Loading...
18 - Resolution 2013-827 Records Retention Final Costa Mesa Sanitary District …an Independent Special District Protecting our community's health and the environment by providing solid waste and sewer collection services. www.cmsdca.gov To: Board of Directors Via: Scott Carroll, General Manager From: Noelani Middenway, Deputy Clerk of the District Date: February 27 , 2013 Subject: Adopt Ordinance N o. 97 Pertaining to Records and Resolution No. 2013 -827 - Update to Records Retention Schedules Summary The District’s records retention schedules have been reviewed and updated to reflect new laws and changes in operations. The adoption of the revised retention schedule s will result in efficiency gains and cost savings. The Board is authorized to set forth categories for retention/destruction by adopting a resolution making findings. We are also recommending that we adopt an ordinance reference to the subject of records to provide a ready reference. Staff Recommendation Adopt Ordinance No . 97 pertaining to Records; a dopt Resolution No. 2013 -827 and the updated Records Retention Schedules. Analysis Gladwell Governmental Services, Inc., an expert in local government records , has been assisting the District o n improving its records management program. The records retention schedules have been updated to reflect requests from employees, and have been reviewed and updated to reflect changes in law since the schedules were originally adopted in May of 2011. The resolution authorizes future updates to the schedule to be made with the approval of the General Manager, District Clerk, and District Counsel, and autho rizes staff to destroy records in accordance with the policy after approvals have been received from the Department Head, District Clerk, and General Manager. The purpose of the records management program is to apply efficient and economical methods to the creation, utilization, maintenance, retention, preservation and disposal of all records managed by the District. Board of Directors February 27, 2013 Page 2 of 2 The update to the records retention schedules will further enhance the District’s efficiency and cost savings. The adoption of an ordin ance will provide the District with a ready reference that the Board has adopted a retention schedule and made the findings required under the Government Code. The ordinance also provides simple references and duties for handling public records requests a nd subpoenas. A provision establishing that the District will only utilize “trusted systems” to make electronic original copies is also provided. By adopting the resolution you are utilizing one of the options open to you to adopt a local schedule allowi ng retention and destruction by category. To be able to adopt that resolutio n you must make the findings set forth in the resolution. Strategic Plan Element & Goal This item continues to support Strategic Plan Element 5.0, Administrative Management and Strategic Goal No. 5.2, Enhance Records Management Program from 2011. Legal Review The ordinance, resolution along with t he revised schedules were reviewed and approved by District Counsel. Financial Review The District has a current budget of $1,500 for offsite document storage. Adop tion of the proposed resolution, o rdinance , and updated records retention schedule will support the District’s efforts in maintaining the status quo and not increase the budget for additional offsite storage space. Comm ittee Recommendation Not applicable. Public Notice Process Copies of this report are on file and will be included with the entire agenda packet for the February 27 , 2013 Board of Directors regular meeting at District headquarters and on the District’s website at www.cmsdca.gov . Alternative Actions 1. Do not adopt the ordinance, resolution and updated records retention schedule. 2. Refer the matter back to Staff. Attachments A: Ordinance No. 97 B: Resolution No. 2013 -827 C: Updated Records Retention Schedule RECORDS RETENTION SCHEDULE LEGEND 01995 -2013 Gladwell Governmental Services, Inc. (909) 337 -3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the original or "record copy." Usually it is the department that originates the record, unless the item is for a Board of Directors meeting (then it is the District Clerk or District Secretary.) "Lead Depart." refers to the division or department that maintains the original of a record where the records series is common to many departments (e.g. correspondence.) Classification: The method of filing and retrieving records (File Number). This number may be tied into other systems to ensure accuracy. Records Description / Folder Subject: The record series (a group of like records). "Records" shall include documents, instructions, books, microforms, electronic files, magnetic tape, optical media, or papers; as defined by the California Public Records Act. Transitory Records not retained in the ordinary course of business: Preliminary drafts, notes, or interagency or intra- agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a "trusted system ", etc. Retention /Disposition: Active: How long the file remains in the immediate office area Inactive: How long the file is in off -site storage, stored on Optical Disk or Microforms Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time. P = Permanent Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated. Vital? = Those records that are needed for basic operations in the event of a disaster. Media Options: The form of the record - Mag = Computer Magnetic Media (hard drive, disks, tapes, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper OD = Optical Disk, CD, DVD or other media which does not allow changes Scan / Import: "S" indicates the record should be scanned into the document imaging system; I" indicates the record should be electronically imported into the document imaging system; M" indicates the record should be microfilmed Destroy Paper after Imaged & QC'd: QC'd= Quality Checked. "Yes" indicates the paper version may be destroyed if the document has been imaged (microfilmed, scanned or imported onto Optical Disk — CD -R, WORM or DVD -R), and then each page Quality Checked QC'd "). Legend for legal citations ( §: Section) CC: Civil Code (CA) CFC: California Fire Code EVC: Evidence Code (CA) FTB: Franchise Tax Board (CA) HUD: Housing & Urban Develop. (US) PC: Penal Code (CA) UBC: Uniform Building Code USC: United States Code (US) WC: Water Code (CA) B &P: Business & Professions Code (CA) CCP: Code of Civil Procedure (CA) CFR: Code of Federal Regulations (US) FA: Food & Agriculture Code GC: Government Code (CA) LC: Labor Code (CA) R &T: Revenue & Taxation Code (CA) UFC: Uniform Fire Code VC: Vehicle Code (CA) CBC: California Building Code CCR: California Code of Regulations (CA) EC: Elections Code (CA) FC: Family Code (CA) H &S: Health & Safety Code (CA) Ops. Atty. Gen.: Attorney General Opinions (CA) UAC: Uniform Administrative Code UPC: Uniform Plumbing Code W &I: Welfare & Institutions Code (CA) Ver 3.0 RECORDS RETENTION SCHEDULE: SOLID WASTE Page SW -1 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Destroy Image: Inactive Paper OFR) Active (Off -site, Total Vital? Media 1 =Import after in office) OD or Mfr) Retention Options M =Mfr Imaged & S =Scan If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, and /or investi ations suspend normal retention periods retention begins after settlement or com letion . Department preference; Most do not have E &O. E &O Statute of Limitations (insurance Agreements & Contracts - certificates are filed with CURBSIDE COLLECTION, agreement); Published Audit HOUSEHOLD HAZARDOUS Mag, Standards =4 -7 years; Statute of Solid Waste', SW -001 WASTE RECYCLING, ETC.: Completion Completion Yes: Mfr, OD S / I Limitations: Contracts & ADMINISTRATIVE RECORDS 5 years 5 years After QC Ppr Spec's =4 years, Wrongful Death =comp. + 5 years, Correspondence, project Developers must retain their schedules, etc. records for completion + 10 years; CCP § §336(a), 337 et. GC §60201 _ Mag, seq., Yes (after S / 1 Department preference; GC Solid Waste SW -002 Programs / Projects: Large Item 5 years 5 years Collection, Recycling_ When No OD, Ppr 2 years) 60201 When No Yes: Solid Waste SW -003 Recycling Committee - Agenda Longer Required - Longer Required - Mag, Mfr, OD, Sl I After Department Preference; GC Annual §60201 Packets Minimum 2 Minimum 2 Ppr Audit years years Mag, Yes: Department Preference; GC Solid Waste SW -004 Recycling Committee - Minutes P P Mfr, OD, S/ I After §60201 Ppr_ Annual When No When No Tonnage Reports / Weights & Longer Longer Mag, Yes: Department preference; GC Solid Waste SW -005 Measures /Waste Diversion Required - Required - Mfr, OD, S / I After 1 60201 Reports Minimum 5 Minimum 5 Ppr year years years Mag' Yes (after I Department preference; GC Solid Waste' SW -006 Weight Tickets / Weight Measures 5 years 5 years S / I OD, Ppr 2 years) I§60201 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: GENERAL MANAGER Page GM -1 Office of Retention No. Retention I Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1 =Import Paper after OFR) (Off -site, Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Liti ation, complaints, claims, public records act requests, audits, and /or investi ations sus end normal retention periods retention resumes after settlement or completion). Department preference; Most do not have E &O. E &O Statute of Limitations (insurance certificates Agreements & Contracts - are filed with agreement); MAINTENANCE CONTRACTS: Published Audit Standards =4 -7 General GM -001 ADMINISTRATIVE RECORDS Completion Completion Mag, Mfr, S / I Yes: After years; Statute of Limitations: Manager 3 years 3 years OD, Ppr QC Contracts & Spec's =4 years, Correspondence, project Wrongful Death =comp. + 5 years, schedules, etc. Developers must retain their records for completion + 10 years; CCP § §336(a), 337 et. seq., GC 60201 General GM -001.1 Cal Trans Encroachment Permits Expiration + Maa, Ppr Department preference; GC for Sewer Maintenance) 2 years Manager General GM -002 Historical Studies (Consolidation, P Jimon Yes Mag, Mfr, S Yes: After Department preference; GC Manager etc.) OD, Ppr QC 60201 et seq. Project Files I Job Files I CIP Capital Improvement Project) Files - Administration File: 10 years or Completion After ter 10 years Project Administration, Advertising, Funding or After General Certified Payrolls, Confined Space y p Upon Agency Funding Yes: Until Mag, Mfr, Yes: After Manager GM -003 Entries, Complaints (project - related), Completion Audit, if Agency Completed OD, Ppr S QC Cost of Construction, Insurance required, Audit, if Certificates from Contractors, Labor whichever is required, Compliance, Logs, Performance whichever is Bonds /Surety, Project Security files, longer loner g Project Schedules, Real Estate Appraisals, etc. COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: GENERAL MANAGER Page GM -2 Office of Retention No. Retention / Disposition Comments I Reference Record Inactive Image: Destroy Active Total Vital? Media [=Import Paper after OFR) Off -site, in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, audits and /or investi ations sus end normal retention peri ods retention resumes after settlement or completion). Project Files / Job Files / CIP Capital Improvement Project) Files - Permanent File: I Specifications, RFIs /RFPs, Change Orders, Construction Photos, Correspondence, Close- Out/Acceptance, Environmental Reports / EIRs, Field Inspection Reports, Materials Testing Reports, Upon Yes: Until Mag, Mfr, Yes: After For disaster preparedness Collection GM -004 Bills of Material / Substitutions Completion P P Completed OD, Ppr S QC purposes; GC §60201 et seq. Environmental Documents, Notice of Completion, Record Drawings / Large i Format Drawings, Regulatory Agency Approvals, Right of Way, Shop Drawings, Soils Reports, Structural Calculations, Surveys, Temporary Encroachment Permits, Permanent Encroachment Permits, Submittals, Materials Submittals, SAMPs, SWPPP, etc. General When No When No Department preference; GC GM -005 Manager Subject Files / Project Files Longer Longer Yes Mag. 60201 et seq. Re uired Required COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 ver4.0 RECORDS RETENTION SCHEDULE: LIQUID WASTE Page LW -1 Office of Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy Image: Inactive Paper OFR) Active (Off -site Total Vital? Media 1 =Import after in office) OD or Mfr) Retention i Options M =Mfr Imaged 8, S =Scan If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Liti ation com taints claims ublic records act requests, and /or investi ations suspend normal retention periods retention begins after settlement or com letion . Department preference; Most do not have E &O. E &O Statute of Limitations (insurance Agreements & Contracts - LIQUID certificates are filed with WASTE MAINTENANCE agreement); Published Audit Liquid CONTRACTS: Completion Completion Mag, Yes: Standards =4 -7 years; Statute of Waste LW -001 ADMINISTRATIVE RECORDS 5 years 5 years Mfr, OD, S / I After QC Limitations: Contracts & Ppr Spec's =4 years, Wrongful Correspondence, project Death =comp. + 5 years, schedules, etc. Developers must retain their records for completion + 10 years; CCP § §336(a), 337 et. Expiration of seq., GC §60201 Liquid LW -002 Air Quality Permits - Collections Expiration of Ma P g p r Department preference; GC Waste Generators, etc) Permit Permit 60201 Mag, District preference to cover two Liquid LW -003 Collection System Line Cleaning 6 years 6 years 12 years Yes: Mfr, OD, S / I complete system cycles; GC Waste Services After QC Ppr 60201 Code of Federal Regulations Liquid LW -004 Confined Space Entries 3 years 3 years Mag, Ppr requires 3 years; 40 CFR Waste 122.410)(2) COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Adopted: 05/26/2011 Do not duplicate or distribute without prior written consent 909.337.3516 Rev: Ver 4.0 RECORDS RETENTION SCHEDULE: LIQUID WASTE Page LW -2 Office of Retention No. Records Description Retention I Disposition Comments I Reference Record Destroy Image: Inactive Paper OFR) Active (Off -site, Total Vital? Media 1 =Import after Mfr) Retention Options M =Mfr Imaged & in office) OD S =Scan , d If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, and /or investigations suspend normal retention eriods retention begins after settlement or completion). District preference to cover one complete system cleaning cycle; Statute of Limitations for public official misconduct is discovery Mag, of offense + 4 years ; State and Liquid Customer Issues and Concerns - LW -005 6 years 6 years Yes: Before Mfr, OD, Yes: S / I Fed laws is until final disposition Waste Includes Private Laterals Resolution Ppr After QC of formal complaint; State requires 2 years after action; EVC § 1045, GC § §12946, 60201; PC § §801.5, 803(c), VC Mag, 2547 District preference to cover one Yes: Liquid Waste LW -006 Daily Work Assignment Forms 2 years 4 years 6 years Mfr, OD, S / I After QC complete system cleaning cycle; Ppr GC §60201 Liquid FOG (Fats, Oil and Grease) - Resolution + Resolution + Mag, S / I Yes: 6 Department preference; GC 6 years Waste LW -006.1 3 years Cases 3 years I Mfr, OD, mos §60201 Last Liquid LW -007 Incidents / Collection System Spill Corrective P P Mfr, OD, O i l Yes: Department preference; 3 years Waste Reports / Overflows Action + 3 After QC is required; 40 CFR 122.410)(2) Ppr years LW -008 Maintenance Files: Pump P Mag, S / I Yes: District preference; GC §60201 Liquid P Waste Stations / Wet Wells Mfr, OD, After QC Previous MSDS may be obtained from a service; MSDS may be MSDS Masters (Material Safety destroyed as long as a record of Liquid Data Sheets) / Chemical Use Superseded Superseded Mag, Yes: the chemical / substance / agent, Waste LW -009 Report Form (or records of the 2 years 28 years 30 years Mfr, OD, S When where & when it was used is chemical / substance / agent, Ppr Inactive !maintained for 30 years; Applies where & when it was used) to qualified employers; 8 CCR 3204(d)(1)(B)(2 and 3), GC 60201 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Adopted: 05/26/2011 Do not duplicate or distribute without prior written consent 909.337.3516 Rev: Ver 4.0 RECORDS RETENTION SCHEDULE: LIQUID WASTE Page LW -3 Office of I Retention No. Records Description Retention / Disposition Comments I Reference Record Destroy - - - - Image: Inactive Paper OFR) Active Off - Total Vitals Media 1 =Import after O -site, in office) Mfr) Retention Options M =Mfr Imaged & S =Scan If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ears since destruction is normally performed by file folder. Liti ation, complaints, claims public records act requests, and /or investigations suspend normal retention eriods retention begins after settlement or completion). Required for a minimum of 5 years; 40 CFR 122.41(1)(2): Liquid LW -009.1 Sanitary Sewer Overflows (SSOs) 5 years 55 years Yes: Before Resolution Mag, Ppr SWRCB Order 2006 -03: 40 CFR Waste 122.41(1)(2): GC §60201 Considered a copy and can be destroyed when no longer Liquid LW -010 SCADA Backup Tapes Less Than Less Than Mag required; retention based on Waste 30 Days 30 Days administrative value; recycle tapes; GC §60200 et seq. Data is interrelated; system Liquid LW -011 SCADA: Supervisory Control and Indefinite Indefinite Yes Mag qualifies as a "trusted system "; Waste Data Acquisition Database GC § §60201, 1216_8.7 When No When No Liquid Sewer System Committee - Longer Longer Mag , Yes: After Department Preference; GC Waste LW -012 Agenda Packets Required - Required - Mfr, OD, S/ I Annual 60201 Minimum 2 Minimum 2 Ppr Audit years years Liquid Sewer System Committee - Mag, Yes: Department Preference; GC Waste LW -013 Minutes P P Mfr, OD, S/ I After 60201 Ppr Mag, Annual TV Collection Line Inspection Tapes District preference to cover two Liquid LW -014 Video Inspections / Video 6 years 6 years 12 years Mfr, OD, Yes: S / I complete system cycles; GC Waste Tapes or Digital Recordings - Ppr After QC 60201 LW -015 Regular Inspections 5 years Mag, Ppr Liquid Underground Service Alerts 5 years Department preference; GC Waste USA): Utility Cuts, etc. Sale of 60201 Sale of Liquid LW -016 Vehicle & Equipment - Vehicle or Vehicle or Mag Ppr District preference; GC §60201 Waste Maintenance (Collections Only) Equipment + Equipment + 1 year 1 Vear COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Adopted: 05/26/2011 Do not duplicate or distribute without prior written consent 909.337.3516 Rev: Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -1 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Active Total Media 1 =Import Paper after OFR) Off -site, Vital? in office) (D Retention Options M =Mfr Imaged 8 or Mfr) S =Scan C'd? If the record is not listed here, refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods retention resumes after settlement or completion). ADMINISTRATION t GENERAL ACCOUNTING Finance / Assessed Valuations (of Property When No When No Mag, Department Preference (Non - General FN -001 within the District - from the County) Longer Longer Ppr records) Accounting Required Required Department Preference; Meets Finance / Assessment District Financial Mag' General FN -002 Records / CFD (Community Facilities 2 years 3 years 5 years Ppr municipal government auditing Accounting Districts) standards; GC_ §60201 Audit Annual Reports / Audited Finance / Financial Statements / Mag, Mfr, Yes: After Department Preference; GC General FN -003 Comprehensive Annual Financial 5 years P P S/ I OD, Ppr Annual 60201 et seq. Accounting Report (CAFR) with Audit Audit Management Letters / Audit Reports Finance / Audit Work Papers (Finals) Department Preference; GC General FN -004 5 years 5 years Mag, Ppr 60201 Accounting Includes Depreciation Schedules Finance / Department Preference; Meets General FN -005 Audits - Single Audits 5 years 5 years Mag, Ppr, municipal government auditing Accounting Superseded standards; GC §60201 Finance / Superseded Department Preference; Meets Accounts FN -006 Bank Signature Cards 5 years 5 years Mag, Ppr municipal government auditing Receivable standards; GC §60201 _ Finance / j Bank Statements / Checking Account Department Preference; Meets General FN -007 Reconciliation 2 years 3 years 5 years Mag, Ppr municipal government auditing Accounting standards; GC §60201 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -2 Office of Retention No. Records Description Record Retention / Disposition Comments / Reference Image: Destroy Inactive Active Total Media 1 =Import Paper after OFR ) Off -site , Vital? Retention Options M =Mfr Imaged & in office) OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ears since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and/or investi tions sus end normal retention periods retention resumes after settlement or completion). Department Preference; Statute of Limitations for bonds, Fully Fully mortgages, trust deeds, notes or Defeased Defeased debentures is 6 years; Bonds Finance / Bonds /Certificates of Participation / Yes: Until Mag, Mfr, issued by local governments are 6anGeNat., Caasellat., General FN -008 Transcripts ! Disclosure Reports / 2 years Maturity OD, Ppr S / I No 10 years; There are specific Accounting Registers ! Issue Records or Amity + eF MalibliFity + requirements for disposal of 10 years 10 years unused bonds; CCP § §336(a)(1) 2), 337.5(2); GC §43900 et seq. GC §60201 et seq. Finance / Yes: Mag, Mfr, Yes: After Department Preference; GC General FN -009 Budgets: Adopted 5 years P P Current OD, Ppr S/ I Annual 60200 Accounting When No Fiscal Year Audit - Department Preference; Finance ! Budgets: Proposed, Drafts, Work When No General FN -010 Papers Longer Longer Mag Ppr Preliminary drafts; GC §60200 Accounting Required Required 7 years Finance / General FN -011 Cancelled Payroll Checks, Including 2 years 5 years Mag, Ppr GC §60201(d)(12), CCP § 337 Accounting Voided copies for Automatic Deposits When No Finance ! When No Preliminary drafts (the Financial General FN -012 Equipment Inventory Longer Longer Mag, Ppr Database is the original); GC Accounting Required Required 60200 Financial Reports: Journals, Finance / Ledgers, Reconciliations, Registers, When No When No Draft / Preliminary documents General FN -013 Reports, Transaction Histories, Longer Longer Mag, Ppr used to produce final year -end Balance Sheets, Budget general ledger (financial database Accounting Adjustments, (MONTHLY OR Required Required is the original); GC §60201 PERIODIC) Finance / Data is interrelated; system General FN -014 i Financial System Database / ERP Indefinite Indefinite Mag qualifies as a "trusted system" Accounting Database GC 60201, 12168.7 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -3 Office of Retention No. Records Description Record Retention / Disposition Comments / Reference Image: Destroy Active Total Media 1 =Import Paper after rO nactive OFR) Off -site, Vital? in office) Retention Options Ili Imaged & D o r Mfr) S =Scan C'd? If the record is not listed here, refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normal! y performed by file folder. Litigation, com taints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). Consistent with Accounts Receivable; Statute of limitations Finance / Fixed Assets - Auction / Disposal / is 3 years; statewide guidelines General FN -015 Sales / Surplused 2 ears y 3 years 5 years Mag, Ppr propose 2 - 4 years; published Accounting articles show 3 - 6 years; GC 60201, CCP §337 Finance / Department Preference; Meets General FN -016 Fund Transfers / Adjustments 2 years 3 years 5 years Mag, Ppr municipal government auditing Accounting When No standards; GC §60201 Finance / When No Preliminary drafts (the Financial General FN -017 Inventory Reports Longer Longer Mag, Ppr Database is the original); GC Accounting Required Required 60200 __ Finance / Yes: Until Department Preference; GC General FN -018 Investment Files 2 years 3 years 5 years Maturity Mag, Ppr 60201 Accounting When No When No Finance / Investment Oversight Committee - Longer Longer Mag, Mfr, Yes: After Department Preference; GC General FN -019 Agenda Packets Required - Required - OD Ppr S/ I Annual 60201 Accounting Minimum 2 Minimum 2 Audit years years P Yes: After Annual Department Preference; GC Finance / General FN -020 Investment Oversight Committee - P Mag, Mfr, S/ I Accounting Minutes OD, Ppr Audit 60201 Department Preference; Statute Finance / of Limitations is 4 years; General FN -021 Journal Vouchers / Journal Entries 2 years 3 years 5 years Mag, Ppr Published articles show 6 -7 Accounting years; GC §60201, CCP §337 FN -022 3 years Mag, Ppr, 7Y-esAfter Finance / General LAIF (Local Agency Investment 2 years 5 years Yes: Until Department Preference; GC Fund) Maturity 60201 Accounting p Finance / General FN -023 Organization Charts - In Budgets and ! 5 years P Mag, Mfr, S/ I Annual GC §60201 et seq. Accounting CAFRs OD, Ppr Audit COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -4 Office of Retention No. Records Description Retention /Disposition Comments /Reference Record Image: Destroy Active Inactive Total Media 1 =Import Paper after OFR) in office) Off -site, Vital? Retention Options M =Mfr Imaged & OD or Mfr) S =Scan QC-d? If the record is not listed here, refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Liti ation complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). Finance / I SB 90 1 Mandated Cost i Yes: Until Department Preference; GC General FN -024 Reimbursement Claims 2 years 3 years 5 years Maturity Mag, Ppr 60201 Accounting District Preference; Meets General FN -025 State Controller's Report 2 years 3 years 5 years Mag, Ppr auditing standards; GC §60201 Accounting Upon Sale o Finance / Upon Sale of Given to the new owner upon sale General FN -026 Vehicle Titles ( "Pink Slips ") the Vehicle the Vehicle Yes Mag, Ppr of the vehicle; GC §60201 et seq. Accounting COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -5 Office o Retention No. Records Description Retention / Disposition Comments I Reference Recordf Image: Destroy Inactive Active Inactite, Total Media 1 =Import Paper after OFR) Vital? in office) Mfr) Retention Options M =Mfr Imaged & OD S =Scan C'd? If the record is not listed here, refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods retention resumes after settlement or com letion . ACCOUNTS PAYABLE IRS: 4 years after tax is due or paid (longer for auditing & Finance / contractor delinquency); Ca. FTB: Accounts FN -027 1099's Issued 2 years 5 years 7 years Mag, Ppr 3 years; Published articles show Payable permanent; ; IRS Reg §31.6001- 1(e)(2), R &T §19530, GC 60201(d)(12) Meets municipal government auditing standards; Sewage Finance / Accounts Payable Source Records / Sludge is required for 5 years; Accounts FN -028 Invoices &Purchase Orders 2 years 5 years 7 years Yes: Until Mag, Ppr Published articles show 3 - 7 Payable Paid years; 40 CFR 122.410)(2); WC ALL 13263.2(b) et seq.; GC 60201(d)(12) May contain independent contractor's compensation; Finance / Accounts FN -029 Check Copies / Cancelled Checks 2 years 5 years 7 years Mag, Ppr Statute of Limitations is 4 years; on CDs) Meets municipal government Payable auditing standards; GC 60201(d)(12), CCP § 337 The Financial Database is the Finance / When No When No original; Reports can be recreated Accounts FN -030 Check Register Longer Longer Mag, Ppr on demand and are considered a Payable Required Required copy or preliminary draft; GC 60201 District Preference (may include Finance / records pertaining to independent Accounts FN -031 Expense Reports (Accounts Payable) 2 years 5 years 7 years Mag, Ppr contractor's compensation, or Payable expense reimbursement); Meets auditing standards; GC §60201 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -6 Office Retention No. Records Description I Retention / Disposition Comments / Reference Reco df Image: Destroy Inactive Active Total Media 1 =Import Paper after OFR) Off -site, Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here, refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ears since destruction is normally performed b file folder. Litigation, complaints, claims, public records act requests, audits, and/or investigations sus end normal retention periods retention resumes after settlement or completion . District Preference (may include Finance / Petty Cash /Reconciliation /Reports records pertaining to independent Accounts FN -032 2 years 5 years 7 years Mag, Ppr contractor's compensation, or able Payable Vouchers expense reimbursement); Meets auditing standards; GC §60201 District preference for drinking Finance / Refunds & Backup (Sewer Permit water regulations; CCP § §338 et Accounts FN -033 Processing) 2 years 5 years 7 years Mag, Ppr seq., 340 et seq., 342, GC Payable 945.6, GC §60201 District Preference; Related to independent contractor's compensation; IRS: 4 yrs after tax Finance / is due or paid; Ca. years; Accounts FN -034 W -9's 7 years 7 years Mag, Ppr years; 13 Articles show 7 years; IRS Reg Payable 31.6001- 1(e)(2), R &T §19530; 29CFR 516.5 - 516.6, 29USC 436 GC %0201(d)(12 ACCOUNTS RECEIVABLE Finance / Department Preference; Meets Accounts FN -035 Bank Deposit Receipts /Cash 2 years 3 years 5 years Mag, Ppr municipal government auditing Receivable Receipts I I stand § ards; GC 60201 _ Finance / Department Preference; Meets Accounts FN -036 Billing Records: Billing Ledgers 2 years 3 years 5 years Mag, Ppr municipal government auditing Receivable standards; GC §60201 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -7 Office of Retention No. Records Description Retention /Disposition Comments !Reference Record Image: Destroy Inactive Active Total Media [=Import Paper after OFR) Off -site, Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here, refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ears since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, audits, and/or investigations suspend normal retention periods retention resumes after settlement or completion). PAYROLL Department Preference; IRS: 4 years after tax is due or paid longer for auditing & contractor Finance / DE -6, DE -7, DE -9 DE -43. W -3, & DE- delinquency); Ca. FTB: 3 years; General FN -037 166 & 941 Forms - Quarterly Payroll 5 years 5 years Mag, Ppr Published articles show Accounting Tax Returns permanent; ; IRS Reg §31.6001 - 1(e)(2), 26 CFR §1.6001 -1, R &T 1 §19530, GC §60201 I- - - Employee Payroll File Department preference (W -4's Finance / FN -038 Includes automatic payroll deposit Separation 5 years Separation Mag, Ppr are required for 4 years); GC Payroll authorizations, computer loans, 1 year 6 years 60201 et seq. deductions, voluntary deductions, W -4s, etc. Fully Fully Finance / Satisfied or Satisfied or Department preference; GC Payroll FN -039 Garnishments Separated + Separated + Mag, Ppr 60201 et seq. 2 years 2 years Draft / Preliminary documents Finance / When No When No used to produce final year -end Payroll FN -040 Payroll Registers / Payroll Reports Longer Longer Mag, Ppr general ledger (financial database Required Required 7 years is the original); GC §60201 Finance / FN -041 Time Sheets 2 years 5 years Mag, Ppr Department preference; GC 60201 d 12 Payroll COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -8 Office of Retention No. Records Description I Retention /Disposition Comments /Reference Record Image: Destroy Inactive Active Total Media 1 =Import Paper after OFR) Off -site, in office) Vital? Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed Mile folder. Litigation, complaints, claims, public records act requests, audits, and/or investigations sus end normal retention periods retention resumes after settlement or completion). Department preference for PERS buy -back purposes; IRS: 4 yrs Yes: After after tax is due or paid; Ca. FTB: Finance / FN -042 W -2's / W -2 Report 50 years 50 years Mag, OD, S / I Annual 3 years; Articles show 7 years; Payroll Mfr, Ppr Audit IRS Reg §31.6001- 1(e)(2), R &T 19530; 29CFR 516.5 - 516.6, 29USC 436, GC §60201(d)(12) COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN -9 Office of Retention No. Records Description Retention / Disposition Comments / Reference Record Image: Destroy Active Inactive Total Media I =Import Paper after OFR) in office) Off -site, I Vital? Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here, refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods retention resumes after settlement or completion). PERMIT PROCESSING Finance / Permit Processing FN -043 Customer Correspondence, Appeals, etc letters from and to customers) 2 years 3 years 5 years Mag, Ppr Department preference (Clean Water Act actions are 5 years); GC §60201 Meets municipal government Finance I Yes: Until auditing standards; Statewide Permit Processing FN -044 Returned Checks (NSF, etc.) 5 years 5 years Paid Mag, Ppr guidelines propose audit + 4 ears; GC §60201 Finance / Sewer Permits /Occupancy Mag, Mfr, I Yes: After Department Preference; GC Permit FN -045 Releases P P Yes OD, Ppr S/ I Annual 60201 Processing Audit When No City of When No Costa Mesa FN -046 Sewer Plans Longer Longer Ppr Non - records Required Required COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 2.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT -1 Office of Record Retention No. Retention / Disposition Ima Destroy pe: Inactite, Comments I Reference Active Total Media I =Im ort Paper after' OFR) Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan i QC'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ears since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, audits and /or investigations sus end normal retention perio ds retention resumes after settlement or completion). I I Used for Disaster Recovery When No When No Purposes Only; Considered a copy Information IT -001 Backup Tapes / Disks - Daily Longer Longer Yes Mag. and can be destroyed when no Technology Required Required longer required; GC §60200 et seq. Used for Disaster Recovery When No When No Purposes Only; Considered a copy Information IT -002 Backup Tapes / Disks - E -mail Longer Longer Yes Mag. and can be destroyed when no Technology I Required Required longer required; GC §60200 et seq. Used for Disaster Recovery When No When No Purposes Only; Considered a copy Information IT -003 Backup Tapes / Disks - Weekly Longer Longer Yes Mag. and can be destroyed when no Technology or Monthly Required Required longer required; stored off -site; GC When No 60200 et seq. Information Software Licenses, Warrantees, When No Mag, Mfr, S/ I Yes: After Department preference; GC Technology IT -004 Installation Media Longer Used Longer Used OD, Ppr QC §60201 et seq. COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC -1 f ice of Retention No.' Records Description Retention / Disposition Comments I Reference Inactive Image: Destroy Active Total Media 1 =Import Paper after OFR) Off -site, Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, audits and /or investigations sus end normal retention periods retention resumes after settlement or completion). District DC -001 Abandonments 2 years P P Mag, Mfr,' S / I Department Preference; GC No Clerk OD, Ppr 60201 GC Agendas & Agenda Packets - Yes: Before District DC -002 District Board of Directors 2 years P P Meeting Mag, Mfr, S / I Yes: After Department preference; Clerk Date OD, Ppr QC §60201 Includes Agenda Staff Reports) Agreements & Contracts - INFRASTRUCTURE- Architectural, Engineering, JPAs, etc. Agreement or Contract, Department Preference; All Insurance Certificates & Notices infrastructure, JPAs, & Mutual Aid of Completion. Agreement or contracts are permanent for Board Contract includes all contractual Yes: Before Mag, Mfr, Yes: After emergency preparedness; Statute Services DC -003 obligations (e.g. RFP, Completion P P Completion OD, Ppr S I OC of Limitations is 4 years; 10 years GM Specifications, Successful for Errors & Omissions; CCP Proposal I Scope of Work, 337. 337.1(a), 337.15, 343; GC Certificates of Insurance, and 60201 et seq. amendments) Examples of Infrastructure: Architects, Treatment Plants, Lines, Buildings, etc. COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC -2 Office of Retention No. Records Description Record Retention I Disposition Comments I Reference Imagge: Destroy — — Inactive Active Total Media I =Im ort Pa p er after OFR) Off -site Vital ' j (in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Liti ation complaints, claims public records act requests, audits and /or investigations sus end normal retention periods retention resumes after settlement or completion). Agreements & Contracts - NO INFRASTRUCTURE- Equipment Purchases, Consulting Services, Leases, Vehicle Purchases, etc. Department Preference; Covers E &O Statute of Limitations; Agreement or Contract, Published Audit Standards =4 -7 Insurance Certificates &Notices years; Statute of Limitations: Board of Completion. Agreement or Contract includes Completion Yes: Before Mag, Mfr, Yes: After Contracts & Spec's =4 years, Services DC -004 all contractual Completion 10 years 10 years Completion OD, Ppr S / I QC Wrongful Death =comp. + 5 years, GM obligations (e.g. RFP, Developers =comp. + 10 years; Specifications, Successful Statewide guidelines propose Proposal / Scope of Work, termination + 5 years; CCP Certificate of Insurance, and 336(a), 337 et. seq., GC §60201 amendments) et seq. Examples of Non - Infrastructure: Consultants, Painting, Maintenance, Franchise Agreements, etc. Board Mag, Mfr, Services DC -005 Annexations / Redistricting 2 years P P OD, Ppr S / I No GC §60201 et. seq. GM District DC -006 Appointments / Resignations of 2 years P P Mag, Mfr, S / I Yes: After Department preference; GC Clerk Board of Directors OD, Ppr QC 1 §60201 District DC -007 Assessment District Formation 2 years P P Mag, Mfr, S / I Department Preference; GC No Clerk When No OD, Ppr 60201 District Association Records When No Clerk DC -008 external associations - e.g., ACWA, etc.) Longer Longer Mag, Ppr Non - records; GC §60201 et seq. j Required Required P District DC -009 Code of Operations / Operations 2 years P Mag, Mfr, S / I No Department preference (historical Clerk Code OD, P r purposes); GC 60201 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladweil Governmental Services Inc all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC -3 Office of Retention No. Record Records Description Retention I Disposition Comments I Reference Inactive Image: Destroy Active Total Vital? I Media I 1 =Import Paper after OFR) Off -site, in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 ears since destruction is normally performed by file folder. ation complaints, claims public records act requests, audits and /or investigations sus end normal retention eriods retention resumes after settlement or completion). District DC -010 District Formation Records, 2 years P P Mag, Mfr, S/ I No Department preference (historical Clerk Acquisition of other Districts OD, Ppr purposes), GC §60201 District Elections - Historical (Sample P P Mag, Mfr, S/ I Yes: After Department preference (historical Clerk DC -011 Ballot, Election Results) 2 years OD, Ppr I - QC purposes); GC §60201 - Elections: Correspondence, District Department reference historical p p Clerk DC -012 Notifications & Publications, 2 years 2 years Mag, Ppr purposes); GC §60201 Certificate of Election, etc. District DC -013 Ethics Training Certificates 5 years 5 years Mag, Mfr, S / I Yes: After GC § §12946, 29 USC 1113 Clerk OD, Ppr 1 year Forwarded to the County, who is District FPPC Campaign Disclosure the filing officer; Paper must be Statements (FPPC 400 Series Clerk CC -013.1 4 years 4 years Maq, Ppr retained for at least 2 years; GC Forms L81009(b) &(g) FPPC 700 Series Forms District Statement of Economic District maintains original Clerk DC -014 Interests): DESIGNATED 7 years 7 years Mag, Ppr statements; GC §81009 € &(g) EMPLOYEES (specified in the District's Conflict of Interest code) Department preference (only FPPC 700 Series Forms Statement of Economic required for 4 years); District District DC -015 Interests): PUBLIC OFFICIALS 7 Years 7 years Mag, Ppr maintains copies only; original Clerk elected &not elected. Includes statements are filed with FPPC; District Board Members, General GC §81009(0&(g) Manager) 4 years District DC -016 FPPC Form 801 (Gift to Agency 4 years Mag, Ppr Must post on website; 2 CCR Clerk Report) 7 years 18944.2(c)(3)(G) District DC -017 FPPC Form 802 (Tickets 7 years Mag, Ppr Should post on website for 4 Clerk Provided by Agency Report) 2 years years; GC §81009(e) District FPPC Form 806 (Agency Report 2 years Mag, Ppr Must post on website; 2 CCR Clerk of Public Official Appointments) 18705.5 GC 34090 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC -4 Office of Retention No. Records Description Record OFR) Retentions begin when the act is completed, and imply a full t Litigation, complaints, claims public records act requests, au( District Mag, Mfr, S DC -018 Historical Records Clerk OD, Ppr District DC -019 Legal Opinions Mag, Mfr, S S / Clerk District OD, Ppr DC -020 Minutes: Board of Directors Clerk S / I District DC -021 Newsletter (District Newsletter) Clerk P M District Notices: Affidavits of Postings Clerk DC -022 and Publications District DC -023 Oaths of Office Clerk District Mag, Ppr DC -024 Ordinances Clerk District DC -025 Policy Statements Clerk OD, Ppr District DC -026 Public Records Act Requests Clerk District Real Estate / Deeds, Easements Mag, Mfr, S DC -027 P M Clerk and Rights of Way District Mag, Ppr DC -028 Records Destruction Lists Clerk Mag, Mfr, S S / I District OD, Ppr DC -029 Resolutions Clerk years M P Y District DC -030 Tapes & Recordings (Audio) Clerk I District Board meetings Retention / Disposition Active Inactive Total in office) (Off -site, Retention OD or Mfr) Wder (e.g. last document + 2 ye and /or investigations sus end 2 years P 2 years P 2 years P 2 years P 2 years 2 2 years 2 years 2 years 2 years 2 years 5 years 2 years 30 days, or After Minutes are Approved, whichever is W* P 2 5 Image: Destroy Media 1 =Import I Paper after Vital? Options M =Mfr Imaged & normal retention pe riods retention resui P M Mag, Mfr, S S / I OD, Ppr P M Mag, Mfr, S S / OD, Ppr Yes (all) M Mag, Mfr, S S / I P Y OD, Ppr P M Mag, Mfr, S S / OD, Ppr years M Mag, Ppr P M Mag, Mfr, S S if I OD, Ppr Yes (all) M Mag, Mfr , S S / P Y OD, Ppr Mag, Mfr, S S / I P M OD, Ppr Mag, Ppr years M P M Mag, Mfr, S S / I OD, Ppr Mag, Ppr years M P Y Yes (all) M Mag, Mfr, O 30 days, or After Minutes are Mag Approved, whichever is longer Comments / Reference I by file folder. after settlement or completion). District Secretary Determines No Historical Significance; GC 60201 No Department Preference; GC 60201 No GC §60201(d)(3) No Department Preference; GC 60201 Brown Act challenges must be filed within 30 or 90 days of action; GC § §60201, 54960.1(c)(1) Yes: After Department Preference; GC QC 560201 No GC §60201 et. seq. — No Department Preference; GC 60201 Department Preference; GC 60201 Yes: After Department preference (historical QC _ purposes); GC §60201 Department Preference; GC No GC §60201 et. seq. Department Preference; legally required for 30 days (or adoption of the minutes); GC §54953.5(b) COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 No GC §60201 et. seq. Department Preference; legally required for 30 days (or adoption of the minutes); GC §54953.5(b) COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC -5 Office of Retention No.! Records Description Retention I Disposition Comments I Reference Record Image: Destroy Inactive Active Media 1 =Import Paper after OFR) in office) (Off -site, Vital? Retention Options M =Mfr Imaged & OD or Mf rTotal S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, audits and /or investigations sus end normal retention periods retention resumes after settlement or completion). District Telephone Book Recycling Mag, S I I Yes (after 2 Department preference; GC DC -031 Clerk Program 5 years 5 years OD, Ppr years) 4 §60201 Copies - Copies - Finance DC -032 Travel I Conference Travel When No When No Mag, Ppr Drafts or copies; GC §60200 Longer Longer Required Required Department preference: exceeds District CC -032.1 Treasurer's Reports 10 years 10 years Mag, Ppr auditing standards; GC Clerk M1009(b)IM COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -1 Office of Retention No. Records Description Retention /Disposition Comments /Reference Record I Image: Destroy Inactive Active Total Media 1 =Import Paper after OFR) Off -site, Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan 0 C 'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods retention resumes after settlement or completion). HUMAN RESOURCES Department preference (same as the Personnel File); All State and Affirmative Action Complaints - Federal laws require retention until Human HR -001 Department of Fair Employment & Separation + Separation + Mag, Ppr final disposition of formal Resources Housing (DFEH) or Equal 3 years 3 years complaint; State requires 2 years Opportunity Commission (EEOC) after action is taken; GC § §12946, 60201 Applications for Employment / Department preference; EEOC / Recruitment Files: FLSA / ADEA (Age) requires 1 -3 Solicited (Not Hired) years; State Law requires 2 - 3 Human 3 years 3 years years; 29 CFR 1602 et seq & Resources HR -002 Includes Applications, After Hiring After Hiring Mag, Ppr 1627.3(a)(5) and (6), 2 CCR Advertisements, Job Brochures, Test Decision Decision 7287.0(c)(2), 8 CCR Data, Rating Sheets, Questions, 11040(7.( c)), GC § §12946, Eligibility Lists, Reference Checks, 34090 etc. No positions open; therefore not Applications for Employment, deemed part of District recruitment Human Interest Cards or Resumes: When No When No practices; considered a transitory Resources HR -003 Non - Solicited / Unsolicited / No Longer Longer Mag, Ppr record not materially impacting the open position (not hired) Required Required conduct of the public's business; When No GC §60201 Department Preference; GC Human Classification and Compensation When No Resources HR -004 Studies / Surveys / Salary Surveys Longer Longer Mag Ppr 60201 Required Required EEOC / ADEA (Age) requires 1 District Benefit Contracts & Benefit Plan Plan year after benefit plan termination; Human HR -005 Plans / Insurance Policies (Health, Termination Termination Mag, Ppr State Law requires 2 years after Resources Dental, Deferred Compensation, 2 years 2 years faction; 9 CFR 1627.3(b)(2); 29 Pension, etc.) USC 1027; 11 CCR 560; 28 CCR 1300.85.1; GC §60201 COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -2 Office of No. Records Description Retention /Disposition Comments I Reference Record ,Retention Image: Destroy Inactive Active Total Media 1 =Import Paper after OFR) Off -site , Vital? in office) Options M =Mfr Imaged & OD or Mfr S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests, audits and/or investi tions sus end normal retention periods retention resumes after settlement or completion). Human EEO -4 Reports and records required Resources HR -006 to generate EEO-4 report (Self- 3 years 3 years Mag, Ppr 29 CFR 1602.30 Identification Form, etc.) 2 years GC §60201 IDepartment Preference; Human Resources HR -007 Employee Events 2 years Mag, Ppr EEOC /FLSA/ADEA (Age) requires 3 years for promotion, demotion, Human HR -008 Grievances Separation 5 years Separation Mag, Ppr transfer, selection, or discharge; Resources 1 year 6 years State Law requires 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC 12946, 12960, 34090; 29 USC Superseded 1113, LC 1174 Human HR -009 Job Descriptions Superseded Yes: Before Mag, Mfr, S / I Yes: After Department Preference; GC Resources 3 years 3 years Superseded OD, Ppr QC 60201 Human Department Preference; GC Resources HR -024 ICMA Statements Personnel Files - Medical File 5 years 5 years Maq,Ppr 6§ 0?01 Files maintained separately; Human HR -010 Includes pre - employment physicals, Separation + P Separation + P Yes: Until Ma Mfr, g' g / I Yes: After Claims can be made for 30 years substance for toxic substance exposure; 8 Resources hazmat exposure records, pulmonary 29 years 30 years Separation OD, Ppr QC CCR §c et seq., GC tests, Class B medicals, medical leaves, 12946,60201 Respiratory Fit Tests etc. COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -3 Office of Record I Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy OFR) Active (Off -site, Total Vital? Media 1 =Import Paper after in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, Complaints, claims, public records act requests, audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Personnel Files - Official Personnel file Department Preference; statue of limitations for retirement benefits is Includes Application, Awards, 6 years from last action; Backgrounds, DMV Reports, Disciplinary EEOC /FLSA/ADEA (Age) requires Human HR -011 Actions, Certifications, Commendations, Separation Separation + Yes: Until Mag, Mfr, S / I Yes: After 3 years for promotion, demotion, Resources Employment Verifications, Evaluations, 6 years 6 years Separation OD, Ppr QC transfer, selection, or discharge; Grievances, I -9s, Licenses, Personnel State Law requires 2 -3 years; 29 Action Forms, Policy acknowledgements, CFR 1602.31 & 1627.3(b)(ii), 8 Waiver of responsibility for voluntary CCR §3204(2seq., GC activities, Supplemental Life Insurance , 12946, 602001; 1; 29 9 USC 1113 etc. - Excludes Medical Records) COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -4 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference Inactive Image: Destroy OFR) Active Total Media 1 =Import Paper after Off -site, Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. I Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). RISK MANAGEMENT AND SAFETY Department Preference; Calif. Human Labor Division is required to keep Resources / their records 7 years; OSHA Risk HR -012 Cal -OSHA Inspections & Citations, 5 years 5 years Mag, Ppr requires 5 years, State law Manag. & Log 200, 300, 300A, 301, etc. requires 2 years; 8 CCR Safety 14300.33(a); 29 CFR 1904.33, 29 1904.44; GC §60201 et seq.; ICFR LC §6429c Human Resources / Final Department Preference; Covers R Risk HR -013 Claims Final 5 years Resolution + Yes: Until Mag, Ppr various statute of limitations; CCP Manag. & Resolution 5 years Resolution 337 et seq.; GC §§ 911.2, Safety 945.6, 60201, 60201.6; PC §832.5 District preference (DMV record Human that the District considers a non - Resources / Superseded Superseded record used for reference); DMV Risk HR -014 DMV Pull Notices or Separated or Separated Mag, Ppr audits every 2 years; Bureau of Manag. & National Affairs recommends 2 Safety years for all supplementary Personnel records; GC §60201 Department preference; D.O.T. Requires 5 years for positive tests, Human Drug and Alcohol Testing / D.O.T refusals, annual summaries, etc, 1 Resources / files (ALL Files - Random, Post- year for negative tests; EEOC / Risk HR -015 Accident & Reasonable Suspicion 5 years 5 years Mag, Ppr FLSA / ADEA (Age) requires 3 Manag. & Tests, refusals, annual summaries, years physical examinations; State Safety etc.) Law requires 2 years; 29 CFR 1627.3(b)(v), 49 CFR 382.401 et seq.; GC § §12946, 60201, 49 CFR 653.71 et seq. COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -5 Office of Retention No. ! Records Description Retention / Disposition Comments I Reference Record Image: Destroy Inactive nacti Total Media 1 =Import Paper after Active OFR) Off-site, Vital? in office) Retention Options M =Mfr Imaged & OD or Mfr) S =Scan C'd? If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, comp taints, claims, public records act requests, audits and/or investi tions sus end normal retention periods retention resumes after settlement or completion). Human i Resources / Illness and Injury Prevention Minimum of Minimum of Consistent with District -wide Risk HR -016 Program Superseded Superseded Mag, Ppr standards; GC §60201 Manag. & 2 years 2 years Safety- Human Department Preference; Covers Resources / Insurance Policies - General Expiration + Mag, Mfr, Yes: After various statute of limitations; CCP Risk HR -017 Liability, Workers Compensation, 2 years P P Yes OD, Ppr S / I QC 337 et seq.; GC §§ 911.2, Manag. & Safety etc. 945.6, 60201, 60201.6; PC §832.5 Human i - - -- - Resources /, Rik HR -018 Insurance Policies - Property, Fire, Expiration + Expiration + Yes: Until Mag, Ppr Department Preference; GC Manag. & Theft, etc. 2 years 2 years Expired 60201 Safety Human Department Preference; Covers Resources / Final Final Yes: Until various statute of limitations; CCP Risk HR -019 Lawsuits / Litigation Resolution 5 years Resolution + Resolution Mag, Ppr 337 et seq.; GC §§ 911.2, Manag. & g' 5 y ears 945.6, 60201, 60201.6; PC §832.5 Safety Human Resources / Loss Runs - SDRMA, Workers Department Preference (actuary Risk HR -020 2 years 3 years 5 years Mag, Ppr wants 10 years of data); GC Manag. & Compensation, etc. 60201 et seq. Safety Human Resources / Risk HR -021 Safety Committee / Safety Steering 5 years 5 years Mag, Ppr Department preference; 8 CCR Committee et se 3203 et q.; se GC § 60201 q. Manag. & Safe COSTA MESA SANITARY DISTRICT ©1995 -2010 Giadweil Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 3.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR -6 Office of Retention No.', Records Description Retention / Disposition Comments / Reference Record Image: Destroy Inactive Total Media 1 =Import Paper after Active OFR) in office) (Off -site, Retention Vital? Options M =Mfr Imaged & OD or Mfr) S =Scan C'd If the record is not listed here refer to the Retention for District -Wide Standards. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims public records act requests audits and/or investigations sus end normal retention periods retention resumes after settlement or completion). Department Preference; Calif. Labor Division is required to keep Human their records 7 years; OSHA Resources / requires 5 years; State law Risk HR -022 Safety Inspections 5 years 5 years Mag, Ppr requires 2 years; 8 CCR Manag. & 14300.33(a); 29 CFR 1904.33, 29 Safety CFR 1904.44; GC §60201 et seq.; LC §6429c Department preference; Claims can be made for 30 years for toxic Human Separation + Separation + Yes: Until i Mag, Mfr, Yes: After substance exposure; 8 CCR Resources HR -023 Worker's Compensation Claims Files Close 30 years 30 years Separation OD, Ppr 10102; 8 CCR 15400.2, 8 CCR S / I QC 3204(d)(1) et seq., 29 CFR 1910.1020, GC § §12946, 60201. CCP §337 et se g. COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: DISTRICT -WIDE STANDARDS Page DW -1 Office of Retention Records Description Retention /Disposition Comments I Reference Record No. Destroy Image: Inactive Paper Active Total Media 1= Import OFR) (Off -site Vital? after in office) Retention j Options M =Mfr OD or Mfr) Imaged & S =Scan C, Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and /or investigations sus end normal retention periods retention resumes after settlement or completion). Finance / Accounts Payable (Invoices, Copies - When No Copies - When No Yes: Until Also see Grants. copies; GC Accounts DW -001 Petty Cash, Travel Expense Longer Longer Paid Mag, Ppr 60200 Payable Reimbursements, etc.) Required Required Copies - Agendas, Agenda Packets & Copies - District DW -002 Summaries (Board of When No When No Yes Mag, Ppr copies; GC §60200 Action Clerk Directors) Longer Longer Required Required Copies - Send all original agreements or Copies - District DW -003 Agreements &Contracts When No When No Yes Mag, Ppr contracts to the District Clerk Clerk Longer Longer copies); GC §60200 Required Required Department preference; Most do not have E &O. E &O Statute of Limitations (insurance certificates are filed with Agreements & Contracts - ALL: agreement); Published Audit ADMINISTRATIVE RECORDS Lead Completion + Completion Standards =4 -7 years; Statute of Mag, Mfr, Yes: After Department DW -004 5 years 5 years OD, Ppr S / I QC Limitations: Contracts & Correspondence, project Spec's =4 years, Wrongful schedules, etc. Death =comp. + 5 years, Developers must retain their records for completion + 10 years; CCP § §336(a), 337 et. seq., GC §60201 Special Districts are required to Lead DW -005 Agreements & Contracts: Bid Opening Bid Opening Mag, Ppr keep public works unaccepted Department Unsuccessful bids 2 years 2 years bids for 2 years; GC 60201(d)(11) COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: DISTRICT -WIDE STANDARDS Page DW -2 Office of Retention Records Description Retention / Disposition Comments / Reference Record No. Destroy Image: Active Inactive Total Media 1= Import Paper OFR) (Off -site, Vital? after in office) Retention Options M =Mfr OD or Mfr) Imaged & S =Scan C, Retentions apply to the department that is NOT the Office of Record (OFR) or the "Lead Department". If ou are the OFR, refer to our department retention schedule. Retentions begin when the act is com leted, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and /or investigations sus end normal retention periods retention resumes after settlement or completion). Association Records (external DW -006 When No Longer When No Longer Mag, Ppr Non - records; GC §60201 et seq. associations - e.g., ACWA, etc.) Required Required DW -007 Bids: See Agreements Mag, Ppr DW -008 Brochures: See Reference Ma Ppr g' p Manuals Copies - Copies - Yes: Finance DW -009 Budgets - Finals, Drafts, Reports, When No When No Current Mag, Ppr GC § §60200, 53901 Worksheets Longer Longer Fiscal Year Required Required Copies - Copies - Human DW -010 Claims /Litigation When No When No Yes: Before Mag, Ppr I GC § §60200, 60201 et seq. Resources Longer Longer Settlement Required Required When No When No Lead Dept. DW -011 Clippings / Newspaper Clippings Longer Longer Mag, Ppr Non- records; GC §60201 et seq. Required Required When No Committees, Task Forces, When No Lead Dept. DW -012 Associations, Commissions, & Longer Longer Mag, Ppr Non - records Boards: External Organizations Required Required etc. Copies - DW -013 Contracts: See Agreements Mag, Ppr Copies - DW -014 Copies or duplicates of any When No When No Mag, Ppr GC §60200 record Longer Longer Required Required When No When No District preference; some Correspondence - Regulatory Longer Longer Yes: While correspondence from Regulatory Lead Dept. DW -015 Agencies Required - Required - Active Mag, Ppr Agencies need to be retained for Minimum 10 Minimum 10 Issues long periods of time; GC §60201 ears ears COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: DISTRICT -WIDE STANDARDS Page DW -3 Office of Retention Records Description Retention /Disposition Comments /Reference Record No. Record Destroy Image: Inactive Paper Active Total Media 1 =Import OFR) Off -site Vital? after O -Mfr) in office) Retention Options M =Mfr Imaged & S =Scan C, Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act re uests, audits, and /or investigations sus end normal retention periods retention resumes after settlement or completion). Dept. that Authors e .g. Administrative, Chronological, When No When No Document Communications, General Files, Longer Longer or DW -016 Letters, Memorandums, Required - Required - Mag, Ppr Department preference; GC Receives Miscellaneous Reports, Reading Minimum 2 Minimum 2 60201 the District's Files, Working Files, etc. Does NOT Original include Regulatory Agency years years Document Correspondence) Correspondence - TRANSITORY PRELIMINARY DRAFTS, Interagency and Intraagency Memoranda not retained in the E -mails or social media postings ordinary course of business that have a material impact on Dept. that business are saved by printing Authors e.g. calendars, checklists, e-mail or them out and placing them in a Document social media posting that does not When No When No file folder, or saving them or have a material impact on the conduct Receives DW -017 of business, instant messaging, Longer Longer Mag, Ppr electronically; If not mentioned the District's inventories, invitations, logs, mailing Required Required here, consult the City Attorney to determine if is Original lists, meeting room registrations, a record Document speaker slips, supply inventories, considered transitory / telephone messages, transmittal preliminary drafts. GC § §60201 letters, thank yous, requests from et seq. 6252, 6254(a) other cities, undeliverable envelopes, visitors logs, voice mails, webpages, etc.) As long as the drafts and notes Drafts & Notes: Drafts that are When No When No are not retained in the "Regular Lead Dept. DW -018 revised (retain final version) Longer Longer Mag, Ppr Course of Business ". GC Required Required 60201, GC §6254 COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 ver. 4.0 RECORDS RETENTION SCHEDULE: DISTRICT -WIDE STANDARDS Page DW -4 Office of Retention Records Description Retention / Disposition Comments 1 Reference Record No. Destroy_-_' – Image: Inactive paper Active Total Media 1= Import OFR) Off -site, Vitals after in office) Retention Options M =Mfr OD or Mfr) Imaged & S =Scan C, Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and /or investigations sus end normal retention periods retention resumes after settlement or completion). District Preference (may include records pertaining to independent contractor's i compensation, or expense reimbursement); Meets auditing After After standards; Uniform GM Funding Funding Requirements for Grants to Grants: SUCCESSFUL - all Agency Agency Local Governments is 3 years Lead Dept. DW -019 records, including State and 2 years Audit, if Audit, if Mag, Ppr from expenditure report or final Federal claims) Required - required - payment of grantee or Minimum 5 Minimum 5 subgrantee; 21 CFR 1403.36 & years years 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, & 570.502(b), 28 CFR 66.42; 29 CFR 97.42; 40 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42; OMB Circular A- 133; GC §60201 When No Grants: UNSUCCESSFUL When No Lead Dept. DW -020 (Applications, Correspondence, Longer Longer Mag, Ppr GC §60201 etc.) Required Required Copies - DW -021 Invoices - see Accounts Payable Mag, Ppr Originals maintained by Clerk of Copies - District DW -022 Ordinances When No When No Yes Mag, Ppr the Board Permanently; GC Clerk Longer Required Do Not Retain in Longer Required Do Not Retain in 60201 Human Personnel Files - Department- DW -023 Before Mag, Ppr Copies; GC §60200 Resources level Copies Departments De artments Separation COSTA MESA SANITARY DISTRICT 01995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: DISTRICT -WIDE STANDARDS Page DW -5 Office of Retention Records Description Retention I Disposition Comments I Reference Record No. Destroy Image: Inactive Paper Active Total Media 1 =Import OFR) (Off -site, Vital? after in office) Retention Options M =Mfr OD or Mfr) Imaged & S =Scan C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and /or investigations suspend normal retention periods retention resumes after settlement or completion). Supervisors notes should maintained in a separate folder Destroy Destroy and be incorporated in the Human DW -024 Personnel Files - Department- Notes After Notes After Before Ma Ppr g' p employee's annual performance Resources level Supervisor's Notes Performance Performance Separation review; 29 CFR 1602.31 & Review Review 1627.3(b)(ii), 8 CCR 3204(d)(1) et seq., GC 12946,60201 When No When No Lead Dept. DW -025 Photographs Longer Longer Mag, Ppr GC §60201 Required Required DW -026 Policies & Procedures - See Ma Ppr g' p Reference Manuals Copies - Copies - Finance DW -027 Purchase Orders When No When No Yes Mag, Ppr Copies; GC §60200 Longer Longer Required Required Copies - Copies - District DW -028 Records Destruction Lists When No When No Mag, Ppr Copies; GC §60200 Clerk Longer Longer Required Required When No When No Reference Materials: Policies, Longer Longer Documents of historical Authoring Dept. DW -029 Procedures, Brochures, Manuals, Reports: Produced by YOUR Required - Required - Mag, Ppr significance should be retained Minimum of Minimum of longer; GC §60201 Department Superseded Superseded When No Reference Materials: Policies, When No Lead Dept. DW -030 Procedures, Brochures, Manuals, Longer Longer Mag, Ppr Copies; GC §60200 Reports: Produced by OTHER Required Required Departments COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: DISTRICT -WIDE STANDARDS Page DW -6 Office of Retention J Records Description Retention / Disposition Comments I Reference Record No. Destroy Image: Inactive Paper Active Total Media 1 =Import OFR) Off -site, Vital? after in office) Retention Options M =Mfr OD or Mfr) Imaged & S =Scan C'd? Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and /or investigations sus end normal retention periods retention resumes after settlement or completion). Reference Materials: Policies, When No When No Lead Dept. DW -031 Procedures, Brochures, Manuals, Longer Longer Mag, Ppr Non- Records Reports: Produced by Required Required OUTSIDE ORGANIZATIONS Reports and Studies - White Lead Dept. DW -032 Papers, Issue Papers, Position Minimum 2 Minimum 2 Mag, Ppr GC §60201 Papers, Scientific Studies (other years years than Annual Reports) Copies - Yes, -' Copies - District DW -033 Resolutions When No When No depending Mag, Ppr copies; GC §60200 Clerk Longer Longer upon Required Required subject Surveys / Questionnaires (that the District issues). When No When No Lead Dept. DW -034 If a summary of the data is compiled, Longer Longer Mag, Ppr GC § §60200, 60201 the survey forms are considered a Required Required draft or transitory record, and can be destroyed when no longer required. Copies - Copies - Finance / DW -035 Time Sheets When No When No Mag, Ppr GC §60201 Payroll Longer Longer Required Required Training (In -house training - Attendance Rosters, Outlines Lead Dept. DW -036 and Materials) 3 years 3 years Mag, Ppr Send originals to GM / Safety; GC §60200 Except Information Technology Trainin . COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 Ver. 4.0 RECORDS RETENTION SCHEDULE: DISTRICT -WIDE STANDARDS Page DW -7 Office of Record Retention No. Records Description Retention / Disposition Comments / Reference T Destroy Inactive Image: Paper OFR) Active Total Media Off -site, Vital? 1 =Import after in office) I Retention Options OD or Mfr) M =Mfr Imaged & S =Scan C'd9 Retentions apply to the department that is NOT the Office of Record OFR or the "Lead Department". If you are the OFR, refer to your department retention schedule. Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder. Litigation, complaints, claims, public records act requests, audits, and /or investigations sus end normal retention perio ds retention resumes after settlement or completion). Copies - Copies - Finance DW -037 Travel Authorizations When No When No Mag, Ppr GC §60200 Longer Longer Required Required When No Department preference; GC When No Lead Dept.. DW -038 Visitor Logs / Registers Longer Longer Mag, Ppr 60201 et. seq. Required Required COSTA MESA SANITARY DISTRICT ©1995 -2010 Gladwell Governmental Services Inc. all rights reserved Do not duplicate or distribute without prior written consent 909.337.3516 Adopted: 05/26/2011 ORDINANCE NO. 97 AN ORDINANCE OF THE BOARD OF DIRECTORS OF THE COSTA MESA SANITARY DISTRICT PERTAINING TO DISTRICT RECORDS WHEREAS , California Constitution Article 1, section 3, and Government Code sections 6250 et seq . provide that access to public documents is a rig ht of the people of the state; and WHEREAS, Government Code sections 60201 et seq . provide the procedures by which records are to be maintained and destroyed; a nd WHEREAS , the Board of Directors does hereby desire to form alize the District’s procedures with regard to records; NOW, THEREFORE , the Board of Directors of the Costa Mesa Sanitary District does hereby ORDAIN as follows: Section 1. That Chapter 1.07 is hereby added to the Costa Mes a Sanitary District Operations Code to read as follows: “Chapter 1.07 Records 1.07.010. Public Records Request . Access to District records is a right of the public protected under California Constitution Arti cle 1, section 3, and Government Code sections 6250 et seq . All formal requests for District records shall b e date stamped and forwarded to the District Clerk or Depu ty District Clerk so that a timely response is made. Generally, such responses must be made within ten days. District Counsel should be consulted when the records may be subject to privacy or other considerations that might justify withholding. Rec ords that are accessible to the public will be provided promptly to the requestor, in acco rdance with the California Public Records Act. 1.07.020. Subpoenas and Other Legal Process Request ing Documents . All subpoenas and other court demands for documents sha ll be forwarded to the District Clerk or Deputy District Clerk and District Counsel upon receipt. Ordinance No. 97 1.07.030. District Record Retention . District records shall be retained and destroyed pursuant to the authority given special d istricts by Government Code sections 60200 et seq . Pursuant to Government Code section 60201, the B oard shall, by resolution, set forth the categories of documents t hat may be destroyed or disposed of in compliance with that section. As set forth in S ection 60201, the following records shall not be destroyed: (1) Records that relate to the formation, change of organization, or reorganization of the District. (2) An ordinance adopted by the District. However, an ordinance that has been repealed or is otherwise invalid or unenforcea ble may be destroyed or disposed of pursuant to this Section five years after it was repealed or became invalid or unenforceable. (3) Minutes of any meeting of the legislative body of the District. (4) Records that relate to any pending claim or lit igation or any settlement or other disposition of litigation within the past two years. (5) Records that are the subject of any pending req uest made pursuant to the California Public Records Act (Chapter 3.5 (commenc ing with Section 6250) of Division 7 of Title 1), whether or not the District maintains that the record is exempt from disclosure, until the request has been granted or two years have elapsed since the District provided written notice to the requester that the request has been denied. (6) Records that relate to any pending construction that the District has not accepted or as to which a stop notice claim legally may be presented. (7) Records that relate to any nondischarged debt o f the District. (8) Records that relate to the title to real proper ty in which the District has an interest. (9) Records that relate to any nondischarged contra ct to which the District is a party. (10) Records that have not fulfilled the administra tive, fiscal, or legal purpose for which it was created or received. (11) Records that are unaccepted bids or proposals, which are less than two years old, for the construction or installation of any building, structure, or other public work. (12) Records that specify the amount of compensatio n paid to District employees or officers or to independent contractors providing personal or professional services to the District or relate to expense reimbursement to District officers or employees or to the use of Dis trict paid credit cards or any travel compensation mechanism. However, a reco rd described in this paragraph may be destroyed or disposed of pursuant to this Section seven years after the date of payment. Ordinance No. 97 1.07.040. Reproductions Utilizing a Trusted System . Pursuant to Government Code section 60203, records may be repro duced on a trusted system in accordance with the Secretary of State’s guidelines in accordance with the standards set forth in Government Code section 12168.7 and Ca lifornia Code of Regulations Title 2, Division 5, Chapter 15 as the same may be amende d. The device used to make the reproduction must be a medium that accurately repro duces the original and does not permit additions, deletions, or changes to original images. Such reproductions shall thereafter be considered originals.” Section 2. Should any part, clause or section of this Ordina nce be declared by any Court to competent jurisdiction to be invalid, the remaining provisions of this Ordinance shall nevertheless be and remain in full force and effect, and the Board of Directors of the Costa Mesa Sanitary District hereb y declares that each and every section, clause, provision, or part of this Ordinan ce would have been adopted and made a part of this Ordinance without the adoption of an y portion thereof and that the invalidity of any part or provision hereof shall no t in any way affect the validity or enforcement of the remaining provisions of this Ord inance that may stand on their own. Section 3. Pursuant to Health and Safety Code sections 6490 and 6491.3, the District Clerk shall cause this Ordinance or a summ ary thereof to be published in a newspaper of general circulation printed and publis hed in the District according to law. PASSED and ADOPTED this ______ day of _____________, 2013 __________________________ __________________________ Secretary President APPROVED AS TO FORM: __________________________ District Counsel Ordinance No. 97 STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS CITY OF COSTA MESA ) I, SCOTT CARROLL, Clerk of the Costa Mesa Sanitary District, hereby certify that the above and foregoing Ordinance No. 97 was duly and regularly passed and adopted by said Board of Directors at a regular mee ting thereof, held on the day of February, 2013, by the following votes: AYES: NOES: ABSENT: ABSTAIN: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the seal of the Costa Mesa Sanitary District this day of February , 2013. Clerk of the Costa Mesa Sanitary District R ESOLUTION NO. 2013 -827 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE COSTA MESA SANITARY DISTRICT ESTABLISHING A RECORDS RETENTION SCHEDULE AND AUTHORIZING RECORDS DESTRUCTION BY CATEGORY WHEREAS , the maintenance of numerous records is expensive, slows document retrieval, and is not necessary with respect to most documents after a certain period of time for the effective and efficient operation of the government of the Costa Mesa Sanitary District ; and WHEREAS , Section 60200 of the Government Code of th e State of California provides that the legislative body of a special district may authorize the destruction or disposition of any duplicate record, paper, or document, the original or a permanent photographic record of which is in the files of any office r or department of the District ; and WHEREAS , Section 60201 of the Government Code of the State of California provide s that District records which have served their purpose, which are not expressly required by law to be filed and preserved, and which will not adversely affect any interest of the District or public may be destroyed ; and WHEREAS , the Board does hereby authorize the destruction or disposition of categories of documents by making the following findings as required by Section 60201 ; NOW , THE REFORE , the Board of Directors of the Costa Mesa Sanitary District does hereby resolve as follows : Section 1 . Destruction of Records in Compliance with Exhibit A W ill N ot Adversely Affect Any Interest of the District . The Board of Directors finds that th e destruction or disposition of the records series that have exceeded the retention periods as set forth in the Records Retention Schedule (Exhibit A ) will not adversely affect any interest of the District or the public . Section 2 . Authorization to Destro y Records in Compliance with Exhibit A . The records of the Costa Mesa Sanitary District, as set forth in the Records Retention Schedule (Exhibit A ), attached hereto and incorporated herein by this reference, are hereby authorized to be destroyed as provid ed by Section 60201 et seq. of the Government Code of the State of California and in accordance with the provision of said schedule in accordance with District policies and procedures, without further action by the Board of Directors of the Costa Mesa Sani tary District . Section 3 . Definition of Records . The term “records ” as used herein shall include documents, instructions, books, microforms, electronic files, magnetic tape, optical media, or papers; as defined by the California Public Records Act. PA SSED AND ADOPTED by the Board of Directors of the Costa Mesa Sanitary District at a regular meeting held on the ________ day of ___________________, 201 3 . AYES: Board Members - NOES: Board Members - ABSTAIN: Board Members - ABSENT: Board Members - _________________________________ James Ferryman President I HEREBY CERTIFY that the foregoing is a full, true , and correct copy of Resolution 2013 -827 adopted by the Board of Directors of Costa Mesa Sanitary District at its regular meeting held on _____________________, 2013. _________________________________ Scott Carroll Clerk of the Board