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HomeMy WebLinkAbout03.d. (Handout) District's Master Retention Schedules Record Series Numbering Assignment Master List Schedule/ Department Division Division # Main # Range (Used #s) District -Wide DW Administration 01 0001-0300 Administrative Services Administration 02 0301-0350 Departmentmnl� Collection System Operations Administration 03 0351-0400 Communication Services 0401-0450 Communication Services Administration 04 District Counsel C Administration 21 Engineerin Engineering Administration 05 0451-0600 Engineering Household Hazardous Waste 06 Engineering Source Control 07 Finance & Accounting FIN Administration 08 0601-0700 Accounts Payable 09 Accounts Receivable 10 Payroll 11 General Manager EAdministration 12 0701-0725 Human Resources Administration 13 0726-0775 Page 1 of 2 Updated: 10/21/2011 Record Series Numbering Assignment Master List Schedule/ Department Division Division # Main # Range (Used #s) Information Technology IT Administration 14 0776-0800 Library District Libraries 20 1151 Recycled Water 20 1152 Plant Operations Department Administration/Plant 15 0801-0900 Operations Laboratory 16 Purchasing Materials Services PUR Administration 17 0901-0950 Safety & Risk Management R&M Administration 18 0951-1050 Secreta of the District Administration 19 1051-1150 Page 2 of 2 Updated: 10/21/2011 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Accident, Damage, Incident, Event or Injury Copies- Field Services maintains originals of all Safety/ Reports (All) When No Mag, Mfr, incident reports, Personnel maintains Risk Mgmt. 0001 01 Longer OD, Ppr originals of employee injuries (workers Security Incident Report Logs Required compensation); GC §60200 Accounts Payable Source Records(includes Check Copies, (Contra Costa County handles check processing), Running Expense, Invoices, May contain independent contractor's Receipts, Travel Expense Reimbursements, compensation, expense reimbursement, Finance/ Petty Cash, Invoices and Back-up, Check Copies- or District credit card records; Meets Accounts 0002 01 Requests, Benefit Payment, Medical Billing for When No Mag, Ppr municipal government auditing standards; Payable Insurance, Sewage Sludge Weigh Tickets, etc. Longer Sewage Sludge is required for 5 years; AT&T, MCI, CALNET: Phone Bills) Required Published articles show 3-7 years; 40 CFR 122.41(j)(2); WC §13263.2(b)et (see 0625 for Self Insurance Fund records) seq.; GC§60201(d)(12) [Safety&Risk Management is Office of Record for 0954-Legal Bills only] Finance/ Copies- Accounts 0003 01 Accounts Receivable (cash, checks, deposits, When No Mag, Ppr Financial Services Maintains Originals; Receivable billing for property damage, etc.) Longer GC§60200 Required Agendas&Agenda Packets-District Board, Copies- Secretary Subcommittees of the Board (e.g.Ad Hoc When No Mag, Mfr, of the 0004 01 Committees, District Committees-Budget& Longer Yes OD, Ppr S No copies; GC§60200 District Finance)(Includes Agenda Position Papers, Required Staff Presentations, etc.) Updated: 03/01/2012 DW-Page 1 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Agreements &Contracts- INFRASTRUCTURE Architectural, Engineering,JPAs, MOUS and MOAs. Agreement or Contract, Correspondence, & Lead Dept. Notices of Completion. Agreement or Contract Except includes all contractual obligations (e.g. RFP, Department Preference;All infrastructure, Professnl Specifications, Successful Proposal/Scope of JPAs, &Mutual Aid contracts are Services Work, Certificates of Insurance, and Mag, Mfr, Yes: After permanent for emergency preparedness; Purchasing 0005 01 amendments) [except Concord MOU and P OD, Ppr S Inactive Statute of Limitations is 4 years; 10 years -Except Employee MOUs] [See Record Series 0006 for for Errors &Omissions; CCP §§337. Const. Employee MOUS] 337.1(a), 337.15, 343; GC§60201 et seq. Contracts Examples of Infrastructure: Architects, Treatment Plants, Lines, Buildings, Design, Construction, Environmental, Sewer, Utilities, Pumping Stations, Studies for Repairs of Sewers, Local Agency Formation Commission LAFCo etc. Updated: 03/01/2012 DW-Page 2 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Agreements &Contracts - NON INFRASTRUCTURE-Equipment Purchases, Consulting Services, Leases,Vehicle Purchases, etc. Lead Dept. Department Preference; Covers E&O Except Agreement or Contract, Correspondence and Statute of Limitations; Published Audit Profe pt Purchase Orders. Agreement or Contract Standards=4-7 years; Statute of includes all contractual obligations (e.g. RFP, Limitations: Contracts&Spec's=4 years, Services Mag, Mfr, Yes: After Purchasing 0006 01 Specifications, Successful Proposal/Scope of 10 years OD, Ppr S Inactive Wrongful Death=comp. +5 years, -Except Work, Certificate of Insurance, and Developers=comp. + 10 years; Statewide Const. amendments) guidelines propose termination +5 years; Contracts CCP §§336(a), 337 et. seq., GC§60201 Examples of Non-Infrastructure: Consultants, et seq. PaiRtiRg MaiRteRa Ge Franchise Agreements, Professional Services, License Agreements, Employee Group MOUS, Legal Services and Executive Management, etc. Agreements&Contracts-Maintenance Department Preference; E&O does not Lead Dept. apply; Published Audit Standards=4-7 (Leases, Plant& Equipment, Telephone, Purchasing years; Statute of Limitations: Contracts& -Except 0008 01 Painting, Custodial, Software &Renewed 5 years Mag, Mfr, S Yes: After Spec's=4 years; Statewide guidelines Const. Annually) OD, Ppr Inactive propose termination +5 years; CCP Contracts [May have Purchase Orders associated with some of the contracts] §§336(a), 337 et. seq., GC§60201 et seq. Association Records(external associations- e.g.,ACSA, CASA, etc.) When No Lead Dept. 0010 01 Longer Mag, Ppr Non-records; GC§60201 et seq. [Legislative Updates, Special Solid Waste Required Reports, Newsletters Updated: 03/01/2012 DW-Page 3 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Audits-Operational and Projects (Internal Copies- Finance/ When No Admin. 0011 01 Audits and Independent Audits) Historical Data Longer Mag, Ppr GC§60200 (Revenue Sewer Service Charge Task Force) Required Backup Tapes-CDs/DVDs When No Considered a copy and can be destroyed Lead Dept. 0012 01 Longer Yes Mag. when no longer required (backups are for [see Information Technology] Required disaster recovery purposes); GC§60200 Bids and RFPs-Successful/Authorizations for Department Preference (May contain Expenditures (Includes Vehicles &Equipment)- independent contractor's compensation or goods and services Mag, Mfr, Yes: After expense reimbursement); E&O does not Lead Dept. 0009 01 7 years OD, Ppr S Inactive apply; Published Audit Standards=4-7 [Bids and RFPs-successful that are not project years; Statute of Limitations: Contracts & related] Spec's=4 years; CCP§§336(a), 337 et. seq., GC§60201 et seq. Bids, RFPs, RFQs Unsuccessful-Agreements Special Districts are required to keep Lead Dept. 0013 01 &Contracts 5 years Mag, Ppr S/I public works unaccepted bids for 2 years; GC§60201(d)(11) Bids: Unsolicited (for unsuccessful bids When No Lead Dept. 0014 01 submitted in response to a District RFP/RFQ, Longer Mag, Ppr GC§60200 see Bids-Unsuccessful-Agreements& Required Contracts Brochures: See Reference Manuals Copies- Finance/ When No Mag, Mfr, Department Preference; administrative Admin. 0606 01 Budgets-Final Adopted Longer OD, Ppr value; GC §§60200, 53901 Required Copies- Finance/ Budgets: Development, Supporting When No Admin. 0017 01 Workpapers, Back-up, etc. (CCB), 10-Year Plan Longer Mag, Ppr Department Preference; GC§60200 Required Updated: 03/01/2012 DW-Page 4 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Cash Receipt Ledgers-Handwritten Copies- Department Preference for research Mfr When No Mag, , After ENG 0018 01 (1946-1970) S/I Yes: Apurposes; Meets municipal government (Obsolete record series after 2012) Longer OD, Ppr 1 year auditing standards; GC§60201 Required Follows Optical media must be stored in a safe & CD-R or DVD-R(images from Document Image retention for separate location; and should be Lead Dept. 0019 01 Management System) applicable Yes Mag "refreshed" (copied onto new CD-Rs) record series periodically; GC §60201 et seq. Copies- Safety/ 0020 01 Claims/Litigation When No Mag, Mfr, GC§§60200, 60201 et seq. Risk Mgmt. (See Litigation -Safety& Risk Management) Longer OD, Ppr Required Committees or Task Forces: Internal (e.g. 2 years I Records Management Committee, When ISn^ Lead Dept. 0021 01 Mag, Ppr GC§60201 Communications Committee, Green Team, LGRgeF Department Director,etc.) Required Committees, Task Forces,Associations, When No Lead Dept. 0022 01 Commissions, &Boards: External Longer Mag, Ppr Non-records Organizations (e.g.Association of California Required Sanitation A encies, etc. Contracts: See Agreements Copies- 0023 01 Copies or duplicates of any record When No Mag Ppr GC§60200 Longer Required Secretary Copyrights/Trademarks/Patents (Copies) When No Mag, Mfr, of the 0024 01 (See Engineering for District Project Specific Longer OD, Ppr S No Department Preference; GC§60201 District I Patents) Required Updated: 03/01/2012 DW-Page 5 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments/Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Correspondence- Establishing Policy Yes: When Superseded Mag, Mfr, Statewide guidelines propose Lead Dept. 0025 01 (documents, formation of policies or decision +2 years OD, Ppr S/I Supersede Superseded +2 or 5 years; GC§60201 makingprocess.) d When No Longer District preference; some correspondence Correspondence-Regulatory Agencies from Regulatory Agencies need to be Lead Dept 0026 01 (See Regulatory Agencies) Required- Mag, Ppr retained for long periods of time; GC Minimum 10 years §60201 Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead Dept. 0027 01 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on (e.g. calendars, working files, checklists, e-mail When No business are saved outside the e-mail Lead Dept. 0028 01 that does not have a material impact on the Longer Mag, Ppr system; If not mentioned here, consult the conduct of business, computer sign-ups, logs, Required District Counsel to determine if a record is mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails etc. Updated: 03/01/2012 DW-Page 6 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Drafts &Notes: Drafts that are revised (retain When No As long as the drafts and notes are not Lead Dept. 0029 01 final version) Longer Mag, Ppr retained in the"Regular Course of Required Business". GC§60201, GC§6254 Finance/ 1071 01 Employee Authorization/Delegation Authority 2 years Mag, Ppr Department Preference; GC §34090 Admin. Employee Development-Service Awards Copies- Lead Dept. 0030 01 Commendations, District Tours, Certificates for When No Mag, Ppr Copies; GC§60200 District Programs Longer Required Meets auditing standards; Fixed Asset Lead Dept. 0031 01 Equipment Inventories, Parts lists 5 years Mag, Ppr Inventory is maintained by Financial Services for a longer period; GC§60201 et seq. Lead Dept. 0032 01 Film Production Superseded Mag, Ppr Department Preference; GC§60201 +2 years General Department Files: Lead Dept. 0648 01 (Record Series designed to allow for general 7 years Mag, Ppr Department Preference; GC §60200 department files that do not fit into an existing record series-records that are no longer created or used Updated: 03/01/2012 DW-Page 7 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). District Preference: Meets auditing standards; Uniform Admin. Requirements for Grants to Local Governments is 3 Grants (Stage 5A-Water Reclamation Plant- years from expenditure report or final ENG 0075 01 All grant related documents, and litigation P Mag, Ppr payment of grantee or subgrantee; 21 support) CFR 1403.36& 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, &570.502(b), 28 CFR 66.42-129 CFR 97.42-140 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42; OMB Circular A-133-1 GC §60201 District Preference (may include records pertaining to independent contractor's compensation, or expense 10 years reimbursement); Meets auditing Grants (SUCCESSFUL-all records, including minimum- standards; Uniform Admin. Requirements FEMA claims) After for Grants to Local Governments is 3 Lead Dept. 0033 01 Funding Mag, Ppr years from expenditure report or final (Except Stage 5A-Water Reclamation Plant- Agency payment of grantee or subgrantee; 21 See Record Series 0075) Audit, if CFR 1403.36& 1403.42(b); 24 CFR required 85.42, 91.105(h), 92.505, &570.502(b), 28 CFR 66.42-129 CFR 97.42-140 CFR 31.42; 44 CFR 13.42; 45 CFR 92.42; OMB Circular A-133-1 GC §60201 Grants: UNSUCCESSFUL(Applications, When No Lead Dept. 0034 01 Correspondence, etc.) Longer Mag, Ppr GC§60201 Required Updated: 03/01/2012 DW-Page 8 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Historical Records(Photographs) Mag, Mfr, Secretary of the District Determines Lead Dept. 0035 01 [Photographs used in the Lateral Connection P OD, Ppr S No Historical Significance; GC §60201 and Pipeline] Incidents: Violations, Spills, Investigations and Last Action Mag, Mfr, Code of Federal Regulations requires 3 Lead Dept. 0036 01 Corrective Actions + 3 years OD, Ppr years; 40 CFR 122.410)(2)&40 CFR 141.33(b) Purchasing Insurance Certificates (for Contracts,Vendors, Except and n,�+r,,.+ ;s�„o,+ ,.or+,f,.�+oma etc.) Longest Statute of Limitations is 10 years; Const. 0037 01 20 Years Mag, Mfr, S yes (after 2 conforms with agreement/contract Contracts- (OFR-Safety&Risk Management prior to OD, Ppr years) retention; statewide guidelines propose permanent; CCP§337 et seq. GC§34090 Lead Dept. 2001; OFR-Purchasing post 2001] Invoices-see Accounts Payable Copies- Department preference; Draft/ Finance/ 0038 01 Leave Requests When No Mag, Ppr Preliminary documents (timesheet is the Payroll Longer Required original); GC §60201 Library System-(Recycled Water) books, reference materials, magazines, copies of Copies- District Reports, studies, specifications, etc. When No Library 1152 20 Longer Mag, Ppr Department Preference; GC §60201 [Topics include: Capital Projects, Collection Required Systems Operations, Lab, Planning, Plant O erations, &Source Control Library System-books, reference materials, When No Lead Dept. 0007 01 magazines, copies of District Reports, studies, Longer Mag, Ppr Department Preference; GC§60201 specifications, etc. Required Updated: 03/01/2012 DW-Page 9 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Library System-books, reference materials, magazines, copies of District Reports, studies, Copies- specifications, etc. When No Library 1151 20 Longer Mag, Ppr Department Preference; GC §60201 [Capital Projects, Collection Systems Operations, Lab, Planning, Plant Operations, & Required Source Control] Reports and Studies (Historically Significant- Administratively and Historically e.g., Zoning Studies, plans, environmental Mag, Mfr, Yes: After significant, therefore retained Library 0015 20 reports, overflow, sanitary sewer, etc.) P OD, Ppr S/I 10 years permanently; GC§34090, maintained Generally prepared by the District for District independent of project files Lead Dept. 0039 01 License (Federal, State, Local) Expiration + Mag, Ppr Department Preference; GC§60201 1 year Logs:Visitor Logs (business hours), Sign-In Lead Dept. 0040 01 Logs,Vehicle Logs, Conference Room Logs, 2 years Mag, Ppr Department preference; GC§60201 et. Delivery Log [after hour logs forwarded to Safety seq. & Risk Management] Manuals: Equipment Diagrams, Instructions, Superseded RFPs, contracts&agreements are Lead Dept. 0041 01 Operation and Maintenance Manuals, or Until Disposal of Yes OD, Ppr Mag, Mfr, S/I Inactive Yes: After maintained for appropriate periods; GC Specifications and Warrantees §60201 Equipment Copies- ENG 0042 01 Master Plans (Water System, Water Availability, When No Yes Mag, Mfr, Copies; GC§60200 Urban Water Master Plan, etc.) Longer OD, Ppr Required Updated: 03/01/2012 DW-Page 10 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Material Safety Data Sheet(MSDS)/Chemical Safety maintains originals; MSDS may be Use Report Form When destroyed as long as a record of the Safety/ 0043 01 Chemical Mag, Mfr, S Yes (after chemical/substance/agent,where& Risk Mgmt. [Copies maintained in Departments/Divisions No Longer OD, Ppr inactive) when it was used is maintained for 30 and available on OTIS] Used years;Applies to qualified employers; 8 CCR 3204(d)(1)(B)(2 and 3)GC§60200 Newsletters/Publications-Employees or When No Lead Dept. 0044 01 Customers [e.g. Pipeline est. 1996 and Lateral Longer Ppr Non-records; GC§60201 et seq. Connection est. 1982] Required Commun. Newspaper Clippings/News Articles (In the When No Services 0045 01 News) Longer Ppr Non-records; GC§60201 et seq. Required Secretary Copies- of the 0046 01 Ordinances When No Yes Mag, Mfr, Originals maintained by Clerk of the District Longer OD, Ppr Board Permanently; GC§60201 Required Permits (Various Operating Permits) Mag, Mfr, Yes (after Lead Dept. 0047 01 [i.e. Boilers, Pressure Vessels, Cranes, etc.] P OD, Ppr S inactive) District preference; GC§60200 Ensure records kept in Department files Send to comply with District policy; Originals are Human maintained by Personnel. Supervisors Human 0048 01 Personnel Files-Department-level Copies Resources Mag, Ppr notes should be maintained in a separate Resources at folder and be incorporated in the Separation employee's annual performance review; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1)et seq., GC §§12946, 60201 Updated: 03/01/2012 DW-Page 11 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Supervisors notes should maintained in a Human Personnel Files-Department-level separate folder and be incorporated in the Resources 0049 01 Supervisor's Notes. 1 year Mag, Ppr employee's annual performance review; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1)et seq., GC §§12946, 60201 Policies& Procedures- Department-Specific District preference; Statewide guidelines Lead Dept. 0050 01 Procedures, Instructions on How to Perform Superseded+ 5years Mag, Ppr propose superseded +2 or 5 years; GC Duties §34090 Secretary Policies& Procedures-113mgWGt-1AF.i— P District preference; Statewide guidelines of the District 0051 01 ADMINISTRATIVE POLICIES(Approved by 961pepseded Mag, Ppr propose superseded +2 or 5 years; GC Lead Dept General Manager) s §34090; GC §34090.7 Secretary P District reference; Statewide guidelines of the Policies & Procedures-"mR_*-mea BOARD p District 0052 01 APPROVED POLICIES Mag, Ppr propose superseded +2 or 5 years; GC Lead Dept 5 S §34090; GC §34090.7 When No Longer Commun. Services 0053 01 Press Releases/News Releases/Editorials Required- Mag, Ppr Department Preference; GC§60201 Minimum 5 years Lead Dept. 0054 01 Public Records Act Requests and copies of 2 years Mag, Ppr GC§60201(d)(5) documents produced Updated: 03/01/2012 DW-Page 12 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Purchase Orders/Requisitions/Bids and RFPs -Successful/Authorizations for Expenditures [submitted by Lead Department] (Includes Copies- Purchasing 0055 01 Vehicles &Equipment)-goods and services When No Mag, Ppr Purchasing maintains originals; Financial Longer records are audited annually; GC §60200 [Bids and RFPs-successful that are not project Required related] Secretary Records Destruction Lists (Archival and Copies- of the 0056 01 Destruction Authorizations pre 2010) When No Mag, OD, Copies; GC§60200 District (including certificates of destruction) Longer Mfr, Ppr Required Secretary Records Storage and Destruction Lists (Archival Copies- of and Destruction Authorizations) When No Mag, OD, the 0074 01 (including attachments to Records Retention Longer Mfr, Ppr Copies; GC§60200 District Schedules and Certificates of Destruction) Required When No Longer Reference Materials: Brochures, Manuals, Required- Yes: When Mag, Mfr, Documents of historical significance Lead Dept. 0057 01 Presentations &Reports: Produced by LEAD Minimum 5 S/I Supersede OD, Ppr should be retained longer; GC §60201 Department 2-years of d Supersede d Reference Materials: Brochures, Manuals, When No Lead Dept. 0058 01 Presentations &Reports: Produced by Longer Mag, Ppr Non-Records OUTSIDE ORGANIZATIONS Required Reference or Working Files: See Correspondence Updated: 03/01/2012 DW-Page 13 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Regulatory Agencies-Correspondence When NoLonger District preference; some correspondence Lead Dept. 0059 01 Required- Mag, Ppr from Regulatory Agencies need to be [also see department schedules for additional Minimum retained for long periods of time; GC information] 10 years §60201 Reports[Annual]-District [Business Plan, StFategiG PlaR, Goals& Lead Dept. 0401 01 Objectives,ADA Development Plan, Board P Mag, Mfr, S/I No Department preference; GC§60201 et Guidelines] OD, Ppr seq. (General Manager is OFR for Strategic Plan) Reports and Studies-Annual and Monthly Reports, (other than historically significant) Minimum 5 Lead Dept. 0060 01 Mag, Ppr GC§60201 Generally prepared by others but not for the years District Reports and Studies-White Papers, Issue Lead Dept. 0061 01 Papers, Scientific Studies, Nexus Studies(other 5 years Mag, Ppr GC§60201 than Annual Reports) Reports and Studies (Historically Significant- Administratively and Historically e.g., Zoning Studies, plans, environmental Mag, Mfr, Yes: After significant, therefore retained Lead Dept 0015 01 reports, overflow, sanitary sewer, etc.) P OD, Ppr S/I 10 years permanently; GC§34090, maintained Generally prepared by the District for District independent of project files Copies- Reports: Financial Reports (e.g., Labor, When No Mag, Mfr, Yes: When Finance 0062 01 Budget, etc.) Longer OD, Ppr S/I Inactive Financial Services is OFR; GC §60200 Required Updated: 03/01/2012 DW-Page 14 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Secretary Copies- of the 0063 01 Resolutions (includes Resolutions of When No Mag, Mfr, S No copies; GC§60200 District Commendation) Longer OD, Ppr Required Department preference; If a motor carrier, Lead Dept. 0064 01 Safety Checks/Pre-Starts/Commercial 2 years Mag, Ppr required for 3 and 14 months; 49 CFR Vehicle Prestarts and Forklift Inspections 396.11(c)(2); 49 CFR 396.21(b)(1); GC §60201 Department Preference; Calif. Labor Safety Committee Meetings/Reports Copies- Division is required to keep their records 7 Safety/ 0970 01 [Accident vehicle reports, agendas, minutes, When No MagPpr years; OSHA requires 5 years; State law Risk Mgmt. calendars, meeting related materials] Safety Longer ' p requires 2 years; 8 CCR 14300.33(a); 29 Suggestion Program Required CFR 1904.33, 29 CFR 1904.44; GC §60201 et seq.; LC §6429c Secretary Sewer Service Charge (SSC) Master Fee Copies- of the 0065 01 Schedule , Connection Fees, Rates&Charges When No Mag, Mfr, S/I Yes: After GC§60200 District [Proposition 218-includes all documentation] Longer OD, Ppr 1 year (Lead Department maintains Nexus Study) Required Department Preference (Preliminary Software Licenses/Software and Hardware When documents); the Lead Department should Lead Dept. 0066 01 Manuals Superseded Mag, Ppr print out historical documents prior to or Replaced replacing the data; GC §60200, 60201 et seq. Surveys/Questionnaires (that the District issues). If a summary of the data is compiled, When No Lead Dept. 0067 01 the survey forms are considered a draft or Longer Mag, Ppr GC§§60200, 60201 transitory record, and can be destroyed when no Required longer required. Updated: 03/01/2012 DW-Page 15 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). 30 days, or Secretary Tapes &Recordings (Audio, CD, DVD,Video, After Tape (Mag), of the 0068 01 VHS) District Board meetings Approval, OD Copies; GC§60200 District whichever is longer When Lead Dept. 0069 01 Tapes &Recordings (Audio, CD, DVD,Video, Superseded Tape (Mag), Copies; GC§60200 VHS)training, etc. OR 90 days OD from event Finance/ When No Department Preference to meet auditing Payroll 0070 01 Timesheets Longer Mag, Ppr standards; GC§60201 et seq. Required Training -ALL COURSE RECORDS: District- Sponsored Training that is Attended by District Preference for courses that are S Lead Dept. 0071 01 Employees from Outside Agencies 7 years Mag, Mfr, Yes: When attended by employees outside the Examples: SEMS, NIMS, Incident Action Plans OD, Ppr Inactive District; See Lead Department for applicable class list; GC§34090.7 (IAP),After Action Reports (AAR), Plans, Pre aredness Training, etc. Updated: 03/01/2012 DW-Page 16 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. DISTRICT-WIDE STANDARDS (01) All rights reserved. Do not duplicate or distribute without prior written consent. Office of Record Records Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div Total Vital Media 1=Import Paper after No. Retention Options M=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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). District preference (the department that conducts the class maintains the records; Training -ALL COURSE RECORDS: individuals retain certificates if issued ESSENTIAL Attended by District Employees o.+ifn;R+oma for kept, - $a"; Statewide guidelines propose 7 (Attendance Rosters, Outlines and Materials; years, Calif. Labor Division is required to Ppr Lead Dept. 0073 01 includes SEMS, NIMS, Incident Action Plans 7 years Mag, Mfr, S Yes: When keep their OSHA records 7 years; (IAP),After Action Reports AAR OD, Inactive EEOC/FLSA/ADEA(Age) requires 3 Preparedness Training, Confined Space, Driver years for promotion, demotion, transfer, Safety, Chino &cafe#„ ADA, etc. training)- selection, or discharge; State Law including training videos requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 34090 District preference (the department that conducts the class maintains the records; Training -ALL COURSE RECORDS: NOW individuals retain certificates if issued fino#oo fr�r inrli"irl„olo 0 o Lon#in ESSENTIAL Attended by District Employees or4i Safe ; Statewide guidelines propose 7 (Attendance Rosters, Outlines and Materials; Mag, Mfr, Yes: When years; Calif. Labor Division is required to Lead Dept. 0072 01 includes Ethics (AB 1234 State Mandated 2 7-years OD, Ppr S Inactive keep their OSHA records 7 years; training), Customer Service, Leadership, EEOC/FLSA/ADEA(Age) requires 3 Conflict Resolution, Communication training, years for promotion, demotion, transfer, etc.)-including training videos selection, or discharge; State Law requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 34090 Updated: 03/01/2012 DW-Page 17 of 17 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ADMINISTRATIVE SERVICES DEPARTMENT (02) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). CCCERA Administration (Includes actuarial reports, service credit When No Department Preference; Bureau of Longer Admin. 0301 02 reports,annual employee listing, circular letters, Required- Mag-Ppr, S National Affairs recommends 2 years for Services CCCERA Agenda and Backup, etc.) Minimum all supplementary Personnel records; GC [See Record Series 0305 for CCCERA Annual 10 years §34090 Financial Reports] Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead 0027 02 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Dept. Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on (e.g. calendars,working files, checklists, e-mail When No business are saved outside the e-mail Lead 0028 02 that does not have a material impact on the Longer Mag, Ppr system; If not mentioned here, consult the Dept. District Counsel to determine if a record is conduct of business, computer sign-ups, logs, Required mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails, etc. Updated: 03/01/2012 ADM-Page 1 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ADMINISTRATIVE SERVICES DEPARTMENT (02) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). When No Admin. Longer Services 0302 02 Projects& Issues (varies over time) Required Mag, Ppr GC§60201 Minimum 15 years Admin. Real Estate Appraisal Reports: Property NOT Not accessible to the public; Statewide Services 0303 02 purchased, Loans not funded, etc. 52-years Mag, Ppr Guidelines show 2 years; GC §§34090, 6254(h) Department preference; USPAP (Uniform Standards of Professional Appraisal Real Property-District Owned [Leases and Practice)ethical standards require Admin. Purchases] appraisers to retain records for at least 5 Services 0304 02 (Real Estate Appraisals, Correspondence, P Mag, Ppr years, or final disposition +2 years, if Agreements, Funded Loans, etc.) used in ajudicial proceeding; GC §60201; 24 CFR 85.42 &91.105(h), &570.502(b); 29 CFR 97.42, GC§34090 Reports and Studies: Contra Costa County Employees' Retirement Association (CCCERA) Admin. 0305 02 annual financial reports, GASB 45 reports, P Mag, Ppr Includes permanent assets (for Services compliance with GASB 34); GC §34090 California Public Employees' Retirement System CaIPERS re orfs, etc. Updated: 03/01/2012 ADM-Page 2 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). CSO 0351 03 Air Quality Permits-Collections (Fixed Expiration +2 Mag Ppr Department preference; GC§60201 Generators, etc) years Lead S/I Confined Space Entries Mag, OD, Yes (after 2 Code of Federal Regulations requires 3 Dept. 0352 03 (Relates to permits) 3 years Ppr years) years; 40 CFR 122.410)(2) Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead 0027 03 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Dept. Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on (e.g. calendars,working files, checklists, e-mail When No business are saved outside the e-mail Lead 0028 03 that does not have a material impact on the Longer Mag, Ppr system; If not mentioned here, consult the Dept. District Counsel to determine if a record is conduct of business, computer sign-ups, logs, Required mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails, etc.) Updated: 03/01/2012 CSO- Page 1 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retentionperiods retention begins after settlement or completion). Department preference; Statute of Customer Issues and Concerns (Excludes those Limitations for public official misconduct is related to the Treatment Plant) Database discovery of offense +4 years ; State and CSO 0353 03 Indefinite Mag, Ppr Fed laws is until final disposition of formal [Source: Service Requests, User Feed Back complaint; State requires 2 years after Surveys, etc.) action; EVC § 1045, GC §§12946, 60201; PC §§801.5, 803(c),VC §2547 Customer Issues and Concerns: Paper- District Preference; Considered a Lead preliminary draft/source record (the 0354 03 INFORMATION Entered in database (Division 5 years Mag Ppr Dept. database is the original); GC §60201, GC tracking concerns retains originals) §6252 Whpn Nk4 Require d— Mag, Mfr, Yes: When Documents of historical significance CSO 0355 03 Emergency Response Plans-Pump Station When OD, Ppr S/I Superseded should be retained longer; GC§60201 Superseded Updated: 03/01/2012 CSO- Page 2 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retentionperiods retention begins after settlement or completion). Engineering Project Files/CIP (7-YEAR Capital Improvement Project) Files: e.g.Advertising, Bid Documents, Certified For disaster preparedness purposes; GC Payroll Records, Claims, Confined Space §60201 et seq.; Final environmental Entries, Construction Photos (Pre 2010 are determinations are required to be kept a Permanent), Contract Negotiations, Correction "reasonable period of time"; 14 CCR ENG 0506 03 Notices, Design Level Cost Estimates and 7 years Mag, Mfr, S Yes: 1 year §15095(c); GC §60201 et seq. Billing, Draft Reports (excluding EIR), OD, Ppr Equipment Lists, Invoices, Labor Compliance, Final environmental determinations are Logs, Position Papers, Pre-Design Plans (50 or required to be kept a "reasonable period 95% Plans), Prequalification, Project of time"; 14 CCR§15095(c); GC§60201 Administration, Project Schedule, Public et seq. Hearings, Real Estate Appraisals—not purchased, Review Comments, Training Schedules, Trip Reports, Workshop, etc. Updated: 03/01/2012 CSO- Page 3 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retentionperiods retention begins after settlement or completion). Engineering Project Files/CIP (PERMANENT Capital Improvement Project- INFRASTRUCTURE) Files: Contracts and Related Correspondence, For disaster preparedness purposes; GC Insurance Certificates, Performance §60201 et seq.; Final environmental Bonds/Surety, Meeting Notes, Real Estate determinations are required to be kept a Appraisals-Purchased, Releases, Right of "reasonable period of time"; 14 CCR Way,Acquisition Agreements, Temporary §15095(c); GC §60201 et seq. Construction Easements, etc. and Environmental Reports, EIRs, Negative Statute of Limitations for written contracts Declarations, etc. are four years from the date of breach; ENG 0817 03 P Mag, Mfr, S Yes: 1 year errors and omissions is 10 years; Death e.g. Design Drawings, Specifications, Change OD, Ppr during construction is 10 years; CCP Orders, Correspondence, Close- §§337., 337.1(a), 337.15 GC §60200, Out/Acceptance, Daily Work Verification Contractor has retention requirements in Reports, Field Inspection Reports, Materials 48 CFR 4.703 Testing Reports, Bills of Material/Substitutions Environmental Documents, Notice of Final environmental determinations are Completion, Regulatory Agency Approvals, required to be kept a "reasonable period Right of Way, Shop Drawings, Soils Reports, of time"; 14 CCR§15095(c); GC§60201 Specifications, Calculations, Surveys, TV et seq. Reports, Temporary Encroachment Permits, Permanent Encroachment Permits, Submittals- Record Drawings As-Builts, Finals, Materials Submittals, SAMPs, SWPPP, etc. Updated: 03/01/2012 CSO- Page 4 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Safety/ Mag, OD, Yes (after 2 Code of Federal Regulations requires 3 Risk 0356 03 Hot Work Permits 3 years Ppr S/I years for confined space entries; 40 CFR Mgmt. years) 122.410)(2) 3 years is required; 40 CFR 122.410)(2); Incidents: Collection System Spill Reports Corrective Department preference; Clean Water Act CSO 0057 03 (regulatory, annual, monthly, inter-office, etc.) Action + 53- ODMag, Mfr, S/I Yes: After 1 Lawsuits can go back 5 years; Spill (Orange Sheets) years , Ppr year reports have the potential to be involved with Clean Water Act actions; GC §60201 Maintenance Files (Construction/Spot Repairs, Daily Logs/Daily Work Reports (DWRs), Overflows, Pipeline Daily Work Reports/Pipeline Cleaning Work District preference to be consistent with Schedule, Underground Service Alerts (USA): other records; GC§60201; NPDES CSO 0358 03 Utility Cuts,UndergRoddinround Service sh, 20 49 years Mag Ppr monitoring records required for 3 years; 40 CFR§§122.21, 40 CFR 122.410)(2), Routine/Scheduled Maintenance, Completed 122.41 Street Job Projects (Colored folders) Supervisor's notes should be maintained in a separate folder and be incorporated Human Personnel Files-Department-level in the employee's annual performance Resources 0049 03 Supervisor's Notes. 1 year Mag, Ppr review; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC§§12946, 60201 Monitoring and Maintenance records are Pumping Stations or Storage Tanks-USTs required on site for 3 years, 61years fGF CSO 0359 03 (owned by the District)-UST Monitoring and 5 years Mag, Mfr, S Yes: After 1 , 5 years Maintenance, Release Detection Systems, OD, Ppr year for calibration &maintenance of release e ec ion sys ems; §25284.2 i Updated: 03/01/2012 CSO- Page 5 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Pumping Stations or Storage Tanks-USTs Mag, Mfr, Yes: After 1 Department preference; permits are good CSO 0360 03 (owned by the District)-UST Permits 5�years OD, Ppr S year for 5 years; 23 CCR 2712@, H&S §25285(a) Reports and Studies-Annual and Monthly Lead Reports, (other than historically significant) Minimum 5 Dept. 0060 03 Mag, Ppr GC§60201 p Generally prepared by others but not for the years District Reports and Studies(Historically Significant- Administrativelyand Historically e.g., Zoning Studies, plans, environmental Mag, Mfr, Yes: After significant, therefore retained Lead Dept 0015 03 reports, overflow, sanitary sewer, etc.) P OD, Ppr S/I 10 years permanently; GC§34090, maintained Generally pre ared by the District for District independent of project files Plant SCADA Backup Tapes Considered a copy and can be destroyed Operation 0361 03 Less Than 30 Yes Mag when no longer required; retention based s or CSO (Pumping Station Tapes) Days on administrative value; recycle tapes; GC§60200 et seq. Plant SCADA: Supervisory Control and Data Mag, Mfr, Data is interrelated; system qualifies as a Operation 0362 03 Acquisition Database Indefinite OD, Ppr "trusted system"; GC §§60201, 12168.7 s or CSO CSO 0363 03 Stormwater Annual Reports(Plant Operations 3 years Mag, Ppr NPDES monitoring records required for 3 Department Maintains Copy) years; 40 CFR§§122.21, 122.41 NPDES Permits require work schedules Plant be retained for 5 years; EEOC's basic Operation 0364 03 Task Assignments/Work Schedules 5 years Mag, Mfr, S/I Yes: After 1 requirement is 1 year after action; Bureau s OD, Ppr year of National Affairs recommends 2 years for work schedules; 29 CFR 516.6(1), 29 CFR 1602.14, GC§ 60201 Updated: 03/01/2012 CSO- Page 6 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retentionperiods retention begins after settlement or completion). TV Collection Line Inspection, TV Reports/TV Indefinite CSO 0365 03 Files, Tapes/Video Inspections/Video Tapes Mag Department Preference (5 year cycles for „r Digital ReGGFdiRg6 -Regular Inspections �s re-taping); GC§60201 et seq. Database of recordings) Updated: 03/01/2012 CSO- Page 7 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COLLECTION SYSTEMS OPERATIONS (03) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retentionperiods retention begins after settlement or completion). TV Tank Inspection Tapes/Video Inspections/ Video Tapes or Digital Recordings-Regular Life of the Mag, Mfr, Yes: After 1 CSO 0366 03 Inspections Tank OD, Ppr S year 23 CCR 2712(b), H&S §25284.2(1) OBSOLETE AS OF 2012 Vehicle &Equipment-Maintenance (Plant Operations Department and Collections Only) T At CSO 0367 03 Sale Mag Ppr District preference; GC §60201 (Hard cards) Work Orders/Service Requests/Corrective Lead Action Requests: CMMS Database District Preference; Data is interrelated; Dept. 0368 03 (Computerized Maintenance Management Indefinite Mag GC§60201 S stem Work Orders/Service Requests/Corrective Action Requests: Paper-ENTIRE District Preference; Considered a Lead preliminary draft/source record (the 0369 03 INFORMATION Entered in CMMS (Division 3 years Mag Ppr Dept. database is the original); GC §60201, GC providing service retains originals; Division §6252 requesting service is considered a co Work Orders/Service Requests/Corrective Action Requests: Paper-PARTIAL OR NOT District preference; (if a FEMA- Lead Entered in CMMS (Division providing service reimbursable event, the time tickets are Dept. 0370 03 retains originals; Division requesting service is 3 years Mag Ppr attached to the FEMA claim); CCP§§338 considered a copy) et seq., 340 et seq., 342, GC§§945.6, GC§60201 OBSOLETE as of 2012 for CSO Updated: 03/01/2012 CSO- Page 8 of 8 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COMMUNICATION SERVICES (04) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention be ins after settlement or completion). Committees or Task Forces: Internal (e.g. Lead Dept. 0021 04 Records Management Committee, 2 years Mag, Ppr GC§60201 Communications Committee, Green Team, Department, Director, etc.) Correspondence-Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead Dept. 0027 04 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Employee Development-Service Awards Copies- Lead Dept. 0030 04 Commendations, District Tours, Certificates for When No Mag, Ppr Copies; GC§60200 District Programs Longer Required Historical Records (e.g. Photographs) Mag, Mfr, District Secretary Determines Historical Lead Dept. 0035 04 [Photographs used in the Lateral Connection P S No OD, Ppr Significance; GC§60201 and Pipeline] Newsletters/Publications-Employees or Commun. 0044 04 Customers [e.g. Pipeline est. 1996 and Lateral P Mag, Mfr, S/I No Department preference; GC§60201 et Services Connection est. 1982] OD, Ppr seq. Commun. 0045 04 Newspaper Clippings/News Articles (In the 5 years P- Mag, Ppr Non-records; GC§60201 et seq. Services News Updated: 03/01/2012 CS- Pagel of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. COMMUNICATION SERVICES (04) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention be ins after settlement or completion). When No Longer Commun. Services 0053 04 Press Releases/News Releases/Editorials Required- Mag, Ppr GC§60201 et seq. Minimum 5 years Reference Materials: Brochures, Manuals, When No Lead Dept. 0402 04 Presentations& Reports Longer Mag, Ppr GC§60201 et seq. Required Reports [Annual]-District [Business Plan, S+r R, Goals& Lead Dept. S/I No 0401 04 Objectives,ADA Development Plan, Board P Mag, Mfr, Department preference; GC§60201 et Guidelines] OD, Ppr seq. General Manager is OFR for Strategic Plan Updated: 03/01/2012 CS- Page 2 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. DISTRICT COUNSEL (21) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include District 0027 21 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Counsel Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on business are saved outside the e-mail District (e.g. calendars,working files, checklists, e-mail When No system; If not mentioned here, consult the Counsel 0028 21 that does not have a material impact on the Longer Mag, Ppr District Counsel to determine if a record is conduct of business, computer sign-ups, logs, Required mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails, etc. Copies District When No Mag, Mfr, Counsel 1059 21 District Counsel Legal Opinions Longer Yes OD, Ppr S Department Preference; GC §34090 Required 10 ears Updated: 03/01/2012 DC-Page 1 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. DISTRICT COUNSEL (21) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Department Preference; Statute of Litigation & Lawsuits-Retirement, Benefits or Yes: After Limitations for most contracts is 4 years; Safety/ 0977 21 Employment Related P Mag, Mfr, S/M/ I Final wrongful death for construction is Risk Mgmt. (Paulson and Walden) Disposition OD, Ppr completion + 5 years; CCP §§337 et seq.; GC §§ 945, 60201 et seq.; PC §832.5 Department Preference; Statute of Litigation & Lawsuits (except Employment Limitations for most contracts is 4 years; District S M I Practices) Disposition Mag, Mfr, wrongful death for construction is Counsel 0964 21 + 15 years OD, Ppr / / completion + 5 years; CCP §§337 et e.g., Plumbing, Property,Vehicle Damage seq.; GC §§ 945, 60201 et seq.; PC §832.5 When No District Longer Counsel 0302 21 Projects& Issues (varies over time) Required Mag, Ppr GC§60201 Minimum 15 years Department Preference; Statute of Yes: After Limitations for most contracts is 4 years; Safety/ 0973 21 Settlement Agreements [e.g. Sewer Overflows P Mag, Mfr, S/M/I Final wrongful death for construction is Risk Mgmt. /Property/Vehicle Damage] OD, Ppr Disposition completion + 5 years; CCP §§337 et seq.; GC §§ 945, 60201 et seq.; PC §832.5 District 0979 21 Slide Repair files P Mag, Mfr, S/M/ I Department Preference; GC §60201 Counsel I I I I OD, Ppr Updated: 03/01/2012 DC-Page 2 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). ENGINEERING 05 Agreements-Also see City of Concord, Mountain View Sanitary District Agreements&Contracts- INFRASTRUCTURE- Architectural, Engineering, JPAs, MOUS and MOAs. Agreement or Contract, Correspondence, & Lead Dept. Notices of Completion. Agreement or Contract Except includes all contractual obligations (e.g. RFP, Department Preference;All infrastructure, Professnl Specifications, Successful Proposal/Scope of JPAs, &Mutual Aid contracts are Work, Certificates of Insurance, and Services 0005 05 amendments) [except Concord MOU and P S Mag, Mfr, Yes: After permanent for emergency preparedness; Purchasin Employee MOUs] [See Record Series 0006 for OD, Ppr Inactive Statute of Limitations is 4 years; 10 years g-Except for Errors &Omissions; CCP §§337. Const. Employee Mous] 337.1(a), 337.15, 343; GC§60201 et seq. Contracts Examples of Infrastructure: Architects, Treatment Plants, Lines, Buildings, Design, Construction, Environmental, Sewer, Utilities, Pumping Stations, Studies for Repairs of Sewers, Local Agency Formation Commission LAFCo , etc. Updated: 03/01/2012 ENG-Page 1 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Agreements &Contracts- NON INFRASTRUCTURE-Equipment Purchases, Consulting Services, Leases,Vehicle Purchases, etc. Lead Dept. I I Department Preference; Covers E&O Except Agreement or Contract, Correspondence& Statute of Limitations; Published Audit Professnl Purchase Orders. Agreement or Contract Standards=4-7 years; Statute of Mag, Mfr, Yes: After Services includes all contractual obligations (e.g. RFP, Limitations: Contracts&Spec's=4 years, Purchasin 0006 05 Specifications, Successful Proposal/Scope of 10 years OD, Ppr S Inactive Wrongful Death=comp. + 5 years, g-Except Work, Certificate of Insurance, and Developers=comp. + 10 years; Statewide Const. amendments) guidelines propose termination +5 years; Contracts CCP §§336(a), 337 et. seq., GC§60201 Examples of Non-Infrastructure: Consultants, et seq. PaiRtiRg Maintgna Ag Franchise Agreements, Professional Services, License Agreements, Employee Group MOUS, Legal Services and Executive Management, etc. Agreements&Contracts-Maintenance Department Preference; E&O does not Purchasin (Leases, Plant& Equipment, Telephone, apply; Published Audit Standards=4-7 g—€XGept Painting, Custodial, Software &Renewed Mag, Mfr, vo�f+or years; Statute of Limitations: Contracts& GAnM 0008 05 Annually) 5 years OD, Ppr S vA Spec's=4 years; Statewide guidelines GARtFaMs [May have Purchase Orders associated with propose termination +5 years; CCP some of the contracts] §§336(a), 337 et. seq., GC§60201 et seq. Air Quality Correspondence with Regulatory When No Admin. Agencies (includes Episode and Breakdown Longer District preference; some correspondence / Plant 0810 05 correspondence) Required- Mag, Ppr from Regulatory Agencies need to be Operations Minimum retained for long periods of time; GC (Pre 2010 Engineering OFR, Post 2010 POD 10 years §60201 OFR Updated: 03/01/2012 ENG-Page 2 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Regulatory When No Agency 0451 05 Air Quality Regulations/Rule Development Longer Mag, Ppr Non-records; GC§60201 Required Annexations/Boundary Changes (Local Agency ENG 0452 05 Formation Commission-LAFCO) P Yes Mag, Mfr, S yes: 1 year GC§60201 et seq. OD, Ppr Index, Maps, Documents, Correspondence Aperture Cards: may include Subdivision Information, Documents, Plans and Profiles ENG 0507 05 P Yes Mfr S/ I For disaster preparedness purposes; GC [media that may be contained in some other form §60201 et seq. in Engineering Support] ENG 0453 05 Capital Improvement Plans(CIP)and Capital P Mag, Ppr Department preference; Part of the Improvement Budget(CIB) budget; GC§60200 Cash Receipt Ledgers-Handwritten w voAfter I Department Preference for research ENG 0018 05 (1946-1970) 40_&8 years Mag, Mfr,Ppr S/I purposes; Meets municipal government (Obsolete record series after 2012) OD, auditing standards; GC§60201 CEQA/NEPA Documents: Prepared by others for NON-District Projects (Not Project Related) Mag, Mfr, vo District Preference; GC§60200 ENG 0454 05 5 years OD, Ppr S/I mss: 1 year For projects with significant impacts, (District comments) (Environmental Impact retain documents longer Reports (EIRs), Environmental Assessments, Negative Declarations etc Updated: 03/01/2012 ENG-Page 3 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). CEQA/NEPA Documents: Prepared for District Projects-(Originals included with Copies project files) When No Mag, Mfr, vo ENG 0455 05 Longer OD, Ppr S/I mss: 1 year Usually filed in Project File; GC §60200 (Environmental Impact Reports (EIRs), Required-2 Environmental Assessments, Negative years Declarations, etc City of Concord Contract(Agreement, vow- After ENG 0456 05 amendments for Operations Maintenance, P Mag, Mfr, S/M/I Ciel Department preference; GC§60201 et Shared Facilities) OD, Ppr seq. (Non-project related files) Department Preference; GC §60201 et ENG 0457 05 Connection Permits/Repair Permits/Permits P Yes Mag, Mfr, OD, Ppr S/M/I yes: 1 year seq. Permits scanned, paper destroyed Department Preference (installation of Connections- Recycled Water Customers Completion lines are in CIP project files); Published ENG 0458 05 (Billing, Rates, Permit Agreement, Water Usage, of Contract Mag, Ppr Audit Standards=4-7 years; Statute of Regulations, Site Inspections, Water Quality, + 5 years Limitations: Contracts&Spec's=4 years; etc.) CCP §§336(a), 337 et. seq., GC§60201 et seq. Contractor Registration Files When No ENG 0459 05 (Copies of State License and OSHA Permit) Longer Mag, Ppr GC§60201 Required Copyrights/Trademarks/Patents ENG 0024 05 (see Secretary of the District for Non-District P Mag, Mfr, S No Department Preference; GC §60201 Project Specific Patents License Agreements OD, Ppr Updated: 03/01/2012 ENG-Page 4 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead Dept. 0027 05 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on business are saved outside the e-mail (e.g. calendars,working files, checklists, e-mail When No system; If not mentioned here, consult the Lead Dept. 0028 05 that does not have a material impact on the Longer Mag, Ppr District Counsel to determine if a record is conduct of business, computer sign-ups, logs, Required mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails, etc. Development Review Correspondence (Infrastructure Projects) For disaster preparedness purposes; GC ENG 0508 05 Review of other agency projects prior to P Mag, Ppr S/I No §60201 et seq. construction for review of Development Project Conflicts Updated: 03/01/2012 ENG-Page 5 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Development Review Correspondence (Maintenance Projects) For disaster preparedness purposes; GC ENG 0463 05 Review of other agency projects prior to 12 years Mag, Ppr S/I No §60201 et seq. construction for review of Development Project Conflicts Statute of Limitations for written contracts are four years from the date of breach; Development Review Correspondence (Z Files) errors and omissions is 10 years; Death ENG 0462 05 Review of other agency projects P Mag, Ppr S/I No during construction is 10 years; CCP §§337., 337.1(a), 337.15 GC §60200, Interagency project files, coordination files Contractor has retention requirements in 48 CFR 4.703 Copies Finance/ When No Admin. 1071 05 Employee Authorization/Delegation Authority Longer Mag, Ppr Department Preference; GC §34090 Re uired Updated: 03/01/2012 ENG-Page 6 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Engineering Project Files/ '^" es �CIP (7- YEAR Capital Improvement Project) Files: e.g.Advertising, Bid Documents, Certified For disaster preparedness purposes; GC Payroll Records, Claims, Confined Space §60201 et seq.; Final environmental Entries, Construction Photos (Pre 2010 are determinations are required to be kept a Permanent), Contract Negotiations, Correction "reasonable period of time"; 14 CCR ENG 0506 05 Notices, Design Level Cost Estimates and 7 years Mag, Mfr, S Yes: 1 year §15095(c); GC §60201 et seq. Billing, Draft Reports (excluding EIR), Equipment OD, Ppr Lists, Invoices, Labor Compliance, Logs, Final environmental determinations are Position Papers, Pre-Design Plans (50 or 95% required to be kept a "reasonable period Plans), Prequalification, Project Administration, of time"; 14 CCR§15095(c); GC §60201 Project Schedule, Public Hearings, Real Estate et seq. Appraisals—not purchased, Review Comments, Training Schedules, Trip Reports, Workshop, etc. Engineering Project Files/ 'G4-P�CIP S Yes: 1 year ENG 0818 05 (Capital Improvement Project) Files: 5 years Mag, Mfr, For disaster preparedness purposes; GC Record Drawings Mark-ups, Working Maps, pre OD, Ppr §60201 et seq. "As Builts" maps Updated: 03/01/2012 ENG-Page 7 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention /Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged & 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, com laints, claims, public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Cneinee riRg Preoeet Piles / IA h Ciloc /QIQ (C`ani+al lmnrevement Drnion+) Piles Drnion+ Artminis+ra+inn AGIV81406iRg C`enfinerl Snaee F=R ries C`es+ef C`ens+rain+inn Insiiranee G814ifiea+es I ober C`emnlianee I n Perfermanee Renrto/Siirety, Preoeet Seeiirit� filet Preoeet Sehertiiles Deal Cc+a+e Appraisals Releasee Right of VVay, Aeeiiisi+inn Agreemen+s Temp yC`ens+n-Atinn €aseMGRt6,GtA. and €AVOPGRM8Rtal Repei4�_ Cep disaster n re,,ness p CIRs Negative neelam+lens a+e Conal PRP.40FARMPR.tal rte+ermines+iens ar MagII_ 0917 4 $ � C ves: 1 yea required +e be kept a able p ent DeSi@In DraWingg eFGGifiGatiGieRS, GhaRgG nrrters mens+rain+ien Rhe+es lnsnee+inn Rener+s Materials Testing Rener+s Rills of MAtproal /S, hs+o+,i+ions Cnxnrenmen+al neeiimen+s Ne+iee of C`emnle+inn Regula+eni Age is Right of V Vay Shen DpawiRgS,es rilReper'cs !`alp ha+ienS 961Pn GFS Temperary Cnereaehment Permits, Permanent €Ae�nhmG_R+rPGrM4S Siihmi++al r� nrawiRgS As Rohl+s Cinals Materials 2-uhmi++als �Aiv�rrDs CVACVA/��DD �� Updated: 03/01/2012 ENG -Page 8 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Engineering Project Files/ '^"�'�s I CIP (PERMANENT Capital Improvement Project- INFRASTRUCTURE) Files: For disaster preparedness purposes Contracts and Related Correspondence, ; GC Insurance Certificates, Performance §60201 et seq.; Final environmental determinations are required to be kept a Bonds/Surety, Meeting Notes, Real Estate Appraisals-Purchased, Releases, Right of Way, "reasonable period of time"; . CCR Acquisition Agreements, Temporary Construction §15095(c); GC §60201 et seq. Easements, etc. and Environmental Reports, EIRs, Negative Declarations, etc. Statute of Limitations for written contracts are four years from the date of breach; ENG 0817 05 e.g. Design Drawings, Specifications, Change P Mag, Mfr, S Yes: 1 year errors and omissions is 10 years; Death Orders, Correspondence, Close- OD, Ppr during construction is 10 years; CCP Out/Acceptance, Daily Work Verification §§337., 337.1(a), 337.15 GC §60200, Reports, Field Inspection Reports, Materials Contractor has retention requirements in Testing Reports, Bills of Material/Substitutions 48 CFR 4.703 Environmental Documents, Notice of Final environmental determinations are Completion, Regulatory Agency Approvals, Right of Way, Shop Drawings, Soils Reports, required to be kept a "reasonable period Specifications, Calculations, Surveys, TV of time"; 14 CCR§15095(c); GC§60201 Reports, Temporary Encroachment Permits, et seq. Permanent Encroachment Permits, Submittals- Record Drawings As-Builts, Finals, Materials Submittals, SAMPs, SWPPP, etc. General Engineering Files: ENG 0648 05 7 years Mag, Ppr Department Preference; GC §60200 e. . files not identified Updated: 03/01/2012 ENG-Page 9 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Geographic Information System (GIS) Database ENG 0464 05 Includes Treatment Facility] Indefinite Yes Mag District Preference: Meets auditing standards; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report or final ENG 0075 05 Grants (Stage 5A-Water Reclamation Plant-All P Mag, Ppr payment of grantee or subgrantee; 21 grant related documents, and litigation support) CFR 1403.36& 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, &570.502(b), 28 CFR 66.42-129 CFR 97.42-140 CFR 31.42;44 CFR 13.42; 45 CFR 92.42; OMB Circular A-133-1 GC §60201 Job Files: (Main Line Jobs-may include Capital Projects) Final environmental determinations are (pre 1980 refer to project numbering system) Mag, Mfr, required to be kept a "reasonable period (Applications, Correspondence, Cut Sheets, ENG 0461 05 P Yes OD, Ppr S Yes: 1 year of time"; 14 CCR§15095(c)-; GC§60201 Drawings, Inspection Reports, Job Cards, Owner et seq. Agreements, Refunds, Receipts) Land Surveys/Survey books (Digital and hardcopy records) Mag, Mfr,, Pr S Yes: 1 year se Department preference; GC§60201 et ENG 0465 05 P Yes OD Engineering is OFR prior to 2010 and p q Environmental Services is OFR post 2010 Updated: 03/01/2012 ENG-Page 10 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Department Preference; Statute of Yes: After Limitations for most contracts is 4 years; Litigation & Lawsuits-Department Specific Disposition Mag, Mfr, S/M I Final wrongful death for construction is ENG 0964 05 (except Employment Practices) + 15 years OD, Ppr / Disposition completion + 5 years; CCP §§337 et seq.; GC §§ 945, 60201 et seq.; PC §832.5 Local Improvement Districts (LID)/Contractual Assessment Districts (CAD) (FINANCIAL Mag, Mfr, ENG 0466 05 PORTION ONLY) P Yes OD, Ppr S Yes: 1 year GC§60201 et seq. (Formation and Administration of various districts) Mountain View Sanitary District Contract Yes: After ENG 0467 05 (Agreement, amendments for Operations P Mag, Mfr, S/M/I Final Department preference; GC§60201 et Maintenance, Shared Facilities) OD, Ppr seq. (Non-project related files) Disposition Statute of Limitations for written contracts are four years from the date of breach; Notices of Completion errors and omissions is 10 years; Death Lead Dept. 0509 05 (When filed separate from project files or P Mag, Mfr,Ppr S Yes: 1 year during construction is 10 years; CCP contract) OD, §§337., 337.1(a), 337.15 GC §60200, GC §60201(d)(8); Contractor has retention requirements in 48 CFR 4.703 Plan Review/Development Review Project Files -Reimbursement Binders/Folders/ ENG 0469 05 Documents Fully Paid + Mag, Ppr Meets auditing standards; GC§60201 et 5 years seq. (Payment tracking) Updated: 03/01/2012 ENG-Page 11 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Statute of Limitations for written contracts are four years from the date of breach; Plan Review/Development Review Project errors and omissions is 10 years; Death Files: during construction is 10 years; CCP ENG 0468 05 1 P Mag, Mfr, S Yes: 1 year §§337., 337.1(a), 337.15 GC §60200, Project Administration, Project Security files OD, Ppr Contractor has retention requirements in (bonds, agreements), Inspection Reports, 48 CFR 4.703 Permits, Soils Reports,etc. For disaster preparedness purposes; GC §60201 et seq. Rates and Charges Development(All Department Preference; Final documents ENG 0470 05 Development and Environmental Capacity Fees) 5 years Mag, Ppr are adopted by the Board (District (Nexus Study and Fee Justification Data) Secretary is OFR); GC§60200 Department preference; USPAP (Uniform Standards of Professional Appraisal ENG 0471 05 Real Estate Appraisals-Property purchased P Mag, Ppr Practice)ethical standards require appraisers to retain records for at least 5 years, or final disposition +2 years, if used in a judicial proceeding; GC §60201 Updated: 03/01/2012 ENG-Page 12 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Real Property-nistrin-t n,.,ned orene.+ies gr-asting nenpossessery n+erest of Ilio+ria+ e nterec+in real property(land Fights e prilate n erties); Dener.ted and I Inrenerdpd lnctF---Men+c• DogtroAt OwneDrene.-- +her Deeds i e+ i e dj616tFR RtS nnePg nr ger e+re �e e+ DediGa+ie.,e Pro' n.i5;A@IIa1ReA---6 Inc+rumen+c n RtiRn iand rah+& ENG 0510 05 P Mag, Mfr, S No GC§60201(d)(8) Private Property Land Rights (Easements)- OD, Ppr Offers of Dedications, Irrevocable Offers of Dedications, Grant Deeds and various other Deeds,Appurtenant Easements, Dedications, Private Access,various Agreements, MOUS, Assignments, Gifts, Purchases, Covenants, Licenses,Assignments, Conditions and Restrictions(CC&Rs), and instruments conveying property rights to the District. OFR for original recorded resolutions that are attached and made a part of a recorded instrument that conveys land rights remain with the Engineering Department. Updated: 03/01/2012 ENG-Page 13 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention /Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged & 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, com laints, claims, public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Real roperty-District Owned Properties (Fee Title) -granting nonpossessery interest of Ilis+rie+land to others and Dis+rie+°s N onnessessery interest i al property/Innd rights on private properties); Deeerded nn.! I Inreeer.le.! Inc+rrr.e n+s• nimtri + .._ Drer,er+ies_Grant Deeds, various other Deeds, Lot-Line Adjustments, Mergers, Order of Condemnations, Dedications, Private Access, various Agreements, MOUs, Licenses, Assignments, Gifts, Purchases, Covenants, Conditions and Restrictions (CC&Rs)and Miscellaneous Instruments granting land rights. Mag, Mfr, ENG 0460 05 P S No GC§60201(d)(8) Ppoya+e Drer.erty I and Dirvh+c Offero of OD, Ppr mor Dedieo+ieno Irreveeohle Offero of fle.Flieo+ienc Gram fleerlo onr!varieus ether[Deeds AppuFtenont Cosemen+c flerlieo+ienc Private Aeeeoc varieus Arvreem Rt6 MQ to Assirvnmen+c 90#6 Diirehosec C`eVenon+c I i Assiivnmen+c C;enrlitienc AAd Deotrietieno /(`(`R_Dc\ Rd iAgtP1men+c 814Y r gh+c+e+he Dio+riAt OFR for original recorded resolutions that are attached and made a part of a recorded instrument that conveys land rights remain with the Enaineerincy De artment. Reports-also see Studies and Reports Updated: 03/01/2012 ENG -Page 14 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Reports and Studies-Annual and Monthly Reports, gtpategiG P!aRS (other than historically Lead Dept. 0060 05 significant) Minimum 5 Mag, Ppr GC§60201 years Generally prepared by others but not for the District Reports and Studies (Historically Significant Administratively and Historically e.g., Zoning Studies, plans, environmental Mag, Mfr, Yes: After significant, therefore retained Lead Dept 0015 05 reports, overflow, sanitary sewer, etc.) P OD, Ppr S/I 10 years permanently; GC§34090, maintained Generally prepared by the District for District independent of project files Settlement Agreements [Sewer Overflows/ Department Preference; Statute of Property/Vehicle Damage] Yes: After Limitations for most contracts is 4 years; ENG 0973 05 P Mag, Mfr, S/M/I Final wrongful death for construction is (Department Specific Settlement Agreements OD, Ppr Disposition completion + 5 years; CCP §§337 et and support documentation) seq.; GC §§ 945, 60201 et seq.; PC §832.5 Sewer Service Charge (SSC) -Water Consumption Data, Tax Roll Tapes, Charge details, receipts, edits, delinquent letters, code conversions, exceptions, exemptions, data checks, letters Department preference; Liens are good ENG 0473 05 12s Mag, Ppr S Yes:After for 10 years from recording date, and may Final SSC County Rolls(Regular Bills Placed on 12 years be extended by re-recording lien; WC Tax Assessors Roll, CX Listings-Trial Balance, 36729; 37212(b), GC§60201 et seq. parameter listings, direct bills, off-cycle billing, including corrections and adjustments to the County Tax Roll; Updated: 03/01/2012 ENG-Page 15 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Sewer Service Charge (SSC)established in ENG 0472 05 1977 P Mag, Ppr Department preference; GC§60201 et Capacity Use Agreements and Commercial seq. Property Files Solids Handling-Regulatory Compliance Department Preference (copies- manifests are attached to invoices); ENG 0474 05 (Applies to Environmental Services, Planning 5 years Mag, Ppr Sewage Sludge is required for 5 years; 40 and Plant Operations Department) CFR 122.41(j)(2); WC §13263.2(b)et seq.; GC §60201 Solids Handling-Rule Development Regulatory When No ENG 0475 05 Compliance Longer Mag, Ppr GC§60201 Required ENG 0476 05 Special Purpose Maps/Tracts with Survey P Yes Mag, Mfr, S Yes: 1 year Department Preference; GC§60201 et Notes OD, Ppr seq. ENG 0505 05 Standards and Specifications P Mag, Ppr Department Preference; GC §34090 Studies and Reports- Pollution Prevention Program Activities District preference; NPDES Monitoring ENG 0503 05 (support documentation for annual reports and 5 years Mag, Ppr records required for 3 years; 40 CFR projects)-Engineering is OFR for original §§122.21, 122.41, 40 CFR 792.195 reports Mag, Mfr, Department preference (Tracts ENG 0477 05 Subdivisions/Tract Map Files P OD, Ppr S Yes: 1 year maintained by appropriate County and/or Cit ; GC §60201 Updated: 03/01/2012 ENG-Page 16 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). TV Collection Line Inspection Tapes/Video Inspections/Video Tapes or Digital Recordings- ENG 0478 05 Capital Project Inspections Acceptance Work P Mag Department Preference (5 year cycles for (all lines) re-taping); GC§60201 et seq. Electronic File effective 2004 Work Orders/Service Requests/Corrective Action Requests: Paper-ENTIRE District Preference; Considered a preliminary draft/source record (the Lead Dept. 0369 05 INFORMATION Entered in CMMS (Division 3 years Mag Ppr database is the original); GC §60201, GC providing service retains originals; Division §6252 re uesting service is considered a co Work Orders/Service Requests/Corrective District preference; (if a FEMA- Action Requests: Paper-PARTIAL OR NOT reimbursable event, the time tickets are Lead Dept. 0370 05 Entered in CMMS (Division providing service 3 years Mag Ppr attached to the FEMA claim); CCP§§338 retains originals; Division requesting service is et seq., 340 et seq., 342, GC§§945.6, considered a co GC§60201 Updated: 03/01/2012 ENG-Page 17 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). HOUSEHOLD HAZARDOUS WASTE COLLECTION 06 Agreements-Also see HHW Mobile Events, Partner Agencies Agreements&Contracts- INFRASTRUCTURE- Architectural, Engineering, JPAs, MOUS and MOAs. Agreement or Contract, Correspondence, & Lead Dept. Notices of Completion. Agreement or Contract Except includes all contractual obligations (e.g. RFP, Department Preference;All infrastructure, Professnl Specifications, Successful Proposal/Scope of JPAs, &Mutual Aid contracts are Work, Certificates of Insurance, and Services 0005 06 amendments) [except Concord MOU and P S Mag, Mfr, Yes: After permanent for emergency preparedness; Purchasin Employee MOUS] [See Record Series 0006 for OD, Ppr Inactive Statute of Limitations is 4 years; 10 years g-Except for Errors &Omissions; CCP §§337. Const. Employee MOUS] 337.1(a), 337.15, 343; GC§60201 et seq. Contracts Examples of Infrastructure: Architects, Treatment Plants, Lines, Buildings, Design, Construction, Environmental, Sewer, Utilities, Pumping Stations, Studies for Repairs of Sewers, Local Agency Formation Commission LAFCo etc. Updated: 03/01/2012 ENG-Page 18 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Agreements &Contracts - NON INFRASTRUCTURE-Equipment Purchases, Consulting Services, Leases,Vehicle Purchases, etc. Lead Dept. I I Department Preference; Covers E&O Except Agreement or Contract, Correspondence& Statute of Limitations; Published Audit Professnl Purchase Orders. Agreement or Contract Standards=4-7 years; Statute of Mag, Mfr, Yes: After Services includes all contractual obligations (e.g. RFP, Limitations: Contracts&Spec's=4 years, Purchasin 0006 06 Specifications, Successful Proposal/Scope of 10 years OD, Ppr S Inactive Wrongful Death=comp. + 5 years, g-Except Work, Certificate of Insurance, and Developers=comp. + 10 years; Statewide Const. amendments) guidelines propose termination +5 years; Contracts CCP §§336(a), 337 et. seq., GC§60201 Examples of Non-Infrastructure: Consultants, et seq. PaiRtiRg MaiRteRa Ge Franchise Agreements, Professional Services, License Agreements, Employee Group MOUS, Legal Services and Executive Management, etc. Agreements&Contracts-Maintenance Department Preference; E&O does not Purchasin (Leases, Plant& Equipment, Telephone, apply; Published Audit Standards=4-7 g-Except Painting, Custodial, Software &Renewed Mag, Mfr, Yes: After years; Statute of Limitations: Contracts& Const. 0008 06 Annually) 5 years OD, Ppr S Inactive Spec's=4 years; Statewide guidelines Contracts [May have Purchase Orders associated with propose termination +5 years; CCP§§336(a), 337 et. seq., GC§60201 et some of the contracts] seq. Department Preference; Claims can be Household Attendance Records Separation made for 30 years for toxic substance Hazardous 0479 06 Track attendance for hours of work, and specific + 30 years exposure; 8 CCR§3204(d)(1)et seq., GC Waste training including tailgates and training updates §§12946, 60201 Updated: 03/01/2012 ENG-Page 19 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Audits and Inspections Household CUPA(Certified Unified Program Agencies), District preference; consistent with safety Hazardous 0480 06 DOHS (Department of Health Services), Fire 7 years Mag, Ppr inspections; 40 CFR§§122.21, 122.41, Waste Department, DOT(Department of 40 CFR 792.195; GC §60201 Transportation), Stormwater/Sewer Inspections, etc. Consistent with HW Manifests; Test results for hazardous waste generators Household CESQG Inventory Forms (Small Business are required for 3 years; Used Oil is Hazardous 0481 06 Participation Registration/Receipts for Material 3 years Mag, Ppr required for 3 years; 40 CFR 262.40, 8 Waste to be Disposed) CCR 3204(d)(1)(A), 22 CCR 66262.40-122 CCR 66266.130(c)(5), H&S §25250.18(b)(3), 25250.19(a)(2)(B)et seq. Permits are issued by the County; test results for hazardous waste generators Household Household Hazardous Waste Mobile Events are required for 3 years; Used Oil is Hazardous 0482 06 3 years Mag, Ppr required for 3 years; 40 CFR 262.40, 8 Waste (Permits, Property Agreements, Insurance) CCR 3204(d)(1)(A), 22 CCR 66262.40-122 CCR 66266.130(c)(5), H&S §25250.18(b)(3), 25250.19(a)(2)(B)et seq. Inspections District preference; Fire system/backflow Household testing is required for 2 years; UFC§10-2- Hazardous 0483 06 Daily, Weekly, Community, Fire Alarm, Safety, 3 years Mag, Ppr 5.7; UPC§603.3.3; GC §60201; Waste Fire Extinguisher, Insurance for Facility Liability, Hazardous Materials Inspections etc. CCR67450.3, HSC 25200.3 and 25201.5 Updated: 03/01/2012 ENG-Page 20 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Superseded Household Manuals: Operations & Maintenance O&M or Until Mag, Mfr, Yes: 5 Hazardous 0484 06 Facility Maintenance Disposal of OD, Ppr S/I years Department Preference; GC§60201 Waste Equipment ENG 0042 06 Master Plans (Water System, Water Availability, P Yes Mag, Mfr, Department Preference; GC §34090 Urban Water Master Plan, etc.) OD, Ppr Department Preference to cover Partner Agencies (Includes contracts and hazardous waste matters; Covers E&O correspondence) Statute of Limitations; Published Audit Household Standards=4-7 years; Statute of Mag, Mfr, Yes: After Limitations: Contracts&Spec's=4 years, Hazardous 0485 06 Cities of Concord, Clayton, San Ramon, P S Waste Mountain View Sanitary District, etc. OD, Ppr Inactive Wrongful Death=comp. +5 years, (Household Hazardous Waste Facility Use Developers=comp. + 10 years; Statewide Agreements) guidelines propose termination +5 years; CCP §§336(a), 337 et. seq., GC§60201 et seq. Household Permits Hazardous 0486 06 P Yes Mag, Mfr, S/I No District preference; GC §60201 Waste (Permit by Rule, Variances, Exemptions, Land OD, Ppr Use, Sewer, etc.) When No Household Reports: CIWMB/CCCSD/HHWCF Annual Longer Hazardous 0487 06 Reporting (These are included as an appendix to Required- Mag, Ppr GC§60201 Waste the District's annual report) Minimum 3 ears Updated: 03/01/2012 ENG-Page 21 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Surveys/Questionnaires (that the District Household issues). If a summary of the data is compiled, Department preference; GC§§60200, Hazardous 0067 06 the survey forms are considered a draft or 1 year Mag, Ppr 60201 Waste transitory record, and can be destroyed after 1 year Department preference; EEOC/FLSA/ ADEA(Age)statue of limitations is 1-3 years; 29 CFR 1602 et seq & 1627.3(a)(5) and (6), 2 CCR 7287 et seq., 8 CCR Training -By Employee for HHW Contract §11040.7(c); Statewide guidelines Household propose 7 years; Calif. Labor Division is Employees (Attendance Rosters, Certificates, Separation Mag, Mfr, Yes: When Hazardous 0488 06 Outlines and Materials) + 30 years OD, Ppr S Inactive required to keep their OSHA records 7 Waste Includes: Material Handling Exposure years; EEOC/FLSA/ADEA(Age) requires 3 years for promotion,demotion, transfer, selection, or discharge; State Law requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 Department Preference; Claims can be made for 30 years for toxic substance exposure; Statewide guidelines propose 7 years; Calif. Labor Division is required to Household Training -By Employee for HHW District keep their OSHA records 7 years; + 30 years OD, Ppr Hazardous 0489 06 Employees (Attendance Rosters, Certificates, Separation Mag, Mfr, S Inactive Yes: When EEOC/FLSA/ADEA(Age) requires 3 Waste Outlines and Materials) years for promotion, demotion, transfer, selection, or discharge; State Law requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 Updated: 03/01/2012 ENG-Page 22 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Department Preference; test results for Transportation-Waste Disposal hazardous waste generators are required Household for 3 years; Used Oil is required for 3 Hazardous 0490 06 Hazardous Waste Manifests, Bills of Ladings P Mag, Mfr, S/I Yes: 5 years; 40 CFR 265.71, 40 CFR 262.40, 8 OD, Ppr years CCR 3204(d)(1)(A), 22 CCR 66262.40; 22 Waste (BOLs), HHW Mobile Event Manifests, Certificates of Destruction/Recycling, etc. CCR 66266.15), §25250.18(b)((3)3),, 25250.1919(a)(2)(B)et seq. Updated: 03/01/2012 ENG-Page 23 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). SOURCE CONTROL(07 Agreements-Also see City of Concord, Mountain View, Stormwater Inspection Services Department Preference; Solid Waste Bollinger Canyon Clean-up and Abatement Transfer/Processing is 3 years; Source Mag, Mfr, Electronic Waste Recycling is 3 years; Control 0491 07 Order Project P OD, Ppr S/I No Non-hazardous Ash Disposal is 5 years; (Monitoring and Maintenance Reports) 14 CCR 17379(a); 14 CCR 18660.8(d); 14 CCR 17414(b); GC§60201 Department Preference; Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Source City of Concord Memorandum of Understanding/ Mag, Mfr, Yes: After Limitations: Contracts&Spec's=4 years, Control 0492 07 Correspondence&Administration P OD, Ppr S Inactive 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. Department Preference; Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Source Clean Water Program Agreement for Stormwater Mag, Mfr, Yes: After Limitations: Contracts&Spec's=4 years, Control 0502 07 Inspection Contract Services/Correspondence PIC)years OD, Ppr S Inactive Wrongful Death=comp. +5 years, &Administration Developers=comp. + 10 years; Statewide guidelines propose termination +5 years; CCP §§336(a), 337 et. seq., GC§60201 et seg. Updated: 03/01/2012 ENG-Page 24 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Department Preference; Solid Waste Closed Landfills/Remediation and Monitoring Transfer/Processing is 3 years; Source (e.g.Acme, International Technologies Mag, Mfr, Electronic Waste Recycling is 3 years; Control 0493 07 Corporation - IT) P OD, Ppr S/I No Non-hazardous Ash Disposal is 5 years; (Permits, Summaries, Litigation Files) 14 CCR 17379(a); 14 CCR 18660.8(d); 14 CCR 17414(b); GC §60201 �'r'(4c;P vr�^f^f District preference; NPDES Monitoring Source 0494 07 Commercial/Unpermitted Industrial User(IU) Q„�;no��j Mag, Ppr records required for 3 years; 40 CFR Control Files-SITE INSPECTIONS 4 5 years §§122.21, 122.41, 40 CFR 792.195 Commercial/Unpermitted Industrial User(IU) Source Files/Pretreatment Program-ADDRESS/ Mag, Mfr, District preference; NPDES Monitoring Control 0495 07 FACILITY FILE P Yes OD, Ppr S/I records required for 3 years; 40 CFR Street Files §§122.21, 122.41, 40 CFR 792.195 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on (e.g. calendars,working files, checklists, e-mail When No business are saved outside the e-mail Lead Dept. 0028 07 that does not have a material impact on the Longer Mag, Ppr system; If not mentioned here, consult the conduct of business, computer sign-ups, logs, Required District Counsel to determine if a record is mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails, etc. Department Preference; Statute of Yes: After Limitations for most contracts is 4 years; Source S M I Final Litigation & Lawsuits-Department Specific Disposition Mag, Mfr, wrongful death for construction is Control 0964 07 (except Employment Practices) + 15 years OD, Ppr / / Disposition completion + 5 years; CCP §§337 et seq.; GC §§ 945, 60201 et seq.; PC §832.5 Updated: 03/01/2012 ENG-Page 25 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Source Local Discharge Limits/Pretreatment Local Superseded Mag, Mfr, Yes: 5 District preference; NPDES Monitoring Control 0496 07 Limits + 10 years OD, Ppr S/I years records required for 3 years; 40 CFR (Technical documents, correspondence) §§122.21, 122.41, 40 CFR 792.195 Mountain View Sanitary District Contract(Service Yes: After Source P S/M I Final Agreement, amendments for Inspection Pollution Mag, Mfr, Department preference; GC§60201 et Control 0467 07 Prevention Program) OD, Ppr / seq. (Non-project related files) Disposition Permitted Industrial User(IU)Files- District preference; NPDES Monitoring Source 0497 07 APPLICATIONS,SPILL RESPONSE PLAN 5--k years Yes Mag, Mfr, S/I No records required for 3 years; 40 CFR Control OD, Ppr Class I, II, III, SDP §§122.21, 122.41, 40 CFR 792.195 Permitted Industrial User(IU) Files/ Source Pretreatment Program-ANNUAL FILES District preference; NPDES Monitoring Control 0498 07 5 years Mag, Ppr records required for 3 years; 40 CFR Class I, II, III, SDP §§122.21, 122.41, 40 CFR 792.195 Regulatory Agencies-Correspondence,Audits, Source Findings, Correspondence,Annual and Semi- Department Preference; 40 CFR 792.195; Control 0499 07 Annual Reports, Regional Boards (RWQCB, PIC)years Mag, Ppr GC§60201 USEPA, etc. Source Reports: Monitoring Records, Periodic Department Preference; 40 CFR 792.195; Control 0500 07 Compliance Reports, Service Agreements 5 years Mag, Ppr S/I GC§60201 Settlement Agreements [Sewer Overflows/ Department Preference; Statute of Property/Vehicle Damage] Yes: After Limitations for most contracts is 4 years; Source 0973 07 P Mag, Mfr, S/M/I Final wrongful death for construction is Control (Department Specific Settlement Agreements OD, Ppr Disposition completion + 5 years; CCP §§337 et and support documentation) seq.; GC §§ 945, 60201 et seq.; PC §832.5 Source 0501 07 Source Control Database Indefinite Yes Mag Data is interrelated; GC§60201 Control Street Address Sites Updated: 03/01/2012 ENG-Page 26 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. ENGINEERING (05), (06), (07) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Studies and Reports- Pollution Prevention ENG Program Activities District preference; NPDES Monitoring Se-rap 0503 07 (support documentation for annual reports and 5 years Mag, Ppr records required for 3 years; 40 CFR met projects)-Engineering is OFR for original §§122.21, 122.41, 40 CFR 792.195 reports Waste Hauler Permits (Septic, Grease Control, Meets municipal government auditing Source 0504 07 etc.) 5 years Yes Mag, Mfr, S/I standards; Sewage Sludge is required for Control OD, Ppr 5 years;40 CFR 122.41(j)(2); WC Finance Department is the OFR for Manifests §13263.2 b et seg.; GC§60201 Updated: 03/01/2012 ENG-Page 27 of 27 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). FINANCE/ADMINISTRATION 08 Audit Workpapers (PiRals) Finance/ (Staff copies of workpapers,Account Mag, Mfr, vo�f+or Admin. 0601 08 Reconciliations, Support Documentation, Draft 5 years OD, Ppr S/I Department Preference; GC §60201 Depreciation Schedules) Audited Financial Statements/Comprehensive Annual Financial Report(CAFR)with Audit Management Letters/Audit Reports (See Finance/ 0602 08 Record Series 0617 for State Controller's P Mag, Mfr, S/I Yes: After I Department Preference for historical Admin. Report) OD, Ppr Y*_� purposes; GC§60201 et seq. [Audit, Confirmation Letters, Internal Financial Statements, Final Depreciation Schedules] Yes: After 1 Mfr,, Audits-Operational and Projects (Internal Mag,Ppr Department Preference for historical / 0011 08 Audits and Independent Audits)Historical Data P S/I year purposes; co..ro+ten,„f the n,s+r,,.+retains Admin. (Revenue Sewer Service Charge Task Force) OD, Ral pepm,„o.,+ly; GC§60201 Copies Department Preference; Statute of When No Secretary Longer Limitations for bonds, mortgages, trust of the Required deeds, notes or debentures is 6 years; Bonds/Certificates of Participation ("COP)"/ Mag, Mfr, Bonds issued by local governments are 10 District 0604 08 Transcripts/Disclosure Reports OD, Ppr S/I No ears; There arespecific requirements for disposal of unused bonds; CCP Admin Redempt,�� §§336(a)(1) &(2), 337.5(2); GC §43900 et j n„o,r� seq. GC §60201 et seq. ye Department Preference Distr;,.+SgAr4stap Finance/ Budgets: Development, Supporting Admin. 0017 08 Workpapers, Back-up, etc. (CCB), 10-Year Plan 5 years Mag, Ppr m,;n+„nom Gr;n;n,16 for administrative value; GC §60200 Finance/ Mag, Mfr, Yes: After 1 Admin. 0606 08 Budgets: Final Adopted P OD, Ppr S/I year Department Preference; GC §60200 Updated: 03/01/2012 FIN -Page 1 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Cafeteria Plan Finance/ Mag, Mfr, Admin. 0607 08 Reimbursements, Claim Forms, Selection 7 years OD, Ppr S/I Department Preference; GC§60200 Forms Finance/ Chart of Accounts (Resource is Financial Admin. 0608 08 Database) 7 years Mag, Ppr Department Preference; GC§60200 Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Regulatory Agency Correspondence) Lead Dept. 0027 08 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward; originating office is OFR prior to 2011 Financial Reports: Ledgers, Registers, Reports, Transaction Histories, Balance Sheets, Budget When No Draft/Preliminary documents used to Finance/ Adjustments (All Funds-Sewer Construction, produce final year-end general ledger Admin. 0609 08 Depreciation, Self Insurance) [Supporting Longer Mag, Ppr (financial database is the original); GC documents] (MONTHLY OR PERIODIC) Does Required §60201 NOT include year-end General Ledger. Finance/ Data is interrelated; system qualifies as a Admin. 0610 08 Financial System Database Indefinite Mag "trusted system"; GC 60201, 12168.7 Updated: 03/01/2012 FIN -Page 2 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). General Finance Files: Finance/ (e.g. CIBAs, garbage related, disposals with 0648 08 other agencies/cities, proposals to do work, 7 years Mag, Ppr Department Preference; GC §60200 Admin. grant manuals, reference materials, annual salary and benefits worksheets, debit/credit reports for materials services supplies ordered) Finance/ Mag, Mfr, S/I Yes: After 1 Department Preference; Published articles Admin. 0611 08 General Ledger: Final year-end 7 years OD, Ppr year show 3-7 years; GC§60201 District Preference: Meets auditing standards; Uniform Admin. Requirements for Grants to Local Governments is 3 Grants (Stage 5A-Water Reclamation Plant- Copies years from expenditure report or final ENG 0075 08 All grant related documents, and litigation when No Mag, Ppr payment of grantee or subgrantee; 21 support) Longer CFR 1403.36& 1403.42(b); 24 CFR Required 85.42, 91.105(h), 92.505, &570.502(b), 28 CFR 66.42-129 CFR 97.42-140 CFR 31.42-144 CFR 13.42-145 CFR 92.42; OMB Circular A-133; GC§60201 Updated: 03/01/2012 FIN -Page 3 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). District Preference (may include records pertaining to independent contractor's compensation, or expense 10 years reimbursement); Meets auditing Grants (SUCCESSFUL-all records, including minimum- standards; Uniform Admin. Requirements FEMA claims) After for Grants to Local Governments is 3 Lead Dept. 0033 08 Funding Mag, Ppr years from expenditure report or final (Except Stage 5A-Water Reclamation Plant- Agency payment of grantee or subgrantee; 21 See Record Series 0075) Audit, if CFR 1403.36& 1403.42(b); 24 CFR required 85.42, 91.105(h), 92.505, &570.502(b), 28 CFR 66.42-129 CFR 97.42-140 CFR 31.42-144 CFR 13.42-145 CFR 92.42; OMB Circular A-133; GC§60201 Purchasing Insurance Certificates (for Contracts,Vendors, Longest Statute of Limitations is 10 ears; Except a.,,+ n,s+r,,.+ ;��„o,+ ,.or+,f,.�+o� etc.) 9 Y Const. 0037 08 20 Years Mag, Mfr, S yes (after 2 conforms with agreement/contract OD, Ppr years) retention; statewide guidelines propose Contracts- [OFR-Safety& Risk Management prior to Lead Dept. 2001; OFR-Purchasing post 2001] permanent; CCP§337 et seq. GC§34090 Department Preference; GC §60200; Inventory-Physical Inventory of asset Consistent with Accounts Receivable; Finance/ Statute of limitations is 3 years; statewide Admin. 0612 08 equipment, Worksheets (Fixed Assets); sale of 5 years Mag, Ppr guidelines propose 2-4 years; published surplus goods or equipment articles show 3-6 years; GC§60201, CCP §337 Finance/ Mag, Mfr, Admin. 0613 08 Investments 10 Years OD, Ppr S/I No Department Preference; GC§60201 Finance/ Department Preference; Statute of Admin. 0614 08 Journal Entries 7 years Mag, Ppr Limitations is 4 years; Published articles show 6-7 ears; GC 60201, CCP§337 Updated: 03/01/2012 FIN -Page 4 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Local Improvement Districts (LID's)/ Contractual Assessment Districts (CAD's) Mag, Mfr, ENG 0466 08 (FINANCIAL PORTION ONLY) P Yes OD, Ppr GC§60201 et seq. (Formation and Administration of various districts) 3 years Finance/ Monthly Account Reconciliation Workpapers �n�h�n�n Department Preference; DiGtFiGt SeGro+an, 0615 08 (Accounts Payable Reconciliations, Capital Mag, Ppr aiRtaiRg GFigiRals; IGRgeF for Admin. Improvement Project(CIP's)closeouts ) R ..administrative value; GC§60200 Finance/ 0616 08 Reports: Cost Center Reports 7 years Mag, Ppr Department Preference; GC §60200 Admin. Secretary Sewer Service Charge (SSC)Master Fee Copies- of the 0065 08 Schedule , Connection Fees, Rates&Charges When No Mag, Mfr, S/I Yes: After 1 GC§60200 District [Proposition 218-includes all documentation] Longer OD, Ppr year Lead Department maintains Nexus Stud Required Updated: 03/01/2012 FIN -Page 5 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Finance/ P S/I State Controller's Report(Annual Statement of Mag, Mfr, Yes: After 1 Admin. 0617 08 Indebtedness) OD, Ppr year Department Preference; GC §60201 Department Preference; IRS: 4 years after tax is due or paid (longer for auditing & Finance/ contractor delinquency); Ca. FTB: 3 years; Admin. 0618 08 Tax Returns P Mag, Ppr Published articles show permanent; ; IRS Reg §31.6001-1(e)(2), 26 CFR§1.6001-1, R&T§19530, GC §60201 Finance/ Yes OD 1 year from vogue--Aftter I Given to the new owner upon sale of the Admin. 0619 08 Vehicle Titles ("Pink Slips") sale , Ppr S/I ye� vehicle; GC §60201 et seq. Updated: 03/01/2012 FIN -Page 6 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). FINANCE/ACCOUNTS PAYABLE 09 IRS: 4 years after tax is due or paid Finance/ (longer for auditing &contractor Accounts 0620 09 1099's Issued 7 years Mag, Mfr, S/I Yes: After 1 delinquency); Ca. FTB: 3 years; Published Payable OD, Ppr year articles show permanent; ; IRS Reg §31.6001-1(e)(2), R&T§19530, GC §60201(d)(12) Accounts Payable Source Records(includes Check Copies (Contra Costa County handles check processing), Running Expense Invoices, Receipts, Travel Expense Reimbursements, May contain independent contractor's compensation, expense reimbursement, Petty Cash, Invoices and Back-up, Check or District credit card records; Meets Finance/ Requests, Benefit Payment, Medical Billing for Mag, Mfr, Yes: After 1 municipal government auditing standards; Accounts 0002 09 Insurance, Sewage Sludge Weigh Tickets, etc. 7 years S/I Payable AT&T, MCI, CALNET: Phone Bills) OD, Ppr year Sewage Sludge is required for 5 years; Published articles show 3-7 years; 40 (see 0625 for Self Insurance Fund records) CFR 122.410)(2); WC §13263.2(b)et (Safety&Risk Management is Office of seq.; GC §60201(d)(12) Record for Record Series 0954-Legal Bills only] Bank Reconciliation &Statements (Transaction Department Preference; Meets municipal Finance/ Statements, Wire Transfers, Deposits, Treasury Mag, Mfr, Yes: After 1 government auditing standards; Published Accounts 0621 09 Statements, Trustee& Investment Statements, 7 years OD, Ppr S/I year articles show 3-7 years; GC§60201, 26 Payable Tuition Reimbursement, Employee Membership, CFR 1.6001-1 Outside Organization Fees, etc.) May. n+ain iRdepeRdeRt FingnAp i rh 9^ *e-s- GGM m in Statute f� ,+. meg IS 4 c 99 (G9Rtro Gesta Gneinty honrllonheAk 7"ears �Pp � Veq—A ftor+or ; MeetS m al n n+ Payable n fr.r+he Dic+rin+\ '-7 � �� 6ldi+inn standards;'GG§60201(d)(1 2) Updated: 03/01/2012 FIN -Page 7 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Finance/ Check Listings When No Draft/Preliminary documents (financial Admin. 0623 09 [not used after 2001] Longer Mag, Ppr database is the original); GC §60201 Required Finance/ 1071 09 Employee Authorization/Delegation Authority 2 years Mag, Ppr Department Preference; GC §34090 Admin. Finance/ Expenditure Approval Lists and Check Mag, Mfr, Yes: After 1 Department Preference (District Secretary Admin. 0624 09 Registers, Board Compensation, Remuneration P OD, Ppr S/I year keeps Board Agenda Packets); GC for Payroll §60200 Finance/ District Preference; Consistent with other Self-Insurance Fund Original Invoices and Mag, Mfr, Yes: After 1 records; Statute of Limitations is 4 years; Accounts 0625 09 Check Copies P S/I OD, Ppr year Meets municipal government auditing Payable standards; GC§60201, CCP § 337 District Preference; Related to independent contractor's compensation; Finance/ IRS: 4 yrs after tax is due or paid; Ca. Accounts 0626 09 W-9's P Mag, Ppr FTB: 3 years;Articles show 7 years; IRS Payable Reg §31.6001-1(e)(2), R&T§19530; 29CFR 516.5-516.6, 29USC 436, GC §60201(d)(12) Updated: 03/01/2012 FIN -Page 8 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). FINANCE/ACCOUNTS RECEIVABLE 10 When No Finance/ Longer Department Preference to retain as long Accounts Receivable Collection Mag, Mfr, Yes: After 1 as it remains a doubtful account; Meets Accounts 0627 10 Correspondence Required- OD, Ppr S/I year municipal government auditing standards; Receivable Minimum 7 GC§60201 years Accounts Receivable Source Records-Water Finance/ Bills,Adjusting Entries, Aging Reports, Overtime Department Preference; Meets municipal Accounts 0628 10 Inspections, Dumping Invoices, 7 years Mag, Ppr government auditing standards; Published Receivable (All Records and Reports, including invoices to articles show 3-7 years; GC §60201 non-profits, leases and District invoices to others) Bank Deposits, Daily Banking Report, Cash Finance/ Receipt Summary, Electronic Payment Report, Department Preference; Meets municipal Accounts 0629 10 Host File Summary Reports, Direct Debit 10 years Mag, Ppr government auditing standards; Published Receivable Reports articles show 3-7 years; GC§60201 Retained to cover auditing standards; Finance/ General rule under ERISA(Employee Accounts 0630 10 Billing: COBRA and Retiree Medical Termination Mag, pr S/I Yes: After 1 Retirement Income SecurityAct is 7 + 7 years Mfr, Ppr year ) Receivable years; 29 CFR 1627.3(b)(2); 29 USC 1027; GC §60201 Finance/ Mag, Mfr, Yes: After 1 Department Preference; Meets municipal Accounts 0631 10 Cash Receipts (MONTHLY) 7 years S/I government auditing standards; GC Receivable OD, Ppr year §60201 Updated: 03/01/2012 FIN -Page 9 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Finance/ Department Preference; Meets municipal Accounts 0632 10 Cash Reconciliations (MONTHLY) 7 years Mag, Mfr, S/I Yes: After 1 government auditing standards; Published Receivable OD, Ppr year articles show 3-7 years; GC§60201, 26 CFR 1.6001-1 Finance/ Contractor Deposits, Refundable Bonds, Department Preference; Meets municipal Accounts 0633 10 Receipts P Mag, Ppr government auditing standards; Published Receivable articles show 3-7 years; GC §60201 Updated: 03/01/2012 FIN -Page 10 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). FINANCE/PAYROLL 11 Department Preference; IRS: 4 years after tax is due or paid (longer for auditing & Finance/ DE-6&941 Forms-Quarterly Payroll Tax contractor delinquency); Ca. FTB: 3 years; Payroll 0634 11 Returns P Mag, Ppr Published articles show permanent; ; IRS Reg §31.6001-1(e)(2), 26 CFR§1.6001-1, R&T§19530, GC §60201 Finance/ Separation Retained to match other auditing periods; Payroll 0635 11 Deduction Authorizations (Employee) + 7 years Mag, Ppr GC§60201 Finance/ 0638 11 Deferred Compensation/Transactions 7 years Mag, Ppr Department preference; GC§60201 et Payroll seq. Department preference to be consistent with District-wide standards; EEOC/ Finance/ Deferred Compensation Plan Mag, Mfr, ADEA(Age) requires 1 year after benefit Payroll 0636 11 (457, 401A, ICMA, Money Purchase Plan) 10 years OD, Ppr S No plan termination; Federal law requires 6 years after filing date; State Law requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 1027; GC §§12946, 60201 Finance/ When No Department preference; Draft/Preliminary Payroll 0637 11 Deferred Compensation Reports Longer Mag, Ppr documents (financial database is the Required original); GC§60201 Finance/ 0732 11 Employee Compensation/Salary Charts P Mag, Ppr GC§60201(d)(12) Payroll Finance/ 0639 11 Garnishments (all records) 7 years Mag, Ppr Retained to match other auditing periods; Payroll GC§60201 Finance/ Department preference; Draft/Preliminary Payroll 0038 11 Leave Requests 7 years Mag, Ppr documents (timesheet is the original); GC §60201 Finance/ Mag, Mfr, Yes: After 1 Payroll 0640 11 Payroll Checks (Copies) 10 years OD, Ppr S/I year GC§60201(d)(12), CCP §337 Updated: 03/01/2012 FIN -Page 11 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. FINANCE ACCOUNTING (08), (09), (10), (11) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Records Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). DaYFGll RePG 4o MGRthly GF Dniori-din Depal4mon# nroforonno; tiro f+ /Drolimino C'n o / n64P 44 (Gumulatiye Annrual Register-s, Payrell P Aon Dnp riniimon#c (finorl nniol o#ohoco is the PayFell h dj 616 f me R t6) T�9� r. Payroll Reports- Payroll Changes, Earnings Finance/ 0641 11 Register, Payroll Register, Burroughs Ledger P Mag, Ppr Department preference for PERS buy- Payroll Cards, Detail Year End (cumulative accrual back purposes; GC §60201 registers, payroll adjustments) When No Longer Department preference; Draft/Preliminary Finance/ 0643 11 Payroll Reports (Miscellaneous Payroll Reports) Required- Mag, Ppr documents (financial database is the Payroll Minimum original); GC §60201 10 years Department Preference; Statute of Retirement Reports/Records Limitations for retirement benefits is 6 Finance/ Retirement Annual Reports Contra Costa years from last action; GC §§12946, Payroll 0644 11 County Employee Retirement Association P Mag, Ppr 60201; 29 USC 1113; (financial database (CCCERA) is the original); CCCERA is OFR; Department preference; GC§60201 et seq. Finance/ 0070 11 Timesheets P Mag, Ppr Department Preference to meet auditing Payroll standards; GC§60201 et seq. Department preference; IRS: 4 yrs after Finance/ tax is due or paid; Ca. FTB: 3 years; Payroll 0645 11 W-2's P Mag, Ppr 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) Finance/ 0646 11 W-4's When Mag, Ppr Department preference; GC§60201 et Payroll Superseded seq. Updated: 03/01/2012 FIN -Page 12 of 12 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. GENERAL MANAGER (12) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Association Records (external associations- e.g.,ACSA, CASA, etc.) When No Lead Dept. 0010 12 Longer Mag, Ppr Non-records; GC§60201 et seq. [Legislative Updates, Special Solid Waste Required Reports, Newsletters] Committees or Task Forces: Internal (e.g. Lead Dept. 0021 12 Records Management Committee, 2 years Mag, Ppr GC§60201 Communications Committee, Green Team, Department Director, etc. Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include General 0027 12 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Manager Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Updated: 03/01/2012 GM-Page 1 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. GENERAL MANAGER (12) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on business are saved outside the e-mail General (e.g. calendars,working files, checklists, e-mail When No system; If not mentioned here, consult the 0028 12 that does not have a material impact on the Longer Mag, Ppr Manager District Counsel to determine if a record is conduct of business, computer sign-ups, logs, Required mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails, etc. Copies- Finance/ When No Admin. 1071 12 Employee Authorization/Delegation Authority Longer Mag, Ppr Department Preference; GC §34090 Required When No General Longer Manager 0302 12 Projects& Issues (varies over time) Required Mag, Ppr GC§60201 Minimum 15 years General 0401 12 Reports [Annual]-District Strategic Plan and P Mag, Mfr, S/ I No Department preference; GC§60201 et Manage I I I related correspondence OD, Ppr seq. Updated: 03/01/2012 GM-Page 2 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. HUMAN RESOURCES (13) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). 1 year No positions open; therefore not deemed nppliGati RG fGF F=MPI,,,,. eRt Job Interest Cards Whpin Ni� part of District recruitment practices; Human 0726 13 ^r Res, Unsolicited(no open position), "�`�GRgeF Ppr considered a transitory record not Resources candidates not hired R materially impacting the conduct of the public's business; GC §60201 Human Classification and Compensation Studies/ P 0727 13 Mag, Ppr Department Preference; GC§60201 Resources Surveys Complaints- Department of Fair Employment& Housing (DEER)or Equal Opportunity Department preference (same as the Commission (EEOC) Personnel File);All State and Federal Human 0728 13 Separation MagPpr laws require retention until final Description & resolution of complaint, Resources + 3 years ' p disposition of formal complaint; State correspondence. Includes recruitment and requires 2 years after action is taken; GC personnel complaints §§12946, 34090 Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead Dept. 0027 13 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Updated: 03/01/2012 HR-Page 1 of 6 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. HUMAN RESOURCES (13) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Department preference; D.O.T. Requires 5 years for positive tests, refusals, annual Drug and Alcohol Testing/D.O.T. files (ALL summaries, etc, 1 year for negative tests; Human 0729 13 Files-Random, Post-Accident&Reasonable Separation Ppr EEOC/FLSA/ADEA(Age) requires 3 Resources Suspicion Tests, refusals, annual summaries, + 5 years p years physical examinations; State Law etc.) requires 2 years; 29 CFR 1627.3(b)(v), 49 CFR 382.401 et seq.; GC§§12946, 60201, 49 CFR 653.71 et seq. Human EEO-4 Reports and records required to Resources 0730 13 generate report 3 years Mag, Ppr 29 CFR 1602.30 Department preference to be consistent Employee Benefit Policies/Insurance Policy with District-wide standards; EEOC/ Human Files (Benefits: Health, Eye, Dental, Life Mag, Mfr, ADEA(Age) requires 1 year after benefit Resources 0731 13 Insurance, Long Term Disability, State 7 years OD, Ppr S No plan termination; Federal law requires 6 Disability, Unemployment Insurance, etc) years after filing date; State Law requires Includes Policies&Handbook 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 1027; GC §§12946, 60201 Finance/ Copies- Payroll When No 0732 13 Employee Compensation/Salary Charts Longer Mag, Ppr GC§60201(d)(12) oo�t4„rAoS Required-7- yews Employee Development-Service Awards Copies- Lead Dept. 0030 13 Commendations, District Tours, Certificates for When No Mag, Ppr Copies; GC§60200 District Programs Longer Required Human 0733 13 Job Descriptions/Specifications 3 years Mag, Mfr, S Yes:After Department Preference; GC §60201 Resources OD, Ppr Superseded Updated: 03/01/2012 HR-Page 2 of 6 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. HUMAN RESOURCES (13) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Department preference;All State and Human Mag, Mfr, Federal laws require retention until final Resources 0735 13 Labor Relations-Grievances P OD, Ppr S/I No disposition of formal complaint; State requires 2 years after action is taken; GC §§12946, 62021 Labor Relations-Negotiations Human 0736 13 P Mag, Ppr Department preference; GC§60201 Resources [Includes classification and compensation studies related to negotiations] Human 0734 13 Labor Relations-Sexual Harassment, etc. 3 years Mag, Ppr 29 CFR 1602.30 Resources Litigation & Lawsuits/Claims-Employment Department Preference; Calif. Labor Practices (EPL)Claims (Employment Liability Division is required to keep their OSHA Human Files) Separation Mag, Mfr, Yes:After records 7 years; EEOC/FLSA/ADEA Resources 0959 13 + 15 Years OD, Ppr S Separation (Age) requires 3 years for promotion, (Forward Pollution Control Worker Records to demotion, transfer, selection, or Human Resources) discharge; State Law requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204 Department Preference; Statute of Litigation & Lawsuits-Retirement, Benefits or Yes: After Limitations for most contracts is 4 years; Human 0977 13 Employment Related P Mag, Mfr, S/M/I Final wrongful death for construction is Resources (Paulson and Walden) Disposition OD, Ppr completion + 5 years; CCP §§337 et seq.; GC§§ 945, 60201 et seq.; PC §832.5 Human 0737 13 Long Term Disability(LTDs)-Statements 7 years Mag, Ppr GC§60201(d)(12) Resources Updated: 03/01/2012 HR-Page 3 of 6 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. HUMAN RESOURCES (13) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Secretary Memoranda of Understanding (MOUs)- Copies- Department Preference; Statute of of Employee Groups, Legal Services and When No Mag, Mfr, Yes:After Limitations: Contracts&Spec's+4 years' the 0738 13 Executive Management(See Record Series Longer OD, Ppr Inactive CCP §§336(a), 337 et seq, GC§60201 et District S 0006) Required seq Department preference; D.O.T. Requires 5 years for positive tests, refusals, annual summaries, etc, 1 year for negative tests; Human 0746 13 NeoGov Database-Recruitment Applications- Indefinite Mag, Mfr, S EEOC/FLSA/ADEA(Age) requires 3 Resources Solicited (Established in 2009) OD, Ppr 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. Human 0739 13 Organization Charts P Mag, Mfr, S Yes:After GC§60201 et seq. Resources OD, Ppr Separation Personnel File-Retiree Files (Includes Application,Awards, DMV Reports- (new hire print out only), Disciplinary Actions, Department Preference; retirement Certifications, Commendations, Employment benefits is 6 years from last action; EEOC/FLSA/ADEA(Age) requires3 Verifications, Evaluations, 1-9s, Licenses, Human Separation Mag, Mfr, Yes:After years for promotion, demotion, transfer, 0744 13 Personnel Action Forms, Policy S Resources + 50 years OD, Ppr Separation selection, or discharge; State Law acknowledgements, etc.; Long Term Disability requires 2-3 years; 29 CFR 1602.31 & (LTDs) Drug and Alcohol Testing/D.O.T files 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., (ALL Files-Random, Post-Accident& GC§§12946, 60201-129 USC 1113 Reasonable Suspicion Tests, refusals, annual summaries etc.)-Excludes Medical Records Updated: 03/01/2012 HR-Page 4 of 6 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. HUMAN RESOURCES (13) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Personnel Files -Official Personnel Files (Voluntary Resignation or Termination) (Includes Application,Awards, DMV Reports Department preference; D.O.T. Requires (New hire print out only), Disciplinary Actions for 1 5 years for positive tests, refusals, annual Active Employees, Medical Certifications, summaries, etc, 1 year for negative tests; Human 0740 13 Commendations, Employment Verifications, Separation Mag, Mfr, S Yes:After EEOC/FLSA/ADEA(Age) requires 3 Resources Evaluations, 1-9s, Licenses, Personnel Action + 7 years OD, Ppr Separation years physical examinations; State Law Forms, Policy acknowledgements, etc.; Long requires 2 years; 29 CFR 1627.3(b)(v), 49 Term Disability(LTDs)) CFR 382.401 et seq.; GC§§12946, Operator Certifications are copies, Plant 60201, 49 CFR 653.71 et seq. Operations Department holds original until replaced Personnel Files-Medical (Includes pre-employment physicals, hazmat exposure records, pulmonary tests, vanpool driver Class B medicals, and backgrounds& Files maintained separately; Claims can Human 0741 13 fingerprint clearances) Includes Pollution Separation Mag, Mfr, S Yes: When be made for 30 years for toxic substance Resources Control Workers + 30 years OD, Ppr Inactive exposure; 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 (Includes Drug and Alcohol Testing/D.O.T files (ALL Files-Random, Post-Accident& Reasonable Suspicion Tests, refusals, annual summaries, etc. Human 0742 13 Personnel Files-Medical for temporary 2 years Ppr Department Preference; GC §§12946, Resources employee files 34090 Updated: 03/01/2012 HR-Page 5 of 6 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. HUMAN RESOURCES (13) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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 erformed by file folder. Litigation, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Personnel Files/Applications for Employment for Summer Students, Co-Op Students, Department preference; D.O.T. Requires Temporary Employees 5 years for positive tests, refusals, annual summaries, etc, 1 year for negative tests; Human 0745 13 (Includes Application, DMV Reports (New hire 7 years Mag, Ppr EEOC/FLSA/ADEA(Age) requires 3 Resources printout only), Disciplinary Actions, Medical years physical examinations; State Law Certifications, Employment Verifications, 1-9s, requires 2 years; 29 CFR 1627.3(b)(v), 49 Licenses, Personnel Action Forms, Policy CFR 382.401 et seq.; GC§§12946, acknowledgements, etc.; Long Term Disability 60201, 49 CFR 653.71 et seq. LTD Department preference; EEOC/FLSA/ Superseded ADEA(Age)statue of limitations is 1-3 Recruitment Files/Applications for + 3 years years; State Law requires 2 years; Employment: Solicited: Brochure, `^I"�^'^ Reports& Data used to compile EEO Human 0743 13 advertisement, unsuccessful applications (with F Mag, Ppr reports are required for 3 years; 29 CFR Resources or without interviews), selection materials, fid— 1602 et seq & 1627.3(a)(5)and (6), 2 interview notes, results, etc. ""0^ .^, CCR 7287 et seq., 8 CCR§11040.7(c), yews GC§§12946, 60201, 49 CFR 653.71 et seq. Department preference; EEOC/FLSA/ ADEA(Age)statue of limitations is 1-3 years; State Law requires 2 years; Human Recruitment Files/Applications for Reports& Data used to compile EEO Resources 0747 13 Employment: Personnel Advancement Exams 10 years Mag, Ppr reports are required for 3 years; 29 CFR and Lateral Transfers 1602 et seq & 1627.3(a)(5)and (6), 2 CCR 7287 et seq., 8 CCR§11040.7(c), GC§§12946, 60201, 49 CFR 653.71 et seg. Updated: 03/01/2012 HR-Page 6 of 6 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. INFORMATION TECHNOLOGY (14) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Considered a copy and can be destroyed IT 0776 14 Backup Tapes- DAILY-AS 400 6 months Yes Mag when no longer required; retention based on administrative value; recycle tapes; GC§60200 et seq. Considered a copy and can be destroyed IT 0777 14 Backup Tapes- DAILY-Windows 4 weeks Yes Mag when no longer required; retention based on administrative value; recycle tapes; GC§60200 et seq. Store off-site in commercial storage for disaster recovery; Considered a copy and IT 0778 14 Backup Tapes- WEEKLY-AS 400 6 months Yes Mag can be destroyed when no longer required; retention based on administrative value; recycle tapes; GC §60200 et seq. Store off-site in commercial storage for disaster recovery; Considered a copy and IT 0779 14 Backup Tapes- WEEKLY-Windows 8 weeks Yes Mag can be destroyed when no longer required; retention based on administrative value; recycle tapes; GC §60200 et seq. Store off-site in commercial storage for disaster recovery; Considered a copy and IT 0780 14 Backup Tapes-MONTHLY-AS 400 6 months Yes Mag can be destroyed when no longer required; retention based on administrative value; recycle tapes; GC 60200 et seg. Updated: 03/01/2012 IT-Page 1 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. INFORMATION TECHNOLOGY (14) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Store off-site in commercial storage for disaster recovery; Considered a copy and IT 0781 14 Backup Tapes-MONTHLY-Windows 2 months Yes Mag can be destroyed when no longer required; retention based on administrative value; recycle tapes; GC §60200 et seq. Store off-site in commercial storage for disaster recovery; Considered a copy and IT 0782 14 Backup Tapes-QUARTERLY-AS 400 6 months Yes Mag can be destroyed when no longer (Financial Server) required; retention based on administrative value; recycle tapes; GC §60200 et seq. Follows Optical media must be stored in a safe & CD-R or DVD-R(images from Document Image retention for separate location; and should be Lead Dept. 0783 14 applicable Yes Mag Management System) record "refreshed" (copied onto new CD-Rs) series periodically; GC §60201 et seq. Department Preference (Preliminary Software Licenses/Software and Hardware When documents); the Lead Department should IT 0784 14 Manuals Superseded Mag, Ppr print out historical documents prior to or Replaced replacing the data; GC §60200, 60201 et seq. Updated: 03/01/2012 IT-Page 2 of 2 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). ADMINISTRATION/PLANT OPERATIONS 15 Accounts Payable Source Records (includes May contain independent contractor's Check Copies, (Contra Costa County handles Copies- compensation, expense reimbursement, Finance/ or District credit card records; Meets Accounts 0002 15 check processing), Running Expense, Invoices, When No Mag, Ppr municipal government auditing standards; Payable Receipts, Travel Expense Reimbursements, Longer Sewage Sludge is required for 5 years; Petty Cash, Invoices and Back-up, Check Required Requests, Benefit Payment, Medical Billing Published articles show 3-7 years; 40 CFR 122.410)(2); WC Agendas&Agenda Packets-District Board, Copies- Secretary Subcommittees of the Board (e.g.Ad Hoc When No Mag, Mfr, of the 0004 15 Committees, District Committees- Budget& Longer Yes OD, Ppr S No copies; GC §60200 District Finance)(Includes Agenda Position Papers, Required Staff Presentations, etc.) Air Quality Correspondence with Regulatory When No Admin. Longer Agencies (includes Episode and Breakdown District preference; some correspondence / Plant 0810 15 correspondence) Required- Mag, Ppr from Regulatory Agencies need to be Operations Minimum retained for long periods of time; GC (Pre 2010 Engineering OFR, Post 2010 POD 10 years §60201 OFR Admin./ Air Quality Permit-Operations (Including Title Plant 0811 15 V, BAAQMD, Fees, Permit Applications, P Mag, Mfr, S/I Yes: After 1 Department preference; GC§60201; Operations Episode Plan) OD, Ppr year Regulation 1-44T 2-6-501 Association Records (external associations- e.g.,ACSA, CASA, etc.) When No Lead Dept. 0010 15 Longer Mag, Ppr Non-records; GC§60201 et seq. [Legislative Updates, Special Solid Waste Required Reports, Newsletters Updated: 03/01/2012 POD-Page 1 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Bank Reconciliation &Statements (Transaction Copies- Department Preference; Meets municipal Finance/ Statements, Wire Transfers, Deposits, When No Mag, Mfr, Yes: After 1 government auditing standards; Published Accounts 0621 15 Treasury Statements, Trustee& Investment S/I Payable Statements, Tuition Reimbursement, Employee Longer OD, Ppr year articles show 3-7 years; GC§60201, 26 Membership, Outside Organization Fees, etc.) Required CFR 1.6001-1 Budgets: Development, Supporting Copies- Finance/ 0017 15 Workpapers, Back-up, etc. (CCB), 10-Year When No Mag, Ppr Department Preference; GC §60200 Admin. Plan Longer Required Monitoring and Maintenance records are Admin./ required on site for 3 years, 6'/2 years for Plant 0359 15 Cathodic Protection Maintenance Records 7 years Mag, Ppr S/I cathodic protection maintenance, 5 years Operations for calibration & maintenance of release detection systems; 23 CCR 2712(b); H&S §25284.2(1) When No Finance/ Mag, Mfr, Yes: After 1 Admin. 0812 15 Chemical Usage Reports/Bills of Lading Longer OD, Ppr S/I year Attached to invoices; GC §60201 Required Admin./ Cogeneration and Generator Operation Logs Department preference (2 years is Plant 0813 15 (for fixed/stationary generators) 10 years Mag, Ppr required by AQMD); GC §60201 Operations Committees or Task Forces: Internal (e.g. Lead Dept. 0021 15 Records Management Committee, 2 years Mag, Ppr GC§60201 Communications Committee, Green Team, Department Director, etc. Committees, Task Forces,Associations, When No Lead Dept. 0022 15 Commissions, &Boards: External Longer Mag, Ppr Non-records Organizations (e.g.Association of California Required Sanitation Agencies, etc. Updated: 03/01/2012 POD-Page 2 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Lead Dept. 0352 15 Confined Space Entries 3 years Mag, OD, Pp S/I Yes (after 2 Code of Federal Regulations requires 3 years) years; 40 CFR 122.410)(2) Copies- 0023 15 Copies or duplicates of any record When No Mag Ppr GC§60200 Longer Required Correspondence- Routine (e .g. Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT Lead Dept. 0027 15 include Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on (e.g. calendars,working files, checklists, e-mail When No business are saved outside the e-mail Lead Dept. 0028 15 that does not have a material impact on the Longer Mag, Ppr system; If not mentioned here, consult the conduct of business, computer sign-ups, logs, Required District Counsel to determine if a record is mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails etc. Updated: 03/01/2012 POD-Page 3 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Department preference; Statute of Limitations for public official misconduct is Admin./ Customer Issues and Concerns (Only those discovery of offense +4 years ; State and Plant 0814 15 related to the Treatment Plant. See 10 years Mag, Ppr Fed laws is until final disposition of formal Operations Collections) complaint; State requires 2 years after action; EVC § 1045, GC §§12946, 60201; PC§§801.5, 803(c),VC §2547 9a4 i s i Diaries i i abepa+„r„Leg Peeks, Dl n# �1- 4-5 \n epksheets o+.. yeaFs QD' Pp &�4 40 Q_PD 702.19-4 —(Plant Operati ons Rennrds-Qn4y� Daily Logs/Diaries/Plant Operations Admin./ Checklists/Reports/Round sheets/Check Department preference (EPA can go back Plant 0815 15 sheets/Shift Supervisors Logs/Operator Logs P Mag, Ppr 7 years); 40 CFR 122.410)(2); 40 CFR Operations /Laboratory Log Books, Corrective Action 792.195 and LAB Logs, Chain of Custody, Worksheets, Plant Operations Only) Updated: 03/01/2012 POD-Page 4 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Admin./ When Plant 0816 15 Elevator Inspections/Certificates Superseded Ppr GC§60201 et seq. Operations Engineering Project Files/ lAhv h Files CIP (7- YEAR Capital Improvement Project) Files: Advertising, Bid Documents, Certified Payroll Records, Claims, Confined Space Entries, For disaster preparedness purposes; GC Construction Photos (Pre 2010 are §60201 et seq.; Final environmental determinations are required to be kept a Permanent), Contract Negotiations, Correction Notices, Design Level Cost Estimates and "reasonable period of time"; 14 CCR Mag, Mfr, §15095(c); GC §60201 et seq. ENG 0506 15 Billing, Draft Reports (excluding EIR), 7 years S Yes: 1 year Equipment Lists, Field Memoranda, Invoices, OD, Ppr Final environmental determinations are Labor Compliance, Logs, Position Papers, Pre- required to be kept a "reasonable period Design Plans (50 or 95% Plans), Prequalification, Project Administration, Project of time"; 14 CCR§15095(c); GC §60201 Schedule, Public Hearings, Real Estate et seq. Appraisals—not purchased, Review Comments, Training Schedules, Trip Reports, Workshop, etc. Engineering Project Files/ k4hv h Fit'c�srII CIP Lead Dept. 0818 15 (Capital Improvement Project)Files: 5 years S Yes: 1 year Mag, Mfr, For disaster preparedness purposes; GC Record Drawings Mark-ups, Working Maps, pre OD, Ppr §60201 et seq. "As Builts" maps Updated: 03/01/2012 POD-Page 5 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Fa Rginee riRg Preieet Piles / IA h Ciloc /(`ID /(`ani+al lmnrevement Drnion+\ Pile c• Drnion+ Arlministra+inn AGIV81406inry (`enfinerl Cnaee Cn+riec (`eo+ef(`eno+rain+inn Inoiiranee Q814ifiea+ec ober(`emnlianee I n � I C+a+i i+o of I imi+a+inns for wri++one n+roe+c Perfermanee Qenrlo/Ciirety, Preieet Ceeiirit� o i it years- from the date of hreaeh� filet Preieet Ceherliilec Deal Cc+a+o fe � nrl nGRS c 10 y � [Death Appraisals Right of VVa�i � Releases, rli irinry a nc+n ie+inn is 1 n� � (`(`D Aeeiiioi+inn Aryreem n+c Temnerani (`eno+nie+inn Casein n+c a+eAd ' ' ' ' (`en+ranter hoc re+on+inn r n+c i Cnyirenmen+al De ei4s CIRs Negative Lead Dept- 98-17 4-5 DeGlaratiGRS- � P_ � g ves: 'I-yea r Conal o n+al rle+ermines+ieno Arp CneeifieatiGRS RPIIsRP12s (`hanee (lrrlero n nrenme �1'�' �'^�"���a�'T rerl +e he Len+a able n erl (`nnc�+n ie+ie Dhe+e�`e�rrre GRGG, `Ie ()oot/Aeeen+anee Cield lnonee+inn Dever+c MAtprialo Teotine DenerFc Di"S of et seg. Ciihc+i+ii+inns Cnvirenm n+al fleeiimen+c Per disaster n rerineoo n � QC; (` Ale+iee of emnle+inn a+eni Aeene�i Dego §60201 et seg. Apprevais, Right of VVa" Chen DrawineS Ceil� RePG146, 9+n1.,.+11ml ( aleiila+ie 961F"GF6 Temnemry Cnerea Ahmen+De rmits Permanent €Phm�+rDGrm++? Ciihmi++alr� f pawiRgS AS Builts Cinalc Materials Submittals,o SAN1112c 9VVPPDD et_S Updated: 03/01/2012 POD -Page 6 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Engineering Project Files/ 'Gb-P4- �CIP (PERMANENT Capital Improvement Project- INFRASTRUCTURE) Files: Contracts and Related Correspondence, For disaster preparedness purposes; GC Insurance Certificates, Performance §60201 et seq.; Final environmental Bonds/Surety, Meeting Notes, Real Estate determinations are required to be kept a Appraisals-Purchased, Releases, Right of "reasonable period of time"; 14 CCR Way,Acquisition Agreements, Temporary §15095(c); GC §60201 et seq. Construction Easements, etc. and Environmental Reports, EIRs, Negative Statute of Limitations for written contracts Declarations, etc. are four years from the date of breach; ENG 0817 15 P Mag, Mfr, S Yes: 1 year errors and omissions is 10 years; Death Design Drawings, Specifications, Change OD, Ppr during construction is 10 years; CCP Orders, Correspondence, Close- §§337., 337.1(a), 337.15 GC §60200, Out/Acceptance, Daily Work Verification Contractor has retention requirements in Reports, Field Inspection Reports, Materials 48 CFR 4.703 Testing Reports, Bills of Material/Substitutions Environmental Documents, Notice of Final environmental determinations are Completion, Regulatory Agency Approvals, required to be kept a "reasonable period Right of Way, Shop Drawings, Soils Reports, of time"; 14 CCR§15095(c); GC §60201 Specifications, Calculations, Surveys, TV et seq. Reports, Temporary Encroachment Permits, Permanent Encroachment Permits, Submittals- Record Drawings As-Builts, Finals, Materials Submittals, SAMPs, SWPPP, etc. Admin./ General Plant Operations Files: Plant 0648 15 7 years Mag, Ppr Department Preference; GC §60200 Operations Updated: 03/01/2012 POD-Page 7 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Mag, OD, Yes (after 2 Code of Federal Regulations requires 3 Lead Dept. 0356 15 Hot Work Permits 3 years Ppr S/I years) years for confined space entries; 40 CFR 122.410)(2) Inspections District preference; Fire system/backflow Household testing is required for 2 years; UFC§10-2- Hazardous 0483 15 Daily, Weekly, Community, Fire Alarm, Safety, 3 years Mag, Ppr 5.7; UPC§603.3.3; GC §60201; Waste Fire Extinguisher, Insurance for Facility Hazardous Materials Inspections Liability, etc. CCR67450.3, HSC 25200.3 and 25201.5 Investigations: Incidents, Unusual Safety/ Mag, Mfr, Yes (after Risk Mgmt. 0963 15 Occurrences or Near Misses (Not toxic 2 years OD, Ppr S inactive) Department preference; GC§60200 substance exposures) Manuals-Operation and Maintenance O&M for Upon Lead Dept. 0805 15 various equipment Disposal of Mag, Ppr GC§60201 Equipment Admin./ Department preference; 3 years is Monthly Maintenance Reports/Production/ Mag, Mfr, Yes: After 1 Plant 0819 15 Work Status Reports 3 years OD, Ppr S/I year required for spill reports; 40 CFR Operations 122.410)(2) Admin./ Monthly Operating Reports, Select Plant Plant 0820 15 Operations Department Monthly and Annual 50 Years Mag, Ppr Department Preference; GC §60201 Operations Reports [Forwarded to the General Manager] Statute of Limitations for written contracts are four years from the date of breach; Notices of Completion Mag, Mfr, errors and omissions is 10 years; Death Lead Dept. 0509 15 (When filed separate from project files or P Ppr S Yes: 1 year during construction is 10 years; CCP contract) OD, §§337., 337.1(a), 337.15 GC §60200, GC §60201(d)(8); Contractor has retention requirements in 48 CFR 4.703 Updated: 03/01/2012 POD-Page 8 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Admin./ Department preference; Permits are for 5 NPElimination (National Pollutant Discharge Mag, Mfr, Yes: After 1 Plant 0821 15 Elimination System) Permits P OD, Ppr S/I year Years; Monitoring records required for 3 Operations years; 40 CFR§§122.21, 122.41 Admin./ Operator's Certifications Superseded Department preference; consistent with Plant 0822 15 (Copies maintained in Human Resources or Mag, Mfr, S/I Yes: 5 requirements for NPDES monitoring Operations Personnel File) Separation OD, Ppr years records (3 years); GC §60201 + 3 years Safety/ R sok Mgmt Parking Permits Superseded 0823 15 (Parking authority at Plant Site)Original Mag, Ppr GC§60201 Dl�nt forwarded to Safety and Risk Management GperatiGR6 Admin./ Permits (Various Operating Permits) Mag, Mfr, Yes: After 1 Plant 0047 15 [i.e. Boilers, Pressure Vessels, Cranes, etc.) P OD, Ppr S/I year Department preference; GC§60201 Operations Regulatory Agencies-Correspondence, Department preference; Some Audits, and Reports-Title V(i.e. Green House correspondence from Regulatory Lead Dept. 0807 15 Gases-GHG, Emission Inventories, Regional P Mag, Ppr Agencies need to be retained for long Water Quality Control Board RWQCB, periods of time; 40 CFR 792.195; GC Regional Control Board RCB, DHS, EIAP §60201. All Title V Records have minimum 5 year retention Admin./ Regulatory Signature Authority Department Preference; 40 CFR 792.195; Plant 0824 15 (Laboratory Reports and Designated Chief P Mag Ppr GC§60201 Operations Operator) Reports and Studies (Historically Significant Administratively and Historically e.g., Zoning Studies, plans, environmental Mag, Mfr, Yes: After significant, therefore retained Lead Dept 0015 15 reports, overflow, sanitary sewer, etc.) P OD, Ppr S/I 10 years permanently; GC§34090, maintained Generally prepared by the District for District independent of project files Updated: 03/01/2012 POD-Page 9 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Admin./ Department preference; Clean Water Act Plant 0825 15 Reports: Biosolids (503 and NPDES)and Spill 10 years Mag, Mfr, S/I Yes: After 1 Lawsuits can go back 5 years; Spill Operations Reports-Annual OD, Ppr year reports have the potential to be involved with Clean Water Act actions; GC §60201 Reports: Monitoring, Samples, Studies& Testing (Annual/monthly/daily: Calibration, compliance, flow data, meter readings, Admin./ maintenance, odor complaints&surveys, tests, Department Preference to be consistent Plant 0826 15 totalizer sheets, strip chart recordings-folding, 5 years Mag, Mfr, S/I Yes: After 1 with sewage sludge and billing auditing Operations roll, etc.) OD, Ppr year standards; 40 CFR 122.410)(2); WC Customer Issues and Concerns (Only those §13263.2(b)et seq related to the Treatment Plant); Odor Monitoring Data, Incinerator Capacity Sheets (Daily) Department Preference; Calif. Labor Safety Committee Meetings/Reports Copies- Division is required to keep their records 7 Safety/ 0970 15 [Accident vehicle reports, agendas, minutes, When No MagPpr years; OSHA requires 5 years; State law Risk Mgmt. calendars, meeting related materials] Safety Longer ' p requires 2 years; 8 CCR 14300.33(a); 29 Suggestion Program Required CFR 1904.33, 29 CFR 1904.44; GC §60201 et seq.; LC §6429c Admin./ SCADA Backup Tapes Considered a copy and can be destroyed Plant Less Than when no longer required; retention based Operations 0361 15 30 Days Yes Mag on administrative value; recycle tapes; GC or CSO (Pumping Station Tapes) §60200 et seq. Admin./ Plant SCADA: Supervisory Control and Data Mag, Mfr, Data is interrelated; system qualifies as a Operations 0362 15 Acquisition Database Indefinite OD, Ppr "trusted system"; GC §§60201, 12168.7 or CSO Updated: 03/01/2012 POD-Page 10 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Solids Handling-Regulatory Compliance Department Preference (copies- Admin./ manifests are attached to invoices); Plant 0474 15 (Applies to Environmental Services, Planning 5 years Mag, Ppr Sewage Sludge is required for 5 years; 40 Operations and Plant Operations Department) CFR 122.410)(2); WC §13263.2(b)et seq.; GC §60201 Admin./ When No Plant 0475 15 Solids Handling-Rule Development Longer Mag, Ppr GC§60201 Operations Regulatory Compliance Required Admin./ Standard Operating Procedures (SOP)-Plant Mag, Mfr, Yes: After Plant 0827 15 Information System Indefinite OD, Ppr S/I Superseded Department Preference; GC §60201 Operations Admin./ Standard Operating Procedures (SOP)- Superseded Mag, Mfr, Yes: After 1 Department Preference; 40 CFR Plant 0828 15 Process Control Documents + 5 years OD, Ppr S/I year 122.410)(2); WC §13263.2(b)et seq Operations Department preference; EEOC/FLSA/ ADEA(Age)statue of limitations is 1-3 years; 29 CFR 1602 et seq & 1627.3(a)(5) Admin./ and (6), 2 CCR 7287 et seq., 8 CCR Plant 0829 15 Tailgate Sign In Sheets: Paper-INFORMATION Entered in Database Indefinite Mag Ppr §11040.7(c); Statewide guidelines Operations propose 7 years; Calif. Labor Division is required to keep their OSHA records 7 years; 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 NPDES Permits require work schedules Admin./ be retained for 5 years; EEOC's basic Task Assignments/Work Schedules for Mag, Mfr, S/I Yes: After 1 requirement is 1 year after action; Bureau Plant 0364 15 Operators 5 years OD, Ppr year of National Affairs recommends 2 years Operations for work schedules; 29 CFR 516.6(1), 29 CFR 1602.14, GC§ 60201 Updated: 03/01/2012 POD-Page 11 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Admin./ When No Plant 0070 15 Timesheets Longer Mag, Ppr Department Preference to meet auditing standards; GC§60201 et seq. Operations Required District preference (the department that Training -ALL COURSE RECORDS: conducts the class maintains the records; ESSENTIAL Training Attended by District individuals retain certificates if issued; Employees Statewide guidelines propose 7 years; Calif. Labor Division is required to keep Lead Dept. 0073 15 (Attendance Rosters, Outlines and Materials; 7 years Mag, Mfr, S Yes: When their OSHA records 7 years; OD, Ppr Inactive EEOC/FLSA/ADEA(Age) requires 3 years includes SEMS, NIMS, Incident Action Plans for promotion, demotion, transfer, (IAP),After Action Reports (AAR), Preparedness Training, Confined Space, Driver selection, or discharge; State Law Safety,ADA, etc.)-including training videos requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 34090 Admin./ Trend Plots (prepared with software)-Process Department preference to be consistent Plant 0830 15 Parameters 5 years Mag, Ppr with other records; 40 CFR 122.410)(2) Operations Vehicle &Equipment-Maintenance for 1 year from CSO 0831 15 Licensed Motorized Vehicles (Operations sale Mag, Ppr District Preference; GC§160201 Admin./ Vehicle &Equipment-Maintenance for Un- 1 year from Plant 0832 15 Licensed Motorized Vehicles (Operations sale Mag, Ppr District Preference; GC§160201 Operations Only) Admin./ Violations-Unauthorized Discharges Mag, Mfr, Yes: 5 Department preference; NPDES records Plant 0833 15 (Reportable Compliance Activity(RCA)and 10 years Ppr S/I are required for 3 years; 40 CFR Operations Notices of Violations (NOV's)) OD, years 122.410)(2) Work Orders/Service Requests/Corrective Lead Dept. 0368 15 Action Requests: CMMS Database Indefinite Mag Data is interrelated; GC §60201 (Computerized Maintenance Management System) Updated: 03/01/2012 POD-Page 12 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Work Orders/Service Requests/Corrective Action Requests: Paper-ENTIRE Considered a preliminary draft/source Lead Dept. 0369 15 INFORMATION Entered in CMMS (Division 3 years Mag Ppr record (the database is the original); GC providing service retains originals; Division §60201, GC§6252 requestinq service is considered a co Work Orders/Service Requests/Corrective District preference; (if a FEMA- Action Requests: Paper-PARTIAL OR NOT reimbursable event, the time tickets are Lead Dept. 0370 15 Entered in CMMS (Division providing service 3 years Mag Ppr attached to the FEMA claim); CCP§§338 retains originals; Division requesting service is et seq., 340 et seq., 342, GC§§945.6, GC considered a co §60201 Updated: 03/01/2012 POD-Page 13 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investigations suspend normal retention periods retention begins after settlement or completion). LABORATORY 16 Agreements &Contracts- INFRASTRUCTURE-Architectural, Engineering, JPAs, MOUS and MOAs. Agreement or Contract, Correspondence, & Lead Dept. Notices of Completion. Agreement or Contract Except includes all contractual obligations (e.g. RFP, Department Preference;All infrastructure, Professnl Specifications, Successful Proposal/Scope of JPAs, &Mutual Aid contracts are Work, Certificates of Insurance, and Services; Mag, Mfr, Yes: After permanent for emergency preparedness; 0005 16 amendments) [except Concord MOU and P S Purchasing Employee MOUS] [See Record Series 0006 for OD, Ppr Inactive Statute of Limitations is 4 years; 10 years -Except for Errors &Omissions; CCP§§337. Const. Employee MOUS] 337.1(a), 337.15, 343; GC§60201 et seq. Contracts Examples of Infrastructure: Architects, Treatment Plants, Lines, Buildings, Design, Construction, Environmental, Sewer, Utilities, Pumping Stations, Studies for Repairs of Sewers, Local Agency Formation Commission LAFCo , etc. Updated: 03/01/2012 POD -Page 14 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Agreements &Contracts- NON INFRASTRUCTURE-Equipment Purchases, Consulting Services, Leases,Vehicle Purchases, etc. Lead Dept. I I Department Preference; Covers E&O Except Agreement or Contract, Correspondence& Statute of Limitations; Published Audit Professnl Purchase Orders. Agreement or Contract Standards=4-7 years; Statute of Mag, Mfr, Yes: After Services includes all contractual obligations (e.g. RFP, Limitations: Contracts&Spec's=4 years, Purchasing 0006 16 Specifications, Successful Proposal/Scope of 10 years OD, Ppr S Inactive Wrongful Death=comp. +5 years, -Except Work, Certificate of Insurance, and Developers=comp. + 10 years; Statewide Const. amendments) guidelines propose termination +5 years; Contracts CCP §§336(a), 337 et. seq., GC§60201 Examples of Non-Infrastructure: Consultants, et seq. PaiRtiRg MaiRteRa Ge Franchise Agreements, Professional Services, License Agreements, Employee Group MOUS, Legal Services and Executive Management, etc. Agreements&Contracts-Maintenance Department Preference; E&O does not Purchasing (Leases, Plant& Equipment, Telephone, apply; Published Audit Standards=4-7 -Except 0008 16 Painting, Custodial, Software &Renewed5 years Mag, Mfr, S Yes: After years; Statute of Limitations: Contracts & Const. Annually) OD, Ppr Inactive Spec's=4 years; Statewide guidelines Contracts [May have Purchase Orders associated with propose termination +5 years; CCP some of the contracts] §§336(a), 337 et. seq., GC§60201 et seq. Updated: 03/01/2012 POD-Page 15 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Department preference; EPA/Good Daily Logs/Diaries/Laboratory Log Books, Laboratory Practice Standards for studies Corrective Action Logs, Chain of Custody- relating to health effects, environmental Laboratory Laboratory Analysis, Worksheets, etc. I I effects, and chemical fate tests require 10 /Plant 0801 16 (Organics, metals, Cyanide Analysis, Sulfide 15 years Mag, Mfr, S/I Yes: 5 years for Lab records, raw data, master years schedule sheets, protocols, quality Operations Analysis, DO Profiles, TSS, TS, BOD, etc.) OD, Ppr assurance inspections, training, (Laboratory Records Only) experience,job descriptions, maintenance and calibration records and reports; 40 CFR 792.195 EPA/Good Laboratory Practice Equipment Calibration Standards for studies relating to health effects, environmental effects, and Laboratory chemical fate tests require 10 years for /Plant 0802 16 (raw data, master schedule sheets, protocols, 10 years Mag, Mfr, S/I Yes: After Lab records, raw data, master schedule quality assurance inspections, training, OD, Ppr QC Operations experience,job descriptions, maintenance and sheets, protocols, quality assurance calibration records and reports) inspections, training, experience,job descriptions, maintenance and calibration records and reports; 40 CFR 792.195 Laboratory General Laboratory Files: /Plant 0648 16 (e.g. Quality Assurance and Quality Control 7 years Mag, Ppr Department Preference; GC§60200 Operations (QA QC)Files) Laboratory Laboratory Certification (Permit) Mag, Mfr, Yes: 5 District preference; GC§60201, 40 CFR /Plant 0803 16 (Agency certification to operate)-E-Lab 30 years OD, Ppr S/I years 792.195 Operations Certifications Updated: 03/01/2012 POD-Page 16 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Laboratory Information Management System Laboratory (LIMS) Database /Plant 0804 16 LabAdvantage will be discontinued in Indefinite Yes Mag Data is interrelated; GC §60201 Operations December 2016; PerkinElmer Labworks use initiated in January 2011 Laboratory Upon Manuals-Operation and Maintenance O&M for Mag, Mfr, /Plant 0805 16 various equipment Disposal of OD, Ppr S No Administrative value; GC§60201 Operations Equipment Material Safety Data Sheet(MSDS) The MSDS or a record of the chemical/ Laboratory Mag, Mfr, Yes (after substance/agent, where &when it was /Plant 0043 16 Copies maintained in Departments/Divisions 30 years OD, Ppr S inactive) used is required to be maintained for 30 Operations and available on OTIS] years;Applies to qualified employers; 8 CCR 3204(d)(1)(B)(2 and 3)GC§60200 EPA/Good Laboratory Practice Standards for studies relating to health effects, environmental effects, and Laboratory chemical fate tests require 10 years for /Plant 0806 16 Quality Control Reports-Self Monitoring 10 years Mag, Mfr, S/I Yes: 5 Lab records, raw data, master schedule Operations (Quarterly and Annual) OD, Ppr years sheets, protocols, quality assurance inspections, training, experience,job descriptions, maintenance and calibration records and reports; 40 CFR 792.195 Regulatory Agencies-Correspondence, Laboratory Audits and Reports-Title V (i.e. Green House Department Preference; 40 CFR 792.195; /Plant 0807 16 Gases-GHG, Emission Inventories, Regional P Mag, Ppr GC§60201 Operations Water Quality Control Board RWQCB, Regional Control Board RCB DHS EIAP Updated: 03/01/2012 POD-Page 17 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PLANT OPERATIONS DEPARTMENT (15), (16) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Laboratory Reports: NPDES (National Pollutant Discharge Elimination System) Monitoring Reports and 50 years Mag, Mfr, S/I Yes: 5 Department preference (originals are sent /Plant 0808 16 Process Control Reports OD, Ppr years to the Regional Board); GC§60200 Operations (Monthly and Annually) Laboratory Standard Operating Procedures (SOP)- /Plant 0809 16 Laboratory Testing Procedures/Chemical Superseded Mag, Mfr, S/I Yes: 5 District preference; GC §60201, 40 CFR Operations Hygiene Reports for Plant and all Laboratory + 5 year OD, Ppr years 792.195 related Updated: 03/01/2012 POD-Page 18 of 18 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PURCHASING MATERIALS SERVICES (17) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments/Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). A rnMi+en+ rnl Cngineering JIPAs, 11 Q s nn.! Agreement gr(`nn+ron+ (`grmognrlenne Lead rle nom+ no C_vng„ NetiAesMeRt Depal4Men+ Dreferenn �All infroc+gin+lire :'rnfo IS S.AR_IPAs Mutual girl n n+ron+c are r (e D= �L.'fiGatiGn? Ci�nne64�l Drnr.Aan� / Cer�;,�Qineo C � C�Q�F' r^�' oiirn ocin�gSGGVeMagMfF, �cfte P rrermon n+fnr em erg ny re rinecc 999a n , r , GD Dnr Ino +iyp Stat,i+e Af I imi+o+igno io �1 years� 10 years P.A.rl m P.A.+o �rPr Cvno��� g' l�'7 fgr Crrg rc R_ (lmiccinnc (`(`D f.f.ZZ7 �F re XGGpt(`gnngrrl MQ I and Cmpeyee nnnl q rhe+ lZZ� (a) 9c; et 689 €xamples--ef Ian,rafrastriirti-ire: AFGhite8GtS Treo+men+Dlon+c I i Qiiilrlingc D86ign PUMPinngg gtatiGR? Studies facer Deer Ce e+n Updated: 03/01/2012 PUR-Page 1 of 4 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PURCHASING MATERIALS SERVICES (17) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments/Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Agreemen+6 R. r-,,,,+ra..+�---hiahl INFDACTDI IGT- IDC Equipment DUrnhasec Gonsulting CeFVinec Leases,Vehinle Rte• hases `+� Depa4MGRt Prre#GFe+x��everg E� Lead nen+ T r C+a+ii+o of I imi+a+ieno� Diihlioherl Aiirl i+ Agreement er(`entrant R_ �nrl�a,rarrlq�7 y�rs� Stat tmer Dref�rccnl , (`ermonenrlenee Di irehase Qrders Agreement Ar Centrant Mag, I imi+a+ienc (`en+rae+c R_ Cnee'o-�1 Cen�;,�ieec �Af� Veq—Aftpr eliirlec all e n+ran+sial ehliga+ienc /o g DCD $ Q D' Pip \A/rengfiil nea+h-eemn - 5 years, D rer-aTm-rog.^� � r �N26 = FcAnqt \A GF'4, `84ifi�tG A-ffnSIH-aid@IHirlelinec n e term a+inn - 5 1 et seg. Examples of NAA Infrafrac+r. .ire: GGRsui+a.,+�_ Dai.t R9 NAai Rt-RaRGe Fra RGhgee AoreeMeRtG Rmfeevie.,al CerViGee a+.. Wena rFmen+ Drefe renee� CR_(1 rleec net Agreemen+c R_ (`en+ran+c A.42in+en..nne Lead nen+ r Diihlicherl Aiirl i+C+anrlarrlc-�1 7 z-c-ad Der'' (Leases, Dian+R_ Cgiiinmen+ Telenhene apply' Purehaoing � Statute of I imi+a+iens- Cen+ran+c R_ � �in+inn (`ii�rlial Cefhnia o R_ D��� Vec�rf+or �iearc —€Xse{�� 998 4� s � � I" +;,,e S#c=s's�^ ye2rs�+a+e�v,Qe-gu;Feli�s (`enc+ PFGPGSa +ermina+inn - 5 � r`r`D [May have Diirehace (lrrlerc a a+o rl vii+h §§J. 6/a\ 'Z 7 e+ c QC;7.60201 e+ AMP of+he a n+rae+cl Updated: 03/01/2012 PUR-Page 2 of 4 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PURCHASING MATERIALS SERVICES (17) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Agreements, Contracts &Purchase Orders— INFRASTRUCTURE Department Preference; Infrastructure (e.g.District Project contract such as replacing related contracts are permanent for fuel piping at pumping stations, Professional emergency preparedness; Statute of Purchasing 0904 17 Engineering Services Agreement for design of a P Mag, Ppr S/I Limitations is 4 years; 10 years for Errors construction project(Departments will communicate to Purchasing if professional &Omissions; CCP §§337. 337.1(a), services are Infrastructure), District Project 337.15, 343; GC§60201 et seq. Purchase Order such as a piece of equipment UPS Department Preference; Covers E&O Statute of Limitations; Published Audit Agreements, Contracts &Purchase Orders NON Standards=4-7 years; Statute of INFRASTRUCTURE Limitations: Contracts&Spec's=4 years, Purchasing 0903 17 10 Years Mag, Ppr S/I Wrongful Death=comp. +5 years, (e.g. contracts for maintenance, professional Developers=comp. + 10 years; Statewide consulting agreements-Financial Advisor, etc.) guidelines propose termination +5 years; CCP §§336(a), 337 et. seq., GC§60201 et seq. Bids, RFQs, RFPs-Successful or Unsuccessful Special Districts are required to keep Lead Dept. 0013 17 _Agreements&Contracts 5 years Mag, Ppr S/I public works unaccepted bids for 2 years; GC§60201(d)(1 1 Updated: 03/01/2012 PUR-Page 3 of 4 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. PURCHASING MATERIALS SERVICES (17) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begin after settlement or completion). Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the E-mails that have a material impact on ordinary course of business When No business are saved outside the e-mail General 0028 12 Longer Mag, Ppr system; If not mentioned here, consult the Manager (e.g.working files, calendars, checklists, e-mail Required District Counsel to determine if a record is that does not have a material impact on the considered transitory/preliminary drafts. conduct of business, computer sign-ups, logs, GC§§60201 et seq., 6252 mailing lists,C Purchasing Insurance ertificates (for Contracts,Vendors- Longest Statute of Limitations is 10 years; Except ;;nd DOMPMAt loc;..Qd QQrtifino+oma etc.) conforms with agreement/contract ODPpr Const. 0037 17 20 Years Mag, Mfr, S yes (after 2 retention; statewide guidelines propose Contracts- (OFR-Safety&Risk Management prior to , years) permanent; CCP§337 et seq. I GC Lead Dept. 1 12001; OFR-Purchasing post 2001] §34090 Purchasing 0901 17 Inventory(Supplies) 2 years Mag, Ppr Department Preference; GC §60201 et seq. Department Preference (May contain Purchase Orders/Requisitions/Bids and RFPs independent contractor's compensation or -Successful/Authorizations for ExpendituresMag, Mfr, Yes: After expense reimbursement); E&O does not Purchasing 0055 17 submitted by Lead Department] (Includes 5�years OD, Ppr S Inactive apply; Published Audit Standards=4-7 Vehicles &Equipment) years; Statute of Limitations: Contracts& Spec's=4 years; CCP§§336(a), 337 et. seq., GC§60201 et seq. Finance/ Receiving Reports-Packing Lists (attached to When No Accounts 0902 17 invoices) Longer Mag, Ppr Copies; GC§60200 Payable I I I j Required Updated: 03/01/2012 PUR-Page 4 of 4 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. SAFETY and RISK MANAGEMENT (18) All rights reserved. Do not duplicate of distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Accident, Damage, Incident, Event or Injury Safety/ Reports (All) These don't result in a claim (also see Risk 0001 18 5 years Ppr Claims, Workers Compensation & Security Incidents Report Los Lawsuits; GC §60201 Safety/ 0951 18 Actuarial Reports 10 years Mag, Ppr Department Preference;Actuaries use 10 Risk Mgmt years of data; GC§60201 et seq. May contain independent contractor's Safety/ Attorney Invoices/Bills (may include Mag, Mfr, Yes: After 1 compensation, expense reimbursement, 0952 18 10 years S/I or District credit card records; Meets Risk Mgmt. confidential information) OD, Ppr year municipal government auditing standards; GC§60201(d)(12) Department Preference; Calif. Labor Division is required to keep their records Safety/ 0953 18 Cal-OSHA Inspections &Citations, Log 200, 7 years Ppr 7 years; OSHA requires 5 years; State Risk Mgmt. 300, 301, 301A, etc. law requires 2 years; 8 CCR 14300.33(a); 29 CFR 1904.33, 29 CFR 1904.44; GC §60201 et seq.; LC §6429c Claims/Litigation & Lawsuits see Litigation Claims/Losses-Administrative-Third Party Safety/ 0954 18 Claims (Includes Sanitary Sewer Overflows 5 years Mag, Ppr Department Preference; GC §60201 et Risk Mgmt. (Except�gaed Personnel/Employment seq. Practices) Safety/ 0955 18 Claims/Losses Indefinite-12 MagPpr Department Preference; GC §60201 et Risk Mgmt. (Plumbing Reimhursements an Database) ' p seq. Updated: 03/01/2012 SRM-Page 1 of 7 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. SAFETY and RISK MANAGEMENT (18) All rights reserved. Do not duplicate of distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments/Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead Dept. 0027 18 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on business are saved outside the e-mail (e.g. calendars,working files, checklists, e-mail When No system; If not mentioned here, consult Lead Dept. 0028 18 that does not have a material impact on the Longer Mag, Ppr the District Counsel to determine if a conduct of business, computer sign-ups, logs, Required record is considered transitory/ mailing lists, meeting room registrations, supply preliminary drafts. GC§§60201 et seq., inventories, transmittal letters,thank yous, 6252 requests from other cities, undeliverable envelopes, voice mails, etc. Superseded +2 years District preference (DMV record that the DMV Pull Notices/Printouts +^�h4,rte,-^s District considers a non-record used for Safety/ r reference); DMV audits every 2 years; 0956 18 Ma Risk Mgmt. g Ppr Bureau of National Affairs recommends 2 [Post Hire ��,,,Required—, yers for all supplementary Personnel records; GC §60201 yeamm Updated: 03/01/2012 SRM-Page 2 of 7 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. SAFETY and RISK MANAGEMENT (18) All rights reserved. Do not duplicate of distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Emergency Action Plans/Disaster Preparedness Manuals, Safety Directives, When No Emergency Programs, etc. Longer Safety/ Mag, Mfr, Yes: When Documents of historical significance Risk Mgmt. 0957 18 Emergency Exercises, Drills (Emergency Required- OD, Ppr S/I Superseded should be retained longer; GC §60201 Response Plans for Communications, Superseded Hazardous Materials Business Plans "HMBP", + 5-2 Environmental Programs, Operations Divisions) Employee Exposures and Testing Results Department Preference; Claims can be Safety/ Separation + Mag, Mfr, S Yes: When made for 30 years for toxic substance Mgmt.g [Hazardous Materials] monitoring y p p Risk M 0958 18 (Toxic Substance Exposures) 30 ears OD, Ppr Inactive exposure-, §3204(d)(1) q'' 8 CCRet se GC §§12946, 60201 District Preference: Meets auditing standards; Uniform Admin. Requirements for Grants to Local Governments is 3 Grants (Stage 5A-Water Reclamation Plant- years from expenditure report or final Safety/ All grant related documents, and litigation payment of grantee or subgrantee; 21 Risk Mgmt. 0075 18 support) P Mag, Ppr CFR 1403.36& 1403.42(b); 24 CFR 85.42, 91.105(h), 92.505, &570.502(b), 28 CFR 66.42-129 CFR 97.42-140 CFR 31.42;44 CFR 13.42; 45 CFR 92.42; OMB Circular A-133-1 GC §60201 Safety/ Mag, OD, Yes (after 2 Code of Federal Regulations requires 3 Risk Mgmt. 0356 18 Hot Work Permits 3 years Ppr S/I years) years for confined space entries; 40 CFR 122.41 2 Updated: 03/01/2012 SRM-Page 3 of 7 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. SAFETY and RISK MANAGEMENT (18) All rights reserved. Do not duplicate of distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Purchasing Insurance Certificates (for Contracts,Vendors- Longest Statute of Limitations is 10 Except and n,s+r,,.+ issuer) nor+ifino+oo etc.) years; conforms with agreement/contract ODPpr Const. 0037 18 20 Years Mag, Mfr, S yes (after 2 retention; statewide guidelines propose Contracts- (OFR-Safety&Risk Management prior to , years) permanent; CCP§337 et seq. GC Lead Dept. 2001; OFR-Purchasing post 2001] §34090 Safety/ 0960 18 Insurance Policies of District Liability P Mag, Ppr Department Preference GC§60201 Risk Mgmt. (Employment Practices Liability, Pollution) Safety/ 0961 18 Insurance Policies of District Property and 10 years Mag, Ppr Department Preference GC§60201 Risk Mgmt. Crime Safety/ Insurance Policies of District Risk Mgmt. 0962 18 Working papers, supporting documentation for 5 years Department Preference GC§60201 policies Safety/ Investigations: Incidents, Unusual Occurrences Mag, Mfr, Yes (after Risk Mgmt. 0963 18 or Near Misses (Not toxic substance exposures) 2 Years OD, Ppr S inactive) Department preference; GC§60200 Department Preference; Statute of Litigation & Lawsuits-Retirement, Benefits or Yes: After Limitations for most contracts is 4 years; Safety/ 0977 18 Employment Related P Mag, Mfr, S/M/I Final wrongful death for construction is Risk Mgmt. (Paulson and Walden) Disposition OD, Ppr completion + 5 years; CCP §§337 et seq.; GC §§ 945, 60201 et seq.; PC §832.5 Department Preference; Statute of Litigation & Lawsuits (except Employment Yes: After oersenno� Limitations for most contracts is 4 years; ;��„o� Safety/ Practices ) Disposition + Mag, Mfr, wrongful death for construction is Risk Mgmt. 0964 18 15 years OD, Ppr S/M/I Final completion + 5 years; CCP §§337 et e.g., Plumbing, Property,Vehicle Damage Disposition seq.; GC §§ 945, 60201 et seq.; PC 832.5 Updated: 03/01/2012 SRM-Page 4 of 7 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. SAFETY and RISK MANAGEMENT (18) All rights reserved. Do not duplicate of distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Department Preference; Calif. Labor Litigation & Lawsuits/Claims-Employment Division is required to keep their OSHA Practices(EPL)Claims (Employment Liability records 7 years; EEOC/FLSA/ADEA i PA -11 , r.,.,+r„i%ni„rkor_ 1 QRRMA Separation + Safety/ 0959 18 Files) i 15 years-7�- Mag, Mfr, S Yes:After (Age) requires 3 years for promotion, Risk Mgmt. OD, Ppr Separation demotion, transfer, selection, or (Forward Pollution Control Worker Records toS discharge; State Law requires 2-3 years; Human Resources) 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1) et seq., GC§§12946, 60201 Safety/ 0965 18 Logs:Visitor Logs(after hours), Daily Activity 2 years Mag, Ppr Department preference; GC§60201 et. Risk Mgmt. Reports, Key Logs, Security Logs/Sign-In Logs seq. Material Safety Data Sheet(MSDS) The MSDS or a record of the chemical/ Safety/ Mag, Mfr, Yes (after substance/agent, where &when it was Risk Mgmt. 0043 18 [Copies maintained in Departments/Divisions 30 years OD, Ppr S inactive) used is required to be maintained for 30 and available on OTIS] years;Applies to qualified employers; 8 CCR 3204(d)(1)(B)(2 and 3)GC§60200 Safety/ Parking Permits Risk Mgmt 0823 18 (Parking authority at Plant Site)Original Superseded Mag, Ppr GC§60201 forwarded to Safety and Risk Management Lead Dept. 0966 18 Pressure Vessel Inspections/Certificates When Ppr GC§60201 et seq. (Copies) Superseded Department Preference; Statute of Limitations for most contracts is 4 years; Safety/ 0967 18 Release of Claims for Damages P Ppr S wrongful death for construction is Risk Mgmt. completion + 5 years; CCP §§337 et seq.; GC §§ 945, 60201 et seq.; PC §832.5 Respiratory Tests/Fit Testing Department Preference; Claims can be Safety/ 0968 18 Superseded Mag, Mfr, S Yes: When made for 30 years for toxic substance Risk Mgmt. [Annual testing] +2 years OD, Ppr Inactive exposure; 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 Updated: 03/01/2012 SRM-Page 5 of 7 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. SAFETY and RISK MANAGEMENT (18) All rights reserved. Do not duplicate of distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Department Preference; OSHA requires 5 Safety/ 0969 18 Safety Audits & Inspections 5 years Ppr years; State law requires 2 years; 8 CCR Risk Mgmt. 14300.33(a); 29 CFR 1904.33, 29 CFR 1904.44; GC §60201 et seq.; LC§6429c Department Preference; Calif. Labor Safety Committee Meetings/Reports Division is required to keep their records Safety/ 0970 18 [Accident vehicle reports, agendas, minutes, 5 years Mag, Ppr 7 years; OSHA requires 5 years; State Risk Mgmt. calendars, meeting related materials] Safety law requires 2 years; 8 CCR 14300.33(a); Suggestion Program 29 CFR 1904.33, 29 CFR 1904.44; GC §60201 et seq.; LC §6429c Safety/ Safety Programs/Safety Regulations/Safety 5 Mag, Mfr, Yes: When Risk Mgmt. 0971 18 Directives years OD, Ppr S/I Superseded Department preference; GC§60201 Admin./ Self-Contained Breathing Apparatus(SCBA) Expiration of Certificate- Mag, Mfr, S Yes: After 1 Certificates are issued for 3-5 years; GC Plant 0972 18 [Original Certificate forwarded to Safety& Risk Minimum 2 OD, Ppr year §60201 et. seq. Operations Management] years Department Preference; Statute of Yes: After Limitations for most contracts is 4 years; Safety/ Settlement Agreements [Sewer Overflows/ Mag, Mfr, wrongful death for construction is Risk Mgmt. 0973 18 Property/Vehicle Damage] P S/M I Final OD, Ppr / Disposition completion + 5 years; CCP §§337 et seq.; GC §§ 945, 60201 et seq.; PC §832.5 Sewer Overflows/Property/Vehicle Damage Department Preference; Statute of Reports Yes: After Limitations for most contracts is 4 years; Safety/ Disposition + Mag, Mfr, wrongful death for construction is Risk Mgmt. 0974 18 5 years OD, Ppr S/M/I Final completion + 5 years; CCP §§337 et (OBSOLETE record series, record is part of Disposition seq.; GC §§ 945, 60201 et seq.; PC Claims/Losses-Administrative files) 832.5 Updated: 03/01/2012 SRM-Page 6 of 7 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE @2005 Gladwell Governmental Services, Inc. SAFETY and RISK MANAGEMENT (18) All rights reserved. Do not duplicate of distribute without prior written consent Office of Record Record Series Title Retention/Disposition Comments I Reference Record Series Image: Destroy (OFR) No. Div. Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, and/or investi ations suspend normal retention periods retention begins after settlement or completion). When Safety/ 0069 18 Tapes &Recordings (Audio, CD, DVD,Video, Superseded Tape (Mag), Copies; GC§60200 Risk Mgmt. VHS)Security Videos, etc. OR 90 days OD from event Training -ALL COURSE RECORDS: District- Sponsored Training that is Attended by District Preference for courses that are Lead Dept. 0071 18 Employees from Outside Agencies 7 years S Mag, Mfr, Yes: When attended by employees outside the Examples: SEMS, NIMS, Incident Action Plans OD, Ppr Inactive District; See Lead Department for applicable class list; GC§34090.7 (IAP),After Action Reports (AAR), Plans, Pre aredness Training, etc. District preference (the department that Training -ALL COURSE RECORDS: conducts the class maintains the records; ESSENTIAL Training Attended by District individuals retain certificates if issued; Employees Statewide guidelines propose 7 years; Calif. Labor Division is required to keep Lead Dept. 0073 18 (Attendance Rosters, Outlines and Materials; OD, Ppr Inactive EEOC/FLSA/ADEA(Age) requires 3 7 years Mag, Mfr, S Yes: When their OSHA records 7 years; includes SEMS, NIMS, Incident Action Plans years for promotion, demotion, transfer, (IAP),After Action Reports (AAR), Preparedness Training, Confined Space, Driver selection, or discharge; State Law Safety,ADA, etc.)-including training videos requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 34090 Safety/ 0975 18 Training Database [Safety&Risk Management] Indefinite Yes Mag Department Preference (data is Risk Mgmt. OSHA required training interrelated)GC§60201 et seq. Department Preference; Claims can be Safety/ 0978 18 Workers Compensation Files- Deceased Death + 5 Mag, Mfr, S Yes: When made for 30 years for toxic substance Risk Mgmt. Employees years OD, Ppr Inactive exposure; 8 CCR§3204(d)(1)et seq., GC 1§§12946, 60201 Updated: 03/01/2012 SRM-Page 7 of 7 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Accounts Payable Source Records(includes Check Copies, (Contra Costa County handles check processing), Running Expense, Invoices, Receipts, Travel Expense Reimbursements, May contain independent contractor's compensation, expense reimbursement, Petty Cash, Invoices and Back-up, Check Copies- or District credit card records; Meets Finance/ Requests, Benefit Payment, Medical Billing for When No Mag, Mfr, S/I Yes: After 1 municipal government auditing standards; Payable AT&T, MCI, CALNET: Phone Bills) Accounts 0002 19 Insurance, Sewage Sludge Weigh Tickets, etc. Longer OD, Ppr year Sewage Sludge is required for 5 years; Required Published articles show 3-7 years; 40 (see 0625 for Self Insurance Fund records) CFR 122.410)(2); WC §13263.2(b)et (Safety&Risk Management is Office of seq.; GC§60201(d)(12) Record for Record Series 0954-Legal Bills only] Secretary Action Summaries(Reams and Board Mag, Mfr, Yes: After 2 of the 1051 19 Committees) P Vital OD, Ppr S years Department preference; GC§60201 District Secretary Mag, Mfr, Yes: After 2 of the 1065 19 Action Summaries (District Board) 2 Years OD, Ppr S years Department preference; GC§60201 District Secretary Affidavits of Agenda Posting Logs and Notices Brown Act challenges must be filed within of the 1052 19 of Publication in Newspaper, Legal Notices, 5 years Mag, Ppr 30 or 90 days of action; GC§§60201, District Agenda Mailing Lists including Fee Interested 54960.1(c)(1) Requests Agendas&Agenda Packets-District Board, Secretary Subcommittees of the Board (e.g.Ad Hoc Mag, Mfr, Yes: After 2 of the 0004 19 Committees, District Committees-Budget& P Yes OD, Ppr S years Department preference; GC§60201 District Finance)(Includes Agenda Position Papers, Staff Presentations, etc. Updated: 03/01/2012 SOD-Page 1 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Agreements &Contracts- INFRASTRUCTURE Architectural, Engineering, JPAs, MOUS and MOAs. Agreement or Contract, Correspondence, Lead Dept. Insurance, and Notices of Completion. Except Agreement or Contract includes all contractual Department Preference;All infrastructure, Professnl obligations (e.g. RFP, Specifications, Successful JPAs, &Mutual Aid contracts are Services 0005 19 Proposal/Scope of Work, and amendments) P Mag, Mfr, S Yes: After permanent for emergency preparedness; Purchasin [except Concord MOU and EMP19yee nasiJs] OD, Ppr Inactive Statute of Limitations is 4 years; 10 years g-Except [See Record Series 0006 for Employee MOUS] for Errors&Omissions; CCP §§337. Const. 337.1(a), 337.15, 343; GC§60201 et seq. Contracts Examples of Infrastructure: Architects, Treatment Plants, Lines, Buildings, Design, Construction, Environmental, Sewer, Utilities, Pumping Stations, Studies for Repairs of Sewers, Local Agency Formation Commission (LAFCo), etc. Updated: 03/01/2012 SOD-Page 2 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Agreements &Contracts - NON INFRASTRUCTURE- Equipment Purchases, Consulting Services, Leases,Vehicle Purchases, etc. Lead Dept. Department Preference; Covers E&O Except Agreement or Contract, Correspondence and Statute of Limitations; Published Audit Professnl Purchase Orders. Agreement or Contract Standards=4-7 years; Statute of includes all contractual obligations (e.g. RFP, Limitations: Contracts&Spec's=4 years, Services Mag, Mfr, Yes: After Purchasin 0006 19 Specifications, Successful Proposal/Scope of 10 years OD, Ppr S Inactive Wrongful Death=comp. + 5 years, g-Except Work, Certificate of Insurance, and Developers=comp. + 10 years; Statewide Const. amendments) guidelines propose termination +5 years; Contracts CCP §§336(a), 337 et. seq., GC§60201 Examples of Non-Infrastructure: Consultants, et seq. PaiRtiRg NllaiRteRa Ge, Franchise Agreements, Professional Services, License Agreements, Employee Group MOUS, Legal Services and Executive Management, etc. ENG Annexations/Boundary Changes (Local Agency D„rnhocin fpr 0452 19 Formation Commission-LAFCO) P Yes Mag, Mfr, S Yes: 1 year GC§60201 et seq. GAnM OD, Ppr Q_AntF;4Ats Index, Maps, Documents, Correspondence Association Records (external associations- e.g.,ACSA, CASA, etc.) When No Lead Dept. 0010 19 Longer Mag, Ppr Non-records; GC§60201 et seq. [Legislative Updates, Special Solid Waste Required Re orfs, Newsletters Updated: 03/01/2012 SOD-Page 3 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Board Compensation: Expenditure Approval When No Finance Lists and Check Registers, Board Long Mag, Mfr, Yes: After 1 Department Preference (District Secretary / Admin. 0624 19 Compensation, Remuneration for Payroll, Required OD, Ppr S/I year keeps Board Agenda Packets); GC stipend information, and documentation Minimum 2 §60200 concerning payment of Board Members years Secretary Board of Director Actions Database (Clerk's Data Fields/Records are interrelated; GC of the 1053 19 Index aka ImageFlow) Indefinite DataBase §34090 District Department Preference; Statute of Cancellation Limitations for bonds, mortgages, trust Secretary deeds, notes or debentures is 6 years; of the 0604 19 Bonds/Certificates of Participation ("COP)"/ Redemption Mag, Mfr, S/ I No Bonds issued by local governments are District Transcripts/Disclosure Reports or Maturity+ OD, Ppr 10 years; There are specific requirements 10 years for disposal of unused bonds; CCP §§336(a)(1) &(2), 337.5(2); GC §43900 et seq. GC §60201 et seq. Copies- Finance/ 0017 19 Budgets: Development, Supporting When No MagPpr Department Preference; administrative Admin. Workpapers, Back-up, etc. (CCB), 10-Year Plan Longer ' p value; GC §60200 Required CEQA/NEPA Documents: Prepared for Copies District Projects-(not part of project files) Secretary When No Mag, Mfr, of the 0455 19 (Environmental Impact Reports (EIRs), Longer OD, Ppr S/ I Yes: 1 year Usually filed in Project File; GC§60200 District Required-2 Environmental Assessments, Negative Declarations etc) years Updated: 03/01/2012 SOD-Page 4 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). ^fthe Claims/Losses-Administrative-Third Party Department Preference; Covers various DUMFMAt Claims (Includes Sanitary Sewer Overflows When No Mag, Mfr, Yes: After statute of limitations; CCP §§ 337 et seq.; Safety/ 0954 19 (Except iRgand Personnel/Employment Longer OD, Ppr S Settled GC§§ 911.2, 945, 34090, 34090.6; PC Risk Practices) Required §832.5 (if file is in litigation, retention Mgmt. begins after litigation is settled) Human Classification and Compensation Studies/ When No Resources 0727 19 Surveys Longer Mag, Ppr Department Preference; GC §60201 Required Committees or Task Forces: Internal (e.g. 2 years Records Management Committee, ` hSRI-n'^ Lead Dept. 0021 19 Mag, Ppr GC§60201 Communications Committee, Green Team, LGRger De artment Director, etc.) Required Committees, Task Forces,Associations, When No Lead Dept. 0022 19 Commissions, &Boards: External Longer Mag, Ppr Non-records Organizations (e.g.Association of California Required Sanitation Ag encies, etc. Copies- 0023 19 Copies or duplicates of any record When No Mag Ppr GC§60200 Longer Required Secretary Copyrights/Trademarks/Patents Mag, Mfr, of the 0024 19 (See Engineering for District Project Specific P OD, Ppr S No Department Preference; GC §60201 District Patents Updated: 03/01/2012 SOD-Page 5 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Correspondence- Routine (e .g.Administrative, Chronological, Communications, General Files, Letters, Memorandums, Miscellaneous Reports, Reading, Working Files, etc. Does NOT include Lead Dept. 0027 19 Regulatory Agency Correspondence) 2 years Mag, Ppr GC§60201 Correspondence prepared for Board Signatures-Secretary of the District is OFR 2011 forward,originating office is OFR prior to 2011 Correspondence-TRANSITORY/ PRELIMINARY DRAFTS, not retained in the ordinary course of business E-mails that have a material impact on (e.g. working files, calendars, checklists, e-mail When No business are saved outside the e-mail Lead Dept. 0028 19 that does not have a material impact on the Longer Mag, Ppr system; If not mentioned here, consult the conduct of business, computer sign-ups, logs, Required District Counsel to determine if a record is mailing lists, meeting room registrations, supply considered transitory/preliminary drafts. inventories, transmittal letters, thank yous, GC§§60201 et seq., 6252 requests from other cities, undeliverable envelopes, voice mails, etc. Secretary of the 1054 19 District Code Administration, Distribution, etc. 2 years Mag, Ppr GC§ 34090 District Secretary District Code and History File (always retain 1 Mag, Mfr, of the 1055 19 supplement) P OD, Ppr S No GC§34090 District Updated: 03/01/2012 SOD-Page 6 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Copies District When No Mag, Mfr, Counsel 1059 19 District Counsel Legal Opinions Longer Yes OD, Ppr S Department Preference; GC §34090 Required 10 years Secretary of the 1056 19 District Seal, Logo P Yes Mag, Ppr Department preference (historical purposes); GC §60201 District Secretary Election File: -Copies of Board Director's Department preference (historical of the 1074 19 Candidate Statements, Statement of P Mag, Ppr purposes); GC §60201 District Qualifications, etc. Secretary Department preference (historical of the 1057 19 Elections-Certificate of Election P Mag, Ppr purposes); GC §60201 District Secretary Elections-Historical (Sample Ballot, Election Department preference (historical of the 1058 19 Results) P Mag, Ppr purposes); GC §60201 District Emergency Action Plans/Disaster Preparedness Manuals, Safety Directives, Safety/ Emergency Programs, etc. When No Mag, Mfr, Yes: When Documents of historical significance Risk 0957 19 Emergency Exercises, Drills (Emergency Longer OD, Ppr S/ I Superseded should be retained longer; GC §60201 Mgmt. Response Plans for Communications, Required Hazardous Materials Business Plans "HMBP", Environmental Programs, Operations Divisions) Updated: 03/01/2012 SOD-Page 7 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Employee Benefit Policies/ Insurance Policy Files (Benefits: Health, Eye, Dental, Life Department preference to be consistent with District-wide standards; EEOC Insurance, Long Term Disability, State / When No ADEA(Age) requires 1 year after benefit Resources Includes Policies &Handbook and annual OD, Ppr Human 0731 19 Disability, Unemployment Insurance, etc) Longer Mag, Mfr, S No plan termination; Federal law requires 6 review of Board Member Benefits (Secretary of Required years after filing date; State Law requires the District files are copies and Specific to 2 years after action; 29 CFR 1627.3(b)(2); Board Members 29 USC 1027; GC §§12946, 60201 Finance/ When No Admin. 1071 19 Employee Authorization/Delegation Authority Longer Mag, Ppr Department Preference; GC §34090 Required FPPC 700 Series Forms(Fair Political Practices Commission)(Statement of Economic Department preference (only required for of Secretary Interests): PUBLIC OFFICIALS and After 2 4 years); District maintains copies only; the 1060 19 DESIGNATED EMPLOYEES (elected &not 7 Years Mfr, OD, Ppr S years original statements are filed with FPPC; District elected. Includes District Board Members, GC§81009 ( (f)(g); GC §81009 e)(g) General Manager) Filed by year) Secretary FPPC 700 Statement of Economic Interests of the 1063 19 (SEI)Communications/Correspondence (Fair 2 years Mag, Ppr GC§34090 District Political Practices Commission) FPPC Biennial Review(History) (Fair Political Secretary Practices Commission) of the 1061 19 5 years Mag, Ppr record Department Preference; GC§34090 District [Review of Disclosure Categories and District Filers] FPPC Campaign Filings (Fair Political Practices Contra Paper must be retained for at least 2 Costa 1062 19 Commission)(400 Series Forms): P Mag, Mfr, S Yes: After 2 years; CCP§583.320(a)(3); GC County SUCCESSFUL CANDIDATES (Elected OD, Ppr years §81009(b)(g) Officials (Copies) Updated: 03/01/2012 SOD-Page 8 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Secretary of the 1064 19 Grand Jury and Related Documents P No Ppr No GC§34090 District Historical Records (e.g. Photographs) Mag, Mfr, District Secretary Determines Historical Lead Dept. 0035 19 [Photographs used in the Lateral Connection P S No OD, Ppr Significance; GC §60201 and Pipeline] Local Improvement Districts (LID's)/Contractual Copies- Assessment Districts (CAD) (FINANCIAL When No Mag, Mfr, ENG 0466 19 PORTION ONLY) Longer Yes OD, Ppr S Yes: 1 year GC§60201 et seq. (Formation and Administration of various Required districts) Secretary Logs:Visitor Logs(business hours), Sign-In of the 0040 19 Logs,Vehicle Logs, Conference Room Logs, 2 years Mag, Ppr Department preference; GC§60201 et. District Delivery Log [after hour logs forwarded to Safety seq. & Risk Management] nnom.,r;;nd;;„f i IndPrc+ond0 loon{ i�� Depal4MeRt PFefeFeRG ; StRt- +2 Af �� Cmpleyee (_FG61ps Legal of ser„iAes and Mag Mf� yoo- After I imi+o+G.no' rr.n+ron+o& coon's-n years; 6 t�1e 8 � a$ E..o..- ive MRRa a on+ Mag,Pp �naAtiye nir�ri^+ nolo +oma i 54erAAr;;nd;; nir,+ri..+❑.,ter,+ ten,+ Veq—A ftor 7+or 7 ^fthe 1065 a$ e��hn.,mmi++oo�r,f+ho Q.4or.J ri.,r,ed 2eg,;O,n P_ �S n��off' � yeapS Depal4MeRt PefeF ; GG§6Q2Q1 ^+ (e r nir,+ri..+(`.�mmi++ooc u min oo� r o�� Minutes: District Board Meet+Rgs and Secretary Subcommittees of the Board including Closed Mag, Mfr, of the 1066 19 Session Meetings (e.g. District Board P Yes OD, Ppr S No GC§60201(d)(3) District Committees-Human Resources, Budget and Finance, etc.) Secretary of the 1067 19 Oath of Office for Elected Officials P Mag, Mfr, S No Department Preference; GC §60201 District OD, Ppr Updated: 03/01/2012 SOD-Page 9 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total Vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Secretary Order of Formation (CCCSD)[Articles of Department preference (historical of the 1068 19 Incorporation] P Mag, Ppr purposes); GC §60201 District Secretary of the 0046 19 Ordinances P Yes Mag, Mfr, S No GC§60201 et. seq. District OD, Ppr Secretary Personnel File: Board of Directors Mag, Mfr, Yes: After 2 of the 1072 19 Includes: Biography, photos, personal memos 7 years OD, Ppr S years Department Preference; GC§60201 District concerning benefits, etc. Policies& Procedures-Department-Specific Superseded District preference; Statewide guidelines Lead Dept. 0050 19 Procedures, Instructions on How to Perform Mag, Ppr propose superseded +2 or 5 years; GC Duties ass §34090 Secretary Policies& Procedures Dmgtrm^*, ;cip P District preference; Statewide guidelines of the District 0051 19 ADMINISTRATIVE POLICIES (Approved by Mag, Ppr propose superseded +2 or 5 years; GC Lead Dept General Manager) s §34090; GC §34090.7 Secretary P District reference; Statewide guidelines of the Policies & Procedures-"mR_*.; p BOARD p District 0052 19 APPROVED POLICIES Mag, Ppr propose superseded +2 or 5 years; GC Lead Dept � s §34090; GC §34090.7 Lead Dept. 0054 19 Public Records Act Requests and copies of 2 years Mag, Ppr GC§60201(d)(5) documents produced Updated: 03/01/2012 SOD-Page 10 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Real Property (Recorded Property Related Documents) Secretary (Abandonments, Deeds, Deed Restrictions, of the 1069 19 Easements, Liens, Lot Line Adjustments, P Mag, Mfr, S/I No GC §34090 District Reconveyances, Resale Restrictions, OD, Ppr Quitclaims,Vacations, Condemnations, Easement Agreement, Promissory Notes, Right of Entry, Variances) Secretary Records Destruction Lists (Archival and Mag, OD, Yes: After 2 Department Preference; GC of the 0056 19 Destruction Authorizations pre 2010) P S District (including certificates of destruction) Mfr, Ppr years §60201(b)(1)(B) Secretary Mag, OD, Yes: After 2 Department Preference; GC of the 1070 19 Records Retention Schedules P Mfr, Ppr S years §60201(b)(1)(B) District Secreta Records Storage and Destruction Lists (Archival PGepies of — ry and Destruction Authorizations) hPn N"'4 Mag, OD, the 0074 19 `(including attachments to Records Retention t=GRgeF Mfr, Ppr Copies; GC§60200 District Schedules and Certificates of Destruction) Required Reports[Annual]-District [Business Plan, S+~ ,,Goals& Lead Dept. S/I No 0401 19 Objectives,ADA Development Plan, Board P Mag, Mfr, Department preference; GC§60201 et Guidelines] OD, Ppr seq. General Manager is OFR for Strategic Plan Updated: 03/01/2012 SOD-Page 11 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). Reports and Studies-Annual and Monthly Reports, Plans (other than historically Lead Dept. 0060 19 significant) Minimum 5 Mag, Ppr GC§60201 years Generally prepared by others but not for the District Reports and Studies (Historically Significant- Administratively and Historically e.g., Zoning Studies, plans, environmental Mag, Mfr, Yes: After significant, therefore retained Lead Dept 0015 19 reports, overflow, sanitary sewer, etc.) P OD, Ppr S/I 10 years permanently; GC§34090, maintained Generally prepared by the District for District independent of project files Secretary Resolutions (includes Resolutions of Mag, Mfr, of the 0063 19 P Yes S No GC§60201 et. seq. District Commendation) OD, Ppr Secretary Sewer Service Charge (SSC) Master Fee of the 0065 19 Schedule, Connection Fees, Rates&Charges P Mag, Mfr, S/ I Yes: After 1 GC§60200 District [Proposition 218- includes all documentation] OD, Ppr year (Lead Department maintains Nexus Study) Department Preference (Preliminary Secretary When documents); the Lead Department should of the 0784 19 Software Licenses/Software and Hardware Superseded Mag, Ppr print out historical documents prior to District Manuals (For Department only) or Replaced replacing the data; GC §60200, 60201 et seq. 30 days, or Secretary Tapes &Recordings (Audio, CD, DVD,Video, After Tape (Mag), Department Preference; legally required of the 0068 19 VHS) District Board meetings Approval, OD for 30 days (or adoption of the minutes); District whichever is GC§54953.5(b) longer Updated: 03/01/2012 SOD-Page 12 of 13 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services, Inc. SECRETARY OF THE DISTRICT (19) All rights reserved. Do not duplicate or distribute without prior written consent Office of Record Record Series Record Series Title Retention/Disposition Comments/Reference Image: Destroy (OFR) Div No Total vital? Media 1=Import Paper after No. Retention Options M=Mfr Imaged& 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, com laints, claims,public records act requests, and/or investi ations suspend normal retention periods retention begins after settlement or completion). District preference (the department that conducts the class maintains the records; Training -ALL COURSE RECORDS: individuals retain certificates if issued ESSENTIAL Attended by District Employees G o.+,f,.ER+o1 fr.r indi„;,+„R11 R o Lon+OR Safety; Statewide guidelines propose 7 (Attendance Rosters, Outlines and Materials; years; Calif. Labor Division is required to Ppr Lead Dept. 0073 19 includes SEMS, NIMS, Incident Action Plans 7 years Mag, Mfr, S Yes: When keep their OSHA records 7 years; (IAP),After Action Reports (AAR), OD, Inactive EEOC/FLSA/ADEA(Age) requires 3 Preparedness Training, Confined Space, Driver years for promotion, demotion, transfer, Safety, C#hint Q. cafo+„ ADA, etc. training)- selection, or discharge; State Law including training videos requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 34090 District preference (the department that conducts the class maintains the records; Training -ALL COURSE RECORDS: NOW individuals retain certificates if issued; ESSENTIAL Attended by District Employees Statewide guidelines propose 7 years; Calif. Labor Division is required to keep (Attendance Rosters, Outlines and Materials; 2 Years S Mag, Mfr, Yes: When their OSHA records 7 years; Lead Dept. 0072 19 includes Ethics (AB 1234 State Mandated OD, Ppr Inactive EEOC/FLSA/ADEA(Age) requires 3 training), Customer Service, Leadership, years for promotion, demotion, transfer, Conflict Resolution, Communication training, selection, or discharge; State Law etc.)-including training videos requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 34090 Updated: 03/01/2012 SOD-Page 13 of 13