HomeMy WebLinkAboutOC SAN 24-15OC SAN 24-15-1
RESOLUTION NO. OC SAN 24-15
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 24-15-2
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
Kelly Lore (Dec 19, 2024 09:26 PST)
Kelly Lore
OC SAN 24-15-3
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 24-15 was passed and adopted at a regular meeting of said Board on the 18th of December 2024, by the following vote, to wit:
AYES: Debbie Baker, Pat Burns, Jon Dumitru, Ryan Gallagher, Glenn
Grandis, Johnathan Ryan Hernandez, Tom Lindsey, Christine Marick, Jose Medrano, Scott Minikus, Jordan Nefulda, Andrew Nguyen, Robert Ooten, David Shawver, Kathleen Treseder (Alternate), Chad Wanke, John Withers and Jordan Wu
(Alternate) NOES: None ABSENT: Joyce Ahn, Doug Chaffee, Stephanie Klopfenstein, Lisa Landau (Alternate), Carlos Leon, Erik Weigand (Alternate) and Nick Dunlap
(Alternate) ABSTENTIONS: None
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
Kelly Lore (Dec 19, 2024 09:26 PST)
Kelly Lore
Orange County Sanitation District
Adopted
December 18, 2024
Resolution No. OC SAN 24-15
RECORDS MANAGEMENT
PROCEDURE MANUAL
DECEMBER 2024
OC SAN 24-15-4
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 00
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors
Table of Contents 1 Adopted 12/18/2024
POLICY CONTACT:
Clerk of the Board (Custodian of Records)
REGULATORY REFERENCES: Resolution No. OC SAN 24-15 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 with 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
OC SAN 24-15-5
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 00
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: TABLE OF CONTENTS Approved by: OC San Board of Directors
Table of Contents 2 Adopted 12/18/2024
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 Communications Accounts
12.0 ESCROW OF BID DOCUMENTS
13.0 DIGITIZATION OF RECORDS
OC SAN 24-15-6
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 1.0
Effective Date: 12/18/24
Supersedes: 04/24/24
SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors
Records Management Policy 1 Adopted 12/18/2024
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 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.
OC SAN 24-15-7
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 1.0
Effective Date: 12/18/24
Supersedes: 04/24/24
SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors
Records Management Policy 2 Adopted 12/18/2024
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.
OC SAN 24-15-8
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 1.0
Effective Date: 12/18/24
Supersedes: 04/24/24
SUBJECT: RECORDS MANAGEMENT PROGRAM POLICY Approved by: OC San Board of Directors
Records Management Policy 3 Adopted 12/18/2024
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 THE 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.
OC SAN 24-15-9
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 2.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PROGRAM GUIDELINES Approved by:
OC San Board of Directors
Program Guidelines 1 Adopted 12/18/2024
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.
OC SAN 24-15-10
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 2.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PROGRAM GUIDELINES Approved by:
OC San Board of Directors
Program Guidelines 2 Adopted 12/18/2024
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 records. 3.2 Maintain approved RRS.
3.3 Ensure use of appropriate technology in facilitating records and information storage and retrieval.
3.4 Provide systematic control of all OC San records through processing, distribution, maintenance, retrieval, and disposition.
4.0 RECORDS
4.1 OC San records must be managed throughout their “life cycle”. 4.2 The life cycle of a record is the time period from the creation or receipt of a
record to its final disposition. 4.3 Final disposition can be either destruction or perpetual retention.
4.4 Life cycle of a record is inclusive of five (5) stages:
• Stage 1 – Creation or receipt of records
• Stage 2 – Use or distribution
• Stage 3 – Storage or maintenance
OC SAN 24-15-11
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 2.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PROGRAM GUIDELINES Approved by:
OC San Board of Directors
Program Guidelines 3 Adopted 12/18/2024
• 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.
OC SAN 24-15-12
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 2.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PROGRAM GUIDELINES Approved by:
OC San Board of Directors
Program Guidelines 4 Adopted 12/18/2024
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, Clerk of the Board and/or designee,
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.
OC SAN 24-15-13
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 2.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PROGRAM GUIDELINES Approved by:
OC San Board of Directors
Program Guidelines 5 Adopted 12/18/2024
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.
OC SAN 24-15-14
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 3.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors
Staff Responsibilities 1 Adopted 12/18/2024
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.
OC SAN 24-15-15
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 3.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors
Staff Responsibilities 2 Adopted 12/18/2024
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 Legal Counsel, auditors, and the Office of Record to ensure that records are
available as required.
• Manage the records retention, offsite transfer, and destruction activities of the Program.
• Conduct periodic audits of the Program to
ensure compliance.
• In collaboration with IT and the Office of
Record, coordinate vital record protection and ensure that the Program supports the Integrated Emergency Response Plan.
OC SAN 24-15-16
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 3.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: STAFF RESPONSIBILITIES Approved by: OC San Board of Directors
Staff Responsibilities 3 Adopted 12/18/2024
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.
OC SAN 24-15-17
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 1 Adopted 12/18/2024
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 An examination or inspection of all OC San records including those related to operations, policies and procedures, financial documentation, and historical documents.
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.
OC SAN 24-15-18
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 2 Adopted 12/18/2024
Current
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.
Retention Period The period of time that records must be kept according to legal or organizational requirements.
OC SAN 24-15-19
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 3 Adopted 12/18/2024
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 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, 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.
LO LF
Life of Organization or Facility
Maintain records for the "life" of the organization, facility, project, physical plant or building, building system or sub-system, asset, piece of equipment, or component. These records are not eligible for destruction.
OC SAN 24-15-20
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 4 Adopted 12/18/2024
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 record 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.
OC SAN 24-15-21
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 5 Adopted 12/18/2024
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 Record Series is comprised of similar or related record titles that have a similar business function (purpose), are normally used and filed as a unit, and are retained for a similar time period. 3.0 RECORDS RETENTION SCHEDULE (RRS) MAINTENANCE
3.1 The RRS is a list of OC San records organized by Department/Division and Record Type/Record 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.
OC SAN 24-15-22
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 6 Adopted 12/18/2024
Responsibility Action Clerk of the Board and/or
Designee • Coordinate the periodic update of the RRS and
Records Series with 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 Record 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
Record Series.
OC SAN 24-15-23
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 7 Adopted 12/18/2024
• 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 Record 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
OC SAN 24-15-24
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 8 Adopted 12/18/2024
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.
OC SAN 24-15-25
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 9 Adopted 12/18/2024
6.5 Systematic control of inactive records consists of:
• Properly packing the records in records storage boxes obtained from the warehouse and properly labeling the boxes.
• Preparing an index of the contents of the box using a Disposition Form.
• Contacting the Clerk of the Board and/or designee for a barcode.
• Follow the guidelines below when packing the records:
• Each box shall only contain official inactive records. Non-
records and duplicate records should not be transferred to offsite storage. They are destroyed in the active office area as appropriate.
• Do not pack different Records Series in the same box. Records Series packed together should have the same destruction date.
• Schedule the pick-up and transfer of the box(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 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.
OC SAN 24-15-26
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 4.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS RETENTION Approved by: OC San Board of Directors
Records Retention 10 Adopted 12/18/2024
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.
OC SAN 24-15-27
Procedure 4.0
Records Retention Schedule Change Request Form
Exhibit A
OC SAN 24-15-28
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 OC SAN 24-15-29
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:
OC SAN 24-15-30
Procedure 4.0
Records Retention Schedule
Exhibit B
OC SAN 24-15-31
CCP CL
CCR CU
CFR EXGCLFH&S LO
IRS NN
LC OB
PC S
PRC T
OMB
R&TC
SOS
USC CDEL ElectronicFDFloppy Disk
C P PaperHTA
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
DW008 CU+90 Days EL, P
DW009 CU+2
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
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-19EMT Meeting Minutes previously 2020 GMO017
CU = calendar year
Non-Historical Photos & Videos Historical/Non-Historical determination is made by the
Department Director or Custodian of RecordsIncorporates 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 TypeIncorporates 2018 OMD012
Speeches and Non-Marketing Related Presentations & Supporting Documents (Includes PowerPoints):Presentations Not Made at Board/Committee Meetings
SOS C-24Some records may be kept for historical value
Incorporates 2020 DW004, 2018 PAO005, 2018
OMD013CU = date of presentation
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 retentionIncorporates 2018 ESD018
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.
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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)
1 Districtwide Adopted: 12/18/2024
OC SAN 24-15-32
CCP CL
CCR CU
CFR EXGCLFH&S LO
IRS NN
LC OB
PC S
PRC T
OMB
R&TC
SOS
USC CDEL ElectronicFDFloppy Disk
C P PaperHTA
V
Retention
Number
Retention Length(Years Unless
Specified)
Special
Storage
Consideration
Media Type
Districtwide
Record Series / Record Type Retention Citations &Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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)
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-19Separating 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-30CU = statement date
2 Districtwide Adopted: 12/18/2024
OC SAN 24-15-33
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
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
BSD008 T+7 EL, P
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
Conflict of Interest (FPPC Filings)GC §81009(e); SOS C-18
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
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
Board and Committee Meeting Agenda Packets and Meeting-Related Materials:
Agenda, Agenda Reports & Attachments, Presentations, GM Monthly Report SOS C-22
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
3 Board Services Adopted: 12/18/2024
OC SAN 24-15-34
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Board Services
Record Series / Record Type Retention Citations &Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
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
BSD016 LO V EL, P
BSD017 LO V EL, P
Meeting Minutes:Board & Board Committees GC §60201(d)(3)
Ordinances GC §60201(d)(2)
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-45CL = 2 years after case is closed
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)
4 Board Services Adopted: 12/18/2024
OC SAN 24-15-35
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Board Services
Record Series / Record Type Retention Citations &Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
BSD018 LO EL, P
BSD019 LO V EL, P
BSD020 LO EL
BSD021 CU+3 EL, P
BSD023 CL+2 EL, P
BSD024 LO EL, P
BSD025 LO EL, P
BSD026 LO EL, PRecords Destruction Records:Approvals, Certificates, Requests SOS C-23
Incorporates 2018 ITD019
Public Records Act Requests GC §60201(d)(5); SOS C-23
Grand Jury Reports/Responses
Records Retention Schedules CCP §343; SOS C-23Schedules are superseded when updatedIncorporates 2018 ITD022
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 §1113Incorporates 2015 BSD010
CU = calendar year
Recorded Project Documents:Notices of Completion, Easements, Deeds, etc.GC §60201(d)(8); SOS C-26
5 Board Services Adopted: 12/18/2024
OC SAN 24-15-36
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Board Services
Record Series / Record Type Retention Citations &Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
BSD027 S+3 EL, P
BSD028 LO H EL, P
BSD029 LO H EL
BSD030 LF C, V
BSD031 7 V EL, P
OC San Declarations of Emergency Log & Related Back Up Documentation
Escrow Bid Documents
CCP §337.15Unsuccessful 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
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
6 Board Services Adopted: 12/18/2024
OC SAN 24-15-37
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Board Services
Record Series / Record Type Retention Citations &Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
BSD032 LO V EL, PDelegation of Authority, Especially Related to Declaration of Emergency (Executive Management) & Related Log GC §8557(b), GC §8634
7 Board Services Adopted: 12/18/2024
OC SAN 24-15-38
CCP CL
CCR CU
CFR EXGCLFH&S LOIRSNNLCOBPCS
PRC T
OMB
R&TC
SOS
USC CD
EL ElectronicFDFloppy Disk
C P PaperHTAV
Retention Number
Retention Length(Years Unless Specified)
Special Storage
Consideration
Media Type
CPM001 LO CD, EL, P
CPM002 CL+7 CD, EL, P
CPM005 CL+5 EL, P
CPM008 CL+4 EL
CPM009 CU+3 EL, P
Life of Facility, Equip. or Software
General Retention Schedule Information Health & Safety Code Life of Organization or PermanentInternal 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)ObsoletePenal Code (CA)Superseded
Public Resources Code Terminated
Office of Management & Budget
Revenue & Taxation Code
Secretary of State Media Types
United States Code CD
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
ConfidentialHistorical TapesVital
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 FilesFor 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-30Incorporates 2018 CPM004, 2018 CPM011, 2018 CPM012, 2018 CPM013, 2018 CPM014, 2018 CPM015, 2018 CPM017, 2018 CPM018
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-30Incorporates 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
8 Contracts, Purchasing, and Materials Management Adopted: 12/18/2024
OC SAN 24-15-39
CCP CL
CCR CU
CFR EXGCLFH&S LOIRSNNLCOBPCS
PRC T
OMB
R&TC
SOS
USC CD
EL ElectronicFDFloppy Disk
C P PaperHTAV
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 PermanentInternal 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)ObsoletePenal Code (CA)Superseded
Public Resources Code Terminated
Office of Management & Budget
Revenue & Taxation Code
Secretary of State Media Types
United States Code CD
ConfidentialHistorical TapesVital
Contracts, Purchasing, and Materials Management
Record Series / Record Type Retention Citations &
Comments
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-30Incorporates 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
9 Contracts, Purchasing, and Materials Management Adopted: 12/18/2024
OC SAN 24-15-40
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
H TA
V
Retention Number
Retention
Length(Years Unless
Specified)
Special Storage Consideration Media Type
ENG005 LO
ENG007 S V
ENG008 LO V
ENG009 LO V
Engineering Drawing:Record Drawings SOS C-26, SOS C-44Incorporates 2018 ENG021, 2020 ENG031
Drawings - Shop & Construction Contract Submittals (Permanent Assets)Incorporates 2020 ENG032, 2015 ENG011
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-27Incorporates 2018 ENG022
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
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 CodesCode 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)
10 Engineering Adopted: 12/18/2024
OC SAN 24-15-41
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
H TA
V
Retention Number
Retention
Length(Years Unless
Specified)
Special Storage Consideration Media Type
Engineering
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 CodesCode 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)
ENG012 CL+10
ENG014 CU+20
ENG015 LO V
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
Connection Permit:Trunk Sewer Connection Permit
GC §60201(d)(10); SOS C-43, SOS C-44
Incorporates 2018 ENG029
ENGINEERING PROJECT FILE (TO INCLUDE ALL CAPITAL PROJECT MANAGEMENT LIFE CYCLE PHASES):Project Development: Correspondence, Gate Review, Meeting Agendas & Minutes, Handoff
Documents, Consultant Monthly ReportPreliminary 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 DocumentsConstruction 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
11 Engineering Adopted: 12/18/2024
OC SAN 24-15-42
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
H TA
V
Retention Number
Retention
Length(Years Unless
Specified)
Special Storage Consideration Media Type
Engineering
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 CodesCode 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)
ENG017 LO V
ENG019 LO V
ENG020 CL+2
ENG023 S+10
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.
Collection System Condition Assessment Records:CCTV, Reports
12 Engineering Adopted: 12/18/2024
OC SAN 24-15-43
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
H TA
V
Retention Number
Retention
Length(Years Unless
Specified)
Special Storage Consideration Media Type
Engineering
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 CodesCode 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)
ENG024 LF
ENG025 LF
ENG027 LO
ENG030 LO
ENG033 LO
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
CEQA Related Documentation Pertaining to Meeting Agendas and Meeting Minutes GC §60201(d)(3)
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-27Incorporates 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
13 Engineering Adopted: 12/18/2024
OC SAN 24-15-44
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
H TA
V
Retention Number
Retention
Length(Years Unless
Specified)
Special Storage Consideration Media Type
Engineering
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 CodesCode 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)
ENG035 CL+10
ENG036 CL+10
ENG037 CL+10
ENG038 CL+10
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 ENG002CL = date of correspondence
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
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 ENG018CL = budget closure date in budget documentation
or the date of the Director of Engineer's signature on the Close-Out Form
14 Engineering Adopted: 12/18/2024
OC SAN 24-15-45
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
H TA
V
Retention Number
Retention
Length(Years Unless
Specified)
Special Storage Consideration Media Type
Engineering
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 CodesCode 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)
ENG040 LO V ELProject Close-Out Documentation These records are retained in the Primavera Database and/or SharePoint
15 Engineering Adopted: 12/18/2024
OC SAN 24-15-46
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
ESD001 LO
ESD002 OB+7
ESD003 LO
ESD004 LO
ESD005 LO
ESD008 LO
ESD009 CU+3
ESD011 LO
Cleanup, Abatement, and Remediation of Underground Storage TanksUnderground Storage Tank Permits, Designated UST Operator Visual Inspector Reports 23 CCR 2772; SOS C-33
Non-Hazardous Waste Waste Hauler Manifests SOS C-42CU = calendar year
Interagency (Outside) Agreements and Documentation MOU GC §60201(d)(9)
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
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
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
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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
OC SAN 24-15-47
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Environmental Services
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
ESD012 LO
ESD013 CU+7
ESD014 CU+6
ESD015 LO
ESD016 LO EL
ESD017 CU+6
ESD020 LO P
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)
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-42CU = calendar year
17 Environmental Services Adopted: 12/18/2024
OC SAN 24-15-48
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Environmental Services
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
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
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
OC SAN 24-15-49
CCP CLCCRCU
CFR EX
GC LFH&S LOIRSNN
LC OBPCSPRCTOMB
R&TCSOSUSC CD
EL ElectronicFDFloppy DiskCPPaperHTA
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
Certifications (FLEET): Mobile Crane, Vehicles, Equipment Calibration Certification SOS C-47DMV & State requirement
Vehicle Records (FLEET):Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), Vehicle CitationsVehicle 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)
Pressure Vehicle CNG Tank Inspection Certification (FLEET)40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45CU = date of record
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
Facilities Maintenance
Record Series / Record Type Retention Citations / Comments
Division Policies & Procedures:Guidelines, Checklists, Standard Operating Procedures SOS C-19
Facility Maintenance & Repair:LOTO Audits, Assessment & Testing Results - Data, Corrective & Preventative Maintenance Records (Job Plans, Work Orders)SOS C-42
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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)SupersededPublic Resources Code TerminatedOffice of Management & Budget
Revenue & Taxation Code
Life of Facility, Equip. or Software
General Retention Schedule Information Health & Safety Code Life of Organization or PermanentInternal Revenue Service When No Longer Needed
Orange County Sanitation District
Records Retention Schedule
Citation Codes Retention CodesCode of Civil Procedure (CA)Closed or CompletedCalifornia Code of Regulations Current Year (Defined Where Used)Code of Federal Regulations Expired or Expiration
Government Code (California)
19 Facilities Maintenance Adopted: 12/18/2024OC SAN 24-15-50
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
H TA
V
Retention Number
Retention
Length(Years Unless
Specified)
Special
Storage Consideration Media Type
FAD001 CU+4
FAD002 CL+4
FAD003 CL+4 V
FAD005 LO H
Accounts Receivable Files
CCP §337 et seq.; GC §60201(d)(7), GC
§60201(d)(12); SOS C-29CL is the completion date of the year-end audit
Audit Records:Financial Statements, Audit Management Letters, Comprehensive Annual Financial Report (CAFR)SOS C-30
Financial Management and Administrative Services
Record Series / Record Type Retention Citations / Comments
Accounting Reports:Quarterly and Monthly Reports SOS A-1, SOS C-30CU = 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-29Freeze on all FAD002 records for the timeframe of
1/1/2010 through 12/31/2013. Freeze until 2/1/2043 for
the purposes of fulfilling Build America Bonds IRS requirements. OC San issued Build America Bonds in
2010 (outstanding through 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 2043).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 CodesCode 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
OC SAN 24-15-51
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
H TA
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 CodesCode 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)
FAD006 S+7
FAD007 CU+6 V
FAD008 LO V
FAD009 LO H, V during current FY
FAD010 CU+5
FAD011 CU+7
FAD012 LO H EL, P
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-29CU = calendar year
Capital Facility Capacity Charges (CFCC)
CCP §337; SOS C-29Changed 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
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
Bank Signature Cards GC §60201(d)(12)
21 Financial Management and Administrative Services Adopted: 12/18/2024
OC SAN 24-15-52
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
H TA
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 CodesCode 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)
FAD013 CL+4
FAD014 CU+10
FAD015 LO
FAD016 LF V
FAD017 LO V
FAD018 LO V
FAD019 LOJournal Entries CCP §337; SOS C-29
Fixed Asset Records SOS C-29
General Ledger SOS C-29
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
Expense Reports CCP §337; GC §60201(d)(12); SOS A-1CL 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 platformsThe 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
22 Financial Management and Administrative Services Adopted: 12/18/2024
OC SAN 24-15-53
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
H TA
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 CodesCode 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)
FAD021 CL+7
FAD022 LO
FAD023 T+4 V
FAD024 CU+7
FAD025 CU+10
FAD026 CU+7Rebates and Refunds:Sewer Service Fees 26 CFR §1.6001-1CU = calendar year
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
Petty Cash Records 26 CFR §1.6001-1; CCP §337; GC §60201(d)(12); SOS A-1CU = fiscal year
Rate Studies SOS C-42
Business value for longer retention
CU = fiscal year
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
23 Financial Management and Administrative Services Adopted: 12/18/2024
OC SAN 24-15-54
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
H TA
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 CodesCode 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)
FAD027 LO
FAD028 CU+7
FAD029 CU+7
FAD030 CU+7
FAD032 LO
FAD033 CL+2
FAD034 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
Tax Records (Generated From Accounts Payable & Vendor Files):Vendor SOS C-29CU = calendar year
Trial Balance Records SOS C-29
CU = fiscal year
Redevelopment Agency (RDA) Records:Records Regarding Member Agency RDA Required Payment to OC San SOS C-29
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
24 Financial Management and Administrative Services Adopted: 12/18/2024
OC SAN 24-15-55
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
H TA
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 CodesCode 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)
FAD035 LOW-2's - Employees & Retirees 26 CFR 31.6001.1-1; 29 CFR 516.5-6; SOS C-30; 29 USC 436
25 Financial Management and Administrative Services Adopted: 12/18/2024
OC SAN 24-15-56
CCP CL
CCR CU
CFR EX
GC LFH&S LO
IRS NN
LC OBPCS
PRC T
OMBR&TC
SOS
USC CDEL Electronic
FD Floppy DiskCPPaperHTA
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
Executive Management Team (EMT) Meeting Files:Agenda, Agenda Report, Handouts SOS A-2CU = calendar year
Travel Records SOS C-19CU = 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 ReportsLO in BSD002 as part of Board agenda packet distribution/retention SOS C-19CU = calendar year
ConfidentialHistorical TapesVital
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)ObsoletePenal 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 CodesCode of Civil Procedure (CA)Closed or CompletedCalifornia Code of Regulations Current Year (Defined Where Used)
Code of Federal Regulations Expired or Expiration
Government Code (California)
26 General Manager's Office Adopted: 12/18/2024
OC SAN 24-15-57
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
HRD001 LO
HRD002 CL+7
HRD003 LO
HRD004 LO V
HRD005 CL+3
HRD006 LO
HRD007 T+7 V
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
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
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
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
Temporary Employees:
Hiring Documents, Tracking Spreadsheet, Request Forms CCP §336(a); 29 CFR §1627.3; SOS C-21
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
27 Human Resources Adopted: 12/18/2024
OC SAN 24-15-58
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Human Resources
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
HRD009 LO
HRD010 T+3
HRD011 T+30
HRD012 S+2
HRD013 T+7 V until
separation
HRD014 CL+4
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, ResignationExcludes Medical Records which are retained in HRD011
8 CCR §3204(d)(1); 29 CFR §1602.31, 29 CFR §1627.3; GC §§12946
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
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 ProcessMedical Files are excluded from Personnel Files which are retained in HRD013Workers Comp records are retained in HRD024
8 CCR §3204(d)(1); 29 CFR 1910.1020HRD011 applies to all employees/former employees
Organization Charts SOS C-19
Human Resources/ERP Database:Electronic Records Management - JDE, Cornerstone, Workterra (Data Shared Across These Systems/Feed Into Each Other)
28 Human Resources Adopted: 12/18/2024
OC SAN 24-15-59
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Human Resources
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
HRD015 T+7
HRD016 T+7
HRD017 CL+3 EL
HRD018 EX+5
HRD019 LO H EL
HRD020 S+2 EL
HRD021 NN EL
HRD022 S+2 ELOC 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) Development Records:
Research Material, Timeline SOS C-28
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
Background Checks:
Candidate Background Checks SOS C-21
Human Resources Programs:Rideshare, Tuition Reimbursement, Computer Loan, Development PayProgram 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
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
29 Human Resources Adopted: 12/18/2024
OC SAN 24-15-60
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Human Resources
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical Tapes
Vital
Secretary of State Media TypesUnited 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 PermanentInternal 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)
HRD023 S EL
HRD024 CL+5 EL
HRD025 CL+2 EL, P
Documentation Received/Requests/Correspondence for HR-Non Litigation Related
Example: Divorce RelatedRecords released in response to subpoena requests are in other various entriesLitigation related documents are retained in BSD015
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
OC SAN 24-15-61
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
ITD001 T+3
ITD003 S+2 V
ITD004 S
ITD005 CU+2
ITD006 CL+3
ITD007 S
ITD008 S+2
ITD013 S+2
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
System Log (Database):Transaction Logs, Error Logs SOS C-22
GIS (Geographic Information System) Database:LayersData 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
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
ConfidentialHistorical Tapes
Vital
Information Technology
Record Series / Record Type Retention Citations / Comments
Access Authorization Forms:Email Access Requests, Internet Access Requests, Mobile Devices Access
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 TypesUnited States Code CD
Life of Facility, Equip. or Software
General Retention Schedule Information Health & Safety Code Life of Organization or PermanentInternal 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)
31 Information Technology Adopted: 12/18/2024
OC SAN 24-15-62
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
ConfidentialHistorical Tapes
Vital
Information Technology
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 TypesUnited States Code CD
Life of Facility, Equip. or Software
General Retention Schedule Information Health & Safety Code Life of Organization or PermanentInternal 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)
ITD015 CU+1
ITD016 EX+2
ITD018 NN
ITD023 CU+3
ITD024 S V EL, P
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
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
OC SAN 24-15-63
CCP CL
CCR CU
CFR EX
GC LF
H&S LO
IRS NN
LC OB
PC S
PRC T
OMBR&TC
SOS
USC CD
EL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
ConfidentialHistorical Tapes
Vital
Information Technology
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 TypesUnited States Code CD
Life of Facility, Equip. or Software
General Retention Schedule Information Health & Safety Code Life of Organization or PermanentInternal 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)
ITD025 CU+100 DaysRoutine Recordings of Telephone Communications, Including Voicemail Recordings 40 CFR §122.41(j)(2), 40 CFR §403.12(o); SOS C-45CU = date of record
33 Information Technology Adopted: 12/18/2024
OC SAN 24-15-64
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
H TAV
Retention Number
Retention
Length(Years Unless
Specified)
Special
Storage Consideration Media Type
OMD001 CU+3
OMD002 CU+2 EL
OMD004 LO
OMD005 LO
OMD006 CU+3
OMD007 CU+2 EL
OMD008 S+5 EL
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
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 citationsCU = calendar year
Logs (OPERATIONS):Operations Monthly Logs, Inspector Diaries, Control Center Visitor Logs 40 CFR §122.41(j)(2)CU = calendar year
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
Complaint Files and Problem Reports (OPERATIONS):
Related to Organization's Operations - Odor, Noise, Call Center Complaints
SOS C-42
Incorporates 2018 ESD005CU = calendar year
Confidential
Historical Tapes
Vital
Secretary of State Media TypesUnited 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 CodesCode 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)
34 Operations and Maintenance Adopted: 12/18/2024
OC SAN 24-15-65
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
H TAV
Retention Number
Retention
Length(Years Unless
Specified)
Special
Storage Consideration Media Type
Operations & Maintenance
Record Series / Record Type Retention Citations / Comments
Confidential
Historical Tapes
Vital
Secretary of State Media TypesUnited 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 CodesCode 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)
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
OMD022 LOCollection System Process Data (COLLECTIONS):Pump Station, Control System Historical Data SOS C-45
Facility Maintenance & Repair (MAINTENANCE):
LOTO Audits, Assessment & Testing Results - Data, Corrective & Preventative Maintenance Records (Job Plans, Work Orders)SOS C-42
Generator Operation Logs (OPERATIONS):
Fixed or StationarySome 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.
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-27Cengen 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.
Operating Journals (OPERATIONS):
Alarm Summary (EL), Operations Round Sheets (EL, P), Midnight Readings (EL)
40 CFR §122.41(j)(2)
CU = calendar year
35 Operations and Maintenance Adopted: 12/18/2024
OC SAN 24-15-66
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
H TAV
Retention Number
Retention
Length(Years Unless
Specified)
Special
Storage Consideration Media Type
Operations & Maintenance
Record Series / Record Type Retention Citations / Comments
Confidential
Historical Tapes
Vital
Secretary of State Media TypesUnited 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 CodesCode 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)
OMD023 CU+10
OMD024 CU+10
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-45CU = calendar year
36 Operations and Maintenance Adopted: 12/18/2024
OC SAN 24-15-67
CCP CLCCRCU
CFR EX
GC LF
H&S LOIRSNN
LC OB
PC S
PRC TOMB
R&TC
SOS
USC CDEL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
PAO001 S+2
PAO002 S+5
PAO003 S+7
PAO006 LO H
PAO007 S+2
PAO008 S+2
PAO009 LO H
PAO010 LO
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
Legislative Files:Letters of Support, Opposition
SOS C-28Legal advice is S+2; however, based on business needs, preferred retention is LO
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
Public Affairs
Record Series / Record Type Retention Citations / Comments
Education Curriculum:Sewer Science, Water Festival, Other SOS C-24
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
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)
37 Public Affairs Adopted: 12/18/2024
OC SAN 24-15-68
CCP CLCCRCU
CFR EX
GC LF
H&S LOIRSNN
LC OB
PC S
PRC TOMB
R&TC
SOS
USC CDEL Electronic
FD Floppy Disk
C P Paper
H TA
V
Retention
Number
Retention
Length(Years Unless Specified)
Special Storage
Consideration
Media Type
Public Affairs
Record 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)
PAO011 S+2
PAO012 LO H
Social Media Archiving:Facebook, Twitter, YouTube, InstagramPageFreezer provides services; Board Services manages SOS C-22
Annual Reports:OC San Annual Report, Public Affairs Strategic Plan, Legislative PlanAll items taken to the Board for approval (annually, every two years)SOS C-19
38 Public Affairs Adopted: 12/18/2024
OC SAN 24-15-69
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 ElectronicFDFloppy DiskCPPaperHTA
V
Retention
Number
Retention
Length
(Years Unless Specified)
Special
Storage
Consideration
Media Type
RMS002 CU+5 C
RMS003 CU+2
RMS004 CU+3
RMS006 LO
RMS007 T+30 C
RMS008 CU+5
RMS010 CU+4
OSHA Compliance Records:
Citations, Appeals Related, Correspondence
OSHA 300 & 301 Logs retained in RMS012
8 CCR §332.4; 8 CCR §14300.33(a); LC §6429c
CU = calendar year
Safety Committee:Action Items, Agendas, Annual Reports, Meeting Minutes
8 CCR §3203Retention aligns with Voluntary Protection Program (VPP)
CU = calendar year
Emergency Response:Response & Disaster Recovery Files, Emergency Operations Center Activiation Notifications & Records
2 CFR §200.334
Incorporates 2015 RMS005CU = 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)
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
Risk Management and Safety
Record Series / Record Type Retention Citations / Comments
DOT Random Drug & Alcohol Test Records 49 CFR §199.117CU = calendar year
Emergency Exercises:
Planning Documents, Meeting Minutes, After Action Reports
8 CCR §3220; California Fire Code 405.5
CU = calendar year
ConfidentialHistorical 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)
39 Risk Management and Safety Adopted: 12/18/2024
OC SAN 24-15-70
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 ElectronicFDFloppy DiskCPPaperHTA
V
Retention
Number
Retention
Length
(Years Unless Specified)
Special
Storage
Consideration
Media Type
Risk Management and Safety
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical 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)
RMS012 CU+5
RMS014 CU+5
RMS016 CU+4
RMS017 CU+4
RMS018 CU+4
RMS019 CU+4
RMS020 LO
Confined Space Records:Air Log, Entry Permits, Entry Procedure, Job Hazard Analysis (JHA)
8 CCR §5157Retention aligns with VPPIncorporates 2018 OMD003CU = calendar year
Hazardous Waste Records:Biennial Report, Bills of Lading, Exception Report, Waste Analysis, Waste Characterization Test Report, Waste Manifests, Other Determinations
22 CCR §66262.40(a), 22 CCR §66264.71(b)(6)
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
Accident/Incident Records:Including Near Misses, Observation Reports, Security Reports, Vehicle Accidents 8 CCR §14300.33(a)
CU = calendar year
Hazardous Materials Records:Business Plans, Hazardous Materials Inventory, Disclosures 19 CCR Division 5, Chapter 1 §§5030.1-5030.11CU = calendar year
Calibration Records:Atmopheric Monitors, Geiger Meters, Noise Instruments, Sampling Pumps 8 CCR §5157(e)(6)CU = calendar year
Cal OSHA Logs & Summaries (300/300A); Cal OSHA 301 Incident Reports 8 CCR §14300.33(a); LC §6429cCU = calendar year
40 Risk Management and Safety Adopted: 12/18/2024
OC SAN 24-15-71
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 ElectronicFDFloppy DiskCPPaperHTA
V
Retention
Number
Retention
Length
(Years Unless Specified)
Special
Storage
Consideration
Media Type
Risk Management and Safety
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical 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)
RMS021 LO
RMS022 S
RMS024 CU+7
RMS025 LO
RMS026 CU+3
RMS027 CU+4
RMS028 CU+4
RMS029 CU+4
PPE Assessments 8 CCR §3380
CU = calendar year
Lock Out Tag Out Audits (LOTO)8 CCR §3314(j)
Retention aligns with VPP
CU = calendar year
Training Database (Cornerstone)Although corresponding records also stored in Cornerstone are retained according to other specific entries, the database doesn't have delete capability
Radioactive Devices:
Disposal Records, Licenses, Wipe Tests
17 CCR §30192.1, 17 CCR §30293
CU = calendar year
Contractor Safety Orientation (formerly Job Site Safety Analysis (JSSA)), Hot Work Permits, Job Safety
Analysis (JSA), SAFE Bulletins, SafetyGrams
Retention aligns with VPPJSSA renamed Contractor Safety Orientation in 2020CU = calendar year
Safety Data Sheets (SDS)8 CCR §3204(d)(B)(2), 8 CCR §5194
Respiratory Protection:
Fit Test Records
8 CCR §5144(m)
Medical Evaluations retained in RMS007
Training Records - Safety:Rosters, Syllabus, Schedule, Curriculum Material Only SOS C-21CU = calendar year
41 Risk Management and Safety Adopted: 12/18/2024
OC SAN 24-15-72
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 ElectronicFDFloppy DiskCPPaperHTA
V
Retention
Number
Retention
Length
(Years Unless Specified)
Special
Storage
Consideration
Media Type
Risk Management and Safety
Record Series / Record Type Retention Citations / Comments
ConfidentialHistorical 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)
RMS032 CU+4
RMS033 S V EL
RMS034 CU+2
Continuity of Operations Plan (COOP); Integrated Emergency Response Plan (IERP)
Vehicle Entry Logs (Security)
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 = 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 = calendar year
42 Risk Management and Safety Adopted: 12/18/2024
OC SAN 24-15-73
Procedure 4.0
Records Series with Definitions
Exhibit C
PLACEHOLDER
OC SAN 24-15-74
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 1 Adopted 12/18/2024
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:
OC SAN 24-15-75
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 2 Adopted 12/18/2024
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.
OC SAN 24-15-76
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 3 Adopted 12/18/2024
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. 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
OC SAN 24-15-77
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 4 Adopted 12/18/2024
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 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 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 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 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.
OC SAN 24-15-78
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 5 Adopted 12/18/2024
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.
OC SAN 24-15-79
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 6 Adopted 12/18/2024
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 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.
OC SAN 24-15-80
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 7 Adopted 12/18/2024
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. Cross-reference records with any active Records Holds.
OC SAN 24-15-81
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 8 Adopted 12/18/2024
Responsibility Action 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. The Clerk of the Board and/or designee will prepare the Request for Authorization to Destroy Records 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 not approved, please contact the Clerk of the Board and/or designee. The Clerk of the Board and/or designee will
OC SAN 24-15-82
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 9 Adopted 12/18/2024
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 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 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 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.
OC SAN 24-15-83
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 10 Adopted 12/18/2024
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. 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.
OC SAN 24-15-84
Orange County Sanitation District RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 5.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS DISPOSITION Approved by: OC San Board of Directors
Records Disposition 11 Adopted 12/18/2024
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.
OC SAN 24-15-85
Procedure 5.0
Records Management Disposition Form
Exhibit A
OC SAN 24-15-86
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
Return to User Guide
OC SAN 24-15-87
Procedure 5.0
Request for Authorization to Destroy Records Form
Exhibit B
OC SAN 24-15-88
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 OCSan’s Records Retention Schedule and that all audit, business, and administrative requirements have been satisfied. Further,I certify that no HOLD has
been placed on these OFFICIAL RECORDS AND COPIES due to any litigation, claim,negotiation, audit, or public records request and all legal,business, and administrative requirements have been satisfied.I certify that all information on this form is accurate and true to my knowledge by
providing my signature.
Department/Division Manager
Name & Signature:
Records Coordinator
Name & Signature:
Records ManagementName & Signature:
Request for Authorization to Destroy Records
Complete this section for authorization to destroy records
Required Approval
Instructions
Legal CounselName & Signature:
Submitter's Name & Signature:
(If different from Records Coordinator)
Department/Division Director
Name & Signature:
Department/Division SupervisorName & Signature:
Page 1
OC SAN 24-15-89
Procedure 5.0
Certificate of Digital Record Destruction
Exhibit C
OC SAN 24-15-90
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
OC SAN 24-15-91
Procedure 5.0
Legal Counsel Written Consent Authorizing the
Destruction of Video Surveillance Files
Exhibit D
OC SAN 24-15-92
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 Smith General Counsel
______________________________
Date
OC SAN 24-15-93
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 6.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors
Vital Records 1 Adopted 12/18/2024
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 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.
OC SAN 24-15-94
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 6.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors
Vital Records 2 Adopted 12/18/2024
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.
OC SAN 24-15-95
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 6.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors
Vital Records 3 Adopted 12/18/2024
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
OC SAN 24-15-96
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 6.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors
Vital Records 4 Adopted 12/18/2024
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).
OC SAN 24-15-97
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 6.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: VITAL RECORDS Approved by: OC San Board of Directors
Vital Records 5 Adopted 12/18/2024
6.2 Select Vital Records Protection Methods
6.2.1 Select the method most appropriate to protect the vital record. 6.2.2 Verify existing dispersal (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.
OC SAN 24-15-98
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 7.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors
Historical Records 1 Adopted 12/18/2024
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 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 areas such as agency planning, management, development, public relations, and litigation support.
OC SAN 24-15-99
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 7.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: HISTORICAL RECORDS Approved by: OC San Board of Directors
Historical Records 2 Adopted 12/18/2024
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.
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.
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). 6.2.2 Move electronic historical records to Electronic Content Management System (Laserfiche).
OC SAN 24-15-100
Orange County Sanitation District RECORDS MANAGEMENT
PROCEDURE MANUAL
Procedure Number: 8.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS MANAGEMENT PROGRAM AUDIT AND COMPLIANCE REVIEW Approved by:
OC San Board of Directors
Audit & Compliance Review 1 Adopted 12/18/2024
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
OC SAN 24-15-101
Orange County Sanitation District RECORDS MANAGEMENT
PROCEDURE MANUAL
Procedure Number: 8.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS MANAGEMENT PROGRAM AUDIT AND COMPLIANCE REVIEW Approved by:
OC San Board of Directors
Audit & Compliance Review 2 Adopted 12/18/2024
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.
OC SAN 24-15-102
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 9.0
Effective Date: 1218/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors
Records Hold and Release 1 Adopted 12/18/2024
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 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.
OC SAN 24-15-103
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 9.0
Effective Date: 1218/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors
Records Hold and Release 2 Adopted 12/18/2024
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).
OC SAN 24-15-104
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 9.0
Effective Date: 1218/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors
Records Hold and Release 3 Adopted 12/18/2024
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.
OC SAN 24-15-105
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 9.0
Effective Date: 1218/2024
Supersedes: 04/24/2024
SUBJECT: RECORDS HOLD AND RELEASE Approved by: OC San Board of Directors
Records Hold and Release 4 Adopted 12/18/2024
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.
OC SAN 24-15-106
Procedure 9.0
Records Hold & Records Hold Release Request Form
Exhibit A
OC SAN 24-15-107
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:
OC SAN 24-15-108
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:
OC SAN 24-15-109
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 1 Adopted 12/18/2024
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.
OC SAN 24-15-110
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 2 Adopted 12/18/2024
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 requester to the OC San Public Records Portal link on the ocsan.gov website so that the request may be routed and tracked in the GovQA portal for response. The PRA Team should be notified and will be able to assist.
3.0 PROCESS
3.1 Requests are received by OC San and placed in GovQA by either the requester or, in a few cases, the PRA Team; and OC San staff users/approvers enter the portal to respond or upload documents to fulfill
the Request. 3.2 When a Request is initially received, the PRA Team immediately responds
to the requester, via established, automated GovQA workflows, with an email receipt for the Request that provides a legal explanation of the Request process. The PRA Team determines if the Request is complete or
requires clarification (e.g., too broad, apparent typographical errors, missing information, etc.). If necessary, the PRA Team contacts the requester 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, including the Supervisor
and Manager. B. Environmental Services. Requests for Environmental Services are
routed to the Department Director, designated Managers, and other designated staff members in the Environmental Services Department.
OC SAN 24-15-111
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 3 Adopted 12/18/2024
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 Request 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. 3.4 TIMELINESS.
Although OC San policy encourages a quicker response, the Act requires that the person requesting copies of OC San records be notified within ten
(10) calendar days of OC San’s determination as to whether the Request, in whole or in part, calls for the production of disclosable, non-privileged records that are in the possession of OC San. Occasionally, where
assistance of General Counsel is appropriate, for example, the full ten (10) calendar days 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:
3.4.1 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.
3.4.2 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.
3.4.3 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.
OC SAN 24-15-112
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 4 Adopted 12/18/2024
3.4.4 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 requester, in writing, of the reason(s) for the fourteen (14) day extension and the date on which the determination is expected.
If the final determination is to deny a Request to inspect or copy OC San records, General Counsel or the PRA Team shall notify the requester, in writing, of the reasons for the denial.
3.5 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 requester. 3.6 COST OF COPIES.
Under the Act, OC San is entitled to be reimbursed by the requester for the direct costs of duplication. OC San has, however, made a policy
determination to not charge the requester for the first ten (10) pages. If a Request calls for the production of records in excess of ten (10) pages, then the requester 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 responsive records. At the sole discretion of OC San, OC San may require the requester to submit, in advance, a check based on the
estimated direct duplication costs. Electronic records, which can easily be transmitted to the requester via
GovQA, are encouraged and will not be subject to the twenty-five cents per page copying charge.
OC SAN 24-15-113
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 5 Adopted 12/18/2024
At the sole discretion of OC San, and depending on the estimated number
of responsive records, the requester or OC San may retain the professional reprographic services of a bonded copy service. The requester 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 requester may select and retain a bonded copying service; however, such selection shall be subject to OC San’s approval.
3.7 COST OF VIDEOTAPES, AUDIOTAPES, COMPACT DISCS, OR THUMB DRIVES.
The charge to the requester 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.).
3.8 MEDIA CONTACTS.
Employees are encouraged to refer all media contacts and media inquiries to the Director of Communications. 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 Communications. Department Heads shall report any and all media
contacts to the Director of Communications as soon as possible. The Director of Communications 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.
3.9 FORMS.
GovQA generated forms and letters shall be used by OC San staff for purposes of complying with this administrative procedure.
3.10 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
OC SAN 24-15-114
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 6 Adopted 12/18/2024
file cabinets, record storage areas, or containers that hold OC San records,
except when authorized by the PRA Team or Department Head. When a requester 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 requester may not remove any records during the file review.
3.11 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.
3.12 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.
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 requester 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.
OC SAN 24-15-115
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 7 Adopted 12/18/2024
4.0 PROCESSING AND HANDLING OF REQUESTS
4.1 This section is determined by, and is at the direction of, General Counsel.
4.2 The 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 Environmental Site Assessments, stale check data requests, contract documents, and
Purchase Order/procurement overview information. Examples of non-routine requests include 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).
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
OC SAN 24-15-116
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 8 Adopted 12/18/2024
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.
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
OC SAN 24-15-117
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 10.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: PUBLIC RECORDS ACT - RELEASE OF RECORDS TO THE PUBLIC
Approved by: OC San Board of Directors
Public Records Act 9 Adopted 12/18/2024
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.
5.0 COMPLETION
5.1 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 Communications and/or
General Manager.
OC SAN 24-15-118
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 1 Adopted 12/18/2024
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
("Authorized Users"). “Email" means any electronic communication to or from any Authorized Users using the Email System, including all
OC SAN 24-15-119
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 2 Adopted 12/18/2024
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".
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":
OC SAN 24-15-120
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 3 Adopted 12/18/2024
"... ‘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.
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
OC SAN 24-15-121
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 4 Adopted 12/18/2024
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. 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
OC SAN 24-15-122
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 5 Adopted 12/18/2024
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
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
OC SAN 24-15-123
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 6 Adopted 12/18/2024
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. 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 Electronic Communications, Authorized Users who have control over or access to any
such Electronic Communications, once they become aware of the request or demand, shall use their best efforts, by reasonable means available, to
OC SAN 24-15-124
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 7 Adopted 12/18/2024
temporarily preserve any such Electronic Communication until it is determined whether the Electronic Communication 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 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 Electronic Communications to the requesting party. 8.2.2 It shall be the duty of each Authorized User receiving such a request
from the Clerk of the Board and/or designee to promptly conduct a good faith and diligent search of all Business and Personal Electronic Communications Systems 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 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
OC SAN 24-15-125
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 8 Adopted 12/18/2024
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 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.
OC SAN 24-15-126
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 9 Adopted 12/18/2024
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 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.
OC SAN 24-15-127
Orange County Sanitation District RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 11.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ELECTRONIC COMMUNICATIONS
POLICY
Approved by:
OC San Board of Directors
Electronic Communications Policy 10 Adopted 12/18/2024
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 §7927.500. Records that are normally retained do not qualify for this exemption. 8.6 ELECTRONIC COMMUNICATIONS UPON TERMINATION.
Upon an Authorized User’s retirement or termination, IT will forward the user’s Electronic Communications to the immediate Supervisor for review.
In accordance with the policy herein, it is the Supervisor’s duty to review and determine which email/text messages, voicemails, etc. should be preserved, retained, or disposed of according to the content of the
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.
OC SAN 24-15-128
Procedure 11.0
Declaration Regarding Search of Personal Electronic
Communications Accounts
Exhibit A
OC SAN 24-15-129
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.
OC SAN 24-15-130
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:_____________________
OC SAN 24-15-131
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 1 Adopted 12/18/2024
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 reserves a room in the Headquarters Building and schedules the meeting via the Outlook Calendar.
1.3 Records Management schedules the date for offsite storage, as soon as
practicable, to transfer the Escrow Bid Documents to offsite storage. 1.4 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 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.
OC SAN 24-15-132
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 2 Adopted 12/18/2024
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". It is requested that Bidders should use a regular document storage size box (10”x12”x15”).
2.2.4 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.
OC SAN 24-15-133
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 3 Adopted 12/18/2024
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.
OC SAN 24-15-134
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 4 Adopted 12/18/2024
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 OC San staff in attendance at the Meeting.
OC SAN 24-15-135
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 5 Adopted 12/18/2024
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 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. 3.7 When practicable, the Bid Documents Review Meeting will be conducted at
the same time as the Escrow of Bid Documents Meeting. When this occurs, nothing additional is needed other than completion of the appropriate section of the Form.
OC SAN 24-15-136
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 6 Adopted 12/18/2024
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.
OC SAN 24-15-137
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 7 Adopted 12/18/2024
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. 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.
OC SAN 24-15-138
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 8 Adopted 12/18/2024
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
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.
OC SAN 24-15-139
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 9 Adopted 12/18/2024
Each Bidder must sign the Document Review Meeting section of the Form applicable to their documents for this meeting.
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.
5.0 AFTER CONTRACT AWARD
5.1 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.
OC SAN 24-15-140
Orange County Sanitation District
RECORDS MANAGEMENT POLICY & PROCEDURE MANUAL
Procedure Number: 12.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: ESCROW OF BID DOCUMENTS Approved by:
OC San Board of Directors
Escrow of Bid Documents 10 Adopted 12/18/2024
6.0 EXCEPTIONS
6.1 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. 6.2 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.
OC SAN 24-15-141
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 13.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: DIGITIZATION OF RECORDS Approved by:
OC San Board of Directors
Digitization of Records 1 Adopted 12/18/2024
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);
OC SAN 24-15-142
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 13.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: DIGITIZATION OF RECORDS Approved by:
OC San Board of Directors
Digitization of Records 2 Adopted 12/18/2024
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 ECMS, and the Custodian of Records implements and oversees this policy on behalf of the Board of Directors.
3.0 APPLICABILITY
3.1 This policy provides guidance and requirements for digitizing physical media.
3.2 This policy applies to all records of physical materials being considered for digitization. These records fall into three categories:
3.2.1 Vital or Historical Records with permanent or life of organization retention;
3.2.2 Inactive records that have not met their retention schedule (especially records that are voluminous or have a long retention schedule) and are not regularly accessed. These
may be considered for digitization due to constraints of physical storage space or costs of maintaining the physical record collection; and
OC SAN 24-15-143
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 13.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: DIGITIZATION OF RECORDS Approved by:
OC San Board of Directors
Digitization of Records 3 Adopted 12/18/2024
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
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
OC SAN 24-15-144
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 13.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: DIGITIZATION OF RECORDS Approved by:
OC San Board of Directors
Digitization of Records 4 Adopted 12/18/2024
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.
OC SAN 24-15-145
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 13.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: DIGITIZATION OF RECORDS Approved by:
OC San Board of Directors
Digitization of Records 5 Adopted 12/18/2024
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
OC SAN 24-15-146
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 13.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: DIGITIZATION OF RECORDS Approved by:
OC San Board of Directors
Digitization of Records 6 Adopted 12/18/2024
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. OC San’s Custodian of Records can provide assistance and guidance to Departments/Divisions in determining
the historical value of original physical media records.
8.1.6 Digital Storage. The ECMS (Laserfiche), designated for
OC SAN 24-15-147
Orange County Sanitation District
RECORDS MANAGEMENT
POLICY & PROCEDURE MANUAL
Procedure Number: 13.0
Effective Date: 12/18/2024
Supersedes: 04/24/2024
SUBJECT: DIGITIZATION OF RECORDS Approved by:
OC San Board of Directors
Digitization of Records 7 Adopted 12/18/2024
maintenance and management of OC San’s digital records, meets 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 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.
OC SAN 24-15-148
Resolution No. OC SAN 24-15
Final Audit Report 2024-12-19
Created:2024-12-19
By:Kelly Lore (klore@ocsan.gov)
Status:Signed
Transaction ID:CBJCHBCAABAA956yOqt-i0A77V_1OKksqVzwW8J3cmSj
"Resolution No. OC SAN 24-15" History
Document created by Kelly Lore (klore@ocsan.gov)
2024-12-19 - 4:35:27 PM GMT- IP address: 47.179.19.5
Document emailed to Ryan Gallagher (rgallagher@mknassociates.us) for signature
2024-12-19 - 4:38:09 PM GMT
Email viewed by Ryan Gallagher (rgallagher@mknassociates.us)
2024-12-19 - 5:20:20 PM GMT- IP address: 104.47.56.254
Document e-signed by Ryan Gallagher (rgallagher@mknassociates.us)
Signature Date: 2024-12-19 - 5:20:31 PM GMT - Time Source: server- IP address: 68.225.28.190
Document emailed to Kelly Lore (klore@ocsan.gov) for signature
2024-12-19 - 5:20:36 PM GMT
Email viewed by Kelly Lore (klore@ocsan.gov)
2024-12-19 - 5:25:53 PM GMT- IP address: 104.47.65.254
Document e-signed by Kelly Lore (klore@ocsan.gov)
Signature Date: 2024-12-19 - 5:26:08 PM GMT - Time Source: server- IP address: 47.179.19.5
Agreement completed.
2024-12-19 - 5:26:08 PM GMT