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09 - Resolution No. 2013-844 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: October 24, 2013 Subject: Adopt Resolution No. 2013-84 4 Amending the Records Retention Schedules Summary The District’s records retention schedules have been reviewed and updated to reflect new laws and changes in operations. Staff Recommendation That the Board of Directors adopt Resolution No. 2013-84 4 amending the Records Retention Schedules. Analysis Gladwell Governmental Services, Inc., an expert in local government records, has been assisting the District on 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 operations since the schedules were last amended in July of 2013. 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. The update to the records retention schedules will further enhance the District’s efficiency and cost savings. 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. ITEM NO. 09 Board of Directors October 24 , 2013 Page 2 of 2 Legal Review The resolution , along with t he revised reco rds retention schedules , were reviewed and approved by District Counsel. Environmental Review Subject activity is exempt from the requirements of the California Environmental Quality Act (CEQA) (Public Resources Code Section 21000 et. seq.). Section 15300.4 of CEQA allows an agency while establishing its own procedures “to list those specific acti vities which fall within each of the exempt classes”, and the District has adopted “CEQA Guidelines and Implementing Procedures” that state on page 6 “”Projects” does not include …. C. Continuing administrative or maintenance activities.” Financial Review The District has a current budget of $1,500 for offsite document storage. Adop tion of the proposed resolution 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. Public Notice Process Copies of this report are on file and will be included with the entire agenda packet for the October 24 , 2013 Board of Directors regular meeting at District headquarters and on the District’s website at www.cmsdca.gov . Alternative Actions 1. Do not approve Resolution No. 2013 -844 and r efer the matter back to s taff. Attachments A: Resolution No. 2013 -84 4 B: Amended Records Retention Schedule R ESOLUTION NO. 2013 -844 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE COSTA MESA SANITARY DISTRICT AMENDING THE RECORDS RETENTION SCHEDULE WHEREAS , pursuant to Gov ernment Code Section 60200 and Costa Mesa Sanitary District O perations Code Section 1.07.03 0 , the District has adopted a record retention and destruction resolution with retention schedules ; and WHEREAS , Resolution No . 2013 -827 establishes that retention schedule ; and WHEREAS , the Board of Directors does hereby determine to amend that schedule and in doing so makes the following findings ; NOW , THEREFORE , the Board of Directors of the Costa Mesa Sanitary District does hereby RESOLVE as follows : Section 1 . That the records to be destroyed as set forth in Exhibit A will not adversely affect any interest of the District or the public . Section 2 . That the records that exceed the retention schedules set forth herein may be destroyed in accordance with Gov ernment Code Sections 60200 et seq . Section 3 . That except as expressly modified herein, Reso lution No . 2013 -827 shall remain in effect . PASSED 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 -84 4 adopted by the Board of Directors of Costa Mesa Sanitary District at its regular meeting held on _____________________, 2013. _________________________________ Scott Carroll Clerk of the Board HOW TO USE RETENTION SCHEDULES ©1995 -201 3 Gladwell Governmental Services, Inc. (909) 337 -3516 - all rights reserved Do not duplicate or distribute without prior written permission A legend explaining the information presented in the retention schedule h as been printed on the back of each page for your easy reference; an index to locate records is also provided. The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard dri ve, both records should be destroyed (or erased) after the specified period of time has elapsed. Copies or duplicates of records should never be retained longer than the prescribed period for the original record. STRUCTURE: DISTRICT WIDE, DEPARTMENTS & DIVISIONS The District -wide retention schedule includes those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Offic e of Record, and therefore responsible for maintaining the original record for the prescribed length of time. Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Offic e of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department retention schedule, refer to the District -wide retention schedule. An index will be provid ed for your reference. BENEFITS This retention schedule has been developed by Diane R. Gladwell, MMC , an expert in Municipal Government records, and will provide the District with the following benefits: • Reduce administrative expenses, expedite proced ures • Free filing cabinet and office space • Reduce the cost of records storage • Eliminate duplication of effort within the District • Find records faster • Easier purging of file folders • Determine what media should be used to store records For q uestions, please contact the Records Manager Authorization to Destroy Records: All original records that have exceeded their retention period must be authorized according to District Policies & Procedures prior to destroying them. Copies, drafts, notes and non -records do NOT require authorization, and can be destroyed “When No Longer Required.”  If there is a minimum retention ("When No Longer Required - M inimum 2 years "), it must be authorized before it is destroyed, as it is an original record.  If there is NOT a minimum retention ("When No Longer R equired"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft / transitory record or a copy. RECORDS RETENTION SCHEDULE LEGEND ©1995 - 201 3 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 “r ecord copy.” Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.) Records Description: The record series (a group of like records). Transitory Records not retained in the or dinary 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. Non -Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business. Retention/Disposition: Active : How long the file remains in the immediate office area (guideline ) Inactive : How long the file is in off -site storage, stored on Optical Disk or Microforms (guideline ) Total Retention : The total number of years the record will be retained For file folders containing docu ments 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 th at are needed for basic operations in the event of a disaster. Media Options (guideline ) – the form of the record : Mag = Computer Magnetic Media (hard drive, disks, tapes, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jacket s) Ppr = Paper OD = Optical Disk, CD, DVD or other media which does not allow changes Scan / Import (guideline ): “S” indicates the record should be scanned into the document imaging system; “I” indicates the record should be ele ctronically imported into the document imaging system; “M” indicates the record should be microfilmed Destroy Paper after Imaged & QC’d (guideline, if record is imaged ): QC’d=Quality Checked. “Yes” indicates the paper version may be destroyed if th e document has been imaged (microfilmed, scanned or imported onto Optical Disk – CD -R , WORM or DVD -R ), and both the images and indexing Quality Checked (“QC’d”). Legend for legal citations (§: Section) B&P: Business & Professions Code (CA) CBC: Cali fornia Building Code CC: Civil Code (CA) CCP: Code of Civil Procedure (CA) CCR: California Code of Regulations (CA) CFC: California Fire Code CFR: Code of Federal Regulations (US) EC: Elections Code (CA) EVC: Evidence Code (CA) FA: Food & Agriculture Code FC: Family Code (CA) FTB: Franchise Tax Board (CA) GC: Government Code (CA) H&S: Health & Safety Code (CA) HUD: Housing & Urban Develop. (US) LC: Labor Code (CA) Ops. Atty. Gen.: Attorney General Opinions (CA) PC: Penal Code (CA) R&T: Revenue & Taxation Code (CA) UAC: Uniform Administrative Code UBC: Uniform Building Code UFC: Uniform Fire Code UPC: Uniform Plumbing Code USC: United States Code (US) VC: Vehicle Code (CA) W&I: Welfare & Institutions Code (CA) Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT-WIDE STANDARDS Page DW-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'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). Finance / Accounts Payable DW-001 Accounts Payable (Invoices, Petty Cash, Travel Expense Reimbursements, etc.) Copies - When No Longer Required Copies - When No Longer Required Yes: Until Paid Mag, Ppr Also see Grants. copies; GC §60200 District Clerk DW-002 Agendas, Agenda Packets & Action Summaries (Board of Directors) Copies - When No Longer Required Copies - When No Longer Required Yes Mag, Ppr copies; GC §60200 District Clerk DW-003 Agreements & Contracts Copies - When No Longer Required Copies - When No Longer Required Yes Mag, Ppr Send all original agreements or contracts to the District Clerk (copies); GC §60200 Lead Department DW-004 Agreements & Contracts - ALL: ADMINISTRATIVE RECORDS Correspondence, project schedules, insurance certificates etc.) Also see grant retention, if applicable. Completion + 5 years Completion + 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; Most do not have E&O. E&O Statute of Limitations (insurance certificates are filed with agreement); Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers must retain their records for completion + 10 years; CCP §§336(a), 337 et. seq., GC §60201 Lead Department DW-005 Agreements & Contracts: Unsuccessful bids Bid Opening + 2 years Bid Opening + 2 years Mag, Ppr Special Districts are required to keep public works unaccepted 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT-WIDE STANDARDS Page DW-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'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). DW-006 Association Records (external associations - e.g., ACWA, etc.) When No Longer Required When No Longer Required Mag, Ppr Non-records; GC §60201 et seq. DW-007 Bids: See Agreements Mag, Ppr DW-008 Brochures: See Reference Manuals Mag, Ppr Finance DW-009 Budgets - Finals, Drafts, Reports, Worksheets Copies - When No Longer Required Copies - When No Longer Required Yes: Current Fiscal Year Mag, Ppr GC §§60200, 53901 Human Resources DW-010 Claims / Litigation Copies - When No Longer Required Copies - When No Longer Required Yes: Before Settlement Mag, Ppr GC §§60200, 60201 et seq. Lead Dept.DW-011 Clippings / Newspaper Clippings When No Longer Required When No Longer Required Mag, Ppr Non-records; GC §60201 et seq. Lead Dept.DW-012 Committees, Task Forces, Associations, Commissions, & Boards: External Organizations (e.g. CSDA, etc.) When No Longer Required When No Longer Required Mag, Ppr Non-records DW-013 Contracts: See Agreements Mag, Ppr DW-014 Copies or duplicates of any record Copies - When No Longer Required Copies - When No Longer Required Mag, Ppr GC §60200 Lead Dept.DW-015 Correspondence - Regulatory Agencies When No Longer Required - Minimum 10 years When No Longer Required - Minimum 10 years Yes: While Active Issues Mag, Ppr District preference; some correspondence from Regulatory Agencies need to be retained for long periods of time; 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT-WIDE STANDARDS Page DW-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'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). Dept. that Authors Document or Receives the District's Original Document DW-016 Correspondence - Routine (e .g. Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading Files, Working Files, etc. Does NOT include Regulatory Agency Correspondence) When No Longer Required - Minimum 2 years When No Longer Required - Minimum 2 years Mag, Ppr Department preference; GC §60201 Dept. that Authors Document or Receives the District's Original Document DW-017 Correspondence - TRANSITORY / PRELIMINARY DRAFTS, Interagency and Intraagency Memoranda not retained in the ordinary course of business (e.g. calendars, checklists, e-mail or social media posting not made or retained for the purpose of preserving the informational content for future reference, that does not have a material impact on the conduct of business, invitations, instant messaging, logs, mailing lists, meeting room registrations, supply inventories, telephone messages, transmittal letters, thank yous, requests from other cities, undeliverable envelopes, visitors logs, voice mails, webpages, etc.) When No Longer Required When No Longer Required Mag, Ppr Electronic and paper records are filed and retained based upon their content. E-mails, electronic records, or social media postings that are made or retained for the purpose of preserving the informational content for future reference have a material impact on business are saved by printing them out and placing them in a file folder, or saving them electronically. If not mentioned here, consult the City Attorney to determine if a record is considered transitory / preliminary draft. GC §§60201, 6252, 6254(a) 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT-WIDE STANDARDS Page DW-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'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). Lead Dept.DW-018 Drafts & Notes: Drafts that are revised (retain final version) When No Longer Required When No Longer Required Mag, Ppr As long as the drafts and notes are not retained in the "Regular Course of Business". GC §60201, GC §6254 Lead Dept.DW-019 Grants: SUCCESSFUL - all records, including State and Federal claims) 2 years After Funding Agency Audit, if Required - Minimum 5 years After Funding Agency Audit, if required - Minimum 5 years Mag, Ppr District Preference (may include records pertaining to independent contractor's compensation, or expense reimbursement); Meets auditing standards; Uniform GM Requirements for Grants to Local Governments is 3 years from expenditure report or final payment of grantee or subgrantee; 21 CFR 1403.36 & 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 Lead Dept.DW-020 Grants: UNSUCCESSFUL (Applications, Correspondence, etc.) When No Longer Required When No Longer Required Mag, Ppr GC §60201 DW-021 Invoices - see Accounts Payable Mag, Ppr District Clerk DW-022 Ordinances Copies - When No Longer Required Copies - When No Longer Required Yes Mag, Ppr Originals maintained by Clerk of the Board Permanently; 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT-WIDE STANDARDS Page DW-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'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). Human Resources DW-023 Personnel Files - Department- level Copies Do Not Retain in Departments Do Not Retain in Departments Before Separation Mag, Ppr Copies; GC §60200 Human Resources DW-024 Personnel Files - Department- level Supervisor's Notes Destroy Notes After Performance Review Destroy Notes After Performance Review Before Separation Mag, Ppr Supervisors notes should maintained in a separate folder and be incorporated in the employee's annual performance review; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 60201 Lead Dept.DW-025 Photographs When No Longer Required When No Longer Required Mag, Ppr GC §60201 DW-026 Policies & Procedures - See Reference Manuals Mag, Ppr Finance DW-027 Purchase Orders Copies - When No Longer Required Copies - When No Longer Required Yes Mag, Ppr Copies; GC §60200 District Clerk DW-028 Records Destruction Lists Copies - When No Longer Required Copies - When No Longer Required Mag, Ppr Copies; GC §60200 Authoring Dept.DW-029 Reference Materials: Policies, Procedures, Brochures, Manuals, & Reports: Produced by YOUR Department When No Longer Required - Minimum of Superseded When No Longer Required - Minimum of Superseded Mag, Ppr Documents of historical significance should be retained longer; 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT-WIDE STANDARDS Page DW-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'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). Lead Dept.DW-030 Reference Materials: Policies, Procedures, Brochures, Manuals, & Reports: Produced by OTHER Departments When No Longer Required When No Longer Required Mag, Ppr Copies; GC §60200 Lead Dept.DW-031 Reference Materials: Policies, Procedures, Brochures, Manuals, & Reports: Produced by OUTSIDE ORGANIZATIONS When No Longer Required When No Longer Required Mag, Ppr Non-Records Lead Dept.DW-032 Reports and Studies - White Papers, Issue Papers, Position Papers, Scientific Studies (other than Annual Reports) Minimum 2 years Minimum 2 years Mag, Ppr GC §60201 District Clerk DW-033 Resolutions Copies - When No Longer Required Copies - When No Longer Required Yes, depending upon subject Mag, Ppr copies; GC §60200 Lead Dept.DW-034 Surveys / Questionnaires (that the District issues). If a summary of the data is compiled, the survey forms are considered a draft or transitory record, and can be destroyed when no longer required. When No Longer Required When No Longer Required Mag, Ppr GC §§60200, 60201 Finance / Payroll DW-035 Time Sheets Copies - When No Longer Required Copies - When No Longer Required Mag, Ppr 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT-WIDE STANDARDS Page DW-7 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & QC'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). Lead Dept.DW-036 Training (In-house training - Attendance Rosters, Outlines and Materials ) Except Information Technology Training. 5 years 5 years Mag, Ppr Department preference; Ethics Training is 5 years; Statewide guidelines propose 7 years; Calif. Labor Division is required to keep their OSHA records 7 years; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 - 3 years for personnel actions; 8 CCR §3203 et seq., 29 CFR 1627.3(b)(ii), LC §6429(c); GC §§12946, 34090, 53235.2(b) Finance DW-037 Travel Authorizations Copies - When No Longer Required Copies - When No Longer Required Mag, Ppr GC §60200 Lead Dept.DW-038 Visitor Logs / Registers When No Longer Required When No Longer Required Mag, Ppr Department preference; GC §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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). District Clerk DC-001 Abandonments 2 years P P Mag, Mfr, OD, Ppr S / I No Department Preference; GC §60201 District Clerk DC-002 Agendas & Agenda Packets - District Board of Directors (Includes Agenda Staff Reports) 2 years P P Yes: Before Meeting Date Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; GC §60201 Board Services & GM DC-003 Agreements & Contracts - INFRASTRUCTURE - Architectural, Engineering, JPAs, etc. Agreement or Contract, Insurance Certificates & Notices of Completion. Agreement or Contract includes all contractual obligations (e.g. RFP, Specifications, Successful Proposal / Scope of Work, Certificates of Insurance, and amendments) Examples of Infrastructure: Architects, Treatment Plants, Lines, Buildings, etc. Completion P P Yes: Before Completion Mag, Mfr, OD, Ppr S / I Yes: After QC Department Preference; All infrastructure, JPAs, & Mutual Aid contracts are permanent for emergency preparedness; Statute of Limitations is 4 years; 10 years for Errors & Omissions; CCP §§337. 337.1(a), 337.15, 343; GC §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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Board Services & GM DC-004 Agreements & Contracts - NON INFRASTRUCTURE - Equipment Purchases, Consulting Services, Leases, Vehicle Purchases, etc. Agreement or Contract, Insurance Certificates & Notices of Completion. Agreement or Contract includes all contractual obligations (e.g. RFP, Specifications, Successful Proposal / Scope of Work, Certificate of Insurance, and amendments) Examples of Non-Infrastructure: Consultants, Painting, Maintenance, Franchise Agreements, etc. Completion 10 years Completion + 10 years Yes: Before Completion Mag, Mfr, OD, Ppr S / I Yes: After QC Department Preference; Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §60201 et seq. Board Services & GM DC-005 Annexations / Redistricting 2 years P P Mag, Mfr, OD, Ppr S / I No GC §60201 et. seq. District Clerk DC-006 Appointments / Resignations of Board of Directors 2 years P P Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; GC §60201 District Clerk DC-007 Assessment District Formation 2 years P P Mag, Mfr, OD, Ppr S / I No Department Preference; GC §60201 District Clerk DC-008 Association Records (external associations - e.g., ACWA, etc.) When No Longer Required When No Longer Required Mag, Ppr Non-records; GC §60201 et seq. District Clerk DC-009 Code of Operations / Operations Code 2 years P P Mag, Mfr, OD, Ppr S / I No Department preference (historical purposes); 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). District Clerk DC-010 District Formation Records, Acquisition of other Districts 2 years P P Mag, Mfr, OD, Ppr S / I No Department preference (historical purposes); GC §60201 District Clerk DC-011 Elections - Historical (Sample Ballot, Election Results)2 years P P Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference (historical purposes); GC §60201 District Clerk DC-012 Elections: Correspondence, Notifications & Publications, Certificate of Election, etc. 2 years 2 years Mag, Ppr Department preference (historical purposes); GC §60201 District Clerk DC-013 Ethics Training Certificates 5 years 5 years Mag, Mfr, OD, Ppr S / I Yes: After 1 year GC §§12946, 29 USC 1113 District Clerk CC-013.1 FPPC Campaign Disclosure Statements (FPPC 400 Series Forms) 4 years 4 years Mag, Ppr Forwarded to the County, who is the filing officer; Paper must be retained for at least 2 years; GC §81009(b)&(g) District Clerk DC-014 FPPC 700 Series Forms (Statement of Economic Interests): DESIGNATED EMPLOYEES (specified in the District's Conflict of Interest code) 7 years 7 years Mag, Ppr District maintains original statements; GC §81009€&(g) District Clerk DC-015 FPPC 700 Series Forms (Statement of Economic Interests): PUBLIC OFFICIALS (elected & not elected. Includes District Board Members, General Manager) 7 years 7 years Mag, Ppr Department preference (only required for 4 years); District maintains copies only; original statements are filed with FPPC; GC §81009(f)&(g) District Clerk DC-016 FPPC Form 801 (Gift to Agency Report) 4 years 4 years Mag, Ppr Must post on website; 2 CCR 18944 .2 (c)(3)(G) District Clerk DC-017 FPPC Form 802 (Tickets Provided by Agency Report)7 years 7 years Mag, Ppr Should post on website for 4 years; GC §81009(e) District Clerk FPPC Form 806 (Agency Report of Public Official Appointments)2 years 2 years Mag, Ppr Must post on website; 2 CCR 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). District Clerk DC-018 Historical Records 2 years P P Mag, Mfr, OD, Ppr S / I No District Secretary Determines Historical Significance; GC §60201 District Clerk DC-019 Legal Opinions 2 years P P Mag, Mfr, OD, Ppr S / I No Department Preference; GC §60201 District Clerk DC-020 Minutes: Board of Directors 2 years P P Yes (all)Mag, Mfr, OD, Ppr S / I No GC §60201(d)(3) District Clerk DC-021 Newsletter (District Newsletter)2 years P P Mag, Mfr, OD, Ppr S / I No Department Preference; GC §60201 District Clerk DC-022 Notices: Affidavits of Postings and Publications 2 years 2 years Mag, Ppr Brown Act challenges must be filed within 30 or 90 days of action; GC §§60201, 54960.1(c)(1) District Clerk DC-023 Oaths of Office 2 years P P Mag, Mfr, OD, Ppr S / I Yes: After QC Department Preference; GC §60201 District Clerk DC-024 Ordinances 2 years P P Yes (all)Mag, Mfr, OD, Ppr S / I No GC §60201 et. seq. District Clerk DC-025 Policy Statements 2 years P P Mag, Mfr, OD, Ppr S / I No Department Preference; GC §60201 District Clerk DC-026 Public Records Act Requests 2 years 2 years Mag, Ppr Department Preference; GC §60201 District Clerk DC-027 Real Estate / Deeds, Easements and Rights of Way 2 years P P Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference (historical purposes); GC §60201 District Clerk DC-028 Records Destruction Lists 5 years 5 years Mag, Ppr Department Preference; GC §60201(b)(1)(B) District Clerk DC-029 Resolutions 2 years P P Yes (all)Mag, Mfr, OD, Ppr S / I No GC §60201 et. seq. District Clerk DC-030 Tapes & Recordings (Audio) District Board meetings 30 days, or After Minutes are Approved, whichever is longer 30 days, or After Minutes are Approved, whichever is longer Mag 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 Revised: Ver. 5.0 RECORDS RETENTION SCHEDULE: DISTRICT CLERK Page DC-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). District Clerk DC-031 Telephone Book Recycling Program 5 years 5 years Mag, OD, Ppr S / I Yes (after 2 years) Department preference; GC §60201 Finance DC-032 Travel / Conference Travel Copies - When No Longer Required Copies - When No Longer Required Mag, Ppr Drafts or copies; GC §60200 District Clerk CC-032.1 Treasurer's Reports 10 years 10 years Mag, Ppr Department preference; exceeds auditing standards; GC §81009(b)(g) 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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). ADMINISTRATION / GENERAL ACCOUNTING Finance / General Accounting FN-001 Assessed Valuations (of Property within the District - from the County) When No Longer Required When No Longer Required Mag, Ppr Department Preference (Non- records) Finance / General Accounting FN-002 Assessment District Financial Records / CFD (Community Facilities Districts) 2 years 3 years 5 years Mag, Ppr Department Preference; Meets municipal government auditing standards; GC §60201 Finance / General Accounting FN-003 Audit Annual Reports / Audited Financial Statements / Comprehensive Annual Financial Report (CAFR) with Audit Management Letters / Audit Reports 5 years P P Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; GC §60201 et seq. Finance / General Accounting FN-004 Audit Work Papers (Finals) Includes Depreciation Schedules 5 years 5 years Mag, Ppr Department Preference; GC §60201 Finance / General Accounting FN-005 Audits - Single Audits 5 years 5 years Mag, Ppr Department Preference; Meets municipal government auditing standards; GC §60201 Finance / Accounts Receivable FN-006 Bank Signature Cards Superseded + 5 years Superseded + 5 years Mag, Ppr Department Preference; Meets municipal government auditing standards; GC §60201 Finance / General Accounting FN-007 Bank Statements / Checking Account Reconciliation / Fiscal Agent Statements, Trustee Statements, Investment Account Statements, etc. 2 years 3 years 5 years Mag, Ppr Department Preference; Meets municipal government 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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / General Accounting FN-008 Bonds / Certificates of Participation / Transcripts / Disclosure Reports / Registers / Issue Records 2 years Fully Defeased Cancellat., Redemption or Maturity + 10 years Fully Defeased Cancellat., Redemption or Maturity + 10 years Yes: Until Maturity Mag, Mfr, OD, Ppr S / I No Department Preference; Statute of Limitations for bonds, mortgages, trust deeds, notes or debentures is 6 years; Bonds issued by local governments are 10 years; There are specific requirements for disposal of unused bonds; CCP §§336(a)(1) & (2), 337.5(2); GC §43900 et seq. GC §60201 et seq. Finance / General Accounting FN-009 Budgets: Adopted 5 years P P Yes: Current Fiscal Year Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; GC §60200 Finance / General Accounting FN-010 Budgets: Proposed, Drafts, Work Papers When No Longer Required When No Longer Required Mag, Ppr Department Preference; Preliminary drafts; GC §60200 Finance / General Accounting FN-011 Cancelled Payroll Checks, Including Voided copies for Automatic Deposits 2 years 5 years 7 years Mag, Ppr GC §60201(d)(12), CCP § 337 Finance / General Accounting FN-012 Equipment Inventory When No Longer Required When No Longer Required Mag, Ppr Preliminary drafts (the Financial Database is the original); GC §60200 Finance / General Accounting FN-013 Financial Reports: Journals, Ledgers, Reconciliations, Registers, Reports, Transaction Histories, Balance Sheets, Budget Adjustments, (MONTHLY OR PERIODIC ) When No Longer Required When No Longer Required Mag, Ppr Draft / Preliminary documents used to produce final year-end general ledger (financial database is the original); GC §60201 Finance / General Accounting FN-014 Financial System Database / ERP Database Indefinite Indefinite Mag Data is interrelated; system qualifies as a "trusted system"; 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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / General Accounting FN-015 Fixed Assets - Auction / Disposal / Sales / Surplused 2 years 3 years 5 years Mag, Ppr Consistent with Accounts Receivable; Statute of limitations is 3 years; statewide guidelines propose 2 - 4 years; published articles show 3 - 6 years; GC §60201, CCP §337 Finance / General Accounting FN-016 Fund Transfers / Adjustments 2 years 3 years 5 years Mag, Ppr Department Preference; Meets municipal government auditing standards; GC §60201 Finance / General Accounting FN-017 Inventory Reports When No Longer Required When No Longer Required Mag, Ppr Preliminary drafts (the Financial Database is the original); GC §60200 Finance / General Accounting FN-018 Investment Files 2 years 3 years 5 years Yes: Until Maturity Mag, Ppr Department Preference; GC §60201 Finance / General Accounting FN-019 Investment Oversight Committee - Agenda Packets When No Longer Required - Minimum 2 years When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; GC §60201 Finance / General Accounting FN-020 Investment Oversight Committee - Minutes P P Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; GC §60201 Finance / General Accounting FN-021 Journal Vouchers / Journal Entries 2 years 3 years 5 years Mag, Ppr Department Preference; Statute of Limitations is 4 years; Published articles show 6-7 years; GC §60201, CCP §337 Finance / General Accounting FN-022 LAIF (Local Agency Investment Fund)2 years 3 years 5 years Yes: Until Maturity Mag, Ppr Department Preference; GC §60201 Finance / General Accounting FN-023 Organization Charts - In Budgets and CAFRs 5 years P P Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit GC §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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / General Accounting FN-024 SB 90 / Mandated Cost Reimbursement Claims 2 years 3 years 5 years Yes: Until Maturity Mag, Ppr Department Preference; GC §60201 Finance / General Accounting FN-025 State Reports: State Controllers Report, Local Government Compensation Report, Public Self Insurer Report (SIP Report), etc. 2 years 3 years 5 years Mag, Ppr District Preference; Meets auditing standards; GC §60201 Finance / General Accounting FN-026 Vehicle Titles ("Pink Slips")Upon Sale of the Vehicle Upon Sale of the Vehicle Yes Mag, Ppr Given to the new owner upon sale of the vehicle; GC §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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). ACCOUNTS PAYABLE Finance / Accounts Payable FN-027 1099's Issued 2 years 5 years 7 years Mag, Ppr IRS: 4 years after tax is due or paid (longer for auditing & contractor delinquency); Ca. FTB: 3 years; Published articles show permanent; ; IRS Reg §31.6001- 1(e)(2), R&T §19530, GC §60201(d)(12) Finance / Accounts Payable FN-028 Accounts Payable Source Records / Invoices & Purchase Orders ALL 2 years 5 years 7 years Yes: Until Paid Mag, Ppr Meets municipal government auditing standards; Sewage Sludge is required for 5 years; Published articles show 3 - 7 years; 40 CFR 122.41(j)(2); WC §13263.2(b) et seq.; GC §60201(d)(12) Finance / Accounts Payable FN-029 Check Copies / Cancelled Checks (on CDs)2 years 5 years 7 years Mag, Ppr May contain independent contractor's compensation; Statute of Limitations is 4 years; Meets municipal government auditing standards; GC §60201(d)(12), CCP § 337 Finance / Accounts Payable FN-030 Check Register When No Longer Required When No Longer Required Mag, Ppr The Financial Database is the original; Reports can be recreated on demand and are considered a copy or preliminary draft; GC §60201 Finance / Accounts Payable FN-031 Expense Reports (Accounts Payable)2 years 5 years 7 years Mag, Ppr District Preference (may include records pertaining to independent contractor's compensation, or 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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Finance / Accounts Payable FN-032 Petty Cash / Reconciliation / Reports / Vouchers 2 years 5 years 7 years Mag, Ppr District Preference (may include records pertaining to independent contractor's compensation, or expense reimbursement); Meets auditing standards; GC §60201 Finance / Accounts Payable FN-033 Refunds & Backup (Sewer Permit Processing)2 years 5 years 7 years Mag, Ppr District preference for drinking water regulations; CCP §§338 et seq., 340 et seq., 342, GC §§945.6, GC §60201 Finance / Accounts Payable Permit Processing FN-044 Returned Checks (NSF, etc.)5 years 5 years Yes: Until Paid Mag, Ppr Meets municipal government auditing standards; Statewide guidelines propose audit + 4 years; GC §60201 Finance / Accounts Payable FN-034 W-9's 7 years 7 years Mag, Ppr District Preference; Related to independent contractor's compensation; IRS: 4 yrs after tax is due or paid; Ca. FTB: 3 years; Articles show 7 years; IRS Reg §31.6001-1(e)(2), R&T §19530; 29CFR 516.5 - 516.6, 29USC 436, GC §60201(d)(12) ACCOUNTS RECEIVABLE Finance / Accounts Receivable FN-035 Bank Deposit Receipts / Cash Receipts 2 years 3 years 5 years Mag, Ppr Department Preference; Meets municipal government auditing standards; GC §60201 Finance / Accounts Receivable FN-036 Billing Records: Billing Ledgers 2 years 3 years 5 years Mag, Ppr Department Preference; Meets municipal government 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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-7 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). PAYROLL Finance / General Accounting FN-037 DE-6, DE-7, DE-9 DE-43, W-3, & DE- 166 & 941 Forms, IRS 5500 Forms (Employee Benefit Plans) - Quarterly Payroll Tax Returns 5 years 5 years Mag, Ppr Department Preference; IRS: 4 years after tax is due or paid (longer for auditing & contractor delinquency); Ca. FTB: 3 years; Published articles show permanent; ; IRS Reg §31.6001- 1(e)(2), 26 CFR §1.6001-1, R&T §19530, GC §60201 Finance / Payroll FN-038 Employee Payroll File Includes automatic payroll deposit authorizations, computer loans, deductions, voluntary deductions, W-4s, etc. Separation + 1 year 5 years Separation + 6 years Mag, Ppr Department preference (W-4's are required for 4 years); GC §60201 et seq. Finance / Payroll FN-039 Garnishments Fully Satisfied or Separated + 2 years Fully Satisfied or Separated + 2 years Mag, Ppr Department preference; GC §60201 et seq. Finance / Payroll FN-040 Payroll Registers / Payroll Reports When No Longer Required When No Longer Required Mag, Ppr Draft / Preliminary documents used to produce final year-end general ledger (financial database is the original); GC §60201 Finance / Payroll FN-041 Time Sheets 2 years 5 years 7 years Mag, Ppr Department preference; GC §60201(d)(12) Finance / Payroll FN-042 W-2's / W-2 Report 50 years 50 years Mag, OD, Mfr, Ppr S / I Yes: After Annual Audit Department preference for PERS buy-back purposes; IRS: 4 yrs after tax is due or paid; Ca. FTB: 3 years; Articles show 7 years; 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 ©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 Revised: Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-8 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. 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 Finance / Permit Processing FN-044 Returned Checks (NSF, etc.)5 years 5 years Yes: Until Paid Mag, Ppr Meets municipal government auditing standards; Statewide guidelines propose audit + 4 years; GC §60201 Finance / Permit Processing FN-045 Sewer Permits / Occupancy Releases P P Yes Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; GC §60201 City of Costa Mesa FN-046 Sewer Plans When No Longer Required When No Longer Required Ppr Non-records 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 Revised: Ver. 7.0 RECORDS RETENTION SCHEDULE: GENERAL MANAGER Page GM-1 Office of Record Retention No.Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). General Manager GM-001 Agreements & Contracts - MAINTENANCE CONTRACTS : ADMINISTRATIVE RECORDS Correspondence, project schedules, etc. Completion + 3 years Completion + 3 years Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; Most do not have E&O. E&O Statute of Limitations (insurance certificates are filed with agreement); Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers must retain their records for completion + 10 years; CCP §§336(a), 337 et. seq., GC §60201 General Manager GM-006 Cal Trans Encroachment Permits (for Sewer Maintenance) Expiration + 2 years Expiration + 2 years Mag, Ppr Department preference; GC §60201 et seq. General Manager Finance / Permit Processing GM-007 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 General Manager GM-002 Historical Studies (Consolidation, etc.)P P Yes Mag, Mfr, OD, Ppr S Yes: After QC Department preference; GC §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 Revised: Ver. 7.0 RECORDS RETENTION SCHEDULE: GENERAL MANAGER Page GM-2 Office of Record Retention No.Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). General Manager GM-003 Project Files / Job Files / CIP (Capital Improvement Project) Files - Administration File: Project Administration, Advertising, Certified Payrolls, Confined Space Entries, Complaints (project-related), Cost of Construction, Insurance Certificates from Contractors, Labor Compliance, Logs, Performance Bonds/Surety, Project Security files, Project Schedules, Real Estate Appraisals, etc. Upon Completion 10 years or After Funding Agency Audit, if required, whichever is longer Completion + 10 years or After Funding Agency Audit, if required, whichever is longer Yes: Until Completed Mag, Mfr, OD, Ppr S Yes: After QC 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 Revised: Ver. 7.0 RECORDS RETENTION SCHEDULE: GENERAL MANAGER Page GM-3 Office of Record Retention No.Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Collection GM-004 Project Files / Job Files / CIP (Capital Improvement Project) Files - Permanent File: Specifications, RFIs/RFPs, Change Orders, Construction Photos, Correspondence, Close- Out/Acceptance, Environmental Reports / EIRs, Field Inspection Reports, Materials Testing Reports, Bills of Material / Substitutions Environmental Documents, Notice of Completion, Record Drawings / Large 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. Upon Completion P P Yes: Until Completed Mag, Mfr, OD, Ppr S Yes: After QC For disaster preparedness purposes; GC §60201 et seq. General Manager Finance / Permit Processing GM-008 FN-045 Sewer Permits / Occupancy Releases P P Yes Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; 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 Revised: Ver. 7.0 RECORDS RETENTION SCHEDULE: GENERAL MANAGER Page GM-4 Office of Record Retention No.Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). General Manager City of Costa Mesa (Finance / Permits) GM-009 FN-046 Sewer Plans (Finals / Signed off / As-Builts / Mylars / Record Drawings) All Laterals (6" & 8"), Manholes, Sewer Mains, Clean-outs, Private Sewer Pumping Stations, Grease Interceptors, Sand-Oil Separator, Easements, Right-of-Ways (Includes new installations, repairs, replacement, second dwellings, etc. Upon Completion When No Longer Required P P When No Longer Required Yes Mag. Ppr, OD, Mfr S Yes: After QC Department preference; GC §60201 et seq. Non-Records General Manager GM-005 Subject Files / Project Files When No Longer Required When No Longer Required Yes Mag.Department preference; GC §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 Revised: Ver. 4.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). HUMAN RESOURCES Human Resources HR-001 Affirmative Action Complaints - Department of Fair Employment & Housing (DFEH) or Equal Opportunity Commission (EEOC) Separation + 3 years Separation + 3 years Mag, Ppr Department preference (same as the Personnel File); All State and Federal laws require retention until final disposition of formal complaint; State requires 2 years after action is taken; GC §§12946, 60201 Human Resources HR-002 Applications for Employment / Recruitment Files: Solicited (Not Hired) (Includes Applications, Advertisements, Job Brochures, Test Data, Rating Sheets, Questions, Eligibility Lists, Reference Checks, etc.) 3 years After Hiring Decision 3 years After Hiring Decision Mag, Ppr Department preference; EEOC / FLSA / ADEA (Age) requires 1-3 years; State Law requires 2 - 3 years; 29 CFR 1627.3(b)(i ), 29 CFR 1602.14 et seq & 1627.3(a)(5) and (6), 2 CCR 7287.0(c)(2), 8 CCR §11040(7.( c), GC §§12946, 60201 Human Resources HR-003 Applications for Employment, Interest Cards or Resumes: Non-Solicited / Unsolicited / No open position (not hired) When No Longer Required When No Longer Required Mag, Ppr No positions open; therefore not deemed part of District recruitment practices; considered a transitory record not materially impacting the conduct of the public's business; GC §60201 Human Resources HR-004 Classification and Compensation Studies / Surveys / Salary Surveys When No Longer Required When No Longer Required Mag, Ppr Department Preference; GC §60201 Human Resources HR-005 District Benefit Contracts & Benefit Plans / Insurance Policies (Health, Dental, Deferred Compensation, Pension, etc.) Plan Termination + 2 years Plan Termination + 2 years Mag, Ppr EEOC / ADEA (Age) requires 1 year after benefit plan termination; State Law requires 2 years after action; 9 CFR 1627.3(b)(2); 29 USC 1027; 11 CCR 560; 28 CCR 1300.85.1; 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 Revised: Ver. 4.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources HR-006 EEO-4 Reports and records required to generate EEO-4 report (Self- Identification Form, etc.) 3 years 3 years Mag, Ppr 29 CFR 1602.30 Human Resources HR-007 Employee Events 2 years 2 years Mag, Ppr GC §60201 Human Resources HR-008 Grievances Separation + 1 year 5 years Separation + 6 years Mag, Ppr Department Preference; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), GC §§12946, 12960, 34090; 29 USC 1113, LC 1174 Human Resources HR-009 Job Descriptions Superseded + 3 years Superseded + 3 years Yes: Before Superseded Mag, Mfr, OD, Ppr S / I Yes: After QC Department Preference; GC §60201 Human Resources HR-024 ICMA Statements 5 years 5 years Mag, Ppr Department Preference; GC §60201 Human Resources HR-010 Personnel Files - Medical File (Includes pre-employment physicals, hazmat exposure records, pulmonary tests, Class B medicals, medical leaves, Respiratory Fit Tests, etc.) Separation + 29 years Separation + 30 years Yes: Until Separation Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; Files maintained separately; Claims can be made for 30 years for toxic substance exposure; 8 CCR §3204(d)(1) et seq., 29 CFR 1910.1020(d)(1)(i), GC §§12946, 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 Revised: Ver. 4.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources HR-011 Personnel Files - Official Personnel file (Includes Application, Awards, Backgrounds, DMV Reports, Disciplinary Actions, Certifications, Commendations, Employment Verifications, Evaluations, Grievances, I-9s, Licenses, Personnel Action Forms, Policy acknowledgements, Waiver of responsibility for voluntary activities, Supplemental Life Insurance, etc. - Excludes Medical Records) Separation + 6 years Separation + 6 years Yes: Until Separation Mag, Mfr, OD, Ppr S / I Yes: After QC Department Preference; statute of limitations for retirement benefits is 6 years from last action; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 -3 years; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 60201; 29 USC 1113 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 Revised: Ver. 4.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. 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 Human Resources / Risk Manag. & Safety HR-012 Cal-OSHA Inspections & Citations, Log 200, 300, 300A, 301, etc.5 years 5 years Mag, Ppr Department Preference; Calif. Labor Division is required to keep their records 7 years; OSHA requires 5 years; State law requires 2 years; 8 CCR 14300.33(a); 29 CFR 1904.33, 29 CFR 1904.44; GC §60201 et seq.; LC §6429c Human Resources / Risk Manag. & Safety HR-013 Claims Final Resolution 5 years Final Resolution + 5 years Yes: Until Resolution Mag, Ppr Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 60201, 60201.6; PC §832.5 Human Resources / Risk Manag. & Safety HR-014 DMV Pull Notices Superseded or Separated Superseded or Separated Mag, Ppr District preference (DMV record that the District considers a non- record used for reference); DMV audits every 2 years; Bureau of National Affairs recommends 2 years for all supplementary Personnel records; GC §60201 Human Resources / Risk Manag. & Safety HR-015 Drug and Alcohol Testing / D.O.T files (ALL Files - Random, Post- Accident & Reasonable Suspicion Tests, refusals, annual summaries, etc.) 5 years 5 years Mag, Ppr Department preference; D.O.T. Requires 5 years for positive tests, refusals, annual summaries, etc, 1 year for negative tests; EEOC / FLSA / ADEA (Age) requires 3 years physical examinations; State 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 ©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 Revised: Ver. 4.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-5 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources / Risk Manag. & Safety HR-016 Illness and Injury Prevention Program Minimum of Superseded + 2 years Minimum of Superseded + 2 years Mag, Ppr Consistent with District-wide standards; GC §60201 Human Resources / Risk Manag. & Safety HR-017 Insurance Policies - General Liability, Workers Compensation, etc. Expiration + 2 years P P Yes Mag, Mfr, OD, Ppr S / I Yes: After QC Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 60201, 60201.6; PC §832.5 Human Resources / Risk Manag. & Safety HR-018 Insurance Policies - Property, Fire, Theft, etc. Expiration + 2 years Expiration + 2 years Yes: Until Expired Mag, Ppr Department Preference; GC §60201 Human Resources / Risk Manag. & Safety HR-019 Lawsuits / Litigation Final Resolution 5 years Final Resolution + 5 years Yes: Until Resolution Mag, Ppr Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 60201, 60201.6; PC §832.5 Human Resources / Risk Manag. & Safety HR-020 Loss Runs - SDRMA, Workers Compensation, etc.2 years 3 years 5 years Mag, Ppr Department Preference (actuary wants 10 years of data); GC §60201 et seq. Human Resources / Risk Manag. & Safety HR-021 Safety Committee / Safety Steering Committee 5 years 5 years Mag, Ppr Department preference; 8 CCR §3203 et seq.; GC §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 Revised: Ver. 4.0 RECORDS RETENTION SCHEDULE: HUMAN RESOURCES Page HR-6 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Human Resources / Risk Manag. & Safety HR-022 Safety Inspections 5 years 5 years Mag, Ppr Department Preference; Calif. Labor Division is required to keep their records 7 years; OSHA requires 5 years; State law requires 2 years; 8 CCR 14300.33(a); 29 CFR 1904.33, 29 CFR 1904.44; GC §60201 et seq.; LC §6429c Human Resources HR-023 Worker's Compensation Claims Files Close Separation + 30 years Separation + 30 years Yes: Until Separation Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; Claims can be made for 30 years for toxic substance exposure; 8 CCR 10102; 8 CCR 15400.2, 8 CCR §3204(d)(1) et seq., 29 CFR 1910.1020, GC §§12946, 60201. CCP §337 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 Revised: Ver. 2.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of Record Retention No.Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, audits, and/or investigations suspend normal retention periods (retention resumes after settlement or completion). Information Technology IT-001 Backup Tapes / Disks - Daily When No Longer Required When No Longer Required Yes Mag. Used for Disaster Recovery Purposes Only; Considered a copy and can be destroyed when no longer required; GC §60200 et seq. Information Technology IT-002 Backup Tapes / Disks - E-mail When No Longer Required When No Longer Required Yes Mag. Used for Disaster Recovery Purposes Only; Considered a copy and can be destroyed when no longer required; GC §60200 et seq. Information Technology IT-003 Backup Tapes / Disks - Weekly or Monthly When No Longer Required When No Longer Required Yes Mag. Used for Disaster Recovery Purposes Only; Considered a copy and can be destroyed when no longer required; stored off-site; GC §60200 et seq. Information Technology IT-004 Software Licenses, Warrantees, Installation Media When No Longer Used When No Longer Used Mag, Mfr, OD, Ppr S/ I Yes: After QC Department preference; GC §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: LIQUID WASTE Page LW-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, and/or investigations suspend normal retention periods (retention begins after settlement or completion). Liquid Waste LW-001 Agreements & Contracts - LIQUID WASTE MAINTENANCE CONTRACTS : ADMINISTRATIVE RECORDS Correspondence, project schedules, etc. Completion + 5 years Completion + 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; Most do not have E&O. E&O Statute of Limitations (insurance certificates are filed with agreement); Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers must retain their records for completion + 10 years; CCP §§336(a), 337 et. seq., GC §60201 Liquid Waste LW-002 Air Quality Permits - Collections (Generators, etc) Expiration of Permit Expiration of Permit Mag Ppr Department preference; GC §60201 Liquid Waste LW-003 Collection System Line Cleaning Services 6 years 6 years 12 years Mag, Mfr, OD, Ppr S / I Yes: After QC District preference to cover two complete system cycles; GC §60201 Liquid Waste LW-004 Confined Space Entries 3 years 3 years Mag, Ppr Code of Federal Regulations requires 3 years; 40 CFR 122.41(j)(2) 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 Revised: Ver 5.0 RECORDS RETENTION SCHEDULE: LIQUID WASTE Page LW-2 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, and/or investigations suspend normal retention periods (retention begins after settlement or completion). Liquid Waste LW-005 Customer Issues and Concerns - Includes Private Laterals 6 years 6 years Yes: Before Resolution Mag, Mfr, OD, Ppr S / I Yes: After QC District preference to cover one complete system cleaning cycle; Statute of Limitations for public official misconduct is discovery of offense + 4 years ; State and Fed laws is until final disposition of formal complaint; State requires 2 years after action; EVC § 1045, GC §§12946, 60201; PC §§801.5, 803(c), VC §2547 Liquid Waste LW-006 Daily Work Assignment Forms 2 years 4 years 6 years Mag, Mfr, OD, Ppr S / I Yes: After QC District preference to cover one complete system cleaning cycle; GC §60201 Liquid Waste LW-006.1 FOG (Fats, Oil and Grease) - Cases Resolution + 3 years 3 years Resolution + 6 years Mag, Mfr, OD, S / I Yes: 6 mos Department preference; GC §60201 Liquid Waste LW-007 Incidents / Collection System Spill Reports / Overflows Last Corrective Action + 3 years P P Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; 3 years is required; 40 CFR 122.41(j)(2) Liquid Waste LW-008 Maintenance Files: Pump Stations / Wet Wells P P Mag, Mfr, OD, S / I Yes: After QC District preference; 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 Revised: Ver 5.0 RECORDS RETENTION SCHEDULE: LIQUID WASTE Page LW-3 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, and/or investigations suspend normal retention periods (retention begins after settlement or completion). Liquid Waste LW-009 MSDS Masters (Material Safety Data Sheets) / Chemical Use Report Form (or records of the chemical / substance / agent, where & when it was used) Superseded + 2 years 28 years Superseded + 30 years Mag, Mfr, OD, Ppr S Yes: When Inactive Previous MSDS may be obtained from a service; MSDS may be destroyed as long as a record of the chemical / substance / agent, where & when it was used is maintained for 30 years ; Applies to qualified employers; Claims can be made for 30 years for toxic substance exposures; 8 CCR 3204(d)(1)(B)(2 and 3), 29 CFR 1910.1020(d)(1)(ii)(B), GC §34090 Liquid Waste LW-009.1 Sanitary Sewer Overflows (SSOs)5 years 5 years Yes: Before Resolution Mag, Ppr Required for a minimum of 5 years; 40 CFR 122.41(j)(2); SWRCB Order 2006-03; 40 CFR 122.41(j)(2); GC §60201 Liquid Waste LW-010 SCADA Backup Tapes Less Than 30 Days Less Than 30 Days Mag Considered a copy and can be destroyed when no longer required; retention based on administrative value; recycle tapes; GC §60200 et seq. Liquid Waste LW-011 SCADA: Supervisory Control and Data Acquisition Database Indefinite Indefinite Yes Mag Data is interrelated; system qualifies as a "trusted system"; GC §§60201, 12168.7 Liquid Waste LW-012 Sewer System Committee - Agenda Packets When No Longer Required - Minimum 2 years When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; 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 Revised: Ver 5.0 RECORDS RETENTION SCHEDULE: LIQUID WASTE Page LW-4 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, and/or investigations suspend normal retention periods (retention begins after settlement or completion). Liquid Waste LW-013 Sewer System Committee - Minutes P P Mag, Mfr, OD, Ppr S/ I Yes: After Annual Department Preference; GC §60201 Liquid Waste LW-014 TV Collection Line Inspection Tapes / Video Inspections / Video Tapes or Digital Recordings - Regular Inspections 6 years 6 years 12 years Mag, Mfr, OD, Ppr S / I Yes: After QC District preference to cover two complete system cycles; GC §60201 Liquid Waste LW-015 Underground Service Alerts (USA): Utility Cuts, etc.5 years 5 years Mag, Ppr Department preference; GC §60201 Liquid Waste LW-016 Vehicle & Equipment - Maintenance (Collections Only) Sale of Vehicle or Equipment + 1 year Sale of Vehicle or Equipment + 1 year Mag Ppr District preference; 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 Revised: Ver 3.0 RECORDS RETENTION SCHEDULE: SOLID WASTE Page SW-1 Office of Record Retention No.Records Description Retention / Disposition Comments / Reference (OFR)Active (in office) Inactive (Off-site, OD or Mfr) Total Retention Vital?Media Options Image: I=Import M=Mfr S=Scan Destroy Paper after Imaged & 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. Litigation, complaints, claims, public records act requests, and/or investigations suspend normal retention periods (retention begins after settlement or completion). Solid Waste SW-001 Agreements & Contracts - CURBSIDE COLLECTION, HOUSEHOLD HAZARDOUS WASTE, RECYCLING, ETC.: ADMINISTRATIVE RECORDS Correspondence, project schedules, etc. Completion + 5 years Completion + 5 years Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference; Most do not have E&O. E&O Statute of Limitations (insurance certificates are filed with agreement); Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers must retain their records for completion + 10 years; CCP §§336(a), 337 et. seq., GC §60201 Solid Waste SW-002 Programs / Projects: Large Item Collection, Recycling 5 years 5 years Mag, OD, Ppr S / I Yes (after 2 years) Department preference; GC §60201 Solid Waste SW-003 Recycling Committee - Agenda Packets When No Longer Required - Minimum 2 years When No Longer Required - Minimum 2 years Mag, Mfr, OD, Ppr S/ I Yes: After Annual Audit Department Preference; GC §60201 Solid Waste SW-004 Recycling Committee - Minutes P P Mag, Mfr, OD, Ppr S/ I Yes: After Annual Department Preference; GC §60201 Solid Waste SW-005 Tonnage Reports / Weights & Measures / Waste Diversion Reports When No Longer Required - Minimum 5 years When No Longer Required - Minimum 5 years Mag, Mfr, OD, Ppr S / I Yes: After 1 year Department preference; GC §60201 Solid Waste SW-006 Weight Tickets / Weight Measures 5 years 5 years Mag, OD, Ppr S / I Yes (after 2 years) Department preference; 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