the development of written administrative procedures for the operation of the investment program, consistent with this policy. No person may engage in an investment transaction except as provided under the terms of this policy and the procedures established by the Treasurer. The Treasurer shall be responsible for all transactions undertaken by OC San internal staff and shall establish a system of controls to regulate the activities of internal staff and external investment advisors engaged in accordance with Section 5.3. 5.2 The administrative procedures for the operation of OC San’s investment program will provide for, but not be limited to, the following: Page 3 5.2.1 Formats for monthly and quarterly reports to the Administration Committee and the Board of Directors. 5.2.2 Compliance with generally accepted accounting principles of the Government Accounting Standards Board. 5.2.3 Establishment of benchmarks for performance measurement. 5.2.4 Establishment of a system of written internal controls. 5.2.5 Establishment of written procedures for competitive bids and offerings of securities that may be purchased or sold by internal OC San staff. 5.2.6 Establishment of a Desk Procedures Manual for treasury operations and management. 5.3 The Board of Directors may, in its discretion, engage the services of one or more registered investment advisors to assist in the management of OC San’s investment portfolio in a manner consistent with OC San’s objectives. Such external investment advisors, which shall be selected through a competitive process, shall be granted discretion to purchase and sell investment securities in accordance with this Investment Policy. Such advisors must be registered under the Investment Advisers Act of 1940 or be exempt from such registration. 6.0 Ethics and Conflicts of Interest: Officers and employees of OC San involved in the investment process shall refrain from personal business activities that could conflict with proper execution of OC San’s investment program, or which could impair their ability to make impartial investment decisions. Employees and investment officials shall disclose to the General Manager any material financial interests in financial institutions that conduct business within OC San’s boundaries and they shall further disclose any large personal financial/investment positions, the performance of which could be related to the performance of positions in OC San’s portfolio. 7.0 Authorized Financial Dealers and Institutions: 7.1 For investment transactions conducted by OC San internal staff, the Treasurer will maintain a list of financial institutions authorized to provide investment services to OC San, including "primary" or regional dealers that qualify under Securities and Exchange Commission Rule 15C3-1 (Uniform Net Capital rule) and Federal or State of California chartered banks. No public deposit shall be made except in a qualified public depository as established by State law. Page 4 All financial institutions which desire to become qualified bidders for investment transactions with OC San must supply the following for evaluation by the Treasurer: 7.1.1. Audited financial statements for the institution’s three most recent fiscal years. 7.1.2. A statement, in the format prescribed by the Government Finance Officers Association (GFOA), certifying that the institution has reviewed OC San’s Investment Policy and that all securities offered to OC San shall comply fully and in every instance with all provisions of the California Government Code and with this Investment Policy. The current statement is presented in Appendix "A." 7.1.3. A statement describing the regulatory status of the dealer and the background and expertise of the dealer's representatives. Selection of financial institutions, broker/dealers and banks authorized to engage in transactions with OC San shall be made through a competitive process. An annual review of the financial condition of qualified institutions will be conducted by the Treasurer. 7.2 Selection of broker/dealers used by external investment advisors retained by OC San, shall be in compliance with contract provisions between OC San and any external investment advisors and shall be in substantially the following form: Use of Securities Brokers: Neither the Investment Advisor nor any parent, subsidiary or related firm shall act as a securities broker with respect to any purchases or sales of securities which may be made on behalf of OC San, provided that this limitation shall not prevent the Investment Advisor from utilizing the services of a securities broker which is a parent, subsidiary or related firm, provided such broker effects transactions on a "cost only" or "nonprofit" basis to itself and provides competitive execution. The Investment Advisor shall provide OC San with a list of suitable independent brokerage firms (including names and addresses) meeting the requirements of Government Code Section 53601.5, and, unless otherwise directed by OC San, the Investment Advisor may utilize the service of any of such independent securities brokerage firms it deems appropriate to the extent that such firms are competitive with respect to price of services and execution. 8.0 Authorized and Suitable Investments: All investments shall be made in accordance with the California Government Code including Sections 16429.1 et seq., 53600 et seq. and 53684, and as described within this Investment Policy. Permitted investments under this policy shall include: Page 5 8.1 Securities, obligations, participations, or other instruments of, or issued by, or fully guaranteed as to principal and interest by the US Government, a federal agency, or a US Government-sponsored enterprise pursuant to Section 53601 (f) of the California Government Code. US Treasury securities must make up at least 10% of the portfolio. 8.2 Supranational Obligations issued or unconditionally guaranteed by the International Bank for Reconstruction and Development, International Finance Corporation, or Inter-American Development Bank. Securities must be eligible for purchase in the United States and be U.S. dollar denominated senior unsecured unsubordinated obligations, with a maximum maturity of five years. Securities eligible for purchase under this section must be rated “AA” or better by a Nationally Recognized Statistical Rating Organization (NRSRO) and shall not exceed 30% of the total portfolio. 8.3 Non-agency mortgage pass-through security, non-agency collateralized mortgage obligation, non-agency mortgage-backed or other pay-through bond, equipment lease-backed certificate, consumer receivable pass-through certificate, or consumer receivable-backed bond. Securities eligible for investment under this subdivision shall be rated in a rating category of “AA” or its equivalent or better by an NRSRO and have a maximum remaining maturity of five years or less. Purchase of securities authorized by this subdivision may not exceed 20% of the agency’s surplus moneys that may be invested pursuant to this section. Purchase of mortgage derivatives, which include interest- only payments (IOs) and principal-only payments (POs); inverse floaters, and RE-REMICs (Real Estate Mortgage Investment Conduits), is hereby prohibited. 8.4 Commercial paper organized and operating in the United States and of "prime" quality of the highest ranking or of the highest letter and number rating as provided by an NRSRO. Eligible commercial paper issuers and may be organized and operating in the United States as a issued by a domestic general corporation organized and operating in the United States with total assets in excess of $500 million and if the issuer has long-term debt outstanding it has having a rating of "A" or better on its long-term debt as provided by an NRSRO. ; or eligible commercial paper issuers may be issued byorganized within the United States as a special purpose corporation, entity, trust, or limited liability company, with program wide credit enhancements including, but not limited to, overcollateralization, letters of credit, or a surety bond, and commercial paper that is rated “A-1” or higher or the equivalent by an NRSRO. Purchases of eligible commercial paper may not exceed 270 days to maturity from the date of purchase. Purchases of commercial paper shall not exceed 40% of the market value of the portfolio. No more than 5% of the market value of the portfolio, or 10% of the issuer's outstanding paper, may be invested in commercial paper issued by any one eligible corporation. Page 6 8.5 Banker’s acceptances issued by institutions, the short-term obligations of which are rated of the highest ranking or the highest letter and number rating as provided by an NRSRO provided that: (a) the acceptance is eligible for purchase by the Federal Reserve System; (b) the maturity does not exceed 180 days; (c) no more than 40% of the total portfolio may be invested in banker’s acceptances; and (d) no more than 5% of the total portfolio may be invested in the banker's acceptances of any one commercial bank. 8.6 Medium term (or corporate) notes of a maximum of five years maturity issued by corporations organized and operating within the United States, or issued by depository institutions licensed by the United States, or any state, and operating within the United States with assets in excess of $500 million, and which is rated in a rating category of “A” or better on its long-term debt as provided by an NRSRO. If, after purchase, the rating of an eligible note falls below the minimum rating category stipulated above, the external investment advisor shall notify OC San of the downgrade and shall present an analysis and recommendations as to the disposition of the note consistent with the investment objectives of this Investment Policy. No more than 30% of the portfolio may be invested in medium term notes. 8.7 Notes, bonds, or other obligations that are at all times secured by a valid first priority security interest in securities of the types listed by California Government Code Section 53651 as eligible securities for the purpose of securing local agency deposits having a market value at least equal to that required by California Government Code Section 53652 for the purpose of securing local agency deposits. The securities serving as collateral shall be placed by delivery or book entry into the custody of a trust company or the trust department of a bank that is not affiliated with the issuer of the secured obligation, and the security interest shall be perfected in accordance with the requirements of the Uniform Commercial Code or federal regulations applicable to the types of securities in which the security interest is granted. 8.8 Shares of mutual funds investing in securities permitted under this policy and under Section 53601 (l) of the California Government Code. Such funds must either: (1) attain the highest ranking, or the highest letter and numerical rating, provided by not less than two of the three largest nationally recognized rating services; or (2) have an Investment Advisor registered with the Securities and Exchange Commission with not less than five years of experience investing in the securities and obligations authorized under this policy and under California Government Code Section 53601 and with assets under management in excess of $500 million. The purchase price of shares of beneficial interest purchased pursuant to this policy and the California Government Code may not include any commission that the companies may charge and shall not exceed 20% of OC San’s surplus money that may be invested pursuant to this section. No more than 10% of OC San’s surplus funds may be invested in shares of beneficial interest of any one mutual fund pursuant to this section. Money market mutual funds are limited to 20% per issuer and are not subject to the 10% stipulation. Page 7 8.9 Certificates of deposit: 8.9.1 Secured (collateralized) time deposits issued by a nationally or state-chartered bank or state or federal savings and loan association, as defined by Section 5102 of the California Financial Code, and having a net operating profit in the two most recently completed fiscal years. Collateral must comply with Chapter 4, Bank Deposit Law, Section 16500 et seq., and Chapter 4.5, Savings and Loan Association and Credit Union Deposit Law, Section 16600 et seq., of the California Government Code. 8.9.2 Negotiable certificates of deposit (NCDs) issued by a nationally or state-chartered bank or state of federal savings and loan association, as defined by Section 5102 of the California Financial Code; and which shall have a rating of "A" or better on its long-term debt as provided by a NRSRO; or which shall have the highest letter and number rating for deposits as provided by a NRSRO; or as otherwise approved by the Board of Directors. No more than 30% of the portfolio may be invested in securities pursuant to this section. 8.9.3 To be eligible to receive local agency money, a bank, savings association, federal association, or federally insured individual loan company shall have received an overall rating of not less than “satisfactory” in its most recent evaluation by the appropriate federal financial supervisorial agency of its record of meeting the credit needs of California’s communities, including low and moderate income neighborhoods, pursuant to Section 2906 of Title 12 of the United States Code. 8.10 Taxable or tax-exempt municipal bonds issued by any of the 50 United States. Such securities must be rated “A” or higher by a NRSRO; or as otherwise approved by the Board of Directors. 8.11 The State of California Local Agency Investment Fund (LAIF). LAIF is an investment alternative for California's local governments and special districts managed by the State Treasurer's Office. LAIF is more fully described in the Glossary (See Appendix "C"). OC San shall use LAIF as a short-term cash management facility. Investment of OC San funds in LAIF shall be subject to investigation and due diligence prior to investing, and on a continual basis to a level of review pursuant to Section 3.0, Standard of Prudence, of this policy. 8.12 The Orange County Treasurer's Money Market Commingled Investment Pool (OCCIP). The OCCIP is a money market investment pool managed by the Orange County Treasurer's Office. OCCIP is more fully described in the Glossary (See Appendix "C"). OC San has no funds invested in OCCIP at this time. Investment of OC San funds in OCCIP would be subject to investigation and due diligence prior to investing, and on a continual basis to a level of review pursuant to Section 3.0, Standard of Page 8 Prudence, of this policy. 8.13 Repurchase agreements provided that: 8.13.1 All repurchase agreements shall be collateralized with securities eligible for purchase under this policy. In order to anticipate market changes and to provide a level of security for all repurchase agreement transactions, collateralization shall be maintained at a level of at least 102% of the market value of the repurchase agreements and shall be adjusted no less than weekly. 8.13.2 The maximum maturity of repurchase agreements shall be 1 year. 8.13.32 All repurchase agreements must be the subject of a Master Repurchase Agreement between OC San and the provider of the repurchase agreement. The Master Repurchase Agreement shall be substantially in the form developed by the Securities Industry and Financial Markets Association. 8.14 Reverse repurchase agreements provided that: 8.14.1 No more than 5% of OC San’s portfolio shall be invested in reverse repurchase agreements, and there shall be no long-term reverse repurchase agreements unless otherwise authorized by the Board of Directors. 8.14.2 The maximum maturity of reverse repurchase agreements shall be 90 days. 8.14.3 Reverse repurchase agreements shall mature on the exact date of a known cash flow which will be unconditionally available to repay the maturing reverse repurchase agreement. 8.14.4 Proceeds of reverse repurchase agreements shall be used solely to supplement portfolio income or to provide portfolio liquidity and shall not be used to speculate on market movements. 8.14.5 All reverse repurchase agreements must be the subject of a Master Repurchase Agreement between OC San and the provider of the reverse repurchase agreement. The Master Repurchase Agreement shall be substantially in the form developed by the Securities Industry and Financial Markets Association. 8.15 Public Bank Obligations of a maximum of five years maturity which includes commercial paper, debt securities, or other obligations of a public bank, a public bank as defined in California Government Code Section 57600-57607. Page 9 8.16 Sales of OC San-owned securities in the secondary market may incur losses in order to improve the risk or return characteristics of the portfolio, to prevent anticipated further erosion of principal, or when trading for securities that result in an expected net economic gain to OC San. 8.17 If securities owned by OC San are downgraded below the quality required by this Investment Policy, it shall be OC San’s policy to review the credit situation and make a determination as to whether to sell or retain such securities in the portfolio. If a decision is made to retain the downgraded securities in the portfolio, their presence in the portfolio will be monitored and reported quarterly to the OC San General Manager, the Administration Committee and Board of Directors. 8.18 OC San is authorized to invest in securities issued by or backed by the United States Government that could result in zero or negative interest accrual if held to maturity. 9.0 Prohibited Investment Vehicles and Practices: 9.1 State law notwithstanding, any investments not specifically described herein are prohibited, including, but not limited to futures and options. 9.2 In accordance with Government Code, Section 53601.6, investment in inverse floaters, range notes, or mortgage derived interest-only strips is prohibited. 9.3 Trading securities for the sole purpose of speculating on the future direction of interest rates is prohibited. 9.4 Purchasing or selling securities on margin is prohibited. 9.5 The purchase of foreign currency denominated securities is prohibited. 9.6 Agencies that are not Qualified Institutional Buyers (QIB) as defined by the Securities and Exchange Commission are prohibited from purchasing Private Placement Securities. The SEC defines a QIB as having at least $100,000,000 in securities owned and invested. 9.7 The purchase of a security with a forward settlement date exceeding 45 days from the time of investment is prohibited. 10.0 Review of Investment Portfolio: The securities held by OC San must be in compliance with Section 8.0 “Authorized and Suitable Investments” at time of purchase. If at a later date, a security is no longer in compliance with Section 8.0, the Treasurer shall report the non-compliant security to the Administration Committee and the Board of Directors and shall include a disclosure in the Page 10 quarterly Treasurer’s Report if the security is held at the date the report is prepared. 11.0 Investment Pools/Mutual Funds: A thorough investigation of the pool/fund is required prior to investing, and on a continual basis. A questionnaire shall be developed that will provide the following information: 11.1 A description of eligible investment securities, and a written statement of investment policy and objectives. 11.2 A description of interest calculations and how they are distributed, and how gains and losses are treated. 11.3 A description of how the securities are safeguarded (including the settlement processes) and how often the securities are priced and the program audited. 11.4 A description of who may invest in the program, how often and what size deposits and withdrawals are allowed. 11.5 A schedule for receiving statements and portfolio listings. 11.6 A description of the utilization and level of reserves, retained earnings or other collateral and how they are used by the fund. 11.7 A fee schedule, and when and how is it assessed. 11.8 Whether the pool/fund is eligible for bond proceeds and/or whether it will accept such proceeds. 12.0 Collateralization: Generally, the value to secure deposits under this policy shall comply with Section 53652 of the California Government Code. Collateralization will be required for secured time deposits, as more fully described in Section 8.9.1; and repurchase agreements, as more fully described in Section 8.13.1. Collateral will always be held by an independent third- party, as more fully described in Section 13.0. The right of collateral substitution is granted. Under provisions of the California Government Code, California banks and savings and loans associations are required to secure OC San’s deposits by pledging government securities with a value of 110% of principal and accrued interest. State law also allows financial institutions to secure OC San’s deposits by pledging first trust deed mortgage notes having a value of 150% of OC San’s total deposits. 13.0 Safekeeping and Custody: All securities transactions, including collateral for repurchase agreements, entered into by, or on behalf of OC San, shall be conducted on a delivery-versus-payment (DVP) basis. Securities will be held by OC San's third-party custodian bank, which shall be selected through a competitive process, or that agent's representative, or in the agent's Page 11 account at the Federal Reserve Bank, or within clearing corporations in the U.S. and evidenced by book entry statements. Third-party safekeeping arrangements will be approved by the Treasurer and will be corroborated by a written custodial agreement. 14.0 Diversification: OC San will diversify its investments by security type, issuer and financial institution in accordance with the following: 14.1 There is no limit on investment in securities issued by or guaranteed by the full faith and credit of the U.S. government. 14.2 No more than 20% of the portfolio may be invested in securities of a single agency of the U.S. government, which does not provide the full faith and credit of the U.S. government. No more than 20% of the Agency portfolio allocation canmay be invested in callable Agency callable securities. 14.3 No more than 5% of the portfolio may be invested in securities of any one issuer, other than Supranationals, the U.S. government or its agencies and Local Government Investment Pools (LGIPs). Investment in mutual funds is not governed by this Section 14.3. See Section 14.8 for conditions of purchase of mutual funds. 14.4 No individual holding shall constitute more than 5% of the total debt outstanding of any issuer. 14.5 No more than 40% of the portfolio may be invested in banker’s acceptances. 14.6 No more than 40% of the portfolio may be invested in commercial paper. 14.7 No more than 30% of the portfolio may be invested in medium-term (corporate) notes. 14.8 No more than 20% of the portfolio may be invested in mutual funds. No more than 10% of OC San’s portfolio may be invested in shares of beneficial interest of any one mutual fund. Money market mutual funds are limited to 20% per issuer and are not subject to the 10% stipulation. 14.9 No more than 30% of the portfolio may be invested in negotiable certificates of deposit. 14.10 No more than 10% of the portfolio may be invested in eligible municipal bonds. 14.11 No more than 20% of the Long Term Operating Monies portfolio may be invested in a combination of non-agency mortgage-backed securities, non- agency collateralized mortgage obligations and private label asset-backed securities. Page 12 14.12 No more than the statutory maximum may be invested in LAIF. 14.13 No more than 15% of the portfolio may be invested in the Orange County Investment Pool. 14.14 No more than 20% of the portfolio may be invested in repurchase agreements. 14.15 No more than 5% of the portfolio may be invested in reverse repurchase agreements. 15.0 Maximum Maturities: To the extent possible, OC San will attempt to match its investments with reasonably anticipated cash flow requirements. The Treasurer shall develop a five-year cash flow forecast, which shall be updated annuallyquarterly. Based on this forecast, the Treasurer shall designate, from time-to-time, the amounts to be allocated to the investment portfolio. OC San monies invested in accordance with this policy are divided into two categories: 15.1 Liquid Operating Monies. Funds needed for current operating and capital expenditures are known as Liquid Operating Monies. 15.1.1 The maximum final stated maturity of individual securities in the Liquid Operating Monies account portfolio shall be one year from the date of settlement. 15.1.2 The average duration of the Liquid Operating Monies account portfolio shall be recommended by the Treasurer based on OC San’s cash flow requirements but may never exceed 180 days. 15.2 Long Term Operating Monies. Funds needed for longer term purposes are known as the Long Term Operating Monies. 15.2.1 The maximum final stated maturity of individual securities in the Long Term Operating Monies account portfolio shall be five years from the date of settlement. 15.2.2 The duration of the Long Term Operating Monies account portfolio shall be recommended by the Treasurer based on OC San’s five- year cash flow forecast but may never exceed 60 months. 15.2.3 The duration of the Long Term Operating Monies account portfolio shall never exceed 120% of the duration as established in accordance with Section 15.2.2. 15.2.4 The duration of the Long Term Operating Monies account portfolio shall never be less than 80% of the duration as established in accordance with Section 15.2.2. Page 13 16.0 Internal Control: The Treasurer shall establish an annual process of independent review by an external auditor. This review will provide internal control by assuring compliance with policies and procedures. 17.0 Performance Objectives and Benchmarks: 17.1 Overall objective. The investment portfolio of OC San shall be designed with the overall objective of obtaining a rate of return throughout budgetary and economic cycles, commensurate with investment risk constraints and reasonably anticipated cash flow needs. 17.2 The Liquid Operating Monies. The investment performance objective for the Liquid Operating Monies shall be to earn a total rate of return over a market cycle which exceeds the return on a market index approved by the Administration Committee and by the Board of Directors, when the duration of the portfolio is established. This market index is more fully described in Board Resolution No. OC SAN 243-XX (see Appendix "B"). 17.3 The Long Term Operating Monies. The investment performance objective for the Long Term Operating Monies shall be to earn a total rate of return over a market cycle which exceeds the return on a market index selected by the Administration Committee and approved by the Board of Directors, when the duration of the portfolio is established. This market index is more fully described in Board Resolution No. OC SAN 243-XX (See Appendix "B"). 18.0 Reporting: 18.1 Monthly transaction reports in accordance with California Government Code Section 53607 shall be submitted by the Treasurer to the Board of Directors. 18.2 Quarterly investment reports will be submitted by the Treasurer to the Administration Committee which shall forward the reports to the Board of Directors within 45 days of the end of the reporting period. The quarterly reports shall provide clear and concise status information on OC San’s portfolios at the end of each reporting period, including performance measures using the benchmarks described in Section 17.0 of this Investment Policy. These reports shall include the contain listings of individual securities held at the end of each reporting period, and shall disclose, at a minimum, the following information: about the risk characteristics of OC San’s portfolio: 18.2.1 A listing of individual securities held at the end of the reporting period by authorized investment category. Page 14 18.2.2 Average life and final maturity of all investments listed. 18.2.3 Coupon, discount or earnings rate. 18.2.4 Par value, amortized book value and market value. Cost and accurate and complete market value of the portfolio. 18.2.5 Percentage of the portfolio represented by each investment category. 18.2.62 Modified dDuration of the portfolio compared to Benchmark. 18.2.3 Dollar change in value of the portfolio for a 1% change in interest rates. 18.2.4 Percent of portfolio invested in reverse repurchase agreements, and a schedule which matches the maturity of such reverse repurchase agreements with the cash flows which are available to repay them at maturity. 18.2.75 For the Liquid Operating Monies account only, the percent of portfolio maturing within 90 days. 18.2.86 Average portfolio credit quality. 18.2.97 Percent of portfolio with credit ratings below "A" by any rating agency, and a description of such securities. 18.2.10 Percent of portfolio invested in reverse repurchase agreements, and a schedule which matches the maturity of such reverse repurchase agreements with the cash flows which are available to repay them at maturity. 18.2.11 A description of the funds, investments, and programs (including lending programs) managed by contracted parties (i.e. LAIF, investment pools, outside money managers, and securities lending agents). 18.2.12 OC San funds that have been placed in LAIF or in a county investment pool may substitute the most recent account statement received from those entities in lieu of the information recommended above. 18.2.13 Current market value as of the date of the report of all funds held by the local agency and under the management of any outside party that is not also a local agency or LAIF and the source of the valuation. 18.2.14 Monthly investment transactions for the Liquid Operating Monies and Long Term Operating Monies accounts. 18.2.158 State that all investments are inA statement of compliance with Page 15 this policy and the California Government Code or provide a listing of any transactions or holdings which do not comply with this policy or with the California Government Code. 18.2.9 Time-weighted total rate of return for the portfolio for the prior three months, six months, nine months, twelve months and since inception compared to the Benchmark returns for the same periods. 18.2.160 A Sstatement that sufficient funds are available for OC San to meet its operating expenditure requirements for the next six months, or if not, state the reasons for the shortfall. 18.3 OC San’s Treasurer shall meet quarterly with the Administration Committee to review investment performance, proposed strategies and compliance with this Investment Policy. External investment advisors may be required to attend said meetings at the discretion of the Chairperson of the Administration Committee. 19.0 Investment Policy Adoption and Revision: 19.1 The Investment Policy of OC San shall be adopted by resolution of the Board of Directors. The Investment Policy shall be reviewed on an annual basis in accordance with California Government Code Section 53646, by the Administration Committee, which shall recommend revisions, as appropriate, to the Board of Directors. Any modifications made thereto shall be approved by the Board of Directors. 19.2 The Administration Committee shall serve as the oversight committee for OC San’s Investment program and shall adopt guidelines for the ongoing review of duration, quality and liquidity of OC San’s portfolio. ORANGE COUNTY SANITATION DISTRICT INVESTMENT POLICY STATEMENT 1.0 Policy: It is the policy of the Orange County Sanitation District (OC San) to invest public funds in a manner which ensures the safety and preservation of capital while meeting reasonably anticipated operating expenditure needs, achieving a reasonable rate of return and conforming to all state and local statutes governing the investment of public funds. 1.1. This Investment Policy is set forth by OC San for the following purposes: 1.1.1. To establish a clear understanding for the Board of Directors, OC San management, responsible employees and third parties of the objectives, policies and guidelines for the investment of OC San’s idle and surplus funds. 1.1.2. To offer guidance to investment staff and any external investment advisors on the investment of OC San funds. 1.1.3. To establish a basis for evaluating investment results. 1.2. OC San establishes investment policies which meet its current investment goals. OC San shall review this policy annually and may change its policies as its investment objectives change. 2.0 Scope: This Investment Policy applies to all financial assets of OC San; except for the proceeds of OC San’s capital projects financing program, which are invested in accordance with provisions of their specific bond indentures; and such other funds excluded by law or other Board-approved covenant or agreement. These funds are accounted for by OC San as Enterprise Funds as represented in OC San’s Annual Comprehensive Financial Report. 3.0 Standard of Prudence: The standard of prudence to be used by OC San internal staff, and any authorized investment advisor(s), shall be as described in Section 53600.3 of the California Government Code as follows: Except as provided in subdivision (a) of Section 27000.3, all governing bodies of local agencies or persons authorized to make investment decisions on behalf of those local agencies investing public funds pursuant to this chapter are trustees and therefore fiduciaries subject to the prudent investor standard. When investing, reinvesting, purchasing, acquiring, exchanging, selling, or managing public funds, a trustee shall act with care, skill, prudence, and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the Page 1 Page 2 anticipated needs of the agency, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of funds of a like character and with like aims, to safeguard the principal and maintain the liquidity needs of the agency. Within the limitations of this section and considering individual investments as part of an overall strategy, investments may be acquired as authorized by law. 4.0 Investment Objectives: The primary objectives of OC San’s investment activities, in priority order, and as described in Section 53600.5 of the California Government Code, shall be: 4.1 Safety: The safety and preservation of principal is the foremost objective of the investment program of OC San. Investments shall be selected in a manner that seeks to ensure the preservation of capital in OC San’s overall portfolio. This will be accomplished through a program of diversification, more fully described in Section 14.0, and maturity limitations, more fully described in Section 15.0, in order that potential losses on individual securities do not exceed the income generated from the remainder of the portfolio. 4.2 Liquidity: The investment program will be administered in a manner that will ensure that sufficient funds are available for OC San to meet its reasonably anticipated operating expenditure needs. 4.3 Return on Investments: The OC San investment portfolio will be structured and managed with the objective of achieving a market rate of return throughout budgetary and economic cycles, commensurate with legal, safety and liquidity considerations. 5.0 Delegation of Authority: 5.1 Authority to manage OC San’s investment program is derived from the California Government Code Sections 53600 et seq. and Sections 53635 et seq. The Board of Directors hereby delegates management responsibility for OC San’s investment program to its Director of Finance/Treasurer, who shall establish written procedures for the operation of the investment program, consistent with this policy. The Financial Management Manager/Assistant Treasurer shall be responsible for day-to-day administration, monitoring and the development of written administrative procedures for the operation of the investment program, consistent with this policy. No person may engage in an investment transaction except as provided under the terms of this policy and the procedures established by the Treasurer. The Treasurer shall be responsible for all transactions undertaken by OC San internal staff and shall establish a system of controls to regulate the activities of internal staff and external investment advisors engaged in accordance with Section 5.3. 5.2 The administrative procedures for the operation of OC San’s investment program will provide for, but not be limited to, the following: Page 3 5.2.1 Formats for monthly and quarterly reports to the Administration Committee and the Board of Directors. 5.2.2 Compliance with generally accepted accounting principles of the Government Accounting Standards Board. 5.2.3 Establishment of benchmarks for performance measurement. 5.2.4 Establishment of a system of written internal controls. 5.2.5 Establishment of written procedures for competitive bids and offerings of securities that may be purchased or sold by internal OC San staff. 5.2.6 Establishment of a Desk Procedures Manual for treasury operations and management. 5.3 The Board of Directors may, in its discretion, engage the services of one or more registered investment advisors to assist in the management of OC San’s investment portfolio in a manner consistent with OC San’s objectives. Such external investment advisors, which shall be selected through a competitive process, shall be granted discretion to purchase and sell investment securities in accordance with this Investment Policy. Such advisors must be registered under the Investment Advisers Act of 1940 or be exempt from such registration. 6.0 Ethics and Conflicts of Interest: Officers and employees of OC San involved in the investment process shall refrain from personal business activities that could conflict with proper execution of OC San’s investment program, or which could impair their ability to make impartial investment decisions. Employees and investment officials shall disclose to the General Manager any material financial interests in financial institutions that conduct business within OC San’s boundaries and they shall further disclose any large personal financial/investment positions, the performance of which could be related to the performance of positions in OC San’s portfolio. 7.0 Authorized Financial Dealers and Institutions: 7.1 For investment transactions conducted by OC San internal staff, the Treasurer will maintain a list of financial institutions authorized to provide investment services to OC San, including "primary" or regional dealers that qualify under Securities and Exchange Commission Rule 15C3-1 (Uniform Net Capital rule) and Federal or State of California chartered banks. No public deposit shall be made except in a qualified public depository as established by State law. Page 4 All financial institutions which desire to become qualified bidders for investment transactions with OC San must supply the following for evaluation by the Treasurer: 7.1.1. Audited financial statements for the institution’s three most recent fiscal years. 7.1.2. A statement, in the format prescribed by the Government Finance Officers Association (GFOA), certifying that the institution has reviewed OC San’s Investment Policy and that all securities offered to OC San shall comply fully and in every instance with all provisions of the California Government Code and with this Investment Policy. The current statement is presented in Appendix "A." 7.1.3. A statement describing the regulatory status of the dealer and the background and expertise of the dealer's representatives. Selection of financial institutions, broker/dealers and banks authorized to engage in transactions with OC San shall be made through a competitive process. An annual review of the financial condition of qualified institutions will be conducted by the Treasurer. 7.2 Selection of broker/dealers used by external investment advisors retained by OC San shall be in compliance with contract provisions between OC San and any external investment advisors and shall be in substantially the following form: Use of Securities Brokers: Neither the Investment Advisor nor any parent, subsidiary or related firm shall act as a securities broker with respect to any purchases or sales of securities which may be made on behalf of OC San, provided that this limitation shall not prevent the Investment Advisor from utilizing the services of a securities broker which is a parent, subsidiary or related firm, provided such broker effects transactions on a "cost only" or "nonprofit" basis to itself and provides competitive execution. The Investment Advisor shall provide OC San with a list of suitable independent brokerage firms meeting the requirements of Government Code Section 53601.5, and, unless otherwise directed by OC San, the Investment Advisor may utilize the service of any of such independent securities brokerage firms it deems appropriate to the extent that such firms are competitive with respect to price of services and execution. 8.0 Authorized and Suitable Investments: All investments shall be made in accordance with the California Government Code including Sections 16429.1 et seq., 53600 et seq. and 53684, and as described within this Investment Policy. Permitted investments under this policy shall include: Page 5 8.1 Securities, obligations, participations, or other instruments of, or issued by, or fully guaranteed as to principal and interest by the US Government, a federal agency, or a US Government-sponsored enterprise pursuant to Section 53601 (f) of the California Government Code. US Treasury securities must make up at least 10% of the portfolio. 8.2 Supranational Obligations issued or unconditionally guaranteed by the International Bank for Reconstruction and Development, International Finance Corporation, or Inter-American Development Bank. Securities must be eligible for purchase in the United States and be U.S. dollar denominated senior unsecured unsubordinated obligations, with a maximum maturity of five years. Securities eligible for purchase under this section must be rated “AA” or better by a Nationally Recognized Statistical Rating Organization (NRSRO) and shall not exceed 30% of the total portfolio. 8.3 Non-agency mortgage pass-through security, non-agency collateralized mortgage obligation, non-agency mortgage-backed or other pay-through bond, equipment lease-backed certificate, consumer receivable pass-through certificate, or consumer receivable-backed bond. Securities eligible for investment under this subdivision shall be rated in a rating category of “AA” or its equivalent or better by an NRSRO and have a maximum remaining maturity of five years or less. Purchase of securities authorized by this subdivision may not exceed 20% of the agency’s surplus moneys that may be invested pursuant to this section. Purchase of mortgage derivatives, which include interest- only payments (IOs) and principal-only payments (POs); inverse floaters, and RE-REMICs (Real Estate Mortgage Investment Conduits), is hereby prohibited. 8.4 Commercial paper of "prime" quality of the highest ranking or of the highest letter and number rating as provided by an NRSRO. Eligible commercial paper issuers may be organized and operating in the United States as a general corporation with total assets in excess of $500 million and if the issuer has long-term debt outstanding it has a rating of "A" or better as provided by an NRSRO; or eligible commercial paper issuers may be organized within the United States as a special purpose corporation, trust, or limited liability company, with program wide credit enhancements including, but not limited to, overcollateralization, letters of credit, or a surety bond, and commercial paper that is rated “A-1” or higher or the equivalent by an NRSRO. Purchases of eligible commercial paper may not exceed 270 days to maturity from the date of purchase. Purchases of commercial paper shall not exceed 40% of the market value of the portfolio. No more than 5% of the market value of the portfolio, or 10% of the issuer's outstanding paper, may be invested in commercial paper issued by any one eligible corporation. 8.5 Banker’s acceptances issued by institutions, the short-term obligations of which are rated of the highest ranking or the highest letter and number rating as provided by an NRSRO provided that: (a) the acceptance is Page 6 eligible for purchase by the Federal Reserve System; (b) the maturity does not exceed 180 days; (c) no more than 40% of the total portfolio may be invested in banker’s acceptances; and (d) no more than 5% of the total portfolio may be invested in the banker's acceptances of any one commercial bank. 8.6 Medium term (or corporate) notes of a maximum of five years maturity issued by corporations organized and operating within the United States, or issued by depository institutions licensed by the United States, or any state, and operating within the United States with assets in excess of $500 million, and which is rated in a rating category of “A” or better on its long-term debt as provided by an NRSRO. If, after purchase, the rating of an eligible note falls below the minimum rating category stipulated above, the external investment advisor shall notify OC San of the downgrade and shall present an analysis and recommendations as to the disposition of the note consistent with the investment objectives of this Investment Policy. No more than 30% of the portfolio may be invested in medium term notes. 8.7 Notes, bonds, or other obligations that are at all times secured by a valid first priority security interest in securities of the types listed by California Government Code Section 53651 as eligible securities for the purpose of securing local agency deposits having a market value at least equal to that required by California Government Code Section 53652 for the purpose of securing local agency deposits. The securities serving as collateral shall be placed by delivery or book entry into the custody of a trust company or the trust department of a bank that is not affiliated with the issuer of the secured obligation, and the security interest shall be perfected in accordance with the requirements of the Uniform Commercial Code or federal regulations applicable to the types of securities in which the security interest is granted. 8.8 Shares of mutual funds investing in securities permitted under this policy and under Section 53601 (l) of the California Government Code. Such funds must either: (1) attain the highest ranking, or the highest letter and numerical rating, provided by not less than two of the three largest nationally recognized rating services; or (2) have an Investment Advisor registered with the Securities and Exchange Commission with not less than five years of experience investing in the securities and obligations authorized under this policy and under California Government Code Section 53601 and with assets under management in excess of $500 million. The purchase price of shares of beneficial interest purchased pursuant to this policy and the California Government Code may not include any commission that the companies may charge and shall not exceed 20% of OC San’s surplus money that may be invested pursuant to this section. No more than 10% of OC San’s surplus funds may be invested in shares of beneficial interest of any one mutual fund pursuant to this section. Money market mutual funds are limited to 20% per issuer and are not subject to the 10% stipulation. Page 7 8.9 Certificates of deposit: 8.9.1 Secured (collateralized) time deposits issued by a nationally or state-chartered bank or state or federal savings and loan association, as defined by Section 5102 of the California Financial Code, and having a net operating profit in the two most recently completed fiscal years. Collateral must comply with Chapter 4, Bank Deposit Law, Section 16500 et seq., and Chapter 4.5, Savings and Loan Association and Credit Union Deposit Law, Section 16600 et seq., of the California Government Code. 8.9.2 Negotiable certificates of deposit (NCDs) issued by a nationally or state-chartered bank or state of federal savings and loan association, as defined by Section 5102 of the California Financial Code; and which shall have a rating of "A" or better on its long-term debt as provided by a NRSRO; or which shall have the highest letter and number rating for deposits as provided by a NRSRO; or as otherwise approved by the Board of Directors. No more than 30% of the portfolio may be invested in securities pursuant to this section. 8.9.3 To be eligible to receive local agency money, a bank, savings association, federal association, or federally insured individual loan company shall have received an overall rating of not less than “satisfactory” in its most recent evaluation by the appropriate federal financial supervisorial agency of its record of meeting the credit needs of California’s communities, including low and moderate income neighborhoods, pursuant to Section 2906 of Title 12 of the United States Code. 8.10 Taxable or tax-exempt municipal bonds issued by any of the 50 United States. Such securities must be rated “A” or higher by a NRSRO; or as otherwise approved by the Board of Directors. 8.11 The State of California Local Agency Investment Fund (LAIF). LAIF is an investment alternative for California's local governments and special districts managed by the State Treasurer's Office. LAIF is more fully described in the Glossary (See Appendix "C"). OC San shall use LAIF as a short-term cash management facility. Investment of OC San funds in LAIF shall be subject to investigation and due diligence prior to investing, and on a continual basis to a level of review pursuant to Section 3.0, Standard of Prudence, of this policy. 8.12 The Orange County Treasurer's Money Market Commingled Investment Pool (OCCIP). The OCCIP is a money market investment pool managed by the Orange County Treasurer's Office. OCCIP is more fully described in the Glossary (See Appendix "C"). OC San has no funds invested in OCCIP at this time. Investment of OC San funds in OCCIP would be subject to investigation and due diligence prior to investing, and on a continual basis to a level of review pursuant to Section 3.0, Standard of Prudence, of this policy. Page 8 8.13 Repurchase agreements provided that: 8.13.1 All repurchase agreements shall be collateralized with securities eligible for purchase under this policy. In order to anticipate market changes and to provide a level of security for all repurchase agreement transactions, collateralization shall be maintained at a level of at least 102% of the market value of the repurchase agreements and shall be adjusted no less than weekly. 8.13.2 The maximum maturity of repurchase agreements shall be 1 year. 8.13.3 All repurchase agreements must be the subject of a Master Repurchase Agreement between OC San and the provider of the repurchase agreement. The Master Repurchase Agreement shall be substantially in the form developed by the Securities Industry and Financial Markets Association. 8.14 Reverse repurchase agreements provided that: 8.14.1 No more than 5% of OC San’s portfolio shall be invested in reverse repurchase agreements, and there shall be no long-term reverse repurchase agreements unless otherwise authorized by the Board of Directors. 8.14.2 The maximum maturity of reverse repurchase agreements shall be 90 days. 8.14.3 Reverse repurchase agreements shall mature on the exact date of a known cash flow which will be unconditionally available to repay the maturing reverse repurchase agreement. 8.14.4 Proceeds of reverse repurchase agreements shall be used solely to supplement portfolio income or to provide portfolio liquidity and shall not be used to speculate on market movements. 8.14.5 All reverse repurchase agreements must be the subject of a Master Repurchase Agreement between OC San and the provider of the reverse repurchase agreement. The Master Repurchase Agreement shall be substantially in the form developed by the Securities Industry and Financial Markets Association. 8.15 Public Bank Obligations of a maximum of five years maturity which includes commercial paper, debt securities, or other obligations of a public bank, a public bank as defined in California Government Code Section 57600-57607. 8.16 Sales of OC San-owned securities in the secondary market may incur losses in order to improve the risk or return characteristics of the portfolio, Page 9 to prevent anticipated further erosion of principal, or when trading for securities that result in an expected net economic gain to OC San. 8.17 If securities owned by OC San are downgraded below the quality required by this Investment Policy, it shall be OC San’s policy to review the credit situation and make a determination as to whether to sell or retain such securities in the portfolio. If a decision is made to retain the downgraded securities in the portfolio, their presence in the portfolio will be monitored and reported quarterly to the OC San General Manager, the Administration Committee and Board of Directors. 8.18 OC San is authorized to invest in securities issued by or backed by the United States Government that could result in zero or negative interest accrual if held to maturity. 9.0 Prohibited Investment Vehicles and Practices: 9.1 State law notwithstanding, any investments not specifically described herein are prohibited, including, but not limited to futures and options. 9.2 In accordance with Government Code, Section 53601.6, investment in inverse floaters, range notes, or mortgage derived interest-only strips is prohibited. 9.3 Trading securities for the sole purpose of speculating on the future direction of interest rates is prohibited. 9.4 Purchasing or selling securities on margin is prohibited. 9.5 The purchase of foreign currency denominated securities is prohibited. 9.6 Agencies that are not Qualified Institutional Buyers (QIB) as defined by the Securities and Exchange Commission are prohibited from purchasing Private Placement Securities. The SEC defines a QIB as having at least $100,000,000 in securities owned and invested. 9.7 The purchase of a security with a forward settlement date exceeding 45 days from the time of investment is prohibited. 10.0 Review of Investment Portfolio: The securities held by OC San must be in compliance with Section 8.0 “Authorized and Suitable Investments” at time of purchase. If at a later date, a security is no longer in compliance with Section 8.0, the Treasurer shall report the non-compliant security to the Administration Committee and the Board of Directors and shall include a disclosure in the quarterly Treasurer’s Report if the security is held at the date the report is prepared. Page 10 11.0 Investment Pools/Mutual Funds: A thorough investigation of the pool/fund is required prior to investing, and on a continual basis. A questionnaire shall be developed that will provide the following information: 11.1 A description of eligible investment securities, and a written statement of investment policy and objectives. 11.2 A description of interest calculations and how they are distributed, and how gains and losses are treated. 11.3 A description of how the securities are safeguarded (including the settlement processes) and how often the securities are priced and the program audited. 11.4 A description of who may invest in the program, how often and what size deposits and withdrawals are allowed. 11.5 A schedule for receiving statements and portfolio listings. 11.6 A description of the utilization and level of reserves, retained earnings or other collateral and how they are used by the fund. 11.7 A fee schedule, and when and how is it assessed. 11.8 Whether the pool/fund is eligible for bond proceeds and/or whether it will accept such proceeds. 12.0 Collateralization: Generally, the value to secure deposits under this policy shall comply with Section 53652 of the California Government Code. Collateralization will be required for secured time deposits, as more fully described in Section 8.9.1; and repurchase agreements, as more fully described in Section 8.13.1. Collateral will always be held by an independent third- party, as more fully described in Section 13.0. The right of collateral substitution is granted. Under provisions of the California Government Code, California banks and savings and loans associations are required to secure OC San’s deposits by pledging government securities with a value of 110% of principal and accrued interest. State law also allows financial institutions to secure OC San’s deposits by pledging first trust deed mortgage notes having a value of 150% of OC San’s total deposits. 13.0 Safekeeping and Custody: All securities transactions, including collateral for repurchase agreements, entered into by, or on behalf of OC San, shall be conducted on a delivery-versus-payment (DVP) basis. Securities will be held by OC San's third-party custodian bank, which shall be selected through a competitive process, or that agent's representative, or in the agent's account at the Federal Reserve Bank, or within clearing corporations in the U.S. and Page 11 evidenced by book entry statements. Third-party safekeeping arrangements will be approved by the Treasurer and will be corroborated by a written custodial agreement. 14.0 Diversification: OC San will diversify its investments by security type, issuer and financial institution in accordance with the following: 14.1 There is no limit on investment in securities issued by or guaranteed by the full faith and credit of the U.S. government. 14.2 No more than 20% of the portfolio may be invested in securities of a single agency of the U.S. government, which does not provide the full faith and credit of the U.S. government. No more than 20% of the portfolio may be invested in callable Agency securities. 14.3 No more than 5% of the portfolio may be invested in securities of any one issuer, other than Supranationals, the U.S. government or its agencies and Local Government Investment Pools (LGIPs). Investment in mutual funds is not governed by this Section 14.3. See Section 14.8 for conditions of purchase of mutual funds. 14.4 No individual holding shall constitute more than 5% of the total debt outstanding of any issuer. 14.5 No more than 40% of the portfolio may be invested in banker’s acceptances. 14.6 No more than 40% of the portfolio may be invested in commercial paper. 14.7 No more than 30% of the portfolio may be invested in medium-term (corporate) notes. 14.8 No more than 20% of the portfolio may be invested in mutual funds. No more than 10% of OC San’s portfolio may be invested in shares of beneficial interest of any one mutual fund. Money market mutual funds are limited to 20% per issuer and are not subject to the 10% stipulation. 14.9 No more than 30% of the portfolio may be invested in negotiable certificates of deposit. 14.10 No more than 10% of the portfolio may be invested in eligible municipal bonds. 14.11 No more than 20% of the Long Term Operating Monies portfolio may be invested in a combination of non-agency mortgage-backed securities, non- agency collateralized mortgage obligations and private label asset-backed securities. 14.12 No more than the statutory maximum may be invested in LAIF. Page 12 14.13 No more than 15% of the portfolio may be invested in the Orange County Investment Pool. 14.14 No more than 20% of the portfolio may be invested in repurchase agreements. 14.15 No more than 5% of the portfolio may be invested in reverse repurchase agreements. 15.0 Maximum Maturities: To the extent possible, OC San will attempt to match its investments with reasonably anticipated cash flow requirements. The Treasurer shall develop a five-year cash flow forecast, which shall be updated annually. Based on this forecast, the Treasurer shall designate, from time-to-time, the amounts to be allocated to the investment portfolio. OC San monies invested in accordance with this policy are divided into two categories: 15.1 Liquid Operating Monies. Funds needed for current operating and capital expenditures are known as Liquid Operating Monies. 15.1.1 The maximum final stated maturity of individual securities in the Liquid Operating Monies account portfolio shall be one year from the date of settlement. 15.1.2 The average duration of the Liquid Operating Monies account portfolio shall be recommended by the Treasurer based on OC San’s cash flow requirements but may never exceed 180 days. 15.2 Long Term Operating Monies. Funds needed for longer term purposes are known as the Long Term Operating Monies. 15.2.1 The maximum final stated maturity of individual securities in the Long Term Operating Monies account portfolio shall be five years from the date of settlement. 15.2.2 The duration of the Long Term Operating Monies account portfolio shall be recommended by the Treasurer based on OC San’s five- year cash flow forecast but may never exceed 60 months. 15.2.3 The duration of the Long Term Operating Monies account portfolio shall never exceed 120% of the duration as established in accordance with Section 15.2.2. 15.2.4 The duration of the Long Term Operating Monies account portfolio shall never be less than 80% of the duration as established in accordance with Section 15.2.2. Page 13 16.0 Internal Control: The Treasurer shall establish an annual process of independent review by an external auditor. This review will provide internal control by assuring compliance with policies and procedures. 17.0 Performance Objectives and Benchmarks: 17.1 Overall objective. The investment portfolio of OC San shall be designed with the overall objective of obtaining a rate of return throughout budgetary and economic cycles, commensurate with investment risk constraints and reasonably anticipated cash flow needs. 17.2 The Liquid Operating Monies. The investment performance objective for the Liquid Operating Monies shall be to earn a total rate of return over a market cycle which exceeds the return on a market index approved by the Administration Committee and by the Board of Directors, when the duration of the portfolio is established. This market index is more fully described in Board Resolution No. OC SAN 24-XX (see Appendix "B"). 17.3 The Long Term Operating Monies. The investment performance objective for the Long Term Operating Monies shall be to earn a total rate of return over a market cycle which exceeds the return on a market index selected by the Administration Committee and approved by the Board of Directors, when the duration of the portfolio is established. This market index is more fully described in Board Resolution No. OC SAN 24-XX (See Appendix "B"). 18.0 Reporting: 18.1 Monthly transaction reports in accordance with California Government Code Section 53607 shall be submitted by the Treasurer to the Board of Directors. 18.2 Quarterly investment reports will be submitted by the Treasurer to the Administration Committee which shall forward the reports to the Board of Directors within 45 days of the end of the reporting period. The quarterly reports shall provide clear and concise status information on OC San’s portfolios at the end of each reporting period, including performance measures using the benchmarks described in Section 17.0 of this Investment Policy. These reports shall include the following information: 18.2.1 A listing of individual securities held at the end of the reporting period by authorized investment category. 18.2.2 Average life and final maturity of all investments listed. 18.2.3 Coupon, discount or earnings rate. 18.2.4 Par value, amortized book value and market value. Page 14 18.2.5 Percentage of the portfolio represented by each investment category. 18.2.6 Duration of the portfolio. 18.2.7 For the Liquid Operating Monies account only, the percent of portfolio maturing within 90 days. 18.2.8 Average portfolio credit quality. 18.2.9 Percent of portfolio with credit ratings below "A" by any rating agency, and a description of such securities. 18.2.10 Percent of portfolio invested in reverse repurchase agreements, and a schedule which matches the maturity of such reverse repurchase agreements with the cash flows which are available to repay them at maturity. 18.2.11 A description of the funds, investments, and programs (including lending programs) managed by contracted parties (i.e. LAIF, investment pools, outside money managers, and securities lending agents). 18.2.12 OC San funds that have been placed in LAIF or in a county investment pool may substitute the most recent account statement received from those entities in lieu of the information recommended above. 18.2.13 Current market value as of the date of the report of all funds held by the local agency and under the management of any outside party that is not also a local agency or LAIF and the source of the valuation. 18.2.14 Monthly investment transactions for the Liquid Operating Monies and Long Term Operating Monies accounts. 18.2.15 A statement of compliance with this policy and the California Government Code or provide a listing of any transactions or holdings which do not comply with this policy or with the California Government Code. 18.2.16 A statement that sufficient funds are available for OC San to meet its operating expenditure requirements for the next six months, or if not, state the reasons for the shortfall. 18.3 OC San’s Treasurer shall meet quarterly with the Administration Committee to review investment performance, proposed strategies and compliance with this Investment Policy. External investment advisors may be required to attend said meetings at the discretion of the Administration Committee. Page 15 19.0 Investment Policy Adoption and Revision: 19.1 The Investment Policy of OC San shall be adopted by resolution of the Board of Directors. The Investment Policy shall be reviewed on an annual basis in accordance with California Government Code Section 53646, by the Administration Committee, which shall recommend revisions, as appropriate, to the Board of Directors. Any modifications made thereto shall be approved by the Board of Directors. 19.2 The Administration Committee shall serve as the oversight committee for OC San’s Investment program and shall adopt guidelines for the ongoing review of duration, quality and liquidity of OC San’s portfolio. OC SAN 24-XX-1 RESOLUTION NO. OC SAN 24-XX A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT, AUTHORIZING THE ORANGE COUNTY SANITATION DISTRICT'S TREASURER TO INVEST AND/OR REINVEST THE ORANGE COUNTY SANITATION DISTRICT'S FUNDS, ADOPTING THE ORANGE COUNTY SANITATION DISTRICT'S INVESTMENT POLICY STATEMENT AND PERFORMANCE BENCHMARKS, AND REPEALING RESOLUTION NO. OC SAN 23-23 WHEREAS, on December 14, 2023, the Board of Directors adopted Resolution No. OC SAN 23-23, readopting the Orange County Sanitation District's Investment Policy Statement, and establishing specific performance benchmarks and objectives, together with a schedule of frequency of investment performance reports; and WHEREAS, pursuant to California Government Code Section 53607, the Board of Directors may delegate authority to invest and/or reinvest the Orange County Sanitation District’s funds to the Treasurer for a one-year period; and WHEREAS, pursuant to California Government Code Section 53646, the Orange County Sanitation District is required to review its Investment Policy annually and readopt its Policy at a public meeting, which Policy will establish specific performance benchmarks and objectives, and specific monitoring and reports. NOW, THEREFORE, the Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1: That the authority of the Board of Directors to invest or reinvest surplus funds, or to sell or exchange securities so purchased, or to deposit for safekeeping the funds and investments of the Orange County Sanitation District with depositories, as provided for in California Government Code Sections 53608 and 53630, is hereby delegated to the Orange County Sanitation District’s Treasurer for a one-year period, January 1, 2025 through December 31, 2025, as authorized by California Government Code Section 53607. OC SAN 24-XX-2 Section 2: That the Board of Directors hereby adopts the Investment Policy Statement of the Orange County Sanitation District. Section 3: That the Board of Directors hereby adopts the following specific performance benchmarks for their two investment funds in accordance with Section 17.0 of the Orange County Sanitation District’s Investment Policy: LIQUID OPERATING MONIES: The Short-Term Operating Fund will be compared to the three-month Bank of America Merrill Lynch T-Bill Index and the Callan Money Market Funds. LONG-TERM OPERATING MONIES: The Long-Term Operating Fund will be compared to the Bank of America Merrill Lynch Corporate and Government One- to-Five Year Maturity Index and to the Callan Short Term Fixed Income Group. Section 4: That the Board of Directors hereby adopts a performance monitoring and reporting schedule, as required by Section 18.0 of the Orange County Sanitation District’s Investment Policy. Section 5: That Resolution No. OC SAN 23-23 is hereby repealed. OC SAN 24-XX-3 PASSED AND ADOPTED at regular meeting of the Board of Directors, Orange County Sanitation District held December 18, 2024. Ryan P. Gallagher Board Chairman ATTEST: Kelly A. Lore, MMC Clerk of the Board OC SAN 24-XX-4 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 24-XX was passed and adopted at a regular meeting of said Board on the 18th day of December 2024, by the following vote, to wit: AYES: NOES: ABSTENTIONS: ABSENT: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 18th day of December 2024. Kelly A. Lore, MMC Clerk of the Board of Directors Orange County Sanitation District ADMINISTRATION COMMITTEE Agenda Report Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 File #:2024-3981 Agenda Date:12/11/2024 Agenda Item No:3. FROM:Robert Thompson, General Manager Originator: Jennifer Cabral, Director of Communications SUBJECT: UPDATE TO RECORDS MANAGEMENT PROGRAM PROCEDURES AND RECORDS RETENTION SCHEDULE RESOLUTION GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: Adopt Resolution No.OC SAN 24-XX entitled:“A Resolution of the Board of Directors of the Orange County Sanitation District Adopting the Records Management Program Procedures and Records Retention Schedule,Authorizing Destruction of Obsolete Records,and Repealing Resolution No.OC SAN 24-02”. BACKGROUND The Orange County Sanitation District’s (OC San)Records Management Program is being updated to meet statutory regulations and agency changes to better serve the operational needs of OC San. OC San’s Records Management Program documents how long various types of information is to be kept,as dictated by the legal,fiscal,operational,and audit needs of OC San.As a public agency, there is an obligation to effectively manage and maintain OC San’s information,most of which is classified as public information. RELEVANT STANDARDS ·Maintain and adhere to appropriate internal planning documents:Resolution No.OC SAN 24- 02 (Current Records Management Program Procedures and Records Retention Schedule) ·Comply with Government Code §60200 through 60204 ·Comply with Government Code §7920.000 et seq. PROBLEM There are current legal regulatory requirements and operational requests that are not reflected in OC San’s existing Records Management Program Procedures and Records Retention Schedule. Orange County Sanitation District Printed on 12/3/2024Page 1 of 2 powered by Legistar™ File #:2024-3981 Agenda Date:12/11/2024 Agenda Item No:3. PROPOSED SOLUTION Adopt the updated OC San Records Management Program Procedures and updated Records Retention Schedule to reflect the current legal regulatory requirements and operational requests. TIMING CONCERNS Destruction of some records may not be authorized until the updated Records Retention Schedule is approved. RAMIFICATIONS OF NOT TAKING ACTION Records will be kept longer than legally required,which will impact compliance with the current retention regulations, as well as the need and costs associated with additional storage space. PRIOR COMMITTEE/BOARD ACTIONS April 2024 -Adopted Resolution No.OC SAN 24-02 entitled:“A Resolution of the Board of Directors of the Orange County Sanitation District Adopting the Records Management Program Procedures and Records Retention Schedule,Authorizing Destruction of Obsolete Records,and Repealing Resolution No. OC SAN 23-21. ADDITIONAL INFORMATION As dictated by the current legal,audit,business,and operational needs of OC San,changes were made to existing record types,which include the retention length,record descriptions,and legal citations. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Resolution No. OC SAN 24-XX ·Records Management Procedure Manual Redline ·Records Retention Schedule Redline Orange County Sanitation District Printed on 12/3/2024Page 2 of 2 powered by Legistar™ OC SAN 24-XX-1 RESOLUTION NO. OC SAN 24-XX A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM PROCEDURES AND RECORDS RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OC SAN 24-02. 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 24-XX-2 preserved in conformance with the requirements of California Government Code Section 60203. Section 5: Destruction of Duplicates. Pursuant to California Government Code Section 60200, any duplicate record, paper, or document (the original or a permanent copy of which is in the files of any office or Department of the Orange County Sanitation District) may be destroyed after confirmation with Records Management that such original or permanent copy remains on file in the Orange County Sanitation District. Section 6: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained. Section 7: Resolution No. OC SAN 24-02 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors of the Orange County Sanitation District held December 18, 2024. ________________________________ Ryan P. Gallagher Board Chairman ATTEST: ___________________________ Kelly A. Lore, MMC Clerk of the Board OC SAN 24-XX-3 STATE OF CALIFORNIA ) ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OC SAN 24-XX was passed and adopted at a regular meeting of said Board on the 18th of December 2024, by the following vote, to wit: AYES: NOES: ABSTENTIONS: ABSENT: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the Orange County Sanitation District this 18th of December 2024. Kelly A. Lore, MMC Clerk of the Board of Directors Orange County Sanitation District Orange County Sanitation District Adopted April 24December 18, 2024 Resolution No. OC SAN 24-XX02 RECORDS MANAGEMENT PROCEDURE MANUAL APRIL DECEMBER 2024 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 00 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors Table of Contents 1 Adopted 12/18/202404/24/2024 POLICY CONTACT: Clerk of the Board (Custodian of Records) REGULATORY REFERENCES: Resolution No. OC SAN 24-XX02 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 4.0 Exhibit A 4.0 Exhibit B 4.0 Exhibit C RECORDS RETENTION Records Retention Schedule Change Request Form Records Retention Schedule Records Series wWith Definitions 5.0 5.0 Exhibit A 5.0 Exhibit B 5.0 Exhibit C 5.0 Exhibit D RECORDS DISPOSITION Records Management Disposition Form Request for Authorization to Destroy Records Form Certificate of Digital Record Destruction 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 00 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors Table of Contents 2 Adopted 12/18/202404/24/2024 SECTION TITLE 9.0 9.0 Exhibit A RECORDS HOLD AND RELEASE Records Hold & Records Hold Release Request Form 10.0 PUBLIC RECORDS ACT – RELEASE OF RECORDS TO THE PUBLIC 11.0 11.0 Exhibit A ELECTRONIC COMMUNICATIONS POLICY Declaration Regarding Search of Personal Electronic Messaging Communications Accounts 12.0 ESCROW OF BID DOCUMENTS 13.0 DIGITIZATION OF RECORDS Formatted: Not All caps Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 1.0 Effective Date: 12/18/24 04/24/24 Supersedes: 04/24/24 12/14/23 SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors Records Management Policy 1 Adopted 12/18/202404/24/2024 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, and 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 the 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 1.0 Effective Date: 12/18/24 04/24/24 Supersedes: 04/24/24 12/14/23 SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors Records Management Policy 2 Adopted 12/18/202404/24/2024 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 1.0 Effective Date: 12/18/24 04/24/24 Supersedes: 04/24/24 12/14/23 SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors Records Management Policy 3 Adopted 12/18/202404/24/2024 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 records 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 1 Adopted 12/18/202404/24/2024 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 2 Adopted 12/18/202404/24/2024 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 Rrecords. 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 3 Adopted 12/18/202404/24/2024 • 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 4 Adopted 12/18/202404/24/2024 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 appropriate Department/Division staff, various OC San Departments/Divisions, Clerk of the Board and/or designee, 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 2.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PROGRAM GUIDELINES Approved by: OC San Board of Directors Program Guidelines 5 Adopted 12/18/202404/24/2024 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 3.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Staff Responsibilities 1 Adopted 12/18/202404/24/2024 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. 2.0 PURPOSE 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 AND/OR DESIGNEE If designee, under the direction of the 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 3.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Staff Responsibilities 2 Adopted 12/18/202404/24/2024 Responsibility Action • Act as an advisor on all records and information management issues and related projects. • Maintain the Records Retention Schedule (RRS) and related records 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 lLegal cCounsel, 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 3.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors Staff Responsibilities 3 Adopted 12/18/202404/24/2024 Responsibility Action DEPARTMENT/DIVISION RECORDS COORDINATORS A list of Department/Division Records Coordinators can be found via the link. • Review Department/Division records and the RRS periodically to ensure compliance with the Program. Forward any requests for changes to the RRS to the Clerk of the Board and/or designee. • 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 1 Adopted 12/18/202404/24/2024 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 Active Records that are required for current day-to-day business and are subject to frequent use; generally located near the user (if hardcopy); can easily be accessible on a network server (if electronic); generally referred to more than once per month. Administrative Value A record that assists in the operation of the business, and ensures administrative consistency and continuity, serving a particular purpose for that office at that particular time. In appraisal, the usefulness of records for the conduct of current or future administrative business needs. Appraisal The process of determining the value and thus the disposition of records based on their current administrative, fiscal, and legal value; their evidential and informational value; their arrangement and condition; their intrinsic value; and their relationship to other records. Archival Records (also called Historical Records) Records identified as having archival value or potential archival value and designated as Historical on the OC San RRS. Audit Review for acceptance An examination or inspection of all OC San records including those relateding to operations, policies and procedures, financial documentation, and historical documents. by regulating agencies. Closed / Completed A file or record on which action has been completed and to which an audit or further action is not likely to occur. Copy (also called Duplicate) A reproduction of the contents of an original document which is not the official file copy of the agency. Copies are usually identified by their function, i.e., action copy, reading file copy, tickler file copy, etc. In most instances, copies will have a shorter retention than the official file copy (see Official Copy) of a Record Type. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 2 Adopted 12/18/202404/24/2024 Current When specified as the “minimum retention period” means that superseded, rescinded, expired, or no longer useful records may be removed from the files and may be destroyed.Refers to records needed and used in the day-to-day conduct of the current business of an organization. Most often kept on-site. When specified, may no longer be current when superseded, rescinded, expired, or no longer useful and may be dispositioned according to the RRS. Disposition The predetermined action taken with regard to records including form of retention (hard copy or image), period of time retained (archive or destroy), where to store (on-site or off-site), and method of destruction (recycle, burn, or shred). Duplicate A document that is a copy of the original or official version of a record. A duplicate may be a paper version or an electronic version of the official record. Evidential Value In appraisal, the value of a record that documents the activities of an organization or agency. File Integrity Accuracy and completeness of the file or records. Fiscal Value Documents and accounts for receipt of or expenditure of public funds such as budget, ledgers of accounts receivable and payable, payrolls, and vouchers. Documents availability of funds for operational purposes. In appraisal, records required until a financial audit is completed, or financial obligations are fulfilled. Historical Value In appraisal, the value attributed to a record which preserves documentation on significant historical events including the agency’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 ownership, agreements, and transactions. Life The retention period assigned to a record that has continuing value to the organization throughout its existence. Minimum Retention Period The least amount of time a record must be kept determined by assessment of administrative, legal, fiscal, and historical values. Office of Record The 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. Record Any documentary material, regardless of physical form or characteristic, made or received by an organization in pursuance of law or in connection with the transaction of business and used by that organization as evidence of activities or because of informational value. Records Retrieval Locating records and delivering them for use. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 3 Adopted 12/18/202404/24/2024 Retention Period The period of time that records must be kept according to legal or organizational requirements. Retention Schedule A list describing the Record Type, the length of time records are retained (may include active and inactive storage detail), the Office of Record, and the final disposition. Supersede The replacement of an existing document with an updated version. Termination Designates the end of a specific term, e.g., appointed or elected official's terms; employment; training, course, or program; use or ownership. Transitory Records Documents retained for a short time having no long-term administrative, fiscal, legal, or archival value. These records are kept for a very short time and are not necessary to document the completion of a business transaction. 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. Vital Records Those records containing information necessary to continue the operation of government, affirm the powers and duties of government, and to protect the rights and interest of persons. 1.3 Retention Length 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 CL Closed or Completed Maintain records until the transaction or the terms of the activity, the project, assignment, contract, etc. is closed or completed. Then destroy in accordance with procedures. CU Current Year (Calendar or Fiscal, As Appropriate) Maintain records for the transaction, activity, project, assignment, contract, etc. for the current year. Then destroy in accordance with procedures. Current year may be defined as calendar year or fiscal year, whichever is most appropriate for the specific record(s). EX Expired Maintain records until the term, period, permit, or license is expired. Then destroy in accordance with procedures. Formatted: Font: 10 pt Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 4 Adopted 12/18/202404/24/2024 LO LF Life of Organization or Facility Maintain records for the "life" of the organization, facility, project, physical plant or building, a building system or sub-system, asset, piece of equipment, or component. These records are not eligible for destruction. NN When No Longer Needed Maintain records until they are no longer needed for any business purposes. Then destroy in accordance with procedures. OB Obsolete Maintain records until they are representative of equipment, information, materials, data, etc. that is no longer in use and/or relevant. Then destroy 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. T Terminated Maintain records until activity is concluded or employee is terminated, retires, or otherwise leaves the employ of the organization. Then destroy in accordance with procedures. 1.4 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 it pertains to records retention and disposition. Code Characteristics Definition V Vital Vital Records are required to be available in the event of an emergency or major interruption to normal business operations to continue to provide safe treatment of wastewater during the event. Vital Records may protect OC San's rights and interests; and ensure that it can continue to effectively protect the environment, the public, and meet its obligation to its employees. Identifying records as "vital records" ensures that they are handled in a manner that protects them and makes them readily accessible during the time period that the information is vital. This characteristic does not affect the length of the retention period. H Historical Historical Records potentially have historical significance. Records may document the formation of OC San, annexations, consolidation, major projects, and strategic direction. Historical Records may have intrinsic value due to their age, author, or special nature. Identifying records as "historical records" ensures that they are handled in a manner that protects them and preserves them for long-term storage and research purposes. This characteristic may affect the length of the retention period as historical records are usually maintained for the life of OC San. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 5 Adopted 12/18/202404/24/2024 C Confidential Confidential Records contain confidential, sensitive, or proprietary information 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" ensures that they are handled in a manner that protects them from unauthorized access. This characteristic does not affect the length of the retention period. 2.0 RECORDS CLASSIFICATION 2.1 Records are classified into Records Series to facilitate assignment of retention times, legal citations, and the overall maintenance of 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. 3.0 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 6 Adopted 12/18/202404/24/2024 Responsibility Action Clerk of the Board and/or Designee • Coordinate the periodic update of the RRS and Records Series Wwith Definitions. Provide training on RRS use and maintenance. Department/Division Records Coordinator • Periodically (but not less than annually) review the 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 and/or designee 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 Designee • Review the RRS change request and determine in which Records Series the record titles logically belong. • Create a new Record Series if the record title does not logically belong to an existing series. In cooperation with the requesting Department/Division, develop a definition for the Records Series. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 7 Adopted 12/18/202404/24/2024 • 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. 4.0 RECORDS RETENTION SCHEDULE CHANGES 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 Clerk of the Board and/or designee for any changes to the RRS. A Records Retention Schedule Change Request Form may be requested. The Clerk of the Board and/or designee Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 8 Adopted 12/18/202404/24/2024 will 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. 6.0 INACTIVE RECORDS TRANSFER AND STORAGE 6.1 Inactive records are those records that have not met their required retention periods but are no longer current or frequently referenced. 6.2 Inactive files management standards are established by 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. 6.5 Systematic control of inactive records consists of: Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 9 Adopted 12/18/202404/24/2024 • 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(es) to offsite storage by contacting the Clerk of the Board and/or designee. 7.0 PURGING TRANSITORY RECORDS 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 is 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 4.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors Records Retention 10 Adopted 12/18/202404/24/2024 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. Procedure 4.0 Records Retention Schedule Change Request Form Exhibit A Records Retention Schedule (RRS) Change Request Form Date: Division Number: Retention Number (If Applicable): Record Series/Record Type, Including Description (If Applicable): Change Requested: Add Change Delete Combine Review Other (Describe): 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. Required Approval: Requester’s (If Different From Records Coordinator) Name & Signature: Name (Print) Signature Date Records Coordinator Name & Signature: Name (Print) Signature Date Department/Division Supervisor Approval: Name (Print) Signature Date Department/Division Manager Name & Signature: Name (Print) Signature Date Department/Division Director Name & Signature: Name (Print) Signature Date Records Retention Schedule (RRS) Change Request Form Legal Counsel Name & Signature: Name (Print) Signature Date Records Management Name & Signature: Name (Print) Signature Date For completion by Records Management Date Action Taken: Action Taken (Describe): Date Revised RRS Distributed & Posted to SharePoint: Procedure 4.0 Records Retention Schedule Exhibit B Procedure 4.0 Records Series with Definitions Exhibit C PLACEHOLDER Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 1 Adopted 12/18/202404/24/2024 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: Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 2 Adopted 12/18/202404/24/2024 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 hard copy); 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 and/or designee • Annually, at the start of the calendar year, issue a call to all Records Coordinators requesting a review and purge of their Active, Inactive, and Historical Records. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 3 Adopted 12/18/202404/24/2024 Responsibility Action Division Records Coordinators (may also be a Submitter separate from the Records Coordinator) • Review existing records currently maintained in the office area or stored offsite. Review can be done annually at the start of the calendar year based on the call from the Clerk of the Board and/or designee (step above), or as business needs warrant. Review should be conducted using the appropriate RRS, using all components of any given Record Type (Record Type description, Retention Length, etc.). 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 and/or designee • 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 4 Adopted 12/18/202404/24/2024 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 Supervisor • Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. • If you do not approved, 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 Manager • Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. • If you do not approved, 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 Director • Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. • If you do not approved, 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 approved, 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 5 Adopted 12/18/202404/24/2024 Responsibility Action Clerk of the Board and/or designee • Upon complete approval, the Clerk of the Board and/or designee will send a copy of the approved forms to the Division Records Coordinator. Division Records Coordinator & Clerk of the Board and/or designee • 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. Clerk of the Board and/or designee • Coordinate destruction of records. If the records are digital, notify Information Technology (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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 6 Adopted 12/18/202404/24/2024 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 7 Adopted 12/18/202404/24/2024 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 Coordinators (may also be a Submitter separate from the Records Coordinator) • Either in response to the automated workflow notification email from Laserfiche or during independent review of existing records maintained in Laserfiche, records are identified for destruction. Automated workflow notification emails from 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 8 Adopted 12/18/202404/24/2024 Responsibility 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 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 and/or designee • 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). Department/Division Supervisor • Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. • If you do not approved, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 9 Adopted 12/18/202404/24/2024 Responsibility Action coordinate with the Submitter and Records Coordinator, as appropriate, to resolve any issues. Department/Division Manager • Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. • If you do not approved, 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 Director • Review the submitted forms and authorize approval to destroy records by digitally signing/approving the forms. • If you do not approved, 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 approved, 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 and/or designee • Upon complete approval, the Clerk of the Board and/or designee will send a copy of the approved forms to the Division Records Coordinator. Division Records Coordinator & Clerk of the Board and/or designee • Upon approval of the destruction request, the Records Coordinator and Clerk of the Board and/or designee will proceed with destruction procedures. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 10 Adopted 12/18/202404/24/2024 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 and/or designee • Coordinate destruction of records. As these records are digital 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 5.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors Records Disposition 11 Adopted 12/18/202404/24/2024 Responsibility 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 (lf.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. Procedure 5.0 Records Management Disposition Form Exhibit A Date:12/30/2021 Division Number Media Format(select all that apply)RecordType Record Description FromYear ToYear User Box Number(optional)Submitted By Disposition Special Storage Consideration(select all that apply)GRM Barcode Retention Number Retention Length Trigger Year Trigger Month Eligible for Destruction Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Select Record Type Select Record Type 0 Not Applicable, Life Records Management Disposition Form Districtwide Please send completed form to: recordsmanagement@ocsan.gov These fields are for reference only and will autopopulate and/orbe entered by Records Management Returnto User Guide Procedure 5.0 Request for Authorization to Destroy Records Form Exhibit B 1. Identify records that are eligible for destruction. 2. Complete a Disposition Form indicating which records are requested for destruction. 3. Email the completed Disposition Form to Records Management. 4. Records Management will prepare the Request for Authorization to Destroy Records and attach it to the completed Disposition Form and route it for approval. 5. Records Management will obtain all required approvals & finalize request for destruction. Records Coordinators will receive a copy for reference. Please contact Tina Knapp at ext. 7190 for questions/assistance or you may send an email to RecordsManagement@ocsan.gov. Division Number Total Number of Boxes for Destruction Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date Name (Print)Signature Date I certify that the OFFICIAL RECORDS AND COPIES identified on the corresponding Disposition Form are past the retention period specified by OC San’s Records Retention Schedule and that all audit,business,and administrative requirements have been satisfied.Further,I certify that no HOLD hasbeenplacedontheseOFFICIALRECORDSANDCOPIESduetoanylitigation,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 byproviding my signature. Department/Division Manager Name & Signature: Records CoordinatorName & Signature: Records ManagementName & Signature: Request for Authorization to Destroy Records Complete this section for authorization to destroy records Required Approval Instructions Legal Counsel Name & Signature: Submitter's Name & Signature: (If different from Records Coordinator) Department/Division DirectorName & Signature: Department/Division Supervisor Name & Signature: Page 1 Procedure 5.0 Certificate of Digital Record Destruction Exhibit C Certificate of Digital Record Destruction THIS IS TO CERTIFY THAT THE DIGITAL RECORDS IDENTIFIED IN THE ATTACHED DOCUMENTATION* HAVE BEEN COMPLETELY DESTROYED BY THE UNDERSIGNED IN ACCORDANCE WITH THE RECORDS MANAGEMENT PROGRAM ADOPTED BY THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT DIVISION NUMBER: ___________________ RECORDS DESTROYED FROM THE FOLLOWING LOCATIONS (LIST BELOW, FOR EXAMPLE: SHAREPOINT, H DRIVE): SIGNATURE: PRINT NAME: DATE OF DESTRUCTION: *Disposition form and authorized destruction approval form must be attached Procedure 5.0 Legal Counsel Written Consent Authorizing the Destruction of Video Surveillance Files Exhibit D Legal Counsel Written Consent 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. ______________________________ Scott SmithBradley R. Hogin General Counsel ______________________________ Date Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 1 Adopted 12/18/202404/24/2024 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). 2.0 PURPOSE 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 (paper, digital, BOLDplanning, etc.). 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 2 Adopted 12/18/202404/24/2024 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. 4.0 PROCEDURES Responsibility ________Action__________________________________ Clerk of the Board and/or designee Develop procedures for protecting vital records, either digitization and/or storing them onsite in fire-resistive equipment or by sending copies offsite. Identify viable onsite or remote storage sites for records protection. Coordinate vital records protection procedures with 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 Information Technology Division (IT) and Risk Management (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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 3 Adopted 12/18/202404/24/2024 Comply with procedures that protect vital records. Determine the frequency with which vital records must be stored both onsite and offsite. Routinely copy and forward vital records to onsite or offsite protective storage facilities. 5.0 VITAL RECORDS CATEGORIES 5.1 The following is a list of records that are usually considered vital. This is not a complete list of vital records. 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 4 Adopted 12/18/202404/24/2024 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)) 6.0 VITAL RECORDS FORMAT 6.1 Select the format for protecting and maintaining vital records that ensures accessibility and usability during a disaster or emergency response: 6.1.1 Source document (original or designated official version, regardless of format). 6.1.2 Distributed copy (copy of record that is routinely distributed). 6.1.3 Reproduced copy (hard copy of record that is copied for OC San needs). 6.1.4 Scan (scanned version of vital records). 6.1.5 Magnetic Tape (digital version of vital record). Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 6.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors Vital Records 5 Adopted 12/18/202404/24/2024 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 (locations) 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 7.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/*2023 SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors Historical Records 1 Adopted 12/18/202404/24/2024 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 such as agency planning, management, development, public relations, and litigation support. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 7.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/*2023 SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors Historical Records 2 Adopted 12/18/202404/24/2024 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). 5.1.1.25.1.1.1 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. 6.2 Select the method most appropriate to protect the historical record. Select Historical Records Protection Methods: 6.2.1 Processing and arrangement for paper records includes: 6.2.1.1 Removal of hardware (staples, brads, and other fasteners). 6.2.1.2 Placing documents in acid free folders and boxes that meet the standards for archival preservation. 6.2.1.3 Preparation of inventories and finding guides to the Historical Records. Formatted: Indent: Left: 1.5", No bullets or Formatted: Indent: Left: 1", No bullets or numbering,Tab stops: Not at 1.81" Formatted: List Paragraph, Left, No bullets ornumbering, Tab stops: Not at 1.81" Formatted: List Paragraph, Indent: Left: 1", Hanging: 0.5", Tab stops: 1.5", List tab + Not at 2.81" Formatted: Indent: Left: 1.5", Hanging: 1", Tab stops: 2.5", Left + Not at 3.81" Formatted: Left, Indent: Left: 0.5", No bullets ornumbering Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 7.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/*2023 SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors Historical Records 3 Adopted 12/18/202404/24/2024 6.2.1.4 Move hard copy historical records from active use areas once digitized and when no longer needed for active reference and send to a secure location appropriate for the retention of historical records (may involve temperature controlled environments, including humitity). 6.16.2.2 Move electronic historical records to Electronic Content Management System (Laserfiche). Formatted: Left, Indent: Left: 0.5", No bullets ornumbering Formatted: List Paragraph, Indent: Left: 1", Hanging: 1", Tab stops: 2", List tab + Not at 1.81" + 2.81" Orange County Sanitation District RECORDS MANAGEMENT PROCEDURE MANUAL Procedure Number: 8.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS MANAGEMENT PROGRAM AUDIT AND COMPLIANCE REVIEW Approved by: OC San Board of Directors Audit & Compliance Review 1 Adopted 12/18/202404/24/2024 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. 2.0 PURPOSE 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 Action Clerk of the Board and/or designee Review how Department/Division records are kept, where they are located, in what format (hard copy 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 Orange County Sanitation District RECORDS MANAGEMENT PROCEDURE MANUAL Procedure Number: 8.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS MANAGEMENT PROGRAM AUDIT AND COMPLIANCE REVIEW Approved by: OC San Board of Directors Audit & Compliance Review 2 Adopted 12/18/202404/24/2024 revisions to existing documentation. Submit the report to the Division Manager and Department Head. Department/Division Records Coordinator Assist the Clerk of the Board and/or designee in conducting the records compliance review in the designated 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: 1218/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors Records Hold and Release 1 Adopted 12/18/202404/24/2024 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 Examples of holds are: A. Records & Information Management (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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: 1218/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors Records Hold and Release 2 Adopted 12/18/202404/24/2024 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. 3.0 SCOPE 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 and/or Department/Division Management • Upon becoming aware of the need for the suspension of destruction of certain OC San records that may be relevant 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 Release Request Form, Exhibit A). Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: 1218/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors Records Hold and Release 3 Adopted 12/18/202404/24/2024 Responsibility Action Clerk of the Board and/or designee • Review all documentation submitted by Records Hold 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, Information Technology (IT), Manager, and Records Coordinators in all affected Departments/Divisions along with any specific instructions. Department/Division Records Coordinators • Review and file all Records Hold information forwarded by 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 (IT) • The Electronic Content Management System (ECMS) (Laserfiche) Administrator (IT) will place a Legal Hold on relevant records in the ECMS. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 9.0 Effective Date: 1218/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors Records Hold and Release 4 Adopted 12/18/202404/24/2024 5.0 PROCEDURES FOR REQUESTING RECORDS HOLD RELEASE Responsibility Action Clerk of the Board and/or designee • Periodically review Records Hold & Records Hold Release information in the GovQA portal and identify Estimated Dates of Release for previously placed Records Holds. • 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 (in all affected Departments/Divisions), 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. Department/Division Records Coordinators ECMS Administrator (IT) • 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. Procedure 9.0 Records Hold & Records Hold Release Request Form Exhibit A 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 Historical RRS Change Public Records Request Other (Describe): Estimated Date of Records Hold Release: Requester’s Name & Signature (Must be either Department/Division Director or Legal Counsel): Name (Print) Signature Date Hold Authorization: Legal Counsel Name & Signature: Name (Print) Signature Date Records Management Name & Signature: Name (Print) Signature Date 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: 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 Audit Completed Tax Purposes Met Department/Division Release Historical Needs Met RRS Chang Completed Public Records Request Completed Other (Describe): Date of Records Hold Release: Requester’s Name & Signature (Must be either Department/Division Director or Legal Counsel): Name (Print) Signature Date Hold Authorization: Legal Counsel Name & Signature: Name (Print) Signature Date Records Management Name & Signature: Name (Print) Signature Date 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: Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 1 Adopted 12/18/202404/24/2024 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 2 Adopted 12/18/202404/24/2024 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 processing 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 requestoer 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 tTeam should be notified and will be able to assist. 3.0 PROCESS 3.1 Requests are received by OC San and placed in GovQA by either the requestoer 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 Rrequest. 3.2 When a Rrequest is initially received, the PRA Team immediately responds to the requestorrequester, via established, automated GovQA workflows, with an email receipt for the Rrequest that provides a legal explanation of the PRA Request process. The PRA Team determines if the Rrequest is complete or requires clarification (e.g., too broad, apparent typographical errors, missing information, etc.). If necessary, the PRA Team contacts the requestorrequester for clarification. Automated GovQA workflows for the assignment and distribution of Requests are in place for Contracts, Purchasing, Environmental Services, and Planning. These workflows prevent delays in turn-around time due to absenteeism. A. Contracts and Purchasing. If a request is made to either Division, the Request is routed to designated staff members,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. Formatted: Indent: Left: 1" Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 3 Adopted 12/18/202404/24/2024 B. Environmental Services. Requests for Environmental Services ite Assessment data are routed to the Department Director, designated ManagersEnvironmental Services Managers, and other designated administrative staff members in the Environmental Services Department. C. Planning/Engineering. Requests for Planning-related records are routed to designated staff members. 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 Rrequest with General Counsel prior to making such disclosure. 3.3 Please see Section 4.0 below for specific information as to the processing and handling of Requests. 3.34 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 Rrequest, 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 may be required in order to make the requisite determination. 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: 3.34.1 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.; 3.34.2 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 Formatted: Indent: Hanging: 0.5" Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 4 Adopted 12/18/202404/24/2024 3.34.3 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. 3.34.4 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 requestoer, 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 Rrequest to inspect or copy OC San records, General Counsel or the PRA Team shall notify the requestoer, in writing, of the reasons for the denial. 3.45 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 requestoer. 3.56 COST OF COPIES. Under the Act, OC San is entitled to be reimbursed by the requestoer for the direct costs of duplication. OC San has, however, made a policy determination to not charge the requestorrequester for the first ten (10) pages. If a PRA rRequest calls for the production of records in excess of ten (10) pages, then the requestorrequester 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 5 Adopted 12/18/202404/24/2024 discretion of OC San, OC San may require the requestorrequester to submit, in advance, a check based on the estimated direct duplication costs. Electronic records, which can easily be transmitted to the requestorrequester 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 requestorrequester or OC San may retain the professional reprographic services of a bonded copy service. The requestorrequester 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 requestorrequester may select and retain a bonded copying service; however, such selection shall be subject to OC San’s approval. 3.67 COST OF VIDEOTAPES, AUDIOTAPES, COMPACT DISCS, OR THUMB DRIVES. The charge to the requestorrequester 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.). 3.78 MEDIA CONTACTS. Employees are encouraged to refer all media contacts and media inquiries to the Director of CommunicationsAdministration Manager. All information requests requiring production of records shall be processed in accordance with the terms of this Procedure and, upon completion of the preparation of the copies, shall be delivered to the requesting media representative by the Director of CommunicationsAdministration Manager. Department Heads shall report any and all media contacts to the Director of CommunicationsAdministration Manager as soon as possible. The Director of CommunicationsAdministration Manager shall coordinate any action required by such contact with the Clerk of the Board and/or designee and keep the appropriate Department Head, General Manager, and General Counsel informed. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 6 Adopted 12/18/202404/24/2024 3.89 FORMS. GovQA generated forms and letters shall be used by OC San staff for purposes of complying with this administrative procedure. 3.910 ACCESS TO FILES. 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 requestorrequester 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 and/or designee, or staff member of the Department/Division that owns the records. The requestorrequester may not remove any records during the file review. 3.101 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. 3.112 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 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 7 Adopted 12/18/202404/24/2024 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 requestorrequester 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 and/or designee. 4.0 ROUTINE PROCESSING AND HANDLING OF REQUESTS 4.1 This section is determined by, and is at the direction of, General Counsel. 4.21 If tThe PRA Team receives and reviews all public records requests in GovQA and assigns each Request to the appropriate Department/Division. If the Request is incomplete or requires clarification (e.g., too broad, apparent typographical errors, missing information, etc.), the PRA Team will contact the requester for clarification. Clarification may be sought at any time, most specifically during the initial review/assignment or after assignment to the appropriate Department/Division. All clarification activity is done by the PRA Team unless otherwise directed. 4.3 Examples of routine requests include records for determines the nature of the request to be routine (e.g., Environmental Site Assessments, stale check data requests, contract documents, and Purchase Order/procurement overview information., etc.), the PRA Team will then determine which Department/Division should receive the request and route it accordingly via GovQA. Examples of non-routine requests include 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. Non-routine requests may be handled in a different manner than outlined below; however, all Requests will be entered in GovQA for tracking purposes regardless of specific handling (which might be after the release of records). Formatted: Font: Arial, 12 pt Formatted: List Paragraph Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 8 Adopted 12/18/202404/24/2024 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. 4.4 When contract documents are requested, Contracts/Purchasing sends courtesy notifications to the impacted vendors advising of receipt of a records request; ideally sent within 24 hours of Request receipt. The PRA Team should be copied on all courtesy notifications (publicrecords@ocsan.gov) and Contracts/Purchasing uploads all courtesy notifications to GovQA. The PRA Team verifies that courtesy notifications are sent and that “reasonable” time is allowed for response to courtesy notifications. As defined by General Counsel, “reasonable” typically means no less than 72 hours. The PRA Team should be made aware of any responses/concerns provided in response to courtesy notifications, specifically in the event a response/concerns is received and the PRA Team is not copied on the email. 4.5 When public and non-public versions of requested documents exist, both are to be uploaded to GovQA or provided to the PRA Team via email. Public and non-public versions of documents typically involve requests for contract documents. The PRA Team should be notified when the documents are uploaded to GovQA. 4.6 In the event that any records are being redacted or withheld from disclosure by OC San staff not part of the PRA Team, both the unredacted version of the record and/or the complete record being withheld is to be uploaded to GovQA or provided to the PRA Team via email. The PRA Team should be notified when the documents are uploaded to GovQA. 4.7 The PRA Team reviews all records uploaded to the portal, specifically reviewing requested redactions and analyzing for redactions that need to be made pursuant to the CPRA. Field Code Changed Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 9 Adopted 12/18/202404/24/2024 4.8 As might be necessary, the PRA Team connects with impacted vendors or OC San staff when requested redactions or records to be withheld are not supported by allowances in the CPRA. 4.9 When the PRA Team requires legal guidance, the PRA Team is to connect with General Counsel’s Advanced Records Center (ARC). 4.10 The PRA Team will communicate with any impacted vendors or OC San staff, as necessary, based on legal guidance/direction. 4.11 The PRA Team finalizes all Requests, releasing responsive records and sending response letters to the requester (via GovQA). Finalizing Requests includes review of all responsive records before release for accuracy, confidentiality, or personal information. The PRA Team is responsible for the redaction or withholding of information prior to release of responsive records. The only exception to this is when Planning responds to requests. Planning communicates, via GovQA, with the requester; however, the PRA Team reviews the responsive records and releases records to the requester. The PRA Team closes these Requests. 4.12 In collaboration with OC San staff and/or General Counsel, the PRA Team determines if extensions are needed for response to any given Request and when entering into a production arrangement is needed. 4.13 The PRA Team will coordinate OC San’s response to any follow up questions from the requester. The following types of requests route directly to the staff liaison that has been pre-designated by Department/Division management: D. 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. Formatted: Indent: First line: 0" Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 10 Adopted 12/18/202404/24/2024 E. 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. F. 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. G. 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. H. 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. 65.0 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. Formatted: Indent: Left: 0.5" Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 10.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC Approved by: OC San Board of Directors Public Records Act 11 Adopted 12/18/202404/24/2024 65.12 The Clerk of the Board will provide a weekly summary containing the number of Requests received and processed with assigned Department/Division detail to the Director of CommunicationsAdministration Manager and/or General Manager. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 1 Adopted 12/18/202404/24/2024 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. 2.0 PURPOSE 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 2 Adopted 12/18/202404/24/2024 ("Authorized Users"). “Email" means any electronic communication to or from any Authorized Users using the Email System, including all information, data, and attachments to the electronic communication. “Email System" means the system of devices (including hardware, software, and other equipment) owned and controlled by 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. “Electronic Communications Systems” means the system (including hardware, software, and other equipment) owned and controlled by OC San or the Authorized User for the purpose of transmitting Electronic Communications. 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". Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 3 Adopted 12/18/202404/24/2024 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.) (CPRA) for "public records" and "writing": "... ‘Public records’ include any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics..." "... ‘Writing’ means any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored." 4.3 ELECTRONIC COMMUNICATION RELATED TO 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 CPRA. 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, Electronic Communications Systems, 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 4 Adopted 12/18/202404/24/2024 4.4 OC SAN’S ELECTRONIC COMMUNICATION SYSTEMS ARE 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 Electronic Communications Systems and any OC San-owned and/or subsidized equipment. Although the use of Electronic Communications is considered official OC San business, OC San's Electronic Communications Systems, including email, text messaging, instant messaging, and voicemail, are intended as a medium of communication only. Therefore, the Email System, Electronic Communications Systems, and any OC San-owned and/or subsidized equipment such as Microsoft Teams and 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 and Teams Chat, the system administrator performs regular electronic back-up of OC San's Electronic Communications Systems; however, the back-up is not a copy of all OC San activity that occurred during any given period. 5.0 GUIDELINES FOR PROPER EMAIL USAGE 5.1 Authorized Users are responsible for managing their Email 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 5 Adopted 12/18/202404/24/2024 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 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, Electronic Communications Systems, and/or any OC San-owned or subsidized communication Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 6 Adopted 12/18/202404/24/2024 devices. All messages and any attachments on OC San’s computer network, Email System, Electronic Communications System, OC San-owned system or device, and/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 CPRA, even if created, sent, received, or stored on a personal account or personal device. Most communications that include Authorized Users are not confidential communications; however, certain communications such as investigations, personnel records, or attorney-client communications may be confidential or contain confidential information. Questions about whether communications are confidential, and how they are to be preserved, should be discussed with the Clerk 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 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 CPRA, 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 CPRA and subject to records retention laws applicable to a variety of government agencies. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 7 Adopted 12/18/202404/24/2024 8.1 PRESERVING ELECTRONIC MESSAGES – CPRA REQUESTS, SUBPOENAS, CLAIMS, AND POTENTIAL CLAIMS AGAINST OC SAN. OC San receives requests for inspection or production of documents pursuant to the CPRA, as well as subpoenas or court orders for documents. In the event such a request or demand includes Eelectronic Communicationsmessages, Authorized Users who have control over or access to any such Electronic Communicationsmessages, once they become aware of the request or demand, shall use their best efforts, by reasonable means available, to temporarily preserve any such message Electronic Communication until it is determined whether the Electronic Communication message is subject to preservation, public inspection, or disclosure. Authorized Users shall contact the Clerk of the Board and/or designee regarding any such Electronic Communications messages that are within their control. 8.2 CALIFORNIA PUBLIC RECORDS ACT (CPRA). 8.2.1 In the event a CPRA request is received by OC San seeking Electronic Communications of Authorized Users, the Clerk of the Board and/or designee, shall promptly transmit the request to the applicable Authorized User whose Electronic Communications are sought. The Clerk of the Board and/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 and/or designee, intends to provide any responsive eElectronic cCommunications 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 and/or designee, to promptly conduct a good faith and diligent search of all Business and Personal Eelectronic Communications Systems 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 and/or designee. Such transmission shall be provided in sufficient time to enable the Clerk Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 8 Adopted 12/18/202404/24/2024 of the Board and/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 CPRA request, the Clerk of the Board and/or designee, may also request an eDiscovery of all Email System and Electronic Communications Systems 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 and/or subsidized Electronic Communications Systems account, the Authorized User shall so notify the Clerk of the Board and/or designee, by way of a written declaration (Exhibit A). 8.3 AUTOMATIC DELETION OF EMAIL AND TEAMS CHAT. 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. OC San’s Teams Chat will be automatically removed after ninety (90) days. 8.4 EMAIL FOLDER AND TEAMS CHAT 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 that is 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 9 Adopted 12/18/202404/24/2024 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 and Teams Chat 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 (working) folder, print the communication and maintain the paper copy, take a snapshot of the communication and save in a format most appropriate, or create a PDF version of the communication (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 Electronic Communications should be retained or disposed of according to the content of the attachment itself, not according to the Electronic Communication transmitting the attachment. Many attachments are duplicates of existing documents or are draft versions of documents 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 Electronic Communication 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 Communications (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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 10 Adopted 12/18/202404/24/2024 guideline for determining whether an Electronic Communication is an Official OC San Record: Electronic Communications that are generally considered as Public Records (Official OC San Record) Electronic Communications that are generally NOT considered as 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 created or received in connection with official OC San business. Personal messages and announcements not related to official OC San business. Electronic Communication that shows how an OC San policy was created or how a decision was made by OC San staff and/or the OC San Board of Directors. Duplicate documents (copies or excerpts) distributed for convenience or reference. Electronic Communication that begins, authorizes, or completes an item or a transaction of official OC San business. Transmittal messages that merely assist the flow of work. Electronic Communication that documents significant official decisions or commitments reached verbally (person-to-person, by phone, or in conference) and not otherwise documented in OC San files. Electronic Communications containing preliminary drafts, notes, or interagency or intra-agency memos that are not retained in the ordinary course of business. Government Code §7927.5006254(a). 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 11.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ELECTRONIC COMMUNICATIONS POLICY Approved by: OC San Board of Directors Electronic Communications Policy 11 Adopted 12/18/202404/24/2024 and determine which email/text messages, voicemails, etc. should be preserved, retained, or disposed of according to the content of the communication and following OC San’s approved RRS. Once determined, the Supervisor should either transfer the records to a dedicated (working) folder, print the communication and maintain the paper copy, take a snapshot of the communication and save in a format most appropriate, 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 retained or to be deleted when no longer needed. Once completed, IT will dispose of the content of the Electronic Communications System after 90 days unless otherwise requested by the Supervisor. Procedure 11.0 Declaration Regarding Search of Personal Electronic Communications Accounts Exhibit A In the matter of: California Public Records Act Request Pursuant to Government Code §7920.000 et seq. Re: __________________________________ __________________________________ Insert name of record request Request #: _________________ Declaration of: _____________________________ Print or type name of user DECLARATION REGARDING SEARCH OF PERSONAL ELECTRONIC COMMUNICATIONS ACCOUNTS STATE OF CALIFORNIA COUNTY OF ORANGE ORANGE COUNTY SANITATION DISTRICT I, ______________________________________________________ declare: Print name 1. I received notice of a California Public Records Act (“CPRA”) request regarding a search of my personal electronic communications account(s). 2. I understand that the CPRA request seeks: ________________________________________________________________ Insert text of CPRA request. 3. I am the Owner or Authorized User of the following personal electronic communications account and have the authority to certify the records: ________________________________________________________________ Insert description of personal electronic messaging account(s). 4. I have made a good faith, diligent, thorough, and complete search of the above mentioned personal electronic communications account(s) for all electronic communications potentially responsive to the above mentioned CPRA request. 5. Any responsive electronic communications discovered, and referenced below, were prepared or used by me in the ordinary course of business at or near the time of the act, condition, or event. 6. Any responsive electronic communications discovered, and referenced below, are true copies of all records described in the above mentioned CPRA request. Check the applicable box:  I certify that I do not possess responsive electronic communications.  I certify that I cannot reasonably recover responsive electronic communications without technical assistance. _________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ Explain efforts to retrieve responsive electronic communications and why you were unable to recover responsive electronic communications. Add technical assistance required.  I certify that I discovered potentially responsive electronic communications from my personal electronic communications 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 communications account. I am providing all responsive information. However, some information is non-responsive, and I am withholding that information because the information is personal business. This is for the following reasons: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Describe with sufficient facts why the contested information is personal business and not subject to the CPRA. Attach additional pages, if necessary. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that I have personal knowledge of the facts set forth above. Executed this ___ day of _______________ 20___ , in ________________, California. By:___________________________ Print Name:_____________________ Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 1 Adopted 12/18/202404/24/2024 This Procedure applies only to Invitation for Bids (IFBs) with an award amount of $10,000,000 or more, to the two (2) 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 Escrow Bid Documents 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 For all meetings related to the escrow of bid documents, CA submits a Meeting Planner to reserves a room in the Administration Headquarters Building for receipt of the Escrow Bid Documents Meeting (Meeting). and schedules the meeting via the Outlook Calendar. 1.3 CA schedules the Meeting with Records Management, via Outlook Calendar, on the date and time scheduled for the Meeting. 1.41.3 Records Management schedules the date for Ooffsite Sstorage (GRM), as soon as practicable, to transfer the Escrow Bid Documents to offsite storage. 1.51.4 Board Services is the office of record for all original documents prepared and/or received in the steps below. A digital copy of the documents will be maintained in Laserfiche and will be available to the CA. If desired, a copy of any of the documents identified below may be provided to the Bidder and/or CA. All copies shall be marked “copy”. 2.0 BID OPENING Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 2 Adopted 12/18/202404/24/2024 2.1 At Bid Opening, OC San announces the two (2) lowest Bidders who will be required to submit their Escrow Bid Documents 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 the Escrow Bid Documents may result in a Bidder being deemed non-responsive. 2.2.2 If the Escrow of Bid Documents Meeting (intake of Escrow Bid Documents) is being done in the same meeting as the Bid Documents Review Meeting, Escrow Bid Documents should be delivered in an unsealed container. It is requested that Bidders use a regular document storage size box (10”x12”x15”). Tape and markers to seal the box and mark it as the Bidder deems appropriate will be provided so that the box may be sealed at the conclusion of the meeting. 2.2.3 If the Escrow of Bid Documents Meeting (intake of Escrow Bid Documents) is being done separate from the Bid Documents Review Meeting, Escrow Bid Documents must be delivered in a sealed container, marked with the project name and the words "Escrow Bid Documents". When possible, It is requested that Bidders should use a regular document storage size box (10”x12”x15”). 2.2.22.2.4 It is suggested and desirable that the Escrow of Bid Documents Meeting be done in conjunction with the Bid Documents Review Meeting. 2.3 The Escrow Bid Documents shall be accompanied with a Bid Document Certification for Escrow document (sample image below), provided to the two (2) lowest Bidders by the CA, signed by an individual authorized by the Bidder to execute the Bid, stating that the material in the Escrow 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 Escrow Bid Documents container and has found that the documents in the container are complete. Formatted: List Paragraph, Left, No bullets or numbering Formatted: List Paragraph, Left, No bullets or numbering Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 3 Adopted 12/18/202404/24/2024 3.0 POST BID OPENING: COMBINED ESCROW OF BID DOCUMENTS MEETING AND BID DOCUMENTS REVIEW MEETING 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 Escrow Bid Documents. A separate Form is required for each Bidder’s Escrow Bid Documents box since 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 4 Adopted 12/18/202404/24/2024 3.2 In preparation for the arrival of Bidders for the Meeting, Records Management shall prepare an Escrow of Bid Documents Meeting and Bid Documents Review Meeting Attendance Record for record of attendance (sample image below) which will be completed by the representative of each company and all the OC San staff in attendance at the Meeting. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 5 Adopted 12/18/202404/24/2024 3.3 At the Meeting, the two lowest Bidders will hand deliver their Escrow 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. 3.5 After OC San approves of the documentation in the Bidders’ Escrow Bid Documents, OC San Records Management will affix GRM bar codes and ID numbers on the Form and to each Bidder’s Escrow Bid Documents box. The Bidders and Records Management shall all sign the completed Form. 3.6 As arranged by Records Management, offsite storageGRM will thereafter take possession of the apparent two low Bidders’ Escrow Bid Documents, as soon as practicable, and transfer them to its document storage facility. 3.7 When practicable, the Bid Documents Review Meeting will be conducted at the same time as the Escrow of Bid Documents MeetingOriginal Records Intake meeting. When this occurs, nothing additional is needed other than completion of the appropriate section of the Form. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 6 Adopted 12/18/202404/24/2024 4.0 POST BID OPENING: SEPARATE ESCROW OF BID DOCUMENTS MEETING AND BID DOCUMENTS REVIEW MEETING 4.1 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 Escrow Bid Documents. A separate Form is required for each Bidder’s Escrow Bid Documents box since 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. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 7 Adopted 12/18/202404/24/2024 4.2 In preparation for the arrival of Bidders for the Meeting, Records Management shall prepare an Escrow of Bid Documents Meeting Attendance Record for record of attendance (sample image below) which will be completed by the representative of each company and all the OC San staff in attendance at the Meeting. 4.3 At the Meeting, the two lowest Bidders will hand deliver their Escrow Bid Documents to OC San Records Management and the CA. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 8 Adopted 12/18/202404/24/2024 4.4 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. 4.5 OC San Records Management will affix GRM bar codes and ID numbers on the Form and to each Bidder’s Escrow Bid Documents box. The Bidders and Records Management shall all sign the completed Form. The Bidder’s Escrow Bid Documents box(es) are not opened. 4.6 As arranged by Records Management, offsite storage will thereafter take possession of the apparent two low Bidders’ Escrow Bid Documents, as soon as practicable, and transfer them to its storage facility. 4.7 At a date to be determined, the CA will coordinate a meeting to review the contents of the Escrow Bid Documents containers delivered by the contractor and stored at OC San’s offsite storage facility. In preparation for this meeting, Records Management will request delivery of the box(es) from the storage facility. 4.8 In preparation for the arrival of Bidders for the Meeting, Records Management shall prepare a Bid Documents Review Meeting Attendance Record for record of attendance (sample image below) which will be Formatted: List Paragraph, Left, No bullets or numbering Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 9 Adopted 12/18/202404/24/2024 completed by the representative of each company and all the OC San staff in attendance at the Meeting. 4.9 Using the OC San Escrow Records Storage Facility Transfer Request & Tracking form (Form) (sample image below) previously prepared for each Bidder’s Escrow Bid Documents, OC San Staff/Contractor will open and review the contents of the box together at OC San. Each Bidder must sign the Document Review Meeting section of the Form applicable to their documents for this meeting. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 10 Adopted 12/18/202404/24/2024 4.10 After OC San approves of the documentation in the Bidders’ Escrow Bid Documents, OC San Records Management will arrange for the return of the box to the document storage facility. 45.0 AFTER CONTRACT AWARD 45.1 Following the Award of the Contract, OC San will return the Escrow Bid Documents to the unsuccessful Bidder(s) at a meeting to be scheduled by the CA at the convenience of all parties. In preparation of the meeting, Records Management will request the box(es) from offsite storage and prepare the Release of Escrow Bid Documents Record of Receipt (sample image below). As appropriate, all parties will complete this Record of Receipt at the meeting, obtaining all of the required signatures. 65.0 EXCEPTIONS Formatted: No bullets or numbering Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 12.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OC San Board of Directors Escrow of Bid Documents 11 Adopted 12/18/202404/24/2024 56.1 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. 56.2 For Design-Build (DB) Projects, only the Proposal Documents of the successful proposer will be escrowed, after the award of the contract by the Board of Directors. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 1 Adopted 12/18/202404/24/2024 1.0 POLICY OBJECTIVES AND BACKGROUND 1.1 The Orange County Sanitation District (OC San) has identified the following objectives for digitizing records: 1.1.1 Provide online access to OC San records 1.1.2 Make digitized material and metadata available 1.1.3 Advance the preservation of records by reducing wear and tear on the originals 1.1.4 Maintain a reduction in paper 1.2 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. 1.3 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. 1.4 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. 1.5 Digitization refers to the process that includes the following activities: 1.5.1 Identifying, selecting, and documenting physical materials for digitization; 1.5.2 Preparing physical materials for scanning (including locating, preserving, gathering, reviewing, and organizing for access; and screening for suitability to be digitized); Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 2 Adopted 12/18/202404/24/2024 1.5.3 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; 1.5.4 Scanning the physical materials (also referred to as digital conversion), re-filing, or disposing; 1.5.5 Quality control (validation) of digital copies and metadata; 1.5.6 Providing access to reliable and authentic copies for business purposes to internal users as well as the public; and 1.5.7 Maintaining digital copies and metadata. 2.0 POLICY RESPONSIBILITY 2.1 The Clerk of the Board (Custodian) and 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 ECMSElectronic 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 3 Adopted 12/18/202404/24/2024 physical storage space or costs of maintaining the physical record collection; and 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 5.1 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 4 Adopted 12/18/202404/24/2024 not require all records in physical media be digitized unless they are at risk of damage or destruction, which may result in the loss of the record. However, based upon business analysis by the Office of Record and Custodian of Records, digitization may be an effective way to maintain and manage a record collection that exists only in physical media form. 5.2 Before undertaking a digitization project, the Office of Record should consider the following: A. Volume of the record collection; B. Cost to digitize (budgeted in each 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. 5.3 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 6.1 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. 6.2 This policy guidance does not apply when the digitization is merely to provide a reference or convenience copy in limited circumstances, i.e., a single document rather than conversion of an entire collection for purposes of lifecycle management. Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 5 Adopted 12/18/202404/24/2024 7.0 RESPONSIBILITES 7.1 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. 7.2 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. 7.3 Managers/Supervisors: Effectively manage information assets within their area of responsibility in a consistent manner to ensure the integrity, security, and availability of information assets. Managers/Supervisors are also responsible, through their organization, for documenting a digitization plan that ensures their digitization projects meet the requirements of this policy. 8.0 STANDARDS AND PROCEDURES 8.1 The Office of Record, under the direction of the Custodian of Records, must develop a digitization plan to meet the following requirements: 8.1.1 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. 8.1.2 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 Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 6 Adopted 12/18/202404/24/2024 copy would not be possible. 8.1.3 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) png – portable network graphics; or e) pdf – portable document format. 8.1.4 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. 8.1.5 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 content of historical value content. OC San’s Custodian of Records can provide assistance and guidance to Departments/Ddivisions in determining the historical value of original physical media records. 8.1.6 Digital Storage. The ECMS (Laserfiche), designated for Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL Procedure Number: 13.0 Effective Date: 12/18/2024 04/24/2024 Supersedes: 04/24/2024 12/14/2023 SUBJECT: DIGITIZATION OF RECORDS Approved by: OC San Board of Directors Digitization of Records 7 Adopted 12/18/202404/24/2024 maintenance and management of OC San’s digital records, meets the integrity, security, and availability requirements. Using 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 9.1 The Custodian of Records and IT Division are responsible for the performance standards and monitoring plans contained in this policy. 9.2 Performance Standards 9.2.1 Cost effectiveness of digitization projects: 9.2.1.1 Increased availability of OC San records to the public and appropriate personnel with a need for access. 9.2.1.2 Reduced risk of damage or inaccessibility to OC San records currently maintained in paper format. 9.3 Monitoring Plans 9.3.1 Sampling and validating digitized collections for integrity, security, and availability. 9.3.1.1 Scheduling (for retention) and reviewing the ECMS used to maintain digitized collections. CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type DW001 LO DW002 LO H DW003 NN DW005 S+5 EL, P DW006 CU+2 H DW007 CU+2 EL, P Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Historical Records: Photos, Slides Used by O&M, Videos, Correspondence Business value for LO retention. Historical/Non- Historical determination is made by the Department Director or Custodian of Records. Confidential Historical Tapes Vital Districtwide Record Series / Record Type Retention Citations & Comments Published Articles Written/Contribution by OC San Staff SOS C-24, SOS C-40 Business value for LO retention Incorporates 2018 ESD018 Non-Historical Photos & Videos Historical/Non-Historical determination is made by the Department Director or Custodian of Records Incorporates 2018 PAO003 Reference Files (Not Incorporated in Any Other RRS Record Type): Equipment Manuals Not Included in DW010, Process Workflows, Budget Planning Documents, Training Material, Standby Assignments/Stormwatch, Department/Divison Policies & Procedures (If Not Specified Elsewhere in the RRS) GC §60201(d)(11); SOS C-23, SOS C-19 Longer retention period required by SOS C-19 aplied to all records in this Record Type Incorporates 2018 OMD012 Speeches and Non-Marketing Related Presentations & Supporting Documents (Includes PowerPoints): Presentations Not Made at Board/Committee Meetings SOS C-24 Some records may be kept for historical value Incorporates 2020 DW004, 2018 PAO005, 2018 OMD013 CU = date of presentation General Correspondence (Excluding Real Estate/Real Property Matters): Email in Outlook Inbox & Sent Folders, Returned Proposition 218 Notifications (Returned Mail) This pertains to all communication not specifically addressed or related to another Retention Number contained in the whole Records Retention Schedule CU = date of communication 1 Districtwide Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Districtwide Record Series / Record Type Retention Citations & Comments DW008 CU+90 Days EL, P DW009 CU+2 DW010 LO EL, P DW011 CU + 3 EL, P Facility & Collection System Equipment Manuals and Related Reference Files GC §60201(d)(11); SOS C-23, SOS C-19 Separating these records from DW005 as business practice is that they are kept LO Purchaser/Card Holder Receipts for Purchases Made Using OC San Procurement Card (Credit Card)SOS C-29, SOS C-30 CU = statement date Non-Records in Email Format in Outlook Deleted Folder or Microsoft Teams Chat These records fail to meet the definition of a public record under Government Code §6252(e) CU = date of communication Various Internal Meeting Minutes: Includes Minutes Not Otherwise Indicated Herein, Including Executive Management Team (EMT) Meeting Minutes, Managers Meeting Minutes, Administrative Support Meeting Minutes SOS C-19 EMT Meeting Minutes previously 2020 GMO017 CU = calendar year 2 Districtwide Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type BSD001 LO EL, P BSD002 LO EL, P BSD003 LO V EL, P BSD004 LO V EL, P BSD005 LO EL, P BSD006 CU+2 EL, P BSD007 T+10 EL, P Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Board and Committee Meeting Agenda Packets and Meeting-Related Materials: Agenda, Agenda Reports & Attachments, Presentations, GM Monthly Report SOS C-22 Confidential Historical Tapes Vital Board Services Record Series / Record Type Retention Citations & Comments Affidavits of Publications Notices GC §54960.1(c)(1); SOS C-22, SOS C-23 Required retention is CU+2; business value for LO retention Agreements & Contracts, Political & Outside Jurisdictions/Agencies: Cooperative Agreements, JPAs (Joint Powers Authorities), JFAs (Joint Finance Authorities), Interagency, Reimbursement Agreements GC §60201(d)(1), GC §60201(d)(9) Annexation Files GC §60201(d)(1); SOS C-28 Bids - Awarded (Board Reviewed)GC §60201(d)(6); SOS C-30 Bids - Unaccepted (Board Approved) GC §60201(d)(11); SOS C-30 Includes unsuccessful and rejected bids. For rejected bids, includes bid documentation (plans, specs, etc.). CU = calendar year Board Administration Files: Loyalty Oaths, Election Records, Directors Lists, Contact Information PC §801.5 22; SOS C-18; 29 USC §1113 3 Board Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Board Services Record Series / Record Type Retention Citations & Comments BSD008 T+7 EL, P BSD009 LO V EL, P BSD011 EX+5 EL, P BSD012 LO V EL, P BSD013 LO V EL, P BSD014 LO EL, P BSD015 CL+2 EL, P Conflict of Interest (FPPC Filings)GC §81009(e); SOS C-18 Purchasing, Contracts & Agreement Files - Capital Improvement Projects (CIP) & Non-CIP - Committee or Board Approved: Includes Authorization Documents; Change Orders; Amendments; Notices; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Solicitation Addenda and Bulletins Issued; Notices of Intent to Award; Notices of Award; Notices to Proceed; Notices of Completion; Property & Other Lease Agreements; Purchase Order and Requisition Files CCP §337; H&S §19850; SOS C-22, SOS C-27, SOS C-30 Ethics Training: Sexual Harassment Board Only, Ethics Training Board & Employee GC §53235.2(b) Formation Files GC §60201(d)(1) Land & Real Estate/Real Property Records: Easements (Including Related License Agreements & Other Agreement Types), Grant Deeds, Quit Claim Deeds, Abandonments, Condemnations, Real Estate Purchase & Sale, Property Agreements, Encroachment Permits, Right of Way Agreements GC §60201(d)(8) Incorporates 2015 ENG010, 2015 ENG013, 2018 ENG026 Legal Opinions SOS C-23; GC §6254 Litigation Files 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CL = 2 years after case is closed date of record 4 Board Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Board Services Record Series / Record Type Retention Citations & Comments BSD016 LO V EL, P BSD017 LO V EL, P BSD018 LO EL, P BSD019 LO V EL, P BSD020 LO EL BSD021 CU+3 EL, P BSD023 CL+2 EL, P Meeting Minutes: Board & Board Committees GC §60201(d)(3) Ordinances GC §60201(d)(2) Recorded Project Documents: Notices of Completion, Easements, Deeds, etc.GC §60201(d)(8); SOS C-26 Resolutions GC §60201(d)(2) Tapes & Digital Recordings (Audio & Video): Board or Committee Meetings GC §54953.5(b) Minimum retention 30 days or until adoption of the minutes per Brown Act. Director Communications: General Board Correspondence PC 801.5 22; 29 USC §1113 Incorporates 2015 BSD010 CU = calendar year Public Records Act Requests GC §60201(d)(5); SOS C-23 5 Board Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Board Services Record Series / Record Type Retention Citations & Comments BSD024 LO EL, P BSD025 LO EL, P BSD026 LO EL, P BSD027 S+3 EL, P BSD028 LO H EL, P BSD029 LO H EL Grand Jury Reports/Responses Records Retention Schedules CCP §343; SOS C-23 Schedules are superseded when updated Incorporates 2018 ITD022 Records Destruction Records: Approvals, Certificates, Requests SOS C-23 Incorporates 2018 ITD019 Records Management Annual Audits: Inventory, Storage, Destruction SOS C-23 Incorporates 2018 ITD020 Public Records Act Requests Log Required retention is the same as BSD023 (CL+2); business value in LO retention; no additional, specific citations OC San Declarations of Emergency Log & Related Back Up Documentation 6 Board Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Board Services Record Series / Record Type Retention Citations & Comments BSD030 LF C, V BSD031 7 V EL, P BSD032 LO V EL, P Delegation of Authority, Especially Related to Declaration of Emergency (Executive Management) & Related Log GC §8557(b), GC §8634 Escrow Bid Documents CCP §337.15 Unsuccessful Escrow Bid Documents are returned to Contractor after Contract is awarded. The Escrow Bid Documents for the Awarded Contractor are returned at the end of the life of the facility (business preference to retain these documents longer than required by §CCP 337.15, which indicates CL+10). OC San acts as a temporary custodian of the documents, which remain the property of the bidders. Board Compensation Preparation Documents: Completed Timesheets; Meeting Attendance Documentation Board Payroll Documentation retained in FAD023 CCP §337; 26 CFR §1.6001-1, 29 CFR §516.5, 29 CFR §516.5(a)-(b), 29 CFR §516.6(a)(1); GC §60201(d)(12); SOS C-30; IRS Reg. §31.6001- 1(e)(2); R&TC §19530 7 years is triggered from date of payment 7 Board Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type CPM001 LO CD, EL, P CPM002 CL+7 CD, EL, P Purchasing, Contracts & Agreement Files - Non-CIP Projects - Not Committee or Board Approved: Includes Insurance Certificates; Authorization Documents; Change Orders; Amendments; Notices; Pre-Award Bid/Proposal Packages; Bid/Proposal Evaluation Materials; Protest Documents; Project Documents; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Addenda and Bulletins Issued, Bid Requirements Form, Question & Answer Logs, Outreach Materials, Evaluator Certifications, Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), Clarification Requests & Responses, and Bid/Proposal Evaluation Memorandum; Notice of Award Recommendations; Protest and Associated Documents; Determination on Protests; Appeals; Determination of Appeals; Preliminary Notices; Stop Notices; Notices of Completion; Property & Other Lease Agreements; Purchase Order and Requisition Files For Purchasing, Contracts & Agreement Files that are Committee or Board approved, please see BSD009 CCP §337; SOS C-22, SOS C-30 Incorporates 2018 CPM004, 2018 CPM011, 2018 CPM012, 2018 CPM013, 2018 CPM014, 2018 CPM016, 2018 CPM017, 2018 CPM018 Confidential Historical Tapes Vital Contracts, Purchasing, and Materials Management Record Series / Record Type Retention Citations & Comments Purchasing, Contracts & Agreement Files - Capital Improvement Projects (CIP) - Not Committee or Board Approved: Includes Insurance Certificates; Authorization Documents; Change Orders; Amendments; Notices; Pre-Award Bid/Proposal Package; Bid/Proposal Evaluation Materials; Protest Documents; Project Documents; Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Addenda and Bulletins Issued, Bid Requirements Form, Question & Answer Logs, Outreach Materials, Evaluator Certifications, Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), Clarification Requests & Responses, and Bid/Proposal Evaluation Memorandum; Notice of Award Recommendations; Protest and Associated Documents; Determination on Protests; Appeals; Determination of Appeals; Preliminary Notices; Stop Notices; Notices of Completion; Property & Other Lease Agreements; Purchase Order and Requisition Files For Purchasing, Contracts & Agreement Files that are Committee or Board approved, please see BSD009 CCP §335; GC §4000; H&S §19850; SOS C-22, SOS C-27, SOS C-30 Incorporates 2018 CPM004, 2018 CPM011, 2018 CPM012, 2018 CPM013, 2018 CPM014, 2018 CPM015, 2018 CPM017, 2018 CPM018 Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) 8 Contracts, Purchasing Materials Management Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Confidential Historical Tapes Vital Contracts, Purchasing, and Materials Management Record Series / Record Type Retention Citations & Comments Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) CPM005 CL+5 EL, P CPM008 CL+4 EL CPM009 CU+3 EL, P CPM019 LO H, V EL, P CPM020 LO H EL, P CPM021 CU+2 EL, P Certificates of Insurance SOS C-24 Incorporates 2018 CPM014 Purchasing & Contracts Support Documents - CIP & Non-CIP - Committee or Board Approved: Includes Pre-Award Bid/Proposal Packages; Bid/Proposal Evaluation Materials; Project Documents; Bid Requirements Forms; Question & Answer Logs; Outreach Materials; Evaluator Certifications; Responsiveness & Responsibility Review Documents (Safety, Finance, Experience Requirements), Clarification Requests and Responses; Bid/Proposal Evaluation Memorandum; Notice of Award Recommendations; Protest and Associated Documents, Determination of Protests; Appeals; Determination of Appeals; Preliminary Notices; Stop Notices CCP §337, CCP §337.15; SOS C-22, SOS C-30 Incorporates 2018 CPM004, 2018 CPM010, 2018 CPM011, 2018 CPM012, 2018 CPM013, 2018 CPM014, 2018 CPM015, 2018 CPM016, 2018 CPM017, 2018 CPM018 Bids - Unaccepted (NOT Committee or Board Approved) GC §60201(d)(11); SOS C-30 Includes unsuccessful and rejected bids CU = calendar year Purchase Order & Requisition Files (Not included in BSD009, CPM001 & CPM002): Open Annual (OA), Open Blanket (OB), Open Purchase (OP), Open Service (OS), Requisitions in JDE, Procurement Card Purchases CCP §337; GC §60201(d)(9) & (10); SOS C-30 Incorporates 2018 CPM006 Warehouse and Materials Management Records: Discrepancies, Add To Stores, Receivers, Return To Vendors (RTV), Shipping Records, Inventories, Disposal of Surplus Assets CCP §337; SOS C-29, SOS C-30 Incorporates 2018 CPM007 Procurement Card Documentation: Reconciliation (Receipts/Activity in Chase Portal), Reports, Agreements, Correspondence SOS C-29, SOS C-30 CU = statement date 9 Contracts, Purchasing Materials Management Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type ENG005 LO ENG007 SV ENG008 LO V ENG009 LO V Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Engineering Drawing: Conformed Set Drawings SOS C-26, SOS C-44 Conformed Set Drawings are superseded by Record Drawings & retained pursuant to ENG008; if no drawings are issued, the Conformed Set is kept for Life of Organization Incorporates 2018 ENG021 Confidential Historical Tapes Vital Engineering Record Series / Record Type Retention Citations / Comments CEQA Documents Prepared for District Purposes: Includes Environmental Impact Report Documents (Draft & Final), Negative Declarations, Notices of Completion and Determination, Comments on Environmental Documents, Statements of Overriding Considerations, Technical Studies, Initial Studies, Mitigation and Monitoring Reports, Environmental Assessments, Notices of Preparation, Mitigated Negative Declarations, Notices of Exemption 14 CCR §15062, 14 CCR §15075, 14 CCR §15094, 14 CCR §15095(c), 14 CCR §15112, 14 CCR §15208; GC §60201(d)(10); SOS C-27 Incorporates 2018 ENG022 Engineering Drawing: Record Drawings SOS C-26, SOS C-44 Incorporates 2018 ENG021, 2020 ENG031 Drawings - Shop & Construction Contract Submittals (Permanent Assets)Incorporates 2020 ENG032, 2015 ENG011 10 Engineering Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Engineering Record Series / Record Type Retention Citations / Comments ENG012 CL+10 ENG014 CU+20 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 Design: Consultant Monthly Report, Correspondence, Design Submittal, Final Design Submittal, Gate Review, Meeting Agendas & Minutes, Public Outreach, Handoff Documents, ETAP Documents Construction and Installation: Consultant Monthly Report, Construction Contract Submittals (Not Permanent Assets), Correspondence, Gate Review, Construction Inspection Daily Reports & Documentation, Meeting Agendas & Minutes, Public Outreach, Requests & Changes (Bulletin, Contractor Cost Proposal, Delay & Schedule Analysis, Field Change Order, Request for Change, Request for Information, Request for Proposal, Time & Materials Report), Safety Documentation, ETAP Documents, Project Schedule, Construction Photos and Videos (Taken by OC San Staff) 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 CCP §337.15 Incorporates 2018 ENG007, 2018 ENG008, 2018 ENG009, 2018 ENG010, 2018 ENG011, 2018 ENG012 CL = budget closure date in budget documentation or the date of the Director of Engineering's signature on the Close-Out Form City or County Planning Documents Unrelated to a Specific, Current OC San Project or Business Need As Otherwise Defined in Another Retention Number: Specific Plan, Master Plan, CEQA Documents Including Environmental Impact Reports and Addenda, Negative Declarations, Notices of Completion and Determination, Comments on Environmental Documents, Statement of Overriding Considerations, Exemptions, Technical Studies, Mitigation and Monitoring Reports GC §60201(d)(10); SOS C-26, SOS C-27, SOS C-28 OC San is not the custodian of these records; however there is a business value to the retention of these records. Incorporates 2015 ENG004, 2018 ENG001 CU = document date 11 Engineering Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Engineering Record Series / Record Type Retention Citations / Comments ENG015 LO V ENG017 LO V ENG019 LO V ENG020 CL+2 ENG023 S+10 Connection Permit: Trunk Sewer Connection Permit GC §60201(d)(10); SOS C-43, SOS C-44 Incorporates 2018 ENG029 Collection System Condition Assessment Records: CCTV, Reports Specification Conformed Incorporates 2018 ENG028 Requests for Underground Utility Information (From City, Utility, Public Agency or Contractor Working On Behalf of Same): Original Inquiry/Plans Received, OC San Response Incorporates 2018 ENG004 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 Buildings; Greenbook - Standard Specifications for Public Works Construction; NFPA 13 - Standard for Installation of Sprinkler Systems; NFPA 30 - Flammable & Combustible Liquids Code; NPFA 37 - 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 OC San is not the custodian of these records; however there is a business value to the retention of these records. 12 Engineering Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Engineering Record Series / Record Type Retention Citations / Comments ENG024 LF ENG025 LF ENG027 LO ENG030 LO Final Design Documentation: Engineering Study and Analysis, Feasibility Study, Final Planning Study Report, Preliminary Design Report/Technical Memoranda, Engineering Calculations, Geotechnical and Geophysical Reports, Hazardous Materials Report, Hydrogeologic Report, Project Specific Seismic Report SOS C-19, SOS C-25, SOS C-26, SOS C-27 Incorporates 2015 ENG016 Engineering Study & Analysis - May Include Reports Such as Soild Hauling Study, CCTV Report, Trunk Sewer Analysis, Structural Analysis, Electrical Report, Manufacturer Report, Design 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: Electrical Test Report, Instrumentation Testing, Materials Testing Report, Mechanical Testing, Other Test Report, Soil Testing, Structural Testing, Survey Report, Commissioning Procedure, Construction Photos and Videos (Taken by Contractor) SOS C-19, SOS C-25, SOS C-26, SOS C-27 Facility Reports: OC San Master Plan (Generated by Eng. Dept.), Strategic or Facility-Wide Planning Study Report (Seismic, Climate, Capacity, etc.), Asset Management Program Plan/Report 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = date of record Facility Permits: Air Quality Management District (AQMD), Permit to Operate, California Coastal Commission/Coastal Development, Building Permit, Fire Department Permit, Army Corps of Engineers, CEQA Permits, 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 SOS C-45 13 Engineering Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Engineering Record Series / Record Type Retention Citations / Comments ENG033 LO ENG035 CL+10 ENG036 CL+10 ENG037 CL+10 CEQA Related Documentation Pertaining to Meeting Agendas and Meeting Minutes 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 Administration (Amendment and Reallocation, Consultant Invoice) Professional Construction Service Agreement: Solicitation (Scope of Work, Sole Source) & Contract Administration (Amendment and Reallocation, Conformed Agreement Package) Construction Agreement: Solicitation (Sole Source) & Contract Administration (Certified Payroll, Change Order, Claims Documentation, Contractor Progress Payment) Task Order: Solicitation (Scope of Work, Sole Source) & Contract Administration (Amendment and Reallocation, Consultant Invoice) Bid Package: Published Packet - Specifications, Drawings, Bid Set Drawings CCP §337.15; GC §60201(d)(12) Incorporates 2015 ENG002, 2015 ENG003, 2015 ENG006, 2015 ENG018 CL = budget closure date in budget documentation or the date of the Director of Engineer's signature on the Close-Out Form Cost & Schedule Documentation: Budget Documentation, Budget Table and Schedule Documentation, Construction Schedule Documentation CCP §337.15 CL = budget closure date in budget documentation or the date of the Director of Engineer's signature on the Close-Out Form CEQA Correspondence, Including Correspondence with Outside Cities/Agencies: Includes Written and Electronic Correspondence 14 CCR §15062, 14 CCR §15075, 14 CCR §15094, 14 CCR §15095(c), 14 CCR §15112, 14 CCR §15208; GC §60201(d)(10); PRC §21167.6; SOS C- 27 Incorporates 2018 ENG002 CL = date of correspondence 14 Engineering Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Engineering Record Series / Record Type Retention Citations / Comments ENG038 CL+10 ENG040 LO V ELProject Close-Out Documentation These records are retained in the Primavera Database and/or SharePoint Project-Related Permit-Related Back Up Documentation: Certification of Environmental Compliance, Contaminated Soil Manifest, Dewatering Data, Mitigation Measure Monitoring Reporting, Storm Water Compliance Reporting, OSHA Excavation Permits CL = budget closure date in budget documentation or the date of the Director of Engineer's signature on the Close-Out Form 15 Engineering Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type ESD001 LO ESD002 OB+7 ESD003 LO ESD004 LO ESD005 LO ESD008 LO ESD009 CU+3 Cleanup, Abatement, and Remediation of Underground Storage Tanks Underground Storage Tank Permits, Designated UST Operator Visual Inspector Reports 23 CCR 2772; SOS C-33 Non-Hazardous Waste Waste Hauler Manifests SOS C-42 CU = calendar year Biosolids Management Records: Biosolids Hauling, Use, EMS Activities 40 CFR §122.21, 40 CFR §122.41(j)(2), 40 CFR §503.17; SOS C-47 Environmental Audit Records: Conducted By OC San Environmental Audit Records: Conducted By Outside Parties SOS C-27 Asset Specific Emission Records: Various Equipment and Operational Information, Including Logs Please see OMD014 & OMD016 for retention of some records within ESD002 SOS C-27 Confidential Historical Tapes Vital Environmental Services Record Series / Record Type Retention Citations / Comments Air Emissions Permitting Files (AQMD, CARB, Other): Final Permit, Testing Reports, Permit Applications, Correspondence CCP §338(k); SOS C-27 Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) 16 Environmental Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Confidential Historical Tapes Vital Environmental Services Record Series / Record Type Retention Citations / Comments Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) ESD011 LO ESD012 LO ESD013 CU+7 ESD014 CU+6 ESD015 LO ESD016 LO EL ESD017 CU+6 OMP Field Datasheets: Field Data and Collection Documentation, Animal Counts, Fish Collection Observations 40 CFR §141.33; SOS C-46 NPDES Permitting Files: Final Permit, Permit Applications, Special Studies & Reports, Correspondence See Special Note in ESD020 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-46 Permittee Files: Discharge Permits and Urban Runoff 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = document date Laboratory Standard Operating Procedures SOS C-19 Laboratory Records: Sample Preparation Records, Raw Data, Data Logs, Data Packets, QA/QC Reports, Final Processed Data, LIMS Reports, Lab Equipment Maintenance and Sterilization SOS C-46 CU = calendar year Non Permittee Files: Inspection Reports Data, Correspondence SOS C-19, SOS C-42 CU = calendar year Interagency (Outside) Agreements and Documentation MOU GC §60201(d)(9) 17 Environmental Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Confidential Historical Tapes Vital Environmental Services Record Series / Record Type Retention Citations / Comments Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) ESD020 LO P ESD022 LO H, V ESD023 CU+7 ESD024 LOCompliance Program Documentation: Storm Water, SSO, Post Construction Mitigation, SSMP (WDR) 40 CFR §122.41, 40 CFR Part 141, 40 CFR §141.33; SOS C-25, SOS C-27, SOS C-45 Compliance and Annual Reports: Discharge Monitoring Reports (DMR), Marine Monitoring Annual Report (MMAR), Biosolids Annual Report Special Note: The MMAR contains information from NPDES permits so should be used as a resource to ESD016 40 CFR §122.41(j) Unprocessed Instrumentation Files & Lab Reports 40 CFR §122.41(j) Chain of Custody - Laboratory 40 CFR §122.21(j)(4)-(6), 40 CFR §122.41(j)(2), 40 CFR §403.12(o), 40 CFR §503.17(a)(3)(i), (a)(4); SOS C-22 CU = calendar year 18 Environmental Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type FAC001 S+5 EL FAC002 LF+2 EL, P FAC003 LF+2 EL, P FAC004 LF+2 EL, P FAC005 LF+2 P FAC006 LF+2 EL, P FAC007 LF+2 V Vehicle Records (FLEET): Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), Vehicle Citations Vehicle Titles/Pink Slips are transferred to new owner upon sale of vehicle; all other records are retained until Disposal of Vehicle or Equipment + 2 years CCP §337; 8 CCR § 3203(b)(1); 49 CFR §396.21(b)(1), 49 CFR §396.3(c) Vehicle Smog Check Inspection Report (FLEET)SOS A-1 DMV & State requirement CHP Commercial Inspection (FLEET): Bit Inspection (CHP Commercial Vehicle Inspection), CHP Safety Maintenance Inspection 49 CFR §396.11(c)(2) CHP, DMV & State requirement Certifications (FLEET): Mobile Crane, Vehicles, Equipment Calibration Certification SOS C-47 DMV & State requirement Facility Maintenance & Repair: LOTO Audits, Underground Storage Tank Permits, Assessment & Testing Results - Data, Corrective & Preventative Maintenance Records (Job Plans, Work Orders) SOS C-42 Pressure Vehicle CNG Tank Inspection Certification (FLEET)40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = date of record Division Policies & Procedures: Guidelines, Checklists, Standard Operating Procedures SOS C-19 Facilities Maintenance Record Series / Record Type Retention Citations / Comments Confidential Historical Tapes Vital Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) 19 Facilities Maintenance Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type FAD001 CU+4 FAD002 CL+7 CL+4 FAD003 CL+7 CL+4 VAccounts Receivable Files CCP §337 et seq.; GC §60201(d)(7), GC §60201(d)(12); SOS C-29 CL refers to final payment CL is the completion date of the year-end audit Financial Management and Administrative Services Record Series / Record Type Retention Citations / Comments Accounting Reports: Quarterly and Monthly Reports SOS A-1, SOS C-30 CU = fiscal year Accounts Payable Files: Vendor and Contractor Invoices, Bills, Statements, Any Non-Discharged Debt CCP §337 et seq, GC §60201(d)(7), GC §60201(d)(12); SOS C-29 Freeze on all FAD002 records for the timeframe of 1/1/2010 through 12/31/2013. Freeze until 1/1/2048 2/1/2043 for the purposes of fulfilling Build America Bonds IRS requirements. OC San issued Build America Bonds in 2010 (outstanding through 2044 2/1/2040) for which we are receiving a federal subsidy to offset our interest costs. The IRS guidance found states that all issuers should have records retention policies that maintain bond documents & related records (including documents supporting the disposition of funds) for at least the life of the bonds plus three years (through 2047 2043 ). CL refers to final payment CL is the completion date of the year-end audit Confidential Historical Tapes Vital Secretary of State Media Types United States Code CD Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) 20 Financial Management and Administrative Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Series / Record Type Retention Citations / Comments Confidential Historical Tapes Vital Secretary of State Media Types United States Code CD Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) FAD005 LO H FAD006 S+7 FAD007 CU+6 V FAD008 LO V FAD009 LO H, V during current FY FAD010 CU+5 FAD011 CU+7 Budgets vs. Actual: Supporting Documentation Summaries, Worksheets, Goals and Objectives, Milestones SOS C-29 CU = fiscal year Check Records: Cancelled Payroll Checks, Voided Copies For Automatic Deposits, Registers, Requests for Hand Checks & Interim Payroll Checks CCP §337; GC §60201(d)(12); SOS C-29 CU = calendar year Banking Records: Deposit Receipts, Bank Statements, Checking Account Reconciliation, Cash Transfer Report (LAIF, Wire Transfers, and Intrabank Transfers), Adjustments - Returned Checks (NSF), ACH Returns, Positive Pay Exceptions SOS C-29, SOS C-30 CU = calendar year Bonds: Certificates of Participation, Transcripts, Disclosure Reports, Registers, Issue Records, Determination of Allocation CCP §336(a), CCP §337.5; GC §43900, GC §53921 Budgets (Adopted)SOS -29 Audit Records: Financial Statements, Audit Management Letters, Comprehensive Annual Financial Report (CAFR)SOS C-30 Bank Signature Cards GC §60201(d)(12) 21 Financial Management and Administrative Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Series / Record Type Retention Citations / Comments Confidential Historical Tapes Vital Secretary of State Media Types United States Code CD Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) FAD012 LO H EL, P FAD013 CU+7 CL+4 FAD014 CU+10 FAD015 LO FAD016 LF V FAD017 LO V Fixed Asset Records SOS C-29 General Ledger SOS C-29 Expense Reports CCP §337; GC §60201(d)(12); SOS A-1 CU = fiscal year CL is the completion date of the year-end audit Financial Statements 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = date of record Financial System: ERP Database (JDE), Access Database, Utility Billing Data is interrelated across platforms 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. SOS C-45 Capital Facility Capacity Charges (CFCC) CCP §337; SOS C-29 Changed to LO as it is beneficial for OC San to maintain copies of permits for fee calculations in the future and historical reference for fees paid for parcels 22 Financial Management and Administrative Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Series / Record Type Retention Citations / Comments Confidential Historical Tapes Vital Secretary of State Media Types United States Code CD Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) FAD018 LO V FAD019 LO FAD021 CL+7 FAD022 LO FAD023 7 T+4 V Payroll Records (Generated from Payroll Taxes): Timesheets; Payroll Registers and Reports; Unemployment Claims; Garnishments; Payment of Labor Costs Including Salaries, Wages, Compensation, and Deductions For Employees, Board Members, and Contractors (DE-6 & 941 Forms - Quarterly and Annual Payroll Tax Returns) Board Compensation Preparation Documents retained in BSD031 CCP §337; 26 CFR §1.6001-1, 29 CFR §516.2, 29 CFR §516.5, 29 CFR §516.5(a)-(b), 29 CFR §516.6(a)(1); GC §60201(d)(12); SOS C-30; IRS Reg. §31.6001-1(e)(2); LC §1174(d), LC §1197.5; R&TC §19530 7 years is triggered from date of payment Journal Entries CCP §337; SOS C-29 OCERS Files: Copies of OCERS Payments, Statements 29 CFR §516.6(a)(1); GC §60201(d)(12) CL refers to final payment OCERS Retirement Report 29 CFR §516.6(a)(1); GC §60201(d)(12) Business value for LO retention Investment Records: Investment Policy, Custodian Bank Transaction Records, Asset Detail, Asset Summary, Yield, Statements, LAIF Withdrawals/Deposits, Portfolio Withdrawals/Deposits, Stock Certificates, Treasurer’s Report, GASB 40 Report, GASB 72 Report CCP §337; GC §53607; SOS C-30 23 Financial Management and Administrative Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Series / Record Type Retention Citations / Comments Confidential Historical Tapes Vital Secretary of State Media Types United States Code CD Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) FAD024 CU+7 FAD025 CU+10 FAD026 CU+7 FAD027 LO FAD028 CU+7 FAD029 CU+7 FAD030 CU+7 Tax Records (Generated From Accounts Payable & Vendor Files): Vendor SOS C-29 CU = calendar year Trial Balance Records SOS C-29 CU = fiscal year Rebates and Refunds: Sewer Service Fees 26 CFR §1.6001-1 CU = calendar year State Controller's Reports SOS C-30 Tax Records - Employees & Retirees: 1099-R, Annual Information Returns for Employees and Retirees 26 CFR §31.600-1(d), 26 CFR §31.605-1, 29 CFR §516.5 - 516.6; GC §60201(d)(12); SOS C-30, SOS C- 29; USC §436; IRS Reg. §31.6001-1(e)(2); R&TC §19530 CU = calendar year Petty Cash Records 26 CFR §1.6001-1; CCP §337; GC §60201(d)(12); SOS A-1 CU = fiscal year Rate Studies SOS C-42 Business value for longer retention CU = fiscal year 24 Financial Management and Administrative Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Financial Management and Administrative Services Record Series / Record Type Retention Citations / Comments Confidential Historical Tapes Vital Secretary of State Media Types United States Code CD Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) FAD032 LO FAD033 CL+2 FAD034 LO FAD035 LO Claims (Excluding Workers Comp Claims): Claims Against OC San/OC San Employees (Wrongdoing by OC San/OC San Employees, Project Related Injury), Employment Claims (Wrongful Termination, Harassment, Discrimination), Loss Run Reports GC §60201(d)(4) Incorporates 2018 BSD022 & 2018 RMS031 OC San Insurance Policies: Records Related to Owner Controlled Insurance Programs and Insurance Policies Purchased by OC San, Including Policies and Amendments SOS C-24 W-2's - Employees & Retirees 26 CFR 31.6001.1-1; 29 CFR 516.5-6; SOS C-30; 29 USC 436 Redevelopment Agency (RDA) Records: Records Regarding Member Agency RDA Required Payment to OC San SOS C-29 25 Financial Management and Administrative Services Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type GMO001 LO H GMO007 CU+2 GMO009 CU+2 GMO016 CU+7 Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Executive Management Team (EMT) Meeting Files: Agenda, Agenda Report, Handouts SOS A-2 CU = calendar year Travel Records SOS C-19 CU = calendar year General Manager's Office Record Series / Record Type Retention Citations / Comments Annual OC San Reports: OC San Strategic Plan SOS C-26 Business value in longer retention GM Monthly Reports LO in BSD002 as part of Board agenda packet distribution/retention SOS C-19 CU = calendar year 26 General Manager's Office Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type HRD001 LO HRD002 CL+7 HRD003 LO HRD004 LO V HRD005 CL+3 HRD006 LO Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Temporary Employees: Hiring Documents, Tracking Spreadsheet, Request Forms CCP §336(a); 29 CFR §1627.3; SOS C-21 Confidential Historical Tapes Vital Human Resources Record Series / Record Type Retention Citations / Comments Classification & Compensation: Class & Comp Studies, Class Specifications, Salary Surveys, Salary Schedules, Pay Types, Reclass Requests, Desk Audits 29 CFR §1627.3; GC §60201(d)(12), GC §12946; SOS C-21 Deferred Compensation Records: Participation Agreements 26 CFR §16001-1, 29 CFR §1627.3; SOS C-30 District Benefit Contracts: Health, Dental, Vision, Other Benefit Contracts 28 CCR §1300.85.1; 29 CFR §1627.3(b)(2); 29 USC §1027 General EEO-4 Reports and Files: Documents Required to Generate EEO-4 Report 29 CFR §1602.30, 29 CFR §1602.31, 29 CFR §1602.32 Employee & Labor Relations Files: Memorandums of Understanding (MOU), Arbitration, Grievances, Union Requests, Employee Rights, Appeals, Investigations, Performance Improvement Plans (PIP), Disciplinary Actions and Complaints, Sexual Harassment, Civil Rights 29 CFR §516.5, 29 CFR §1602.31, 29 CFR §1627.3(b)(1)(ii); GC §12946 27 Human Resources Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Human Resources Record Series / Record Type Retention Citations / Comments HRD007 T+7 V HRD009 LO HRD010 T+3 HRD011 T+30 HRD012 S+2 HRD013 T+7 V until separation Employee Benefit Plans and Programs: Health Insurance, Supplemental Life Insurance, Beneficiary Designations, Records, Repayment Agreements, Eligibility Changes, Development Pay, Rideshare 29 CFR §1602.30, 29 CFR §1602.32, 29 CFR §1627.3(b)(2); GC §12946, GC §60201(d)(12); LC §1197.5 HRD007 applies to all employees/former employees Human Resources/ERP Database: Electronic Records Management - JDE, Cornerstone, Workterra (Data Shared Across These Systems/Feed Into Each Other) Employee I-9 Forms & EEOC Data Collection Forms 8 USC §1324a(b)(3)(B); SOS C-20 Medical Files: Fitness for Duty, Leaves of Absence, Interactive Process Medical Files are excluded from Personnel Files which are retained in HRD013 Workers Comp records are retained in HRD024 8 CCR §3204(d)(1); 29 CFR 1910.1020 HRD011 applies to all employees/former employees Organization Charts SOS C-19 Personnel Files: Includes Application, Awards, Disciplinary Actions, Certifications, Commendations, Employment Verifications, (pre-2011) Evaluations, Licenses, Status Change Forms, Policy Acknowledgements, Waiver of Responsibility for Voluntary Activities, Training Records, Pay Docs, Emergency Contacts, Change of Address, Outside Employment, Development Pay Forms, Computer Loan Forms, Tuition Reimbursement Info, Specific Rideshare Info, Loyalty Oath, Resignation Excludes Medical Records which are retained in HRD011 8 CCR §3204(d)(1); 29 CFR §1602.31, 29 CFR §1627.3; GC §§12946 28 Human Resources Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Human Resources Record Series / Record Type Retention Citations / Comments HRD014 CL+4 HRD015 T+7 HRD016 T+7 HRD017 CL+3 EL HRD018 EX+5 HRD019 LO H EL Recruitment Records: Includes Applications, Resumes, Certifications, and Other Recruitment Related Documents; Advertisements; Job Brochures; Test Data; Rating Sheets; Questions; Eligibility Lists; Electronic/NEOGOV Records 29 CFR §1602 et seq., 29 CFR §1607.29, 29 CFR §1627.3; GC §6250 et seq., GC §12946 CL = job advertisement close date Training Program Records: Class Attendance Sheets, Schedules, Classes Offered, Curriculum or Syllabus, Training Materials Development (Data Shared Across These Systems/Feed Into Each Other) 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = date of record Background Checks: Candidate Background Checks SOS C-21 Human Resources Programs: Rideshare, Tuition Reimbursement, Computer Loan, Development Pay Program Details, E-forms, Payment Schedules/Tracking Spreadsheets General Program Information Only; Employee Specific Information is Retained in Personnel Files (HRD013) SOS C-20 District Benefit Plans: Benefits Summary Plan Descriptions (Health, Dental, Vision, Other)SOS C-21 OC San U (Formerly Known as BLAST & OCSD U) Development Records: Research Material, Timeline SOS C-28 29 Human Resources Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Human Resources Record Series / Record Type Retention Citations / Comments HRD020 S+2 EL HRD021 NN EL HRD022 S+2 EL HRD023 SEL HRD024 CL+5 EL HRD025 CL+2 EL, P OC San U (Formerly Known as BLAST & OCSD U) Procedures SOS C-23 OC San U (Formerly Known as BLAST & OCSD U) Professional Development Articles From External Sources Documentation Received/Requests/Correspondence for HR-Non Litigation Related Example: Divorce Related Records released in response to subpoena requests are in other various entries Litigation related documents are retained in BSD015 OC San U (Formerly Known as BLAST & OCSD U) Program Files: Minutes, Marketing Material, Program/Training Evaluations, Quarterly Reports SOS C-19 OC San U (Formerly Known as BLAST & OCSD U) Working Documents: Member Rosters - Active & Inactive Workers Compensation Files, Including Claims & Loss Run Reports 8 CCR §15400.2; 29 CFR 1910.20; SOS C-24 Incorporates 2018 BSD022 & 2018 RMS011 30 Human Resources Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type ITD001 T+3 ITD003 S+2 V ITD004 S ITD005 CU+2 ITD006 CL+3 ITD007 S ITD008 S+2 Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD System and Software Documentation: Network Design, Instruction, Licenses, License Codes, Agreements, Systems List, Permission to Directories, SharePoint Lists, Hardware and Software Documentation, Source Code, IT Manuals SOS C-22 Incorporates 2015 ITD009, 2015 ITD010, 2015 ITD011, 2015 ITD012 Confidential Historical Tapes Vital Information Technology Record Series / Record Type Retention Citations / Comments Access Authorization Forms: Email Access Requests, Internet Access Requests, Mobile Devices Access GIS (Geographic Information System) Database: Layers Data is interrelated across platforms SOS C-22 Information/Activity Logs: Internet, Phone, Badge, Visitors SOS C-22 CU = current date IT Help Desk System: Service Tickets, Change Requests and Releases SOS C-22 Network Diagrams/System Configurations/Maps/Plans SOS C-22 IT Asset Inventory Database: IT Assets, Printers, Hardware, SCCM, Server Lists, Asset Explorer SOS C-22 31 Information Technology Adopted: 12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Information Technology Record Series / Record Type Retention Citations / Comments ITD013 S+2 ITD015 CU+1 ITD016 EX+2 ITD018 NN System Log (Database): Transaction Logs, Error Logs SOS C-22 Video Surveillance Files and System Security Database GC §53160, GC §53161 Recordings of routine video surveillance must be retained for at least one (1) year. Recordings of telephone and radio communications must be retained for at least 100 days. In the event that the recordings are evidence in any claim filed or any pending litigation, they shall be preserved until pending litigation is resolved. Notwithstanding the foregoing, if written minutes or an audio recording of the video surveillance is taken, the video surveillance can be destroyed after 90 days. The written minutes and audio recording can be destroyed after two (2) years. Incorporates 2015 ITD014, 2015 ITD017 CU = one year from current date Two-Way Radio Licensing and Information: Walkie Talkies (Industry Term is HT or Handy Talkies), Vehicle Mounted Two-Way Radios, Base Station Radios in Plant No. 1 Control Center & Plant No. 2 Operations Center, and Radio Repeaters Records of Services (Kept in Request to Purchase IT List), FCC License 47 CFR §951701 et seq. Virtual Computer Files: Replication for Disaster Recovery Purposes SOS C-22 32 Information Technology Adopted: 12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Information Technology Record Series / Record Type Retention Citations / Comments ITD023 CU+3 ITD024 SVEL, P ITD025 CU+100 Days DigSmart/DigAlert Database/Tickets (Formerly Known as USA Tickets) GC §4216.2(f) Business value in retention Was 2015 ENG021 CU = current date Tunnel Cross-Section, Vault Detail, Piping & Instrumentation Diagrams (P&IDs), Single Line Diagrams (SLDs), Instrument Loop Diagrams (ILDs) SOS C-26, SOS C-44 Tunnel Cross-Section & Vault Detail records are stored in Facility Records (Engineering) and managed by IT Incorporates 2018 ENG021, 2015 ENG008 Routine Recordings of Telephone Communications, Including Voicemail Recordings 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = date of record 33 Information Technology Adopted: 12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type OMD001 CU+3 OMD002 CU+2 EL OMD004 LO OMD005 CU+30 LO OMD006 CU+3 OMD007 CU+2 EL OMD008 S+5 EL Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Complaint Files and Problem Reports (OPERATIONS): Related to Organization's Operations - Odor, Noise, Call Center Complaints SOS C-42 Incorporates 2018 ESD005 CU = calendar year Confidential Historical Tapes Vital Operations & Maintenance Record Series / Record Type Retention Citations / Comments Chemical Inventory Records (OPERATIONS): Delivery, Transfer, Usage, Manifest Worksheet, Inventory Logs 49 CFR §172.201; SOS C-33 CU = calendar year Flow Records (OPERATIONS)40 CFR §122.41(j)(2) Logs (OPERATIONS): Control Center Plant Operations 40 CFR §122.41(j)(2); business value in LO retention; no additional, specific citations CU = calendar year Logs (OPERATIONS): Operations Monthly Logs, Inspector Diaries, Control Center Visitor Logs 40 CFR §122.41(j)(2) CU = calendar year Monthly Reports: Operating and Status Reports, Key Performance Indicator Reports (Generated by 810) SOS C-19 CU = calendar year O&M Policies & Procedures: Guidelines, Checklists, Standard Operating Procedures SOS C-19 34 Operations and Maintenance Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Operations & Maintenance Record Series / Record Type Retention Citations / Comments OMD009 CU+2 EL, P OMD010 CU+5 EL, P OMD011 LO EL OMD014 OB+7 P OMD015 LF+2 EL, P OMD016 OB+7 P OMD017 LF+2 EL, P Operating Journals (OPERATIONS): Alarm Summary (EL), Operations Round Sheets (EL, P), Midnight Readings (EL) 40 CFR §122.41(j)(2) CU = calendar year Operating Records (OPERATIONS): Activated Sludge (AS) Plant Reports (EL, P), Operator Schedules (P), Biosolids Hauling Tickets (P), Grit & Screening Tickets (P), Drying Bed Authorization Form 40 CFR §122.41(j)(2) CU = calendar year Process Data (OPERATIONS): Monthly Summary of Operations (MSOs) [EL], Treatment Plant Operational Data (TPODs) [EL]40 CFR §122.41(j)(2) AQMD: 1-Cengen Emissions Reports, 2-AQMD Round Sheets, 3-Flare Reports Some of these records are key records to be retained for ESD002, please forward to ES if storage becomes burdensome CCP §338(k); SOS C-27 Cengen Emissions Reports are used as part of Title V permitting, which is addressed in ESD002. OMD014 needs to match ESD002 for retention as these provide adherence to existing AQMD permit conditions. Facility Maintenance & Repair (MAINTENANCE): LOTO Audits, Underground Storage Tank Permits, Assessment & Testing Results - Data, Corrective & Preventative Maintenance Records (Job Plans, Work Orders) SOS C-42 Generator Operation Logs (OPERATIONS): Fixed or Stationary Some of these records are key records to be retained for ESD002, please forward to ES if storage becomes burdensome GC §34090 Logs are used as part of AQMD Title V permitting, which is addressed in ESD002. OMD016 needs to match ESD002 for retention. Pressure Vehicle CNG Tank Inspection Certification (FLEET)40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = date of record 35 Operations and Maintenance Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Operations & Maintenance Record Series / Record Type Retention Citations / Comments OMD018 LF+2 EL, P OMD019 LF+2 P OMD020 LF+2 EL, P OMD022 LO OMD023 CU+10 OMD024 CU+10 OMD026 LF+2 V Vehicle Smog Check Inspection Report (FLEET)SOS A-1 DMV & State requirement CHP Commercial Inspection: Bit Inspection (CHP Commercial Vehicle Inspection), CHP Safety Maintenance Inspection 49 CFR §396.11(c)(2) CHP, DMV & State requirement Certifications: Mobile Crane, Vehicles, Equipment Calibration Certification SOS C-47 DMV & State requirement Vehicle Records (FLEET): Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), Vehicle Citations Vehicle Titles/Pink Slips are transferred to new owner upon sale of vehicle; all other records are retained until Disposal of Vehicle or Equipment + 2 years CCP §337; 8 CCR § 3203(b)(1); 49 CFR §396.21(b)(1), 49 CFR §396.3© Collection System Process Data (COLLECTIONS): Pump Station, Control System Historical Data SOS C-45 Inspection Reports & Photos (COLLECTIONS): Manhole SOS C-45 CU = calendar year Sewer Line Maintenance Files (COLLECTIONS) 40 CFR Sec. 122.41(j)(2); 40 CFR Sec. 403.12(o); SOS C-45 CU = calendar year 36 Operations and Maintenance Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type PAO001 S+2 PAO002 S+5 PAO003 S+7 PAO006 LO H PAO007 S+2 PAO008 S+2 PAO009 LO H Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Outreach/Event File: Tour Documentation, RSVP's, Sign-in Sheets, Other Related Information, Volunteer Incentive Program (VIP) Points Tracking & Related Backup SOS C-24 Confidential Historical Tapes Vital Public Affairs Record Series / Record Type Retention Citations / Comments Education Curriculum: Sewer Science, Water Festival, Other SOS C-24 Marketing Material: Flyers, General Brochure, Marketing Brochures, Newsletters, Email Blasts, Marketing Related Presentations/PowerPoints SOS C-19 Press/Media Releases SOS C-40 SOS allows S+2; however, based on business needs, preferred retention is LO Publication Proofs (Ad in Adjudicated/Circulated Newspaper) (Non-Board and/or CPM Related): General Marketing SOS C-24 Website Content Archiving PageFreezer provides services; Board Services manages SOS C-22 Employee Events: Agency Awards, Recognitions, Announcements Legal advice is S+2; however, based on business needs, preferred retention is LO 37 Public Affairs Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Confidential Historical Tapes Vital Public Affairs Record Series / Record Type Retention Citations / Comments PAO010 LO PAO011 S+2 PAO012 LO H Social Media Archiving: Facebook, Twitter, YouTube, Instagram PageFreezer provides services; Board Services manages SOS C-22 Annual Reports: OC San Annual Report, Public Affairs Strategic Plan, Legislative Plan All items taken to the Board for approval (annually, every two years) SOS C-19 Legislative Files: Letters of Support, Opposition SOS C-28 Legal advice is S+2; however, based on business needs, preferred retention is LO 38 Public Affairs Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type RMS002 CU+5 C RMS003 CU+2 RMS004 LO CU+3 RMS006 LO RMS007 T+30 C RMS008 LO CU+5 OSHA Compliance Records: Citations, Appeals Related, Correspondence OSHA 300 & 301 Logs retained in RMS012 8 CCR §332.4; 8 CCR §14300.33(a); 29 CFR §1904.4; LC §6429c; OMB 1220-0029; SOS A-2 CU = calendar year Emergency Response: Response & Disaster Recovery Files, Emergency Operations Center Activiation Notifications & Records 29 CFR §1910.119(g), 29 CFR §1910.120(q); 2 CFR §200.334 Incorporates 2015 RMS005 CU = calendar year Industrial Hygiene & Safety: Hazard Assessments, Inspections, Site Characterization Reports, Exposure Monitoring Reports, Noise Assessments, Surveys, Audits, Indoor Air Quality, Mold, Asbestos/Lead Surveys, Abatement Reports 8 CCR §1529(n)6, 8 CCR §3204(d)(1)(B); 29 CFR §1910.1020 Incorporating 2018 RMS030 into RMS006 as Retention Length requested to change from T+30 to LO based on business needs. Incorporating 2015 RMS015 & 2018 RMS030. Occupational Medical Files: Medical Evaluations, Audiometric Test Reports, Pulmonary Function Tests, Respiratory Medical Clearance 8 CCR §3204; 29 CFR §1910 Emergency Exercises: Planning Documents, Meeting Minutes, After Action Reports 29 CFR §1910.119(g), 29 CFR §1910.120(q); SOS C- 41 8 CCR §3220; California Fire Code 405.5 CU = calendar year Confidential Historical Tapes Vital Risk Management and Safety Record Series / Record Type Retention Citations / Comments DOT Random Drug & Alcohol Test Records 49 CFR §199.117; GC §12946 CU = calendar year Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) 39 Risk Management and Safety Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Confidential Historical Tapes Vital Risk Management and Safety Record Series / Record Type Retention Citations / Comments Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) RMS010 CU+4 RMS012 CU+7 CU+5 RMS014 CL+7 CU+5 RMS016 CU+5 CU+4 RMS017 CU+5 CU+4 P RMS018 CU+4Confined Space Records: & Entries Air Log, Entry Permits, Entry Procedure, Job Hazard Analysis (JHA) 8 CCR §5157(e)(6); 29 CFR 1910.146(e)(6), 40 CFR §122.41(j)(2); GC §53161; SOS C-42 Retention aligns with VPP Incorporates 2018 OMD003 CU = document date calendar year Accident & Accident/Incident Records: Including Near Misses, Observation Reports, Security Reports, Vehicle Accidents CCP §338; 8 CCR §14300.33(a); CFR §1904.6; SOS C-24 CU = calendar year Hazardous Materials Records: Business Plans, Hazardous Materials Inventory, Disclosures 19 CCR Division 5, Chapter 1 §§5030.1-5030.11; 40 CFR §122.21(p), 40 CFR §122.41 CU = document date calendar year Calibration Gas Detectors Annual Recertification Calibration Records: Atmopheric Monitors, Geiger Meters, Noise Instruments, Sampling Pumps 8 CCR §5157(e)(6); 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR §1904.44; LC §6429c CU = calendar year Safety Committee: Action Items, Agendas, Annual Reports, Meeting Minutes, Presentations 8 CCR §3203 Retention aligns with Voluntary Protection Program (VPP) CU = document date calendar year OSHA Logs: 300 & 301 Logs Cal OSHA Logs & Summaries (300/300A); Cal OSHA 301 Incident Reports 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR §1904.44; LC §6429c CU = calendar year 40 Risk Management and Safety Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Confidential Historical Tapes Vital Risk Management and Safety Record Series / Record Type Retention Citations / Comments Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) RMS019 LO CU+4 RMS020 LO RMS021 LO RMS022 S RMS024 CU+7 RMS025 LO RMS026 LO CU+3 Training Database (Cornerstone) Although corresponding records also stored in Cornerstone are retained according to other specific entries, the database doesn't have delete capability Radiation License & Disposal Records Radioactive Devices: Disposal Records, Licenses, Wipe Tests 17 CCR §30192.1, 17 CCR §30293 CU = calendar year Safety Data Sheets (SDS)8 CCR §3204(d)(B)(2), 8 CCR §5194; 29 CFR §1910 Respiratory Protection: Fit Test Records, Written Program 8 CCR §5144(m) Medical Evaluations retained in RMS007 Training Records - Safety: Rosters, Syllabus, Schedule, Curriculum Material Only SOS C-21 CU = document date calendar year Hazardous Waste Records: Biennial Report, Bills of Lading, Exception Report, Waste Analysis, Waste Characterization Test Report, Waste Manifests, Other Determinations Disposals, Recyclable Non Hazardous Waste Material, Batteries, etc. 22 CCR §66262.40(a), 22 CCR §66264.71(b)(6), 8 CCR §3204(d)(1), 26 CCR §22-64470(a); 40 CFR §122.41(j)(2), 40 CFR §141.33(b); GC §12946; SOS C-33, SOS C-47 CU = calendar year HazMat Permits, Environmental Health Permits: Bulk Chemicals, Fire, Battery Storage 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45 CU = date of record 41 Risk Management and Safety Adopted:  12/18/2024 CCP CL CCR CU CFR EX GC LF H&S LO IRS NN LC OB PC S PRC T OMB R&TC SOS USC CD EL Electronic FD Floppy Disk C P Paper HTA V Retention Number Retention Length (Years Unless Specified) Special Storage Consideration Media Type Confidential Historical Tapes Vital Risk Management and Safety Record Series / Record Type Retention Citations / Comments Special Storage Consideration This Records Retention Schedule (RRS) pertains to any and all Official Records of OC San regardless of Media Type and is adopted in compliance with GC §60201 and additional specific citations as noted. Public Records Act requests, litigation, audits, claims, and investigations may suspend the stated retention periods and notification of such will be made. As stated in OC San's Records Retention Policy, authorization and proper destruction methods are required prior to destroying all Official Records, regardless of Media Type. When original records have reached their retention length, all copies and duplicates must be destroyed, along with the original, regardless of Media Type. Copies/duplicate records shall be determined as "duplicate" or "copy" in conjunction with Records Management. Upon determination by Record Management that a record is a duplicate or copy, OC San may destroy the duplicate record if the original or a permanent photographic record exists is in OC San's files (GC §60200). Notes, preliminary drafts, and transitory records are not considered Official Records and may be destroyed without complying with OC San's RRS (SOS 2-1030). Such records may be destroyed when no longer needed for OC San business and do not require authorization for destruction. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Labor Code (CA) Obsolete Penal Code (CA) Superseded Public Resources Code Terminated Office of Management & Budget Revenue & Taxation Code Secretary of State Media Types United States Code CD Life of Facility, Equip. or Software General Retention Schedule Information Health & Safety Code Life of Organization or Permanent Internal Revenue Service When No Longer Needed Orange County Sanitation District Records Retention Schedule Citation Codes Retention Codes Code of Civil Procedure (CA) Closed or Completed California Code of Regulations Current Year (Defined Where Used) Code of Federal Regulations Expired or Expiration Government Code (California) RMS027 CU+4 RMS028 S CU+4 RMS029 CU+4 RMS032 CU+4 RMS033 SV EL, P RMS034 CU+2 Continuity of Operations Plan (COOP); Integrated Emergency Response Plan (IERP) GC §60102(d)(10) Vehicle Entry Logs (Security) SOS C-22 Excludes entry for Board/Committee meetings and 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. CU = current date calendar year PPE Assessments 8 CCR §3380; 29 CFR §1910.132 CU = calendar year Lock Out Tag Out Audits (LOTO) 8 CCR §3314(j), 29 CFR §1910.147(c)(6), 29 CFR §1910.147(c)(7), 29 CFR §1910.147(f)(2) Retention aligns with VPP CU = calendar year Vehicle Inspection & Equipment Checks Files: Daily Safety Checks, Pre-Starts, Commercial Vehicle Pre-Starts and Forklift Inspections, Pre-Trip Inspections, CHP Inspections, Daily Vehicle Inspections, Daily Equipment Checks 8 CCR §3650(t)(7); 49 CFR §396.11(c)(2), 49 CFR §396.21(b)(1) CU = document date calendar year Contractor Safety Orientation (formerly,Job Site Safety Analysis (JSSA)), Hot Work Permits, Job Hazard Safety Analysis (JHSA), SAFE Bulletins, SafetyGrams 29 CFR §1904.6, 29 CFR §1910.132, 29 CFR §1910.252; OMB 1218-0176 Retention aligns with VPP JSSA renamed Contractor Safety Orientation in 2020 CU = document date calendar year 42 Risk Management and Safety Adopted:  12/18/2024 ADMINISTRATION COMMITTEE Agenda Report Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 File #:2024-3989 Agenda Date:12/11/2024 Agenda Item No:4. FROM:Robert Thompson, General Manager Originator: Lan C. Wiborg, Director of Environmental Services SUBJECT: PAYMENT OF ANNUAL NATIONAL POLLUTANT DISCHARGE AND ELIMINATION SYSTEM (NPDES) PERMIT FEES GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: Approve payment in an amount not to exceed $950,000 for the annual NPDES ocean discharge permit fees for Fiscal Year 2024-2025. BACKGROUND Under the Clean Water Act,the Orange County Sanitation District (OC San)lawfully discharges treated wastewater into the Pacific Ocean under its NPDES ocean discharge permit which is jointly administered by SARWQCB and the United States Environmental Protection Agency (USEPA).In accordance with Sections 13260 and 13269 of the California Water Code,an annual fee is required to maintain this permit. The fee is based on OC San’s facility design flow. OC San is expecting an invoice for the permit fee from the SWRCB to arrive in December 2024 with a short turnaround time for payment.Staff has confirmed with SWRCB personnel the Fiscal Year 2024-2025 annual permit fee will be higher than the annual permit fee for Fiscal Year 2023-2024 ($904,107)but below $950,000.Thus,staff recommends that the Board of Directors approve payment of the annual ocean discharge permit fees for Fiscal Year 2024-2025 in the amount not to exceed $950,000. RELEVANT STANDARDS ·Comply with environmental permit requirements ·24/7/365 treatment plant reliability ·Comply with Government Code Section (California Water Code Sections 13260 & 13269) PROBLEM OC San is required by California Water Code Sections 13260 and 13269 to pay an annual fee to maintain our ocean discharge permit. Orange County Sanitation District Printed on 12/3/2024Page 1 of 2 powered by Legistar™ File #:2024-3989 Agenda Date:12/11/2024 Agenda Item No:4. PROPOSED SOLUTION Approve payment of the annual NPDES ocean discharge permit fees in the amount not to exceed $950,000, as to be invoiced by the SWRCB for Fiscal Year 2024-2025. TIMING CONCERNS If the invoice is not paid in a timely manner, OC San may be subject to late fees. RAMIFICATIONS OF NOT TAKING ACTION If payment is delayed,OC San would be subject to penalties under provisions of the California Water Code Section 13261.These actions could include daily penalties in addition to the fee or other actions deemed appropriate by SARWQCB. PRIOR COMMITTEE/BOARD ACTIONS This fee is invoiced and paid annually. ADDITIONAL INFORMATION N/A CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of OC San’s Purchasing Ordinance.This item has been budgeted (Budget FY 2024-25 and 2025-26,Section 6,Page 64,Environmental Compliance)and the budget is sufficient for the recommended action. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: N/A Orange County Sanitation District Printed on 12/3/2024Page 2 of 2 powered by Legistar™ ADMINISTRATION COMMITTEE Agenda Report Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 File #:2024-3986 Agenda Date:12/11/2024 Agenda Item No:5. FROM:Robert Thompson, General Manager Originator: Wally Ritchie, Director of Finance SUBJECT: PROFESSIONAL SERVICES AND IT HARDWARE FOR TEAMS VOICE DEPLOYMENT GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: A. Approve a Purchase Order Contract to Enabling Technologies for the purchase of Professional Services and IT Hardware for Teams Voice Deployment using OMNIA Contract No. R200803, for an amount not to exceed $438,342; and B. Approve a contingency of $65,751 (15%). BACKGROUND As Orange County Sanitation District’s (OC San)Mitel Voice System is set to end its licensing and hardware support in December 2024,with its projected end-of-life in December 2029,a new voice and communication system must be implemented to replace it.Currently,our communication tools use Mitel for voice services and Microsoft Teams for meetings and collaboration. RELEVANT STANDARDS ·Protect OC San assets ·Ensure the public’s money is wisely spent ·24/7/365 treatment plant reliability ·Maintain a culture of improving efficiency to reduce the cost to provide the current service level or standard PROBLEM As the OC San phone system approaches its end-of-life sales deadline in December 2024,existing equipment and maintenance services will continue to be supported until December 2029.Starting in January 2025,OC San will no longer be able to purchase additional hardware or licenses,limiting our ability to expand voice capacity or accommodate new users.Additionally,the current communication system,which relies on both Mitel and Microsoft Teams,is inefficient for OC San employees. Furthermore,using a shared internet connection for both communication systems may negatively impact call quality. Orange County Sanitation District Printed on 12/3/2024Page 1 of 2 powered by Legistar™ File #:2024-3986 Agenda Date:12/11/2024 Agenda Item No:5. PROPOSED SOLUTION Staff recommends migrating and consolidating our phone system to Microsoft Teams Voice.This initiative aims to unify the Mitel and Microsoft Teams systems,streamlining communication channels and improving the overall user experience.Additionally,implementing a dedicated voice line will help prevent disruptions and enhance call quality. TIMING CONCERNS OC San will not be able to purchase licensing or hardware to expand voice communication and/or accommodate additional users to the system starting in January 2025. RAMIFICATIONS OF NOT TAKING ACTION Failing to update OC San's voice system could have detrimental consequences for Plant Nos.1 and 2 and Headquarters.OC San depends on voice communication to interact with the public, customers,and emergency services.Without an updated voice system,our communication reliability and accessibility would be significantly compromised.Additionally,without being able to issue new hardware and licenses from the vendor,new features and users cannot be added,which can disrupt employee performance. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION N/A CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of OC San’s Purchasing Ordinance.This item has been budgeted (Budget FY 2024-25 and 2025-26,Section 8,Page 90,Information Technology Capital Equipment) and the budget is sufficient for the recommended action. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: N/A Orange County Sanitation District Printed on 12/3/2024Page 2 of 2 powered by Legistar™ ADMINISTRATION COMMITTEE Agenda Report Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 File #:2024-3990 Agenda Date:12/11/2024 Agenda Item No:6. FROM:Robert Thompson, General Manager Originator: Jennifer Cabral, Director of Communications SUBJECT: LEGISLATIVE AFFAIRS UPDATE FOR THE MONTH OF NOVEMBER 2024 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: Receive and file the Legislative Affairs Update for the month November 2024. BACKGROUND The Orange County Sanitation District’s (OC San)legislative affairs program includes advocating for OC San’s legislative interests;sponsoring legislation (where appropriate);and seeking local,state, and federal funding for projects and programs. RELEVANT STANDARDS ·Maintain influential legislative advocacy and a public outreach program ·Build brand, trust, and support with policy makers and community leaders ·Maintain collaborative and cooperative relationships with regulators,stakeholders,and neighboring communities PROBLEM Without a strong advocacy program,elected officials may not be aware of OC San’s mission, programs, and projects and how they could be impacted by proposed legislation. PROPOSED SOLUTION Continue to work with local,state,and federal officials to advocate for OC San’s legislative interests. Help to create and monitor legislation and grants that would benefit OC San,the wastewater industry, and the community.To assist in relationship building efforts,OC San will continue to reach out to elected officials through facility tours,one-on-one meetings,and trips to Washington D.C.and Sacramento. Orange County Sanitation District Printed on 12/3/2024Page 1 of 2 powered by Legistar™ File #:2024-3990 Agenda Date:12/11/2024 Agenda Item No:6. RAMIFICATIONS OF NOT TAKING ACTION If OC San does not work with local,state,and federal elected officials,legislation could be passed that negatively affects OC San and the wastewater industry.Additionally,a lack of engagement may result in missed funding opportunities. ADDITIONAL INFORMATION Activities in November: ·Per the direction of the Administration Committee,staff and our State Lobbyist are researching the possibility of carrying a bill on Bid Advertising Reform.Currently,OC San is required to advertise construction bids in print newspapers,which can cost several hundred thousand dollars annually without evidence of increased bidder participation.OC San ran a bill in 2018, AB 2003 (Daly),to try to expand the allowable public notification methods for construction bids.AB 2003 died in the Assembly Local Government Committee.The legislative climate around the issue has changed since 2018. ·Current OC San Board members Stephen Faessel (Anaheim),Bruce Whitaker (Fullerton), Farrah Khan (Irvine),Brad Avery (Newport Beach),Schelly Sustarsic (Seal Beach),and Robbie Pitts (Villa Park)will be concluding their service on their respective City Councils and the OC San Board of Directors. Activities in December: ·As the legislature reconvenes,we can expect bills to be introduced in late December and throughout January and February.OC San staff and lobbyists will evaluate these bills as they are introduced to determine whether a position is needed and will bring to the Administration Committee for comments and guidance. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Federal Legislative Update ·Federal Matrix ·State Legislative Update ·Local Legislative Update ·Presentation Orange County Sanitation District Printed on 12/3/2024Page 2 of 2 powered by Legistar™ 1 | P a g e TO: Rebecca Long FROM: Eric Sapirstein DATE: November 18, 2024 SUBJECT: Washington Update Congress returned for the Lame Duck Session on November 12. The session is expected to run until a final spending agreement for FY 2025 is passed. However, the current stop gap spending expires December 20 and at this writing it is unclear if Congress will reach a compromise spending bill or pass another Continuing Resolution extending funding into January or possibly into March. The session is likely to see action on disaster assistance funding, completing action on the Water Resources Development Act of 2024, and potentially limited permitting reform legislation. Action on Per- and polyfluoroalkyl substances (PFAS) liability exemptions for the water sector is highly unlikely given the significant differences between Senate Republicans and Democrats on how to fashion any liability protections. The following summarizes the status of federal policy matters of interest to OC San. • Election Results Deliver Unified Government For the first time in years, one party control, Republican, will be the order of the day come January 20, 2025, relegating House and Senate Democrats to loyal opposition status. While the unified governance will allow the Trump Administration to expedite its policy priorities, the narrow majorities of the past four years will continue. Speaker Johnson will likely have at most 222 votes. A majority is 218. Johnson will enjoy the backing of the Administration that should help mitigate any internal dissension within the Republican House that was a consistent challenge during the past two years. The Senate Republicans will enjoy a 53-47 majority but will be confronted by the filibuster that requires a 60-vote threshold to pass most legislation. OC San’s congressional delegation is changed with Representative-Elect Min the declared winner against Scott Baugh. Another race, Representative Steel is locked in a historically close race with Derek Tran. Tran currently leads with 36 votes out of more than 300,000 votes. Regardless of the final tally, a recount is highly likely. 2 | P a g e Representative Adam Schiff won his Senate campaign and will assume the Senate seat upon certification of his election, as opposed to waiting until January 3, because he is filling the vacancy created by the passing of Senator Dianne Feinstein. Why the Election Returns are Important to OC San While the incoming Trump Administration and Republican Congress remains a work in progress there are several anticipated actions that will be important to OC San including: o FY 2025 programs funding remain a priority for Congress in the Lame Duck Session to avoid complicating the legislative debate in 2025 when the new Administration and Congress will be developing the 2026 budgets and seeking to implement significant changes to the tax code and agency and department programs through Reconciliation. However, the Speaker recently signaled an openness to delay final spending agreements until after Congress convenes in January. This, if pursued, would effectively continue government operations on Continuing Resolution until Congress is controlled by Republican majorities, leading up to President-Elect Trump’s inauguration; o Roll back of several Biden Administration priorities ranging from Diversity, Equity, and Inclusion to clean energy programs potentially leading to reduced “strings” on program funding award decisions. o Revision and/or revocation of core environmental reviews and regulations and guidance likely to dominate the agenda, including Waters of the United States, PFAS risk assessment model and risk management; o Streamlining permitting programs that could address Clean Water Act National Pollution Discharge Elimination System (NPDES) permit term requirements; o Comprehensive reviews and rewrites of core policies ranging from clean energy subsidies to water resources and water quality to permitting reform to expedite project construction. • Nominations and Federal Bureaucracy Reform President-Elect Trump has moved with dispatch to name a number of agency heads. Of special note, former Representative Lee Zeldin (R-NY) was named to be the next U.S. Environmental Protection Agency (USEPA) Administrator. When in Congress, Zeldin was committed to supporting clean water programs with a focus on watershed protection. Zeldin was a member of the congressional Problem Solvers Caucus, a bipartisan group seeking to find common ground on policies ranging from infrastructure to climate to taxes. Zeldin noted his commitment to clean water and clean air issues, but emphasized his interest in reducing regulatory burdens, when he accepted the nomination. 3 | P a g e One of the many consequences of the election is a priority to address the federal bureaucracy’s composition. Among these impacts are: o Implementing “Schedule F” Executive Order; a new classification system of federal employees that would allow the Administration to dismiss federal career officials that currently enjoy civil service protections; o Relocating federal agencies out of Washington; o Using budget reconciliation process to eliminate programs; and o Using budget reconciliation process to revise regulatory mandates with economic impacts. • PFAS Rulemakings and Liability Protection Legislation The Office of Water continues to develop the wastewater influent, effluent and biosolids survey to define the nature and extent of PFAS presence. The survey could be delayed given the presidential transition, but should it proceed in the coming year, it will inform USEPA on the level of PFAS loadings in influent and effluent discharges, and biosolids. The survey is expected to lead to a better understanding about the impact of PFAS to surface waters and soils and how to address source control as well as treatment needs. As of this writing, it appears the agency has decided to pursue a targeted approach by first conducting an influent survey rather than survey all three elements of the wastewater treatment process. Within the context of PFAS liability, both the House and Senate continue to consider approaches to develop a policy to protect the water sector against potential clean-up liability. But the potential of any legislative action in the next month is remote given the ongoing debate on how to address liability concerns of the water sector. An active effort to legislate a policy response to the liability concerns of the water sector is expected early in the new year when presumed incoming Senate Committee on Environment and Public Works Chairwoman Shelly Moore Capito (R-WV), picks up the committee gavel. Capito has made it clear that resolving PFAS liability exposure to the water sector is a priority. Finally, we anticipate Congress will work to legislate funding for PFAS research and technology development to spur on treatment and destruction. Importance of PFAS Liability Initiative The shift in party control along with the incoming Trump Administration reinvigorates the policy debate to develop and pass PFAS liability protections as well as funding of clean-up needs of the water sector. • Fiscal Year 2025 Appropriations As noted, Congress has until December 20 to pass a final FY 2025 spending package to fund the government through September 2025. Based upon current statements from House Republican leadership and Senate Committee on Appropriations leaders completing action on government spending remains a priority to avoid the potential of another short term spending agreement or a final Continuing Resolution for the remaining months of FY 2025. 4 | P a g e However, the strength of this position is tempered by recent comments from Speaker Mike Johnson that he may be open to extending the stop gap funding measure until after the Republicans assume total control of Congress to revise program funding priorities. If a final spending agreement is reached, a number of policy directives are expected to be incorporated including: o Directives to USEPA to identify the economic impacts of the PFAS drinking water standard on drinking water agencies and to provide technical assistance to support compliance activities; o Identify the number of drinking water agencies impacted by the MCL; o USEPA and U.S. Department of Agriculture must maintain its research into the health impacts of PFAS on soils and biosolids, including treatment standards; and o Directives that USEPA provide Congress a report on progress in the implementation of its policy to not enforce against water sector interests for clean-up liability created by the PFAS hazardous substance Comprehensive Emergency Response Compensation and Liability Act (CERCLA) designation. Impact of Spending Decisions Final passage of FY 2025 spending bills is important. Without final agreements the ability to ensure funding to support clean-up of PFAS contamination and development of rules and guidance to bring clarity on how wastewater agencies would be impacted could be compromised. This is the circumstance because under stop gap spending, agencies are prohibited from initiating new programs and funding of projects. Finally, should Congress delay finalizing funding for Fiscal Year 2025, it is possible that a final agreement could be wrapped into a budget reconciliation package that could be used to reorder spending priorities, aligning funding with the yet to be defined Fiscal Year 2026 budget request that would represent the Trump Administration’s priorities. On this point it is important to note that employing reconciliation would limit the amount of legislative floor debate and allow any agreement to pass Congress on a simple majority, avoiding the prospect of a Senate filibuster. 1  of 8 Federal Legislative Report - November 2024 Administration Committee Bills 17 Bills US HR 2964 High Priority Monitor Title: WIPPES Act Current Status: Considering Introduction Date: April 27, 2023 Last Action Date: Received in the Senate and Read twice and referred to the Committee on Commerce, Science, and Transportation.. June 12, 2024 Summary: Directs the Federal Trade Commission, in consultation with the Environmental Protection Agency, Commissioner of Food and Drugs, and the Consumer Product Safety Commission (as appropriate depending on the type of covered product involved) to issue “Do Not Flush” labeling requirements for nonflushable wipes, including baby wipes, household wipes, disinfecting wipes and personal care wipes. The requirements mirror California's labeling law and has the support from the wipes industry, national clean water sector, civil engineers, and environment advocates. Companion Senate bill: S. 1350. Description: Wastewater Infrastructure Pollution Prevention and Environmental Safety Act or the WIPPES ActThis bill requires entities responsible for the labeling or retail packaging of certain premoistened, nonwoven wipes (e.g., baby wipes, cleaning wipes, or personal care wipes) to label such products clearly and conspicuously with the phrase Do Not Flush and accompanying symbol as depicted under specified industry guidelines.The Federal Trade Commission is authorized to issue related regulations and enforce this requirement.  Location: United States US HR 8467 Title: Farm, Food, and National Security Act of 2024 Current Status: Introduced Introduction Date: May 21, 2024 Last Action Date: Ordered to be Reported (Amended) by the Yeas and Nays: 33 - 21.. May 24, 2024 Summary: H.R 8467 would establish grant funding to support research into the agriculture impacts of PFAS and microplastics, with the purpose to better understand the role and influence land-applied biosolids and wastewater treatment processes play. Eligible activities 2  of 8 include analyzing crop uptake of PFAS and techniques, such as wastewater treatment and composting, to filter out or biodegrade such substances from biosolids intended to be used for agriculture purposes. H.R. 8467 does not establish mandates for these activities. Location: United States US HR 8032 High Priority Monitor Title: Low-Income Household Water Assistance Program Establishment Act Current Status: Introduced Introduction Date: April 16, 2024 Last Action Date: Referred to the Subcommittee on Environment, Manufacturing, and Critical Materials.. April 19, 2024 Summary: H.R. 8032 is the companion bill to S. 3830 that would create a permanent low income ratepayer assistance for water and wastewater services. Location: United States US HR 7944 Monitor Title: Water Systems PFAS Liability Protection Act Current Status: Introduced Introduction Date: April 11, 2024 Last Action Date: Referred to the Subcommittee on Environment, Manufacturing, and Critical Materials.. April 12, 2024 Summary: H.R. 7944 is a companion bill to S. 1430 sponsored by Senator Cynthia Lummis (R-WY). H.R. 7944 would protect water and wastewater agencies and related contractors from liability under CERCLA unless the threat stemmed from gross negligence. Location: United States US HR 7023 Title: Creating Confidence in Clean Water Permitting Act Current Status: Considering Introduction Date: January 17, 2024 Last Action Date: Received in the Senate and Read twice and referred to the Committee on Environment and Public Works.. March 22, 2024 Summary: H.R. 7023 was amended on the House floor to provide for ten year NPDES permit terms for public agencies. The amendment offered by Rep. John Garamendi (D-CA) was adopted without debate unanimously. Description: Creating Confidence in Clean Water Permitting Act This bill modifies requirements under the Clean Water Act, including requirements concerning water quality criteria, the National Pollutant Discharge Elimination System (NPDES) program, the permit 3  of 8 program for discharging dredged or fill material into waters of the United States, and the meaning of waters of the United States. It also limits the issuance of permits under the act. First, the bill directs the Environmental Protection Agency (EPA) to develop any new or revised water quality criteria for states through a rule. Next, the bill modifies the NPDES program, including by providing statutory authority for provisions that shield NPDES permit holders from liability under certain circumstances. It also provides statutory authority for the EPA to issue general permits under the program. The EPA must also provide written notification two years before the expiration of a general permit. If notice is not provided by that deadline, then di.... Location: United States US S 3830 Title: Low-Income Household Water Assistance Program Establishment Act Current Status: Introduced Introduction Date: February 28, 2024 Last Action Date: Read twice and referred to the Committee on Health, Education, Labor, and Pensions.. February 28, 2024 Location: United States US HR 7194 High Priority Monitor Title: PFAS Accountability Act of 2024 Current Status: Introduced Introduction Date: February 01, 2024 Last Action Date: Referred to the Subcommittee on Environment, Manufacturing, and Critical Materials.. February 02, 2024 Summary: H.R. 7194 would create a cause of action under the Toxics Substances Control Act to allow a citizen or class of citizens to litigate against a manufacturer of PFAS that improperly discharged PFAS into the environment and created a public health impact. Companion legislation in the Senate: S. 3725. Sponsor: Rep. Madeline Dean (D-NH) Location: United States US HR 6805 High Priority Monitor Title: PFAS Action Act of 2023 Current Status: Introduced Introduction Date: December 14, 2023 Last Action Date: Referred to the Subcommittee on Water Resources and Environment.. January 02, 2024 4  of 8 Summary: PFAS Action Act of 2023 is a reintroduction of the 2021 legislation. It would impose a statutory designation of PFAS as a hazardous substance under CERCLA. It would also impose other mandates including time specific drinking water standards for PFOA and PFOS and other members of the PFAS chemical family. It currently enjoys 21 sponsors, all Democratic. Sponsor: Rep. Debbie Dingell D-MI Location: United States US S 2162 High Priority Monitor Title: STREAM Act Current Status: Introduced Introduction Date: June 22, 2023 Last Action Date: Committee on Energy and Natural Resources Subcommittee on Water and Power. Hearings held.. July 19, 2023 Summary: S. 2162 renews expiring provisions of the WIIN Act. It would increase funding authorizations for surface and groundwater storage projects, water recycling, desalination, and ecosystem restoration projects. Among the changes that would be authorized would be priorities for water supply projects that include enhanced public benefits (fisheries, wildlife and disadvantage communities drinking water reliability). It would also provide for enhanced water transfers to support temporary fallowing of agriculture lands to support wildlife habitats. (BILL PROVISIONS LIKELY TO INCORPORATED INTO LARGER WESTERN WATER LEGISLATION) No Sponsor at the writing Location: United States US S 1430 High Priority Title: Water Systems PFAS Liability Protection Act Current Status: Introduced Introduction Date: May 03, 2023 Last Action Date: Read twice and referred to the Committee on Environment and Public Works.. May 03, 2023 Summary: S. 1430 would provide a limited CERCLA liability (section 107) exemption for PFAS family of chemicals for water and wastewater agencies. S. 1430 would not exempt an agency from liability in cases of gross negligence. Description: Water Systems PFAS Liability Protection Act This bill exempts specified water management entities from liability under the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA) for releases of certain perfluoroalkyl or polyfluoroalkyl substances, commonly referred to as PFAS. Specifically, the entities covered under the bill are public water systems, publicly or privately owned or operated treatment works, municipalities with a stormwater discharge permit, political subdivisions or special districts of a state that act as a wholesale water agency, and contractors performing the 5  of 8 management or disposal activities for such entities. Under the bill, the exemption only applies if a specified entity transports, treats, disposes of, or arranges for the transport, treatment or disposal of PFAS consistent with applicable laws and during and following the conveyance or treatment of water under federal or state law, such as through the management or disposal of bi.... Location: United States US S 1350 High Priority Monitor Title: WIPPES Act Current Status: Introduced Introduction Date: April 27, 2023 Last Action Date: Read twice and referred to the Committee on Commerce, Science, and Transportation.. April 27, 2023 Summary: Directs the Federal Trade Commission, in consultation with the Environmental Protection Agency, Commissioner of Food and Drugs, and the Consumer Product Safety Commission (as appropriate depending on the type of covered product involved) to issue “Do Not Flush” labeling requirements for nonflushable wipes, including baby wipes, household wipes, disinfecting wipes and personal care wipes. The requirements mirror California's labeling law and has the support from the wipes industry, national clean water sector, civil engineers, and environment advocates. Companion House bill: H.R. 2964. Description: Wastewater Infrastructure Pollution Prevention and Environmental Safety Act or the WIPPES ActThis bill requires the Federal Trade Commission to issue regulations requiring entities responsible for the labeling or retail packaging of certain premoistened, nonwoven wipes (e.g., baby wipes, cleaning wipes, or personal care wipes) to label such products clearly and conspicuously with the phrase Do Not Flush and accompanying symbol as depicted under specified industry guidelines.The commission is authorized to enforce this requirement.  Location: United States US HR 1729 Low Priority Monitor Title: Water Affordability, Transparency, Equity, and Reliability Act of 2023 Current Status: Introduced Introduction Date: March 22, 2023 Last Action Date: Referred to the Subcommittee on Commodity Markets, Digital Assets, and Rural Development.. April 25, 2023 Summary: Sponsor: Rep. Bonnie Coleman D-NJ Co-Sponsor: Rep. Katie Porter D-CA Description: Water Affordability, Transparency, Equity, and Reliability Act of 2023 This bill increases funding for water infrastructure, including funding for several programs related to controlling water pollution or protecting drinking water. Specifically, it establishes a Water 6  of 8 Affordability, Transparency, Equity, and Reliability Trust Fund. The fund may be used for specified grant programs. The bill increases the corporate income tax rate to 24.5% to provide revenues for the fund. In addition, the bill revises requirements concerning the clean water state revolving fund (SRF) and the drinking water SRF, including by prohibiting states from providing financial assistance using amounts from the clean water SRF for projects that will provide substantial direct benefits to new communities other than projects for constructing an advanced decentralized wastewater system. It also creates or reauthorizes several grant programs related to water infrastructure, such as grants for removing lead from dr.... Location: United States US HR 2162 Title: To provide for a limitation on availability of funds for U.S. Department of Interior, US Fish and Wildlife Service, Neurotropic Migratory Bird Conservation for fiscal year 2024. Current Status: Introduced Introduction Date: March 29, 2023 Last Action Date: Referred to the House Committee on Natural Resources.. March 29, 2023 Description: This bill limits FY2024 funding for the U.S. Fish and Wildlife Service's Neotropical Migratory Bird Conservation grant program. Location: United States US HR 1837 Title: Investing in Our Communities Act Current Status: Introduced Introduction Date: March 28, 2023 Last Action Date: Referred to the House Committee on Ways and Means.. March 28, 2023 Summary: Legislation restores tax-exempt advance refunding for municipal bonds to allow states and local governments to more efficiently invest in projects. Description: Investing in Our Communities Act This bill reinstates the exclusion from gross income for interest on certain bonds issued to advance the refunding of a prior bond issue. The exclusion was repealed for bonds issued after 2017. Location: United States US S 938 Low Priority Monitor Title: Water Affordability, Transparency, Equity, and Reliability Act of 2023 Current Status: Introduced Introduction Date: March 22, 2023 Last Action Date: Read twice and referred to the Committee on Finance.. March 22, 2023 7  of 8 Summary: S. 938 would establish a $35 billion trust fund to support the construction of water and wastewater treatment systems. Funding would be derived from an increase in the corporate tax rate. The bill also imposes requirements for Department of Justice and USEPA to carryout activities to determine whether water and wastewater operators discriminate in the provision of services. USEPA must also investigate the impact of rates on service cut- offs. Additional provisions would address use of assistance to promote regionalization of systems and limitations on the use of federal assistance to support projects that address growth. The bill enjoys 500 NGO organizational support. It has five cosponsors. Sponsor: Sen. Bernie Sanders I-VT Description: Water Affordability, Transparency, Equity, and Reliability Act of 2023 This bill increases funding for water infrastructure to control water pollution or protect drinking water. Specifically, it establishes a Water Affordability, Transparency, Equity, and Reliability Trust Fund. The fund may be used for specified grant programs. The bill increases the corporate income tax rate to 24.5% to provide revenues for the fund. In addition, the bill revises requirements concerning the clean water state revolving fund (SRF) and the drinking water SRF, including by prohibiting states from providing financial assistance using amounts from the clean water SRF for projects that will provide substantial direct benefits to new communities other than projects for constructing an advanced decentralized wastewater system. It also creates or reauthorizes several grant programs related to water infrastructure, such as grants for removing lead from drinking water. Location: United States US HR 250 Medium Priority Monitor Title: Clean Water SRF Parity Act Current Status: Introduced Introduction Date: January 10, 2023 Last Action Date: Referred to the Subcommittee on Water Resources and Environment.. February 01, 2023 Summary: Amends eligibility provisions for the Federal Water Pollution Control Act’s Clean Water State Revolving Fund so that all wastewater customers have the ability to benefit from the program’s low-interest loans. Supported by NAWCA Also introduce in 117th Congress - No Action Description: Clean Water SRF Parity Act This bill expands the state revolving fund established under the Clean Water Act, including by allowing low-interest loans to be given to privately owned treatment works to address wastewater. Currently, loans are given to wastewater systems that are publicly owned. Location: United States US S 115 Monitor 8  of 8 Title: Clean Water Allotment Modernization Act of 2023 Current Status: Introduced Introduction Date: January 26, 2023 Last Action Date: Read twice and referred to the Committee on Environment and Public Works.. January 26, 2023 Summary: Provides for a set aside from Clean Water SRF appropriations to conduct Buy America oversight compliance, establishes that each state's allotment must be at the same level as FY 23 during FY 24-28 and additional allotments based on percent of state population to the nation. FY 29 and beyond allotments to be determined by new formula based upon Clean Water Needs Survey. Description: Clean Water Allotment Modernization Act of 2023 This bill revises the formula the Environmental Protection Agency (EPA) uses to determine how to distribute funds from the Clean Water State Revolving Fund (SRF) program. Under the program, the EPA allocates funding to states for water quality infrastructure projects, such as wastewater systems and stormwater management projects. In FY2024-FY2028, the EPA must provide an initial allotment to each state that is equal to the amount the state received in FY2023. The EPA must also provide an additional allotment to each state that is based on its share of the U.S. population. In FY2029 and each subsequent fiscal year, the EPA must use an updated allotment formula, which is based on the needs of states as identified in the most recently available clean watersheds needs survey. Beginning in FY2024, the formula must also provide allotments for Indian tribes and territories. In addition, the formula must provide an allotment for EPA's oversight .... Location: United States Page 1 M E M O R A N D U M To: Orange County Sanitation District From: Townsend Public Affairs Date: November 18, 2024 Subject: November 2024 Monthly Report STATE LEGISLATIVE UPDATES Governor Newsom Proclaims New Special Session Two days after the Presidential election, Governor Gavin Newsom announced a new special session of the California Legislature dedicated to safeguarding California values and fundamental rights ahead of a change in federal administration. Civil rights, reproductive freedom, climate action, and immigrant families are at the forefront of the Governor’s proclamation that joins with state Attorney General Rob Bonta. President-Elect Trump has mentioned the possibility of withholding disaster response funding from the State under certain conditions, and the Governor has prepared by considering creating a separate pot of funding the State could draw from during times of need. The new proclamation tasks the Legislature with providing additional funding to the California Department of Justice and other agencies to support the State’s ability to litigate actions taken by the incoming Trump Administration. During President-Elect Trump’s first term, the State filed more than 120 lawsuits against his Administration and more legal fights are all but certain. State Legislative leadership has weighed in and committed to investing in the State’s legal defense. These actions could include the defense of California’s climate and air quality goals, which ultimately may influence OC San operations. More details on the Governor’s proposal will likely coincide with the January Budget release and additional funding could be dedicated as the Legislature and Governor’s Administration negotiate a complete budget package. State Controller Provides Update on Cash Position On November 8, the State Controller released a Statement of General Fund Cash Receipts and Disbursements painting a picture of California’s cash position from July 1 to October 31. The statement compares actual receipts to cash flow estimates. While State tax receipts have exceeded projections, a good sign, so has spending. The bulk of the revenue above projections will be spent on commitments like schools and new ballot measures or could be used as a backstop against a potential deficit. According to the Controller’s release, the State has approximately $97 billion in unused borrowable resources, exceeding original estimates by almost $6 billion. Page 2 These resources are from internal funds outside of the General Fund and can be used by the State to manage deficits when revenues come in lower than planned expenditures. This amount, and the fact that it is still above estimates, is a good indicator of a strong cash position for the State. While it is still too early to predict the overall health of the 2025-2026 State Budget, there are indicators that the State’s tax receipts are coming in slightly better than expected. This in turn increases the chances of member directed spending from the Budget that could help OC San. Voters Approve $20 Billion in Bonds for Climate and School Facilities Projects – What’s Next? In November, California voters approved two significant statewide bonds, totaling $20 billion, aimed at advancing climate resilience and modernizing school facilities. Proposition 2, passed with a 58 percent majority, authorizes $10 billion in bond funding for school facility improvements, with 85 percent earmarked for K-12 schools and 15 percent for community colleges. Proposition 4, which received a 59% approval margin, provides another $10 billion to support various climate initiatives, including wildfire prevention, water quality, parks and open spaces, and energy infrastructure enhancements. Looking Ahead: Implementing Proposition 2 and 4 Funding While the funds from these propositions are expected to make a lasting impact, the disbursement of resources for climate and educational projects may span several budget cycles. A portion of these funds could be allocated as early as the upcoming budget cycle, helping offset General Fund expenditures in these areas and freeing up resources for other critical priorities. State Debt Overview and Bond Repayment California currently has about $80 billion in outstanding bonds and another $35 billion in previously approved bonds awaiting sale, most of which will be sold over the next several years. The State allocates roughly $6 billion annually from its General Fund for bond repayment, representing about 3 percent of the General Fund revenue—a percentage lower than the historical average of 4 percent. Repayment for Propositions 2 and 4 will add approximately $900 million annually over 40 years to the State’s bond obligations—$500 million for Proposition 2 and $400 million for Proposition 4. This repayment will account for about 0.5 percent of the General Fund’s annual revenue, keeping bond debt service levels manageable and well below historical peaks. 1 | P a g e TO: Orange County Sanitation District FROM: Whittingham Public Affairs Advisors DATE: November 15, 2024 SUBJECT: Local Legislative Report The month of November was highlighted not only by the election, but also by much- anticipated progress on wastewater governance in south Orange County. Following is a few of the more notable developments and issues of the month: • The seven members of South Orange County Wastewater Authority, or SOCWA, have been in discussions for more than a year on the agency’s future and the management and operation of several facilities, including the Regional Treatment Plant in Laguna Niguel. Over the first two weeks of November, the Moulton Niguel Water District (MNWD), Santa Margarita Water District (SMWD), and South Coast Water District (SCWD) Boards of Directors, as well the Laguna Beach City Council (also acting as the Board of Directors of Laguna Beach County Water District) have approved a series of legal agreements to enable MNWD to withdraw from SOCWA, assume management of the Regional Treatment Plant, and to transfer asset capacity and future flows between participant agencies. The remaining SOCWA members – City of San Clemente, Emerald Bay Service District, and El Toro Water District – are scheduled to consider these agreements over the next two weeks. • Longtime Yorba Linda Water District Board member Phil Hawkins announced his resignation from the Board. Director Hawkins was first appointed to the YLWD Board in 2010 and previously served on the OC San Board of Directors. Director Hawkins, who has served as Chief Executive Officer for Pacific West Association of Realtors, was named the new CEO of the California Association of Realtors in August. • The City of Placentia announced the departure of City Administrator Damien Arrula, who had served in the position since March of 2016. • Current OC San Board members Stephen Faessel (Anaheim), Bruce Whitaker (Fullerton), Farrah Khan (Irvine), Brad Avery (Newport Beach), Schelly Sustarsic (Seal Beach), and Robbie Pitts (Villa Park) will be concluding their service on their respective City Councils and the OC San Board. 2 • Former Orange County 1st District Supervisor Andrew Do pled guilty to one count of conspiracy to commit bribery related to Federally-funded programs and will be sentenced March 31, 2025. Current state Senator and former Supervisor Janet Nguyen was successful in her reelection campaign and will be sworn in as the new 1st District Supervisor in January 2025. As part of our scope of work, Whittingham Public Affairs Advisors (WPAA) has continued to monitor the various City Council agendas of each of the District’s members and highlighted issues and items of relevance to OC San. We also monitored activities at the South Coast Air Quality Management District, including the ongoing consideration of Proposed Amended Rule (PAR) 410, dealing with Odors from Transfer Stations and Materials Recovery Facilities; Proposed Rule 1110.4, related to Emissions from Emergency Generators; and PAR 1133.3, which will seek to reduce VOC and ammonia emissions from green waste and organics composting. It is a pleasure to work with you and to represent the Orange County Sanitation District. Sincerely, Peter Whittingham 12/3/2024 1 OC San Administration Committee Local Legislative Report Presented By: Peter Whittingham Whittingham Public Affairs Advisors December 11, 2024 Agenda Election Results 2025 Regional Issues Forecast 2 1 2 12/3/2024 2 OC San Election Results •Anaheim •Buena Park •Costa Mesa Sanitary District •Cypress •Fullerton •Garden Grove •Huntington Beach •Irvine •Irvine Ranch Water District 3 OC San Election Results •La Habra •Los Alamitos •Newport Beach •Orange County •Placentia •Seal Beach •Stanton •Tustin •Villa Park 4 3 4 12/3/2024 3 2025 Regional Issues Forecast •County CEO •OCPW Director •SOCWA •OCWD-MWDOC Consolidation •WISE Agreement & Waste Importation •County Sustainability Plan •MS4 Permit 5 Questions 6 5 6 ADMINISTRATION COMMITTEE Agenda Report Headquarters 18480 Bandilier Circle Fountain Valley, CA 92708 (714) 593-7433 File #:2024-3992 Agenda Date:12/11/2024 Agenda Item No:7. FROM:Robert Thompson, General Manager SUBJECT: PUBLIC AFFAIRS STRATEGIC PLAN FOR FISCAL YEARS 2024-2026 MID-YEAR UPDATE GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Recommend to the Board of Directors to: Receive and file the Public Affairs Strategic Plan for Fiscal Years 2024- 2026 Mid-Year Update. BACKGROUND The Orange County Sanitation District’s (OC San)Public Affairs Office is responsible for creating, organizing,and disseminating all internal and external communication.The primary objective of the Public Affairs team is to deliver messages that are accurate,transparent,and designed to foster trust and confidence.An integrated Public Affairs Strategic Plan is essential to effectively manage the variety of audiences served. RELEVANT STANDARDS ·Build brand, trust, and support with policy makers and community leaders ·Maintain collaborative and cooperative relationships with regulators,stakeholders,and neighboring communities ·Make it easy for people to understand OC San’s roles and value to the community ·Maintain influential legislative advocacy and a public outreach program PROBLEM There are various initiatives and messages that the Public Affairs Office must share with internal and external stakeholders for continued operation and efficiency of OC San.The messaging must be consistent, concise, and thoroughly planned to be efficient and effective. PROPOSED SOLUTION The Public Affairs team has developed a plan to span fiscal year 2024-25 and 2025-26,in support of OC San’s adopted two-year budget.The Public Affairs Strategic Plan includes goals,objectives, strategies,and tactics to execute the various messages and efforts set forth by OC San’s Strategic Plan and the General Manager’s Work Plan.The two-year plan commenced July 1,2024,and updates will be provided to the Administration Committee every six months. Orange County Sanitation District Printed on 12/3/2024Page 1 of 4 powered by Legistar™ File #:2024-3992 Agenda Date:12/11/2024 Agenda Item No:7. PRIOR COMMITTEE/BOARD ACTIONS June 2024 -Board and Steering Committee received and filed the Public Affairs Strategic Plan for Fiscal Years 2024-2026. ADDITIONAL INFORMATION OC San’s Public Affairs Office Strategic Plan for Fiscal Years 2024-2026 (Plan)was developed based upon the principles of OC San’s mission of protecting public health and the environment and to support the implementation of OC San’s Strategic Plan.This Plan offers a vision to unify communication efforts and focus resources to achieve the greatest impact and greatest results.The Plan consists of 11 categories. Below is a recap of the first six months of the plan. ·Employee Engagement Communications Goal: Optimize communication with internal audience including those operating in the field. o Conducted Employee Engagement Survey o 170 The San Box Posts (Intranet) o 26 Three Things to Know Emails (Weekly email) o Three (3)Pipeline issues o Hosted three (3) employee events ·Industry Experts Goal:Establish and solidify OC San’s reputation as infrastructure leaders in the wastewater and resource recovery industry. o Nine (9) awards received o 13 speaking engagements reaching over 600 people ·Media Relations Goal: Cultivate relationships with traditional and social media journalists and influencers. o Eight (8) press releases issued o 300 social media posts across five (5) platforms with average reach of 6,300 o 234 new followers ·Agency Branding and Messaging Goal:Enhance OC San’s image and branding by utilizing proper messaging in external communication pieces such as OC San’s website,presentations,digital media,advertising, which includes maintaining a positive experience for OC San visitors. o Launched new website o Two (2) issues of Neighborhood Newsletter reaching an average of 4,500 per issue o Published 33 articles on the OC San website o Completed 87 graphic design projects ·Educational Outreach Goal:Identify and implement avenues for education and outreach within OC San’s service area to promote OC San’s mission and vision. Orange County Sanitation District Printed on 12/3/2024Page 2 of 4 powered by Legistar™ File #:2024-3992 Agenda Date:12/11/2024 Agenda Item No:7. o 43 tours reaching over 500 people o Continue supporting the Heritage Museum of Orange County with their virtual and in- person teachings reaching approximately 2,500 people o Participated in four (4) community events reaching over 325 people ·Capital and Maintenance Outreach Goal:Develop and implement outreach programs that will engage the communities affected by OC San construction and maintenance activities. o Four (4) printed notifications distributed reaching over 3,700 people o 16 electronic messages issued o Held various meetings with project stakeholders o Presented at two (2) City Council meetings ·Legislative Affairs Goal:Proactive engagement in legislative advocacy efforts that could impact OC San and the wastewater industry. o Finalized annual Legislative and Regulatory Plan o Issued five (5) State position letters ·Grants Coordination Goal: Monitor, track, and apply for grants available to OC San. o Continue supporting the $3.45 million in community project funding ·Local Government Affairs Goal:Ensure that local elected officials,member agencies,stakeholders,and OC San Board Members are actively engaged in the work of OC San. o Board Member Speaking Points issued monthly o Developed OC San’s Annual Report o Hosted in-person State of OC San with approximately150 participants o Six (6) “Five Minutes Per Month” published o Two (2) member-agency outreach toolkits produced and distributed ·Crisis Management Goal:Ensure the Public Affairs Office serves as the primary spokesperson for OC San during normal business and crisis scenarios and facilitates the dissemination of information. o Continue monitoring and updating Public Affairs Office’s Continuity of Operations Plan ·General Manager Support Goal:Ensure the General Manager and Assistant General Manager are supported with information necessary to communicate to the varied OC San audiences. o Six (6) General Manager Monthly Reports o Monthly talking points preparation o Developed material for speaking engagements and presentations Orange County Sanitation District Printed on 12/3/2024Page 3 of 4 powered by Legistar™ File #:2024-3992 Agenda Date:12/11/2024 Agenda Item No:7. FINANCIAL CONSIDERATIONS All items included in the Public Affairs Strategic Plan FY 2024-2026 are budgeted in the FY 2024- 2026 Budget. ATTACHMENT The following attachment(s)may be viewed on-line at the OC San website (www.ocsan.gov)with the complete agenda package: ·Public Affairs Strategic Plan, FY 2024-2026 ·Presentation Orange County Sanitation District Printed on 12/3/2024Page 4 of 4 powered by Legistar™ STRATEGIC PLAN STRATEGIC PLAN PUBLIC AFFAIRS 2024-20262024-2026 3 Public Affairs | Strategic Plan 2024-2026 June 2024 Introduction The Orange County Sanitation District’s (OC San) Public Affairs Office (PAO) is responsible for managing all internal and external communications. The PAO’s main goal is to ensure messages are accurate, transparent, and build public trust and confidence. An integrated Public Affairs Strategic Plan is essential for effectively addressing the diverse audiences we serve. The PAO offers services, tools, and programs to meet OC San’s communication needs. This includes media relations, website and intranet site content, construction outreach, elected officials and government relations, internal communications, education, outreach, and graphic development. The PAO has developed a Strategic Plan (Plan) for Fiscal Years 2024 - 2026. This Plan is developed based upon the principles of OC San’s Mission of protecting public health and the environment and will support the implementation of OC San’s Strategic Plan. This Plan offers a vision to unify our communication efforts and focus resources to achieve the greatest impact and greatest results. Because much of what is planned and created by this group is based on external factors and therefore outside of our control, flexibility and fluidity is integrated into the Plan. The PAO will follow the guidance set forth by management and the Board of Directors to carry out OC San’s messaging and support our member agencies. Background Information OC San represents 20 cities, 4 special districts, and a portion of the unincorporated County of Orange. This area represents a community of 2.6 million people with approximately 550,000 customer accounts. Unlike most public agencies where there is direct contact with customers, OC San’s billing occurs through the County of Orange property tax bills. Therefore, OC San must work through other means to communicate with the public and the rate payers. We have a 25-member Board of Directors, and more than 650 employees within six departments with various goals and objectives. While these groups work independently on a variety of projects, the goal of the PAO is to provide support and messaging that is consistent throughout the agency so that we are one voice, representing the same overall goals, and portraying the same brand. There are many challenges with serving such a large and diverse customer base, however; there are also great opportunities working through the strategies laid out in this Plan. 4 Public Affairs | Strategic Plan 2024-2026 June 2024 Public Affairs Team The division is staffed with seven full-time employees and overseen by a supervisor and a department head. Jennifer Cabral Director of Communications Daisy Covarrubias Public Affairs Supervisor Rebecca Long Senior Public Affairs Specialist Belen Carrillo Senior Public Affairs Specialist Kelly Newell Public Affairs Specialist Public Affairs Specialist – Vacant Gregg Deterding Graphics Designer Isai Carrillo Graphics Designer Cheryl Scott Administrative Assistant Each of these team members carry out specific functions to meet the communication goals and objectives laid out in this Plan. 5 Public Affairs | Strategic Plan 2024-2026 June 2024 • OC San approved a five-year rate program in 2023. Public communication must account for the financial impact on OC San ratepayers as decisions and proposed fees for the next five years are developed and communicated. • OC San must continue to attract talented and qualified personnel to fill vacancies. Effectively communicating OC San’s culture and emphasizing the importance of professional relationships is essential to the effectiveness and functionality of the agency. • OC San will have new Board leadership and is anticipating a high turnover post the November 2024 election. Continuous engagement with the Board of Directors will be critical for the success of this agency. • As an essential service, OC San has continued to execute the Capital Improvement Program (CIP) to keep the regional projects on schedule, improving and maintaining the regional sewer system throughout the service area. In the next two fiscal years, OC San plans to award 38 construction contracts worth a total of $340 million. • OC San administrative staff have moved into a new Headquarters across the street from Plant No. 1, in Fountain Valley. The new building houses over 300 staff members that were previously spread across 10 buildings. Internal communications and engagement will need to become a greater focal point to ensure OC San’s culture remains positive between staff located at the Plants, and staff at Headquarters. Situation Analysis The Public Affairs Office is committed to communicating information about OC San in a timely, accurate and accessible way to the employees, the Board of Directors, our member agencies, elected officials, the public, and the news media. • We are committed to open, honest, clear, and respectful two-way communication with our audiences. • We are dedicated to informing others about how OC San serves the public and protects the environment. • We are committed to outstanding customer service by responding to requests quickly and efficiently. • We are dedicated to teamwork and collaboration as well as being creative and taking the initiative to be out in front of issues. Mission 6 Public Affairs | Strategic Plan 2024-2026 June 2024 This Public Affairs Plan focuses largely on four primary audiences. • Internal • Board of Directors • Executive Management Team • Employees • Retirees • The Public • Ratepayers • Member Agencies • Residents, Businesses, Commuters Impacted by OC San Construction and Maintenance • OC San Neighbors near our facilities (plants and pump stations) • Schools and Students • Tour Groups • Industry • Water/Wastewater Agencies • Trade Organizations • Trade Media • Contractors and Consultants • Influential Public • Local, State, and Federal Elected Officials • Environmental Groups • Local Media Audience 7 Public Affairs | Strategic Plan 2024-2026 June 2024 • OC San is committed to protecting public health and the environment by providing effective wastewater collection, treatment, and recycling. • OC San is more than a wastewater treatment facility; we are a resource recovery facility making use of all our byproducts. • OC San is dedicated to exceeding wastewater quality standards used for resource recovery. • OC San is committed to proper planning to ensure that public funds are wisely spent. • OC San’s assets are monitored and evaluated regularly to ensure top performance and timely replacement. • OC San values communicating our mission and strategies with those we serve and all other stakeholders. • OC San provides an essential service to 2.6 million people at one of the lowest rates in the state. • Providing reliable, responsive, and affordable services in line with our customer needs and expectations is a top priority for OC San. • OC San is committed to creating the best possible workforce, prioritizing safety, productivity, customer service, and training. • OC San has diligently developed an integrated planning environment that starts with the Board of Directors’ expectations and extends to each employee’s work product. We strive to ensure our staff members communicate effectively and provide transparent services to support the Plan. • OC San has developed an integrated Planning/Asset Management system that allows for intentional, thoughtful decision making to maintain current operations while adding resilience and meeting new challenges. • OC San’s organizational structure includes informal relationships between employees that facilitate collaboration toward common goals. Agency Key Messages 8 Public Affairs | Strategic Plan 2024-2026 June 2024 1. Optimize communication with our internal audience. 2. Continue to build OC San’s reputation as leaders in the wastewater and resource recovery industry. 3. Cultivate relationships with traditional and social media journalists and influencers to promote OC San’s programs and initiatives. 4. Enhance OC San’s image and branding by utilizing proper messaging in external communication pieces such as OC San’s website, presentations, digital media, and advertising. Maintain a positive experience and image for our visitors. 5. Identify and implement avenues for education and outreach within OC San’s service area to further promote OC San as a resource recovery agency, our mission, and career opportunities within the wastewater industry. 6. Educate and inform the public on the various OC San initiatives aimed to protect the environment such as What 2 Flush; Fats, Oil, and Grease; and any other necessary message. 7. Develop and implement outreach programs that will engage the communities affected by OC San’s construction projects. 8. Ensure proactive engagement in legislative advocacy efforts that could impact OC San and the wastewater industry. 9. Monitor, track, and apply for grants available and that make business sense to OC San 10. Ensure that elected officials, member agencies, stakeholders, and OC San Board Members are actively engaged in the work of OC San. 11. Ensure the Public Affairs Office serves as the primary spokesperson for OC San during normal business and crisis scenarios and facilitates the dissemination of information. To achieve these goals, PAO outlines the following strategies and tactics, along with the primary staff assigned to each area. Although individual staff members are the key contacts for each of the goals, the team works collectively and collaboratively, reflecting our core values. Our staff acknowledges the key role we play at OC San, not only communicating information, but also educating, consulting, and serving as a resource to our Board of Directors, employees, the wastewater industry, our member agencies, and our community. Flexibility is implemented into this plan to deal with unexpected situations and circumstances. Public Affairs’ Goals for Fiscal Year 2024/25 and 2025/26 9 Public Affairs | Strategic Plan 2024-2026 June 2024 Public Affairs Strategies And Tactics 10 Public Affairs | Strategic Plan 2024-2026 June 2024 01 CategoryEmployee Engagement Program Lead: Rebecca Long Program Coordinator/Support: Kelly Newell, Gregg Deterding, Isai Carrillo, and Cheryl Scott Goal (what): Optimize communication and engagement with our internal audience to include both field staff and administrative staff. Objective (measure): Establish a base line of current engagement by tracking access and participation from the identified tactics. Strategy (why): We value open and honest communication with our employees. PAO is committed to various efforts aimed at keeping OC San employees informed about important topics, increasing the overall quality of communications to our employees while tying the business aspects of the agency with the human-interest side. Tactics (how): • Keep information on The San Box current, relevant, and useful for OC San employees by working with the various departments to gather information that should be shared. • On a regular basis, staff will continue to support various departments with their communication and outreach needs. • PAO will produce six Pipeline newsletters per year with a goal of circulation by the third week of the publication month. • Incentivize employees to educate and inform the public of OC San’s essential service through the Volunteer Incentive Program (VIP) by issuing points for all volunteer hours. • Create employee recognition and celebratory events throughout the year, this may include small in-person gatherings and virtual events. To include but not limited to the Annual Holiday Lunch, the Harvest Festival, and VIP Celebration, etc. • Continue with the Honor Walk program which acknowledges retired staff and past Board Members for their contribution to OC San. The recognition event will be hosted every other year starting in 2025. • Write and coordinate the 3 Things to Know email blast to be distributed to all staff each Monday. • Support and promote OC San “U”, OC San’s training program. 11 Public Affairs | Strategic Plan 2024-2026 June 2024 • Create “New Employee Welcome Kit” to be distributed on employees first day of work to introduce employees to the OC San culture, include electronic communication with key messages and link to important information. • Create and implement an employee engagement audit to assess the value of the information shared, the method used, and feedback on OC San’s culture. • Conduct periodic surveys following employee events to allow for improvements and/or modifications. • Implement an employee art contest using OC San’s infrastructure.02 CategoryIndustry Experts Program Lead: Kelly Newell Program Coordinator/Support: Public Affairs Specialist, Gregg Deterding, Isai Carrillo, and Cheryl Scott Goal (what): Establish and solidify OC San’s reputation as infrastructure leaders in the wastewater and resource recovery industry. Objective (measure): Increase participation in strategic organizations through conferences, networking activities and awards by five percent. Strategy (why): To build positive public perception and confidence among our various audiences. Tactics (how): • Encourage participation and presentation in conferences. • Encourage and support award application submittals. • Publicize and coordinate award acceptance logistics. • Track all awards won by OC San by keeping a master list. • Track and promote staff abstracts, and publications. 12 Public Affairs | Strategic Plan 2024-2026 June 2024 04 CategoryAgency Branding and Messaging Program Lead: Belen Carrillo Program Coordinator/Support: Gregg Deterding, Isai Carrillo, Kelly Newell, Public Affairs 03 CategoryMedia Relations Program Lead: Rebecca Long Program Coordinator/Support: Kelly Newell, Belen Carrillo, Gregg Deterding, and Cheryl Scott Goal (what): Cultivate relationships with traditional and social media journalists and influencers. Objective (measure): Track and increase media coverage with positive stories about OC San. Strategy (why): While a presence in the community is important to putting a face to our agency, media (traditional and social) is equally important with a broader reach and a more direct line of communication. Tactics (how): • Annually update media list to stay current and fresh. • Maintain a digital press kit. • Build a calendar of news release topics of interest to the public and stakeholders. • Invite media for a facility tour, including traditional and non-traditional media. • Develop media strategies for important events, decisions, or actions. • E.g. CIP Campaign (see details in Category 6: Capital and Maintenance Outreach) • Weekly (3-5 times) social media posts about the happenings at OC San with focus on OC San’s accomplishments and mission. • Continue with social media campaigns # #OCSanCareers, #What2Flush, and those currently supporting ongoing efforts. • Track and promote staff abstracts, and publications. 13 Public Affairs | Strategic Plan 2024-2026 June 2024 Specialist, and Cheryl Scott Goal (what): Enhance OC San’s image and branding by utilizing proper messaging in external communication pieces such as OC San’s website, presentations, digital media, advertising, which includes maintaining a positive experience for OC San visitors. Objective (measure): Continue with OC San’s branding campaign including updating collateral material, signage, and promotional material as appropriate and as it is used. Maintain the lobby(s) current and informative with relevant information, i.e., displays, awards case, etc. Strategy (why): A cohesive voice, message, look, and feel are critical to the public perception that an organization holds with its community. A positive and pleasant in-person experience reinforces OC San’s culture and core values as well as showcasing OC San as industry leaders, and a well-run organization, leaving behind the stigma of typical government agencies. Tactics (how): • Develop new website to better meet the information needs of our visitors while meeting accessibility standards. • Maintain website accuracy, relevancy and timeliness with new stories posted weekly. • Provide presentations, consultation, and advice on the branding and image of OC San. • Develop new collateral materials around the key messages. • Explore advertising options to inform the public of agency efforts and role in enhancing the local economy. • Fulfill all requests for graphics, photos, and logos. • Continue with online community newsletter. Increase reach and distribution list. • Update and maintain signage across OC San facilities. • Develop a Board approved design for the hands-on educational display for the outdoor patio. • Maintain the lobby wall in the Operations Center at Plant No. 2 with OC San’s current branding and messaging and implement lobby display at the Headquarters. • Rotate flags on light poles at Plant No. 1 and at Plant No. 2 on a biennial basis. • Keep the award display up to date by rotating awards. • Install a retiree display in the Headquarters and keep it up to date. • Maintain and coordinate the installation of Honor Walk bricks on a biennial basis. • Display collateral material in a neatly and organized manner displayed with current and relevant information. 14 Public Affairs | Strategic Plan 2024-2026 June 2024 • Update a video library of OC San programs to utilize as educational and promotional tools. • Promote implementation of OC San’s permittee awards program that recognizes industries for improving their adherence to excellent standards and expand to recognize multi-year awardees. Identify methods to include waste haulers in recognition system.05 CategoryEducational Outreach Program Lead: Belen Carrillo Program Coordinator/Support: Kelly Newell, Public Affairs Specialist, Gregg Deterding, Isai Carrillo, and Cheryl Scott Goal (what): Identify and implement avenues for education and outreach within OC San’s service area to promote OC San’s mission and vision. Objective (measure): Create and identify new educational opportunities including virtual events and webinars to promote and educate the community on OC San’s work and the essential service provided. Strategy (why): To further promote OC San as a resource recovery agency, promote OC San’s mission and promote career opportunities within the wastewater industry. Tactics (how): • Execute the Inside the Outdoors contract for Fiscal Year 2025-2026 to continue the educational partnership that includes the Sewer Science program to 500 students within Orange County and introduce them to OC San’s virtual tour program. • Revise plant tours to incorporate Headquarters. • Identify 8-10 community event opportunities for OC San to participate in to inform and educate the community on the important role OC San plays in public health and the environment. • Expand OC San’s speaker’s bureau to provide a wider set of speakers available. • Continue hosting Wastewater 101 Citizen Academy for our ratepayers, and influential public to showcase OC San operations and initiatives. Host one session with four classes per year. • Support the Heritage Museum of Orange County’s educational efforts by supplying material to be used for virtual and in-person teaching of OC San’s key messages. 15 Public Affairs | Strategic Plan 2024-2026 June 2024 06 CategoryCapital and Maintenance Outreach Program Lead: Belen Carrillo and Tanya Chong from Engineering Program Coordinator/Support: Kelly Newell, Public Affairs Specialist, Rebecca Long, Gregg Deterding, Isai Carrillo, and Cheryl Scott Goal (what): Develop and implement outreach programs that will engage the communities affected by OC San construction and maintenance activities. Objective (measure): Develop, implement, and provide outreach support for over 10 capital projects scheduled to break ground in fiscal years 2024/2025 and 2025/2026 in more than 10 cities. Strategy (why): Form a positive presence in the community prior to the start of construction projects or maintenance activities that is personal and proactive. Provide impacted community with information ahead of construction activities. Inform them of the benefits and need for the project to gain support and understanding of the necessary construction. Tactics (how): • Proactively offer briefings and community meetings to impacted neighborhoods, civic groups, businesses, schools, churches, and other institutions within the project area on an as needed basis. • Explore the option of placing advertising pieces in communities/areas impacted by construction. • Respond to inquiries within a 24-hour period. • Provide project description and notifications to impacted residents at least two weeks before construction begins. • Update collateral materials, fact sheets and website with current construction information on an as needed basis. • Maintain ongoing communications with city staff and Board Members on current and upcoming construction outreach projects in affected cities. • Maintain ongoing communications with impacted residents within the project area through collateral material (e.g., flyers, door hangers, emails, text alerts, social • Connect with OC San service area libraries to identify possible OC San program collaboration and implementation opportunities that would aim to highlight selected OC San messaging points such as What 2 Flush, the wastewater treatment process, and career opportunities. 16 Public Affairs | Strategic Plan 2024-2026 June 2024 media posts, etc.). • Measure customer satisfaction through a construction outreach survey to be distributed at the close of construction programs. • Provide outreach program training for the engineering team to help them understand the outreach program, the role of the community liaison and benefits to project. • Implement a multipronged outreach strategy that will include industry and media coverage for the Supercritical Water Oxidation project.07 CategoryLegislative Affairs Program Lead: Rebecca Long Program Coordinator/Support: Kelly Newell, Public Affairs Specialist, and Cheryl Scott Goal (what): Proactive engagement in legislative advocacy efforts that could impact OC San and the wastewater industry. Objective (measure): Continue positive relationships with local, state, and federal officials through facility tours, meetings, and bill tracking as stated in the Legislative Plan. Strategy (why): Legislative advocacy is an important aspect of our business. Having relationships and being actively involved, providing input and OC San’s perspective on potential legislature can and does directly affect OC San and our business. The PAO is responsible for executing the Board approved Legislative Plan, which is updated on an annual basis. In addition, staff is responsible for tracking state and federal legislation, managing OC San’s legislative advocates, and seeking appropriations and grants. Tactics (how): • Develop and implement Annual Legislative Plan in the second quarter of each fiscal year. • Track bills and maintain a priority list of key legislation. • Provide regular updates to the Legislative and Public Affairs Committee on state and federal matters. • Host legislative tours. • Engage in Advocacy Days in Sacramento and Washington DC as needed. • Take positions on bills that could affect OC San or the industry. 17 Public Affairs | Strategic Plan 2024-2026 June 2024 • Work with industry organizations on state and federal issues to ensure OC San’s positions are communicated. • Partner with industry organizations to co-host virtual events and activities. • Manage the legislative advocates’ contracts and facilitate regular communication between lobbyists, staff, and the Board of Directors.08 CategoryGrants Coordination Program Lead: Rebecca Long Program Coordinator/Support: Kelly Newell, Public Affairs Specialist, and Cheryl Scott Goal (what): Monitor, track, and apply for grants available to OC San. Objective (measure): Apply and obtain grants for qualified OC San projects and programs. Strategy (why): Outside funding is important in moving OC San projects and programs forward. With ongoing attention to government spending, it is vital for OC San to apply for and secure grants to offset costs when available. Tactics (how): • Apply for two grants a year based on availability. • Ensure Grant Policy is updated and current. • Research grant opportunities and report out to the Legislative and Public Affairs Committee. • Seek out available grant funding opportunities for OC San and its various divisions. • Secure letters of support. • Publicize grant awards received. • Create and measure outcomes. 18 Public Affairs | Strategic Plan 2024-2026 June 2024 09 CategoryLocal Government Affairs Program Lead: Rebecca Long and Belen Carrillo Program Coordinator/Support: All PAO staff Goal (what): Ensure that local elected officials, member agencies, stakeholders, and OC San Board Members are actively engaged in the work of OC San. Objective (measure): Provide at least two communication tools per month. Strategy (why): Keeping OC San’s influential public engaged in OC San’s projects and accomplishments are critical to the support and success of our agency. Tactics (how): • Provide Board of Directors with speaking points following every OC San board meeting that can be used when reporting back to their respective councils and community groups. • Support an orientation (as needed) for new Board members. • Develop and keep a current list of monthly informational presentations. • Maintain an informational presentation video library for the Board of Directors on key agency topics. • Provide regular reports to the Steering Committee. • Develop OC San’s Annual Report. • Publish a Five Minutes Per Month, each month. • Participate in government affairs committees. • Invite new council and board members within OC San’s service area to take a tour of OC San and offer presentations to their respective agencies on OC San programs and efforts. • Create and distribute quarterly outreach tool kits for member agency PIOs to help them easily share and disseminate information about OC San. • Host a “State of OC San” event for influential leaders throughout the infrastructure and water/wastewater industry, including virtual option. 19 Public Affairs | Strategic Plan 2024-2026 June 2024 11 CategoryGeneral Manager Support Program Lead: Daisy Covarrubias / Rebecca Long Program Coordinator/Support: All PAO staff Goal (what): Ensure the General Manager and Assistant General Managers are supported with information necessary to communicate to the varied OC San audiences. 10 CategoryCrisis Management Program Lead: Rebecca Long Program Coordinator/Support: All PAO staff Goal (what): Ensure the PAO serves as the primary spokesperson for OC San during normal business and crisis scenarios and facilitates the dissemination of information. Objective (measure): Ensure that the PIOs in the PAO can respond in a crisis. Provide the necessarily tools and material to follow established protocols and support the situation as needed. Strategy (why): It is imperative during a crisis that OC San be proactive and provide clear and effective messaging to employees, public, and the media. Tactics (how): • Maintain an updated crisis communication plan including regular briefings with staff to identify possible issues and responses. • Maintain and update PAO’s Continuity of Operations Plan (COOP). • Work with Risk and Safety Management on Public Affair’s role in an emergency, including our role via the Integrated Emergency Response Plan. • Ensure proper procedures are in place for Board, employees, and public notification. • Maintain updated contact lists for resource, member, and partnering agencies to coordinate and assist during crisis. • Develop protocols on everyday PAO tasks to facilitate the operations of the group in a time of crisis. 20 Public Affairs | Strategic Plan 2024-2026 June 2024 Objective (measure): Develop monthly communication pieces on behalf of the General Manager. Ensure General Manager (or designee) is participating and involved in promoting OC San’s initiatives. Strategy (why): Collaborate with the General Manager to prepare communication and messaging that reflects the mission and vision of OC San. Tactics (how): • Assist the General Manager and the Assistant General Managers with keeping the Board Members informed and up to date with OC San activities. • Assist in the development of the General Manager’s Monthly Report. • Develop talking points for Board and Committee meetings. • Develop material and speaking points for presentations and speaking engagements. • Support the development of the OC San Strategic Plan. • Assist in the development of the General Manager’s Annual Work Plan, including mid-year and end of year reports. • Manage Ask the GM questions submitted. • Coordinate and support VIP tours guided by General Manager and Assistant General Manager. • Coordinate and produce annual All Hands meetings (live and/or pre-recorded) to keep employees informed and engaged. 21 Public Affairs | Strategic Plan 2024-2026 June 2024 Closing Comments This plan is a broad outline of the Public Affairs Office program. As new issues arise, new functions and duties will evolve as well. The role of the Public Affairs Office is to stay ahead of issues, be responsive and flexible to meet the needs of the agency. We will adjust our program accordingly. New Tactics Introduced • OC San new website – In progress • Library Educational Program • Headquarters Educational Display – Phase 2 • Video Library Update • Employee Engagement Audit • New Employee Welcome Kit • Employee Art Contest Public Affairs Division 18480 Bandilier Circle Fountain Valley, CA 92708www.ocsan.gov 12/3/2024 1 Presented by:Daisy Covarrubias, Public Affairs Supervisor Administration Committee December 11, 2024 Orange CountySanitation District70thAnniversary 2 Jennifer Cabral, Director of Communications Daisy Covarrubias, Public Affairs Supervisor Rebecca Long, Senior Public Affairs Specialist Belen Carrillo, Senior Public Affairs Specialist Kelly Newell, Public Affairs Specialist Becky Polcyn, Public Affairs Specialist Gregg Deterding, Graphic Designer Isai Carrillo, Graphic Designer Cheryl Scott, Administrative Assistant Tanya Chong , Principal Staff Analyst (Engineering) VIPS 1 2 12/3/2024 2 Orange CountySanitation District70thAnniversary •Employee Engagement •Industry Experts •Media Relations •Agency Branding and Messaging •Educational Outreach •Capital and Maintenance Outreach •Legislative Affairs •Grant Coordination •Local Government Affairs •Crisis Management •General Manager Support 3 v Orange CountySanitation District70thAnniversary 4 Employee Engagement 199 communication pieces 3 employee events Employee Engagement Survey Education 4 community events 43 tours Media 300 social media posts 234 new followers 3 4 12/3/2024 3 v Orange CountySanitation District70thAnniversary 5 Experts 13 speaking engagements 9 awards Construction 3.7k people reached 16 electronic messages Branding Website redesign 2 newsletters 33 website articles 87 design projects v Orange CountySanitation District70thAnniversary 6 Legislative 5 position letters Legislative Plan Govt. Affairs State of OC San Annual Report Quarterly Outreach Toolkits GM Support Monthly Memo Work Plan Talking Points Presentations Strategic Plan 5 6 12/3/2024 4 Orange CountySanitation District70thAnniversary Next 6-Months •Headquarters Educational Display – Phase 2 •Board Orientation & Strategic Planning •Library Education Program •New Employee Welcome Kit •Employee Art Contest •Construction Outreach •Community Engagement •Local Government Affairs Outreach 7 Orange CountySanitation District70thAnniversary Receive and File the Public Affairs Strategic Plan for Fiscal Years 2024 – 2026 Mid-Year Update. 8 7 8 12/3/2024 5 1954 - 2024 Orange County Sanitation District 70th Anniversary 9 9 ORANGE COUNTY SANITATION DISTRICT COMMON ACRONYMS ACWA Association of California Water Agencies LOS Level Of Service RFP Request For Proposal APWA American Public Works Association MGD Million Gallons Per Day RWQCB Regional Water Quality Control Board AQMD Air Quality Management District MOU Memorandum of Understanding SARFPA Santa Ana River Flood Protection Agency ASCE American Society of Civil Engineers NACWA National Association of Clean Water Agencies SARI Santa Ana River Interceptor BOD Biochemical Oxygen Demand NEPA National Environmental Policy Act SARWQCB Santa Ana Regional Water Quality Control Board CARB California Air Resources Board NGOs Non-Governmental Organizations SAWPA Santa Ana Watershed Project Authority CASA California Association of Sanitation Agencies NPDES National Pollutant Discharge Elimination System SCADA Supervisory Control And Data Acquisition CCTV Closed Circuit Television NWRI National Water Research Institute SCAP Southern California Alliance of Publicly Owned Treatment Works CEQA California Environmental Quality Act O & M Operations & Maintenance SCAQMD South Coast Air Quality Management District CIP Capital Improvement Program OCCOG Orange County Council of Governments SOCWA South Orange County Wastewater Authority CRWQCB California Regional Water Quality Control Board OCHCA Orange County Health Care Agency SRF Clean Water State Revolving Fund CWA Clean Water Act OCSD Orange County Sanitation District SSMP Sewer System Management Plan CWEA California Water Environment Association OCWD Orange County Water District SSO Sanitary Sewer Overflow EIR Environmental Impact Report OOBS Ocean Outfall Booster Station SWRCB State Water Resources Control Board EMT Executive Management Team OSHA Occupational Safety and Health Administration TDS Total Dissolved Solids EPA US Environmental Protection Agency PCSA Professional Consultant/Construction Services Agreement TMDL Total Maximum Daily Load FOG Fats, Oils, and Grease PDSA Professional Design Services Agreement TSS Total Suspended Solids gpd gallons per day PFAS Per- and Polyfluoroalkyl Substances WDR Waste Discharge Requirements GWRS Groundwater Replenishment System PFOA Perfluorooctanoic Acid WEF Water Environment Federation ICS Incident Command System PFOS Perfluorooctanesulfonic Acid WERF Water Environment & Reuse Foundation IERP Integrated Emergency Response Plan POTW Publicly Owned Treatment Works WIFIA Water Infrastructure Finance and Innovation Act JPA Joint Powers Authority ppm parts per million WIIN Water Infrastructure Improvements for the Nation Act LAFCO Local Agency Formation Commission PSA Professional Services Agreement WRDA Water Resources Development Act ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS ACTIVATED SLUDGE PROCESS – A secondary biological wastewater treatment process where bacteria reproduce at a high rate with the introduction of excess air or oxygen and consume dissolved nutrients in the wastewater. BENTHOS – The community of organisms, such as sea stars, worms, and shrimp, which live on, in, or near the seabed, also known as the benthic zone. BIOCHEMICAL OXYGEN DEMAND (BOD) – The amount of oxygen used when organic matter undergoes decomposition by microorganisms. Testing for BOD is done to assess the amount of organic matter in water. BIOGAS – A gas that is produced by the action of anaerobic bacteria on organic waste matter in a digester tank that can be used as a fuel. BIOSOLIDS – Biosolids are nutrient rich organic and highly treated solid materials produced by the wastewater treatment process. This high-quality product can be recycled as a soil amendment on farmland or further processed as an earth-like product for commercial and home gardens to improve and maintain fertile soil and stimulate plant growth. CAPITAL IMPROVEMENT PROGRAM (CIP) – Projects for repair, rehabilitation, and replacement of assets. Also includes treatment improvements, additional capacity, and projects for the support facilities. COLIFORM BACTERIA – A group of bacteria found in the intestines of humans and other animals, but also occasionally found elsewhere, used as indicators of sewage pollution. E. coli are the most common bacteria in wastewater. COLLECTIONS SYSTEM – In wastewater, it is the system of typically underground pipes that receive and convey sanitary wastewater or storm water. CERTIFICATE OF PARTICIPATION (COP) – A type of financing where an investor purchases a share of the lease revenues of a program rather than the bond being secured by those revenues. CONTAMINANTS OF POTENTIAL CONCERN (CPC) – Pharmaceuticals, hormones, and other organic wastewater contaminants. DILUTION TO THRESHOLD (D/T) – The dilution at which the majority of people detect the odor becomes the D/T for that air sample. GREENHOUSE GASES (GHG) – In the order of relative abundance water vapor, carbon dioxide, methane, nitrous oxide, and ozone gases that are considered the cause of global warming (“greenhouse effect”). GROUNDWATER REPLENISHMENT SYSTEM (GWRS) – A joint water reclamation project that proactively responds to Southern California’s current and future water needs. This joint project between the Orange County Water District and OCSD provides 70 million gallons per day of drinking quality water to replenish the local groundwater supply. LEVEL OF SERVICE (LOS) – Goals to support environmental and public expectations for performance. N-NITROSODIMETHYLAMINE (NDMA) – A N-nitrosamine suspected cancer-causing agent. It has been found in the GWRS process and is eliminated using hydrogen peroxide with extra ultra-violet treatment. NATIONAL BIOSOLIDS PARTNERSHIP (NBP) – An alliance of the NACWA and WEF, with advisory support from the EPA. NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. PER- AND POLYFLUOROALKYL SUBSTANCES (PFAS) – A large group (over 6,000) of human-made compounds that are resistant to heat, water, and oil and used for a variety of applications including firefighting foam, stain and water-resistant clothing, cosmetics, and food packaging. Two PFAS compounds, perfluorooctanesulfonic acid (PFOS) and perfluorooctanoic acid (PFOA) have been the focus of increasing regulatory scrutiny in drinking water and may result in adverse health effects including developmental effects to fetuses during pregnancy, cancer, liver damage, immunosuppression, thyroid effects, and other effects. PERFLUOROOCTANOIC ACID (PFOA) – An ingredient for several industrial applications including carpeting, upholstery, apparel, floor wax, textiles, sealants, food packaging, and cookware (Teflon). PERFLUOROOCTANESULFONIC ACID (PFOS) – A key ingredient in Scotchgard, a fabric protector made by 3M, and used in numerous stain repellents. PLUME – A visible or measurable concentration of discharge from a stationary source or fixed facility. PUBLICLY OWNED TREATMENT WORKS (POTW) – A municipal wastewater treatment plant. SANTA ANA RIVER INTERCEPTOR (SARI) LINE – A regional brine line designed to convey 30 million gallons per day of non-reclaimable wastewater from the upper Santa Ana River basin to the ocean for disposal, after treatment. SANITARY SEWER – Separate sewer systems specifically for the carrying of domestic and industrial wastewater. SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT (SCAQMD) – Regional regulatory agency that develops plans and regulations designed to achieve public health standards by reducing emissions from business and industry. SECONDARY TREATMENT – Biological wastewater treatment, particularly the activated sludge process, where bacteria and other microorganisms consume dissolved nutrients in wastewater. SLUDGE – Untreated solid material created by the treatment of wastewater. TOTAL SUSPENDED SOLIDS (TSS) – The amount of solids floating and in suspension in wastewater. ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS TRICKLING FILTER – A biological secondary treatment process in which bacteria and other microorganisms, growing as slime on the surface of rocks or plastic media, consume nutrients in wastewater as it trickles over them. URBAN RUNOFF – Water from city streets and domestic properties that carry pollutants into the storm drains, rivers, lakes, and oceans. WASTEWATER – Any water that enters the sanitary sewer. WATERSHED – A land area from which water drains to a particular water body. OCSD’s service area is in the Santa Ana River Watershed.