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HomeMy WebLinkAbout03.a. Review draft Position Paper to approve proposed revisions to Board Policy No. BP 006 - Records Management Program, and adopt Resolution No. 2019-___ amending Central San’s records retention schedules and rescinding Resolution No. 2012-014 Page 1 of 75 Item 3.a. CENTRAL SAN BOARD OF DIRECTORS . , , . POSITION PAPER . , 0 DRAFT MEETING DATE: AUGUST 6, 2019 SUBJECT: REVIEW DRAFT POSITION PAPER TO APPROVE PROPOSED REVISIONS TO BOARD POLICY NO. BP 006 - RECORDS MANAGEMENT PROGRAM, AND ADOPT RESOLUTION NO. 2019- AMENDING CENTRAL SAN'S RECORDS RETENTION SCHEDULES AND RESCINDING RESOLUTION NO. 2012-014 SUBMITTED BY: INITIATING DEPARTMENT: LUPE SALDANA, ADMINISTRATIVE SECRETARYOF THE DISTRICT SERVICES SUPERVISOR-RECORDS REVIEWED BY: KATIE YOUNG, SECRETARYOF THE DISTRICT ISSUE Board approval is required to (1) revise Board policies, and (2) adopt updated and amended records retention schedules. BACKGROUND Proposed Changes to BP 006— Records Management Program As part of an ongoing effort to memorialize all Board policies, the Board adopted Board Policy No. BP 006 — Records Management Program on March 19, 2015. The policy received its regular biennial reviews in 2017 and 2019. No changes were made in 2017. However, during the 2019 biennial review, and while staff was also working with a consultant to update the records retention schedules, it was concluded that the following wording in the existing policy is ambiguous in terms of who may approve changes to the records retention schedules: The General Manager and District Counsel shall periodically review and approve changes to the Master Records Retention Schedule in accordance with changes in State law, record keeping practices or operational needs. Strictly interpreted, the above wording could mean no Board approval is required, but that may not be fully compliant with state law. For that reason, staff, in consultation with District Counsel, has proposed changes to BP 006 clarifying when Board approval of changes to the retention schedules is required. Following is the new proposed policy wording: August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 3 of 95 Page 2 of 75 The General Manager and District Counsel shall periodically review and may approve changes to the Records Retention Schedules involving the following: Changes in state law, Changes in record keeping practices or operational needs, Lengthening of retention periods, and Changes determined by District Counsel to be of a ministerial nature. Board approval shall be required by resolution for changes to the Records Retention Schedules involving the following: Shortening of retention periods, and Changes determined by District Counsel to be substantive. A strikeout version of the existing policy incorporating the above language and several proposed nomenclature changes (as explained below) is included as Attachment 1. Proposed Changes to Records Retention Schedules The last Board action to update the records retention schedules was on March 1, 2012 via Resolution No. 2012-014. The Secretary of State recommends local government agencies renew their records retention schedules minimally every five years and sooner if there are significant changes in record keeping practices. A year ago, the Office of the Secretary of the District secured the services of Diane Gladwell of Gladwell Governmental Services, Inc., a records management consultant with extensive experience in the public sector and with special districts, including Central San in 2005. During the past year, Ms. Gladwell and Records Program staff met with Department Directors, managers, workgroup representatives, and administrative support staff to ensure the updated retention schedules meet their business needs within legal guidelines. District Counsel has been very involved in this process and has reviewed and approved the updated records retention schedules proposed for adoption at this meeting. The revised records retention schedules, which apply to both paper and electronic records, reflect record keeping changes that have occurred since the last update in 2012, such as: • Changes to Central San's organizational structure resulting from the 2015 Organization and Staffing Plan prepared by Raftelis Financial Consultants, Inc.; • Software technology implementations that have replaced physical record keeping; and • Changes in laws and judicial interpretations that affect public agencies (e.g., City of San Jose vs. Superior Court). Staff also made minor changes to nomenclature in the updated records retention schedules, such as eliminating "Master" from the title of the retention schedules, and eliminating "Management" from the title of BP 006. Assuming the Board would adopt the proposed updates to BP 006, staff simultaneously incorporated the nomenclature changes in the proposed resolution and updated retention schedules for uniformity. A proposed resolution adopting the updated records retention schedules is included as Attachment 2. The updated records retention schedules are included as Attachment 3. August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 4 of 95 Page 3 of 75 ALTERNATIVES/CONSIDERATIONS Adoption of the updated records retention schedules is recommended to comply with state law and improve internal efficiencies. FINANCIAL IMPACTS The regular destruction of records is an important component of Central San's Records Program. Records retained beyond their total retention periods are subject to being produced as part of litigation or Public Records Act requests, which have the potential for adverse financial consequences. By clearly identifying the department responsible for maintaining the original records, and establishing retention periods for specific record series categories, Central San will realize savings in operational efficiencies with the timely and orderly destruction of records that will reduce storage space needs for non-permanent records. COMMITTEE RECOMMENDATION The Administration Committee reviewed this item at its August 6, 2019 meeting and recommended RECOMMENDED BOARD ACTION Approve proposed revisions to Board Policy No. BP 006 - Records Management Program and adopt the proposed resolution amending Central San's records retention schedules and rescinding Resolution No. 2012-014. ATTACHMENTS: 1. BP 006 - Records Management program (in strikeout) 2. Proposed Resolution 3. Records Retention Schedules August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 5 of 95 Page 4 of 75 Number: BP 006 ATTACHMENT 1 Related Administrative Procedure: AP 006 (aka Records Program Handbook) Authority: Board of Directors/State Law Effective: 3/19/15 Revised: 8/15/19 Reviewed: 7 R1r,11 Q Initiating Dept./Div.:_ Secretary of the District - CENTR ' LSAN BOARD POLICY RECORDS MANAGEMENT PROGRAM PURPOSE To establish a Records Managernep Program for the District that provides for a Master Records Retention SGh�;eSchedules by which the District will comply with California law, including Government Code Section 60200 et seq. regarding the appropriate requirements for the retention and destruction of the District's records. POLICY The Secretary of the District shall administer the Records MaRagemon* Program and oversee compliance with the Master Records Retention SGhvcheduleSchedules. The General Manager and District Counsel shall periodically review and ,ray approve changes to the Master Records Retention SGh�leSchedules involving the following: Changes in aGGerdanGe with nhanges ;n Statesta law, FeG9rdkee pir /r Changes in record keeping practices or operational needs...,. • Lengthening of retention periods, ana • Changes determined by District Counsel to be of a ministerial nature. Board approval shall be required by resolution for changes to the Records Retention Schedules involving the following: • Shortening of retention periods, and • Changes determined by District Counsel to be substantive. [Original Retained by the Secretary of the District] August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 6 of 95 Page 5 of 75 ATTACHMENT 2 RESOLUTION NO. 2019- A RESOLUTION OF THE CENTRAL CONTRA COSTA SANITARY DISTRICT ADOPTING REVISED RECORDS RETENTION SCHEDULES, AUTHORIZING DESTRUCTION OF RECORDS AND RESCINDING RESOLUTION NO. 2012-014 WHEREAS, the Board of Directors of Central Contra Costa Sanitary District (Central San) desires to maintain a lawful, orderly and efficient method for the retention and destruction of records; and WHEREAS, Section 60200 of the Government Code of the State of California provides that the legislative body of any special district may authorize at any time the destruction or disposition of any duplicate record, paper, or document, the original or a permanent photographic record of which is in the files of any officer or department of the district; and WHEREAS, Section 60201(b)(2) of the Government Code of the State of California provides that the legislative body of a district may destroy or dispose of any record that is not expressly required by law to be filed and preserved if the legislative body, by resolution, adopts and complies with a record retention schedule that complies with guidelines provided by the Secretary of State Local Government Records Management Guidelines, February 2006, that classifies all of the District's records by category, and that establishes a standard protocol for destruction or disposition of records; and WHEREAS pursuant to Board Policy No. BP 006 — Records Program (as revised effective August 15, 2019), the Secretary of the District is responsible for administering the Records Program and overseeing compliance with Central San's Records Retention Schedules; and WHEREAS, the Board of Directors last took action to update the Records Retention Schedules on March 1, 2012 by adopting Resolution No. 2012-014; and WHEREAS, the Board of Directors now desires to rescind the previously adopted resolution and adopt a new one updating the Records Retention Schedules and clarifying when Board approval is required for proposed changes to the Records Retention Schedules. NOW, THEREFORE, BE IT RESOLVED by the Board of Directors of the Central Contra Costa Sanitary District (Central San) as follows: 1. THAT the Central San Records Retention Schedules attached hereto and incorporated herein by this reference are hereby adopted as provided by Section 60201(b)(2) of the Government Code of the State of California. August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 7 of 95 Page 6 of 75 Resolution No. 2019- Central Contra Costa Sanitary District Page 2 of 3 2. THAT Central San records shall be retained for the time periods specified in the Records Retention Schedules. 3. THAT when the total retention periods have been met, Central San records are hereby authorized to be destroyed in accordance with California Government Code Section 60201(b)(2) and administrative procedures developed by the Secretary of the District establishing document retention and destruction protocols and as may be amended from time to time. 4. THAT the Secretary of the District shall retain on file evidence of destruction of Central San records. 5. THAT, pursuant to Board Policy No. BP 006 — Records Program, the General Manager and District Counsel shall periodically review and may approve changes to the Records Retention Schedules involving changes in state law, changes in record keeping practices or operational needs, the lengthening of retention periods, and changes determined by District Counsel to be of a ministerial nature. 6. THAT Board approval shall be required by resolution for changes to the Records Retention Schedules involving the shortening of retention periods and changes determined by District Counsel to be substantive. 7. THAT Resolution No. 2012-014 is hereby rescinded. 8. THAT this resolution shall become effective immediately upon its passage and adoption. PASSED AND ADOPTED this 15th day of August 2019, by the Board of Directors of Central San by the following vote: AYES: Members: NOES: Members: ABSENT: Members: David R. Williams President of the Board of Directors Central Contra Costa Sanitary District County of Contra Costa, State of California August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 8 of 95 Page 7 of 75 Resolution No. 2019- Central Contra Costa Sanitary District Page 3 of 3 COUNTERSIGNED: Katie Young Secretary of the District Central Contra Costa Sanitary District County of Contra Costa, State of California Approved as to form: Kenton L. Alm, Esq. Counsel for the District August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 9 of 95 Page 8 of 75 ATTACHMENT 3 Central Contra Costa Sanitary District Proposed Records Retention Schedules Adopted August 15, 2019 Resolution No. 2019- Contents Prepared by: Office of the Secretary of the District and Gladwell Governmental Services ©Gladwell Governmental Services, Inc. (909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 10 of 95 Page 9 of 75 Previous Records Retention Schedule Versions: Reso. No. 2012-014 adopted 3/1/2012, rescinded 8/15/2019 Reso. No. 2010-099 adopted 11/18/2010, rescinded 3/1/2012 Board Consent approved 2/10/2010, rescinded 11/18/2010 Reso. No. 2007-108 adopted 8/9/2007, rescinded 11/18/2010 Reso. No. 2004-074 adopted 10/21/2004, rescinded 11/18/2010 Reso. No. 87-209 adopted 12/17/1987, rescinded 8/9/2007 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 11 of 95 CONTENTS Page Prefix Records Retention Schedule Legend (definitions and instructions)................................................................. RRS LEGEND DEPARTMENTAL RECORDS RETENTION SCHEDULES ADMINISTRATION DEPARTMENT Communication Services and Intergovernmental Relations............................................................ Admin / CS Finance ...........................................................................................................................................Admin / FIN Information Technology.....................................................................................................................Admin / IT Purchasing & Material Services ....................................................................................................Admin / PUR RiskManagement ...........................................................................................................................Admin / RM DISTRICTCOUNSEL............................................................................................................................................. DC ENGINEERING AND TECHNICAL SERVICES DEPARTMENT Capital Projects Division .................................................................................................................. E&TS / CP Environmental and Regulatory Compliance Division......................................................................E&TS / ERC Planning and Development Services Division................................................................................E&TS / PDS Resource Recovery.......................................................................................................................... E&TS / RR GENERALMANAGER............................................................................................................................................GM OPERATIONS DEPARTMENT Collection System Operations Division ........................................................................................... OPS / CSO HumanResources .............................................................................................................................OPS / HR PlantMaintenance Division................................................................................................................OPS / PM Plant Operations Division...................................................................................................................OPS / PO Safety.............................................................................................................................................OPS / SFTY SECRETARY OF THE DISTRICT ........................................................................................................................SOD DISTRICTWIDE RECORDS RETENTION SCHEDULE................................................................................................... DW August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 12 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 13 of 95 RECORDS RETENTION SCHEDULE LEGEND ©1995-2018 Gladwell Governmental Services,Inc.(909)337-3516-all rights reserved Do not duplicate or distribute without prior written permission CONTRACENTRAL • Records Retention Schedules (retention schedules) are Central San's records retention and destruction policy documents. Each retention schedule lists, by category, records retained by Central San and sets forth for each category which Department is responsible for retaining the official/original records and the period of time the records must be retained. Administrative Procedure No. AP 006 (Records Program Handbook) is a component of the retention schedules that provides the related procedures. DESTROYING RECORDS Prior to destroying records,follow the destruction procedure set forth in the Records Program Handbook. REVISING THE RECORDS RETENTION SCHEDULES If an appropriate Record Series (category)for a Department's record is not listed on the Departmental retention schedule or the Districtwide retention schedule,follow the retention schedule revision procedure set forth in the Records Program Handbook. DEFINITIONS Office of Record (OFR) is the Department that is responsible for retaining the official Record for the District. If a record is created by your Department that is not listed on your Department's retention schedule,then use the Districtwide retention schedule and your Department becomes the Lead Department. If an applicable category is not on either schedule,follow the retention schedule revision procedure set forth in the Records Program Handbook. Record Series (Title, No., Div. No.) is a category of related records that has a Title and number assigned to it. The Record Series Title describes the category of records and/or the relationship of the records. For example, invoices, check copies,travel reimbursements are all categorized as Record Series Title"Accounts Payable Source Records" because all relate to the accounts payable function. Some titles provide examples to add clarity to the description.The Record Series No. and Div. No. are numbers assigned by the Records Program for cataloging purposes. Total Retention is the period of time records in a category must be retained. The period begins after completion of the business process. Depending upon the process, completion can mean closed, sold, terminated, disposed, settled, audited, retired,fiscal year end, calendar year end,etc. For folders containing multiple records, retention of the entire folder starts the year of the most recent record in the folder or the business process completion year,whichever is later. The Total Retention period is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations; in which case, retention resumes after settlement or completion.Zero Total Retention on the Districtwide retention schedule indicates retention is when no longer useful (because they are not Central San records). Comments/References are legal citations or other information pertaining to retention. Following are abbreviations used in the Comments/References column and in the Record Series Titles: ADEA Age Discrimination in Employment Act EPA Environmental Protection Agency NPDES National Pollutant Discharge Elimination System AQMD Air Quality Management District(Bay Area) FEMA Federal Emergency Management Agency OMB Office of Management and Budget(US) CCP Code of Civil Procedure(CA) FLSA The Fair Labor Standards Act Ops Attorney General Opinions(CA) CCR California Code of Regulations FMLA Family and Medical Leave Act OSHA Occupational Safety and Health Administration CFR Code of Federal Regulations(US) FPPC Fair Political Practices Commission PC Penal Code(CA) CHP California Highway Patrol FTB Franchise Tax Board(CA) R&T Revenue and Taxation Code(CA) D.O.T. Department of Transportation(US) GC Government Code(CA) SWRCB State Water Resources Control Board(CA) DMV Department of Motor Vehicles(CA) HSC Health&Safety Code(CA) UFC Uniform Fire Code E&O Errors and Omissions IRS Internal Revenue Service USC United States Code(US) EEOC Equal Employment Opportunity Commission LC Labor Code(CA) WC Water Code Adopted by Resolution No.2019-on August 15,2019 Ver:2019-0,August 15,2019(Rev 3 7/17/19) RRS LEGEND August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 14 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 15 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. � All rights reserved.Do not duplicate or distribute ADMIN / COMMUNICATION SERVICES (04) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). COMMUNICATION ADMIN/ Commun. 0030 04 Certificates for District Programs 20 years Department preference; GC§60201 et seq. Services ADMIN/ Life of ADMIN/. Community Affairs Construction Notes(Microsoft Word documents and voice System + 10 Department preference-May be sent to Risk Management to CommuServices message'.wav files regarding District Projects) ears Resolve Issues; GC§60201 et seq. ADMIN/ Commun. FPPC Form 602/635- Lobbyist Authorization/Reporting 5 years 2 CCR 18615(d), GC§81009(e)&(g Services ADMIN/ The Lead Department maintains the original (report, study, Commun. Graphics 10 years budget, etc.);these are preliminary drafts; GC§60200 Services ADMIN/ Historical Records Database/Photo Supreme Database Life of Commun. 0035 04 e.g. Photographs System +30 Department preference; GC§60201 et seq. Services ears ADMIN/ Newsletters/Publications-Employees or Customers Commun. 0044 04 e.g. Pipeline est. 1996 and Lateral Connection est. 1982 P Department preference; GC§60201 et seq. Services ADMIN/ Department preference (retained in electronic format for historical Commun. 0045 04 Newspaper Clippings/News Articles (In the News) P Services search purposes); Non-records; GC§60200 ADMIN/ Commun. 0053 04 Press Releases/News Releases/Editorials 10 years Department preference; GC§60201 et seq. Services ADMIN/ The Lead Department maintains the original (report, study, Commun. 0401 04 Reports, Studies, Budgets, etc. 20 years budget, etc.); these are preliminary drafts; GC§60200 Services ADMIN/ The Secretary of District maintains the ballots/protest letters; GC Commun. Sewer Service Charge (SSC)-Prop. 218 Notices, Mailing Lists 2 years §53753(e)(2) Services Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/22/19) Admin/CS- Page 1 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 16 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. � All rights reserved.Do not duplicate or distribute ADMIN / COMMUNICATION SERVICES (04) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN/ Department preference (see Administrative Procedure AP 021); Commun. Social Media Archive 2 years GC§60201 et seq. Services ADMIN/ Life of the Commun. Training Videos-Equipment Operations Equipment Department preference; GC§60201 et seq. Services ADMIN/ Life of th1GC District preference; consistent with Training Records; 29 CFR Commun. Training Videos-Other Than Equipment Operations System + 1602.31; 8 CCR§3204(d)(1)et seq., GC§§12946, 60201 et seq.; Services ears §53235.2(b) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/22/19) Admin/CS- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 17 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE C 2005 Gladwell Governmental SeMces.lne. All rights reso nol dupllcale OF dlstri6ute wlthoul prlarwrItlen cconsent ADMIN 1 FINANCE & ACCOUNTING (08) (09) (10) wrltle Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMINISTRATIONADMIN./FINANCE/ 0: ADMIN/ Audit Workpapers Finance/ 0601 08 Staff copies of workpapers,Account Reconciliations, Trial Balance (aka final P Department preference; GC§60201 et seq. Admin year end General Ledger)Support Documentation, Draft Depreciation Schedules ADMIN/ Audited Financial Statements/Comprehensive Annual Financial Report Finance/ 0602 08 (CAFR)with Audit Management Letters/Audit Reports P Department preference for historical purposes; GC§60201 et seq. Admin ADMIN/ Audits-Operational and Projects (Internal Audits and Independent Audits) Finance/ 0011 08 Historical Data (Revenue Sewer Service Charge Task Force) PDepartment preference for historical purposes; GC§60201 et seq. Admin Department preference; Statute of Limitations for bonds, ADMIN/ Fully mortgages,trust deeds, notes or debentures is 6 years; Bonds Finance/ 0604 08 Bonds/Certificates of Participation ("COP)"/Transcripts/Disclosure Reports Defeased + issued by local governments are 10 years;There are specific Admin 10 years requirements for disposal of unused bonds; CCP§§336(a)(1)& (2), 337.5(2); GC§43900 et seq. GC§60201 et seq. ADMIN/ Finance/ 0017 08 Budgets: Development, Supporting Workpapers, Back-up, etc., 10-Year Plan 5 yearsDepartment preference; GC§60201 et seq. Admin ADMIN/ Finance/ 0606 08 Budgets: Final Adopted P Department preference; GC§60201 et seq. Admin Cafeteria Plan/Flexible Spending Accounts (FSA) e.g., Cafeteria Plan Claims, Reimbursements, Selection Forms; FSA Election ADMIN/ Forms Finance/ 0607 08 7 years Department preference; GC§60201 et seq. Admin Beginning in 2017,the third-party administrator(P&A Group, Inc.)retains claims and reimbursements records and Finance retains only Cafeteria selection forms and FSA election forms. Prior to 2017, Finance retained all records. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/FIN - Page 1 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 18 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE C 2005 Gladwell Governmental SeMces.lne. All rights reso nol dupllcale OF dlstri6ute wlthoul prlarwrItlen cconsent ADMIN 1 FINANCE & ACCOUNTING (08) (09) (10) wrltle Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN/ Finance/ 0608 08 Chart of Accounts (Resource is Financial Database) 7 years Department preference; GC§60201 et seq. Admin ADMIN/ Finance/ 0638 08 Deferred Compensation/Transactions (New Employee Forms, Changes) 7 years Department preference; GC§60201 et seq. Admin Department preference to be consistent with District-wide ADMIN/ Deferred Compensation Reconciliations standards; EEOC/ADEA(Age)requires 1 year after benefit plan Finance/ 0636 08 (457 7 years termination; Federal law requires 6 years after filing date; State Admin ,401 A, ICMA, Money Purchase Plan) Law requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 1027; GC§§12946, 60201 et seq. ADMIN/ Finance/ 0637 08 Deferred Compensation Reports 7 yearsDepartment preference; GC§60201 et seq. Admin Financial Reports: Ledgers, Registers, Reports,Transaction Histories, ADMIN/ Draft/Preliminary documents used to produce final year-end Balance Sheets, Budget Adjustments(All Funds-Sewer Construction, Finance/ 0609 08 Depreciation, Self Insurance)[Supporting documents] (MONTHLY OR 10 years general ledger(financial database is the original); GC§60201 et Admin PERIODIC) Does NOT include year-end General Ledger. seq. ADMIN/ Life of the Finance/ 0610 08 Financial System Database System + GC§60201 et seq. Admin 10 years General Finance Files(Do not use after July, 2019) ADMIN/ Department preference (From Versatile Upgrade/Renumbering- Finance/ 0648 08 (e.g. CIBAs, garbage related, disposals with other agencies/cities, proposals 7 years for those items that could not be matched); GC§60201 et seq. Admin to do work, grant manuals, reference materials, annual salary and benefits worksheets, debit/credit reports for materials services supplies ordered) ADMIN/ Department preference; Consistent with Accounts Receivable; Finance/ 0612 08 Inventory- Physical Inventory of asset equipment, Worksheets (Fixed Assets); 5 years Statute of limitations is 3 years; statewide guidelines propose 2-4 Admin sale of surplus goods or equipment years; published articles show 3-6 years; GC§60201 et seq., CCP§337 Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/FIN - Page 2 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 19 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE C 2005 Gladwell Governmental SeMces.lne. All rights reso nol dupllcale OF dlstri6ute wlthoul prlarwrItlen cconsent ADMIN 1 FINANCE & ACCOUNTING (08) (09) (10) wrltle Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN/ Finance/ 0613 08 Investments 10 Years Department preference; GC§60201 et seq. Admin ADMIN/ Department preference; Statute of Limitations is 4 years; Finance/ 0614 08 Journal Entries 5 years Published articles show 6-7 years; GC§60201 et seq., CCP§337 Admin ADMIN/ Local Improvement Districts (LID's)/Contractual Assessment Districts Finance/ 0466 08 (CAD's)(FINANCIAL PORTION ONLY) P Department preference; GC§60201 et seq. Admin ADMIN/ Monthly Account Reconciliation Workpapers Finance/ 0615 08 e.g.,Accounts Payable Reconciliations, Capital Improvement Project(CIPs) 5 years Department preference; GC§60201 et seq. Admin closeouts ADMIN/ Payroll Reports-Workers Compensation Deductions (Miscellaneous Payroll Department preference; Draft/Preliminary documents (financial Finance/ 0643 08 Reports) 7 years database is the original); GC§60201 et seq. Admin ADMIN/ Reports: Cost Center Reports(electronic copy[PDF] of Expenditures monthly Department preference; reports retained permanent in Secretary Finance/ 0616 08 report) 5 years of the District's Committee and Board Agenda Backup files; GC Admin §60200 et seq. ADMIN/ Finance/ 0617 08 State Controller's Report(Annual Statement of Indebtedness) 5 years Department preference; GC§60201 et seq. Admin ADMIN/ Department preference; IRS:4 years after tax is due or paid Finance/ 0618 08 Tax Returns 5 years (longer for auditing &contractor delinquency); Ca. FTB: 3 years; Admin Published articles show permanent; ; IRS Reg §31.6001-1(e)(2), 26 CFR§1.6001-1, R&T§19530, GC§60201 et seq. ADMIN/ Given to the new owner upon sale of the vehicle; GC§60201 et Finance/ 0619 08 Vehicle Titles(Pink Slips) Upon Sale Admin seq. ACCOUNTSADMIN FINANCE i• Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/FIN - Page 3 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 20 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE C 2005 Gladwell Governmental SeMces.lne. All rights reso nol dupllcale OF dlstri6ute wlthoul prlarwrItlen cconsent ADMIN 1 FINANCE & ACCOUNTING (08) (09) (10) wrltle Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN/ IRS:4 years after tax is due or paid (longer for auditing & Finance/ 0620 09 1099's, 1096's 7 years contractor delinquency); Ca. FTB: 3 years; Published articles Accounts show permanent; ; IRS Reg §31.6001-1(e)(2), R&T§19530, GC Payable §60201(d)(12); 29 USC 436 ADMIN/ Accounts Payable Source Records (includes Check Copies-Contra Costa I May contain independent contractor's compensation, expense Finance/ County handles check processing, Invoices, Receipts,Travel Expense reimbursement, or District credit card records; Meets municipal Accounts 0002 09 Reimbursements, Petty Cash, Invoices and Back-up, Check Requests, Benefit 7 years government auditing standards; Sewage Sludge is required for 5 Payable Payment, Medical Billing for Insurance, Sewage Sludge Weigh Tickets, years; Published articles show 3-7 years;40 CFR 122.410)(2); Medicare/Medical Payment Reimbursements, etc. WC§13263.2(b)et seq.; GC§60201(d)(12) ADMIN/ Bank Reconciliation &Statements (Transaction Statements,Wire Transfers, Department preference; Meets municipal government auditing Finance/ 0621 09 Deposits, Treasury Statements,Trustee& Investment Statements, Tuition 7 years standards; Published articles show 3-7 years; GC§60201 et Accounts Reimbursement, Employee Membership, Outside Organization Fees, etc.) seq., 26 CFR 31.6001-1 Payable ADMIN/ Finance/ 1071 09 Employee Authorization/Delegation Authority Superseded Department preference; GC§60201 et seq. Accounts +2 years Payable ADMIN/ Finance/ 0624 09 Expenditure Approval Lists and Check Registers 7 years Department preference (District Secretary keeps Board Agenda Accounts Packets permanently); GC§60200 Payable ADMIN/ Department preference; Consistent with other records; Statute of Finance/ 0625 09 Self-Insurance Fund Original Invoices and Check Copies P Limitations is 4 years; Meets municipal government auditing Accounts Payable standards; GC§60201 et seq., CCP§337 ADMIN/ Department preference; Related to independent contractor's Finance/ 0626 09 W-9's 7 years compensation; IRS:4 years after tax is due or paid; Ca. FTB: 3 Accounts years;Articles show 7 years; IRS Reg §31.6001-1(e)(2), R&T Payable §19530; 29 FR516.5-516.6, 29USC 436, GC 60201 d 12 ACCOUNTSADMIN/FINANCE Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/FIN - Page 4 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 21 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE C 2005 Gladwell Governmental SeMces.lne. All rights reso nol dupllcale OF dlstri6ute wlthoul prlarwrItlen cconsent ADMIN 1 FINANCE & ACCOUNTING (08) (09) (10) wrltle Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN/ DeterminedDepartment preference to retain as long as it remains a doubtful Finance/ 0627 10 Accounts Receivable Collection Correspondence Uncollectibl account; Meets municipal government auditing standards; GC Accounts Receivable e+7 years §60201 et seq. ADMIN/ Accounts Receivable Source Records-Water Bills,Adjusting Entries,Aging Department preference; Meets municipal government auditing Finance/ Reports, Overtime Inspections, Dumping Invoices, Accounts 0628 10 (All Records and Reports, including invoices to non-profits, leases and District 7 Years standards; Published articles show 3-7 years; GC§60201 et Receivable invoices to others) seq. ADMIN/ Department preference; Meets municipal government auditing Finance/ 0629 10 Bank Deposits, Daily Banking Report, Cash Receipt Summary, Electronic 7 yearsstandards; Published articles show 3-7 years; GC§60201 et Accounts Payment Report, Host File Summary Reports, Direct Debit Reports Receivable seq. ADMIN l Billing: COBRA and Retiree Medical Finance/ Termination Retained to cover auditing standards; General rule under ERISA Accounts 0630 10 Beginning in 2017,the third-party administrator(P&A Group, Inc.)retains e 7 years (Employee Retirement Income Security Act)is 7 years; 29 CFR Receivable COBRA and Retiree Medical Billing records. Prior to 2017, Finance retained 1627.3(b)(2); 29 USC 1027; GC§60201 et seq. all records. ADMIN/ Finance/ 0631 10 Cash Receipts(MONTHLY) 7 years Department preference; Meets municipal government auditing Accounts standards; GC§60201 et seq. Receivable ADMIN/ Finance/ Department preference; Meets municipal government auditing Accounts 0632 10 Cash Reconciliations (MONTHLY) 7 years standards; Published articles show 3-7 years; GC§60201 et Receivable seq., 26 CFR 1.6001-1 Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/FIN - Page 5 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 22 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 23 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute ADMIN / INFORMATION TECHNOLOGY (14) ` without prior written consent Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). INFORMATION TECHNOLOGY Considered a copy; retention based on administrative value. ADMIN/IT 0776 14 Archival Backups to Disk Storage Array-Windows Servers Life of Various restore points and archival backups are kept on Disk (Intervals: Various backup and restore points) System Storage Array located in off-site DR site for disaster recovery purposes; GC§60200 et seq. Backups to Disk Storage Array-SCADA(Dynac)Treatment Plant Considered a copy; retention based on administrative value. ADMIN/IT 0777 14 (Interval: Daily) 30 days Daily backups are replicated to a Network Attached Storage disk Supervisory Control and Data Acquisition System array and kept 30 days; GC§60200 et seq. Considered a copy; retention based on administrative value; Daily backups are replicated to Network Attached Storage disk Backups to Disk Storage Array-SCADA Pump Stations array and kept 14 days;the daily backups are rolled up and saved ADMIN/IT 0778 14 (Intervals: Daily, Weekly, Monthly, Quarterly, Yearly) Up to 1 year into: 4 Weekly backups, 3 Monthly backups, 3 Quarterly backups Supervisory Control and Data Acquisition System and 1 Yearly backup; 3 Daily and 4 Weekly backups are also copied to disk storage at an off-site Disaster Recovery site; GC §60200 et seq. Considered a copy; retention based on administrative value; Weekly backups are generated from daily backup rollups and are Backups to Disk Storage Array-Windows Servers kept 4 weeks; Monthly backups are kept 3 months; Quarterly ADMIN/IT 0779 14 Up to 1 year backups are kept 3 quarters;Yearly backups are generated from (Intervals: Daily, Weekly, Monthly, Quarterly, Yearly) quarterly backup rollups and kept for 1 year; the Disk Storage Array is located in an off-site Disaster Recovery site; GC§60200 et seq. Considered a copy; retention based on administrative value; ADMIN/IT 0780 14 Backups to Tape-AS/400 Server 6 months Daily full backups are written to tape Monday through Friday; (Interval: Daily) Friday's tape is stored at CSO;tapes are reused; GC§60200 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 1 7/17/19) Admin/IT- Page 1 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 24 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute ADMIN / INFORMATION TECHNOLOGY (14) ` without prior written consent Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Backups to Tape-Windows Servers Considered a copy; retention based on administrative value; ADMIN/IT 0781 14 (Interval: Daily) 7 days Daily backups are written to tape and rotated out over a 3 week period; tapes are reused; GC§60200 et seq. System ADMIN/IT 0782 14 Helpdesk(IT service requests)database Life of Department preference; GC§60201 et seq. ADMIN/IT 0783 14 Live Replication-AS/400 Server Life of For disaster recovery purposes, live replication is maintainedSystembetween Martinez and CSO servers; GC§60201 et seq. Software Licenses/Software and Hardware Manuals-Server&PC Software When Department Preference (Preliminary documents); GC§60200, ADMIN/IT 0784 14 Licensing Records Superseded 60201 et seq. or Replaced Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 1 7/17/19) Admin/IT- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 25 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE 92005 Gladwell Govemmental Servic es.I nc. Al:rigrose nre wllhoud prlorwrltten consent d.Do nol dupllcale OF dlstri6ule ADMIN I PURCH. & MATERIALS SERVICES (17) Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests,audits, and investigations;in which case,retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN./PURCHASING&MATERIALS SERVICES Agreements, Contracts, Purchase Orders, Blanket Purchase Orders- Hazardous Waste/Infrastructure Procurement of goods, services, materials, equipment and supplies pertaining ADMIN/ to Capital improvements that create infrastructure, modify or extend life of I Department preference; Infrastructure related contracts are Purchasing 0904 17 infrastructure(Public Works/UPCCAA procurements). P permanent for emergency preparedness; Statute of Limitations is & Materials 4 years; 10 years for Errors&Omissions; CCP§§337. 337.1(a), Services Procurement of services involving Hazardous Waste. 337.15, 343; GC§60201 et seq. May include successful solicitations(bids, RFPs, RFQs)and submittals. (Excludes for maintaining infrastructure-See RS 0903). Agreements, Contracts, Purchase Orders, Blanket Purchase Orders- Non- Infrastructure Procurement of goods, services, materials, equipment and supplies. Department preference; Covers E&O Statute of Limitations; ADMIN/ I ]Published Audit Standards=4-7 years; Statute of Limitations: Purchasing Includes procurements pertaining to Capital improvements that maintain Completion Contracts&Spec's=4 years, Wrongful Death=comp. + 5 years, & Materials 0903 17 infrastructure such as routine, usual or recurring maintenance or services. + 10 Years Developers=comp. + 10 years; Statewide guidelines propose Services termination + 5 years; CCP§§336(a), 337 et. seq., GC§60201 et May include successful solicitations(bids, RFPs, RFQs)and submittals. seq. (Excludes for creating, modifying or extending life of infrastructure, see RS 0904 Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) Admin/PUR- Page 1 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 26 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE 92005 Gladwell Govemmental Servic es.I nc. Al:rigrose nre wllhoud prlorwrltten consent d.Do nol dupllcale OF dlstri6ule ADMIN I PURCH. & MATERIALS SERVICES (17) Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests,audits, and investigations;in which case,retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Solicitations and Submittals- Unsuccessful ADMIN/ Generally, successful are filed with the corresponding binding document. Purchasing 0013 17 2018 and prior, some successful submittals that were too bulky to file with the 10 years Department preference; Special Districts are required to keep & Materials corresponding binding document were filed in this category. public works unaccepted bids for 2 years; GC§60201(d)(11) Services e.g., Bids, RFQs, RFPs ADMIN/ Longest Statute of Limitations is 10 years; conforms with Purchasing 0037 17 Insurance Certificates AFTER 2001 (for Contracts,Vendors) 11 Years agreement/contract retention; statewide guidelines propose Services ADMIN/ Purchasing 0902 17 Receiving Reports-Packing Lists 7 Years Department preference; GC§60200 & Materials Service Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) Admin/PUR- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 27 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute ADMIN / RISK MANAGEMENT (18) without prior written consent Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests,audits, and investigations;in which case,retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN./RISK MANAGEMENT ADMIN/ 0001 18 Accident, Damage, Incident, Event or Injury Reports/Vehicle Accidents/ 5 years Department preference; These don't result in a claim (also see Risk Mgmt. Potential Claims(Adults) Claims,Workers Compensation & Lawsuits; GC§60201 et seq. ADMIN/ Accident, Damage, Incident, Event or Injury Reports/Vehicle Accidents/ 5 years after Department preference; These don't result in a claim (also see Risk Mgmt. 18 Potential Claims(Minors/Juveniles) minor's 18th Claims,Workers Compensation & Lawsuits; Minors can reclaim birthdayafter 18th birthday; GC§60201 et seq. ADMIN/ 0951 18 Actuarial Reports 10 years Department preference;Actuaries use 10 years of data; GC Risk Mgmt. §60201 et seq. ADMIN/ May contain independent contractor's compensation, expense Risk Mgmt. 0952 18 Attorney Invoices/Bills (may include confidential information) 7 years reimbursement; Meets municipal government auditing standards; GC§60201(d)(12) ADMIN/ 0954 18 Claims/Losses-Liability/Personal Property Losses-Third Party ClaimsMyea Department preference; GC§60201 et seq. Risk Mgmt. (Includes Sanitary Sewer Overflows) ADMIN/ Claims/Losses e Risk Mgmt. 0955 18 (Database) 5 Department preference (data is inter-related); GC§60201 et seq. DMV Pull Notices/Printouts Department preference (DMV record that the District considers a ADMIN/ 0956 18 ed, non-record used for reference); DMV audits every 2 years; Bureau Risk Mgmt. [Post Hire] of National Affairs recommends 2 years for all supplementary n Personnel records; GC§60201 et seq. ADMIN/ Emergency Action Plans/Disaster Preparedness Manuals, Documents of historical significance should be retained longer; Risk Mgmt. 0957 18 Emergency Programs, Emergency Exercises, Drills(Emergency Response Superseded GC§60201 Plans for Communications, )etc. +2 vears ADMIN/ 0960 18 Insurance Policies of District Liability(Employment Practices Liability, P Department preference; GC§60201 et seq. Risk Mgmt. Pollution) ADMIN/ 0961 18 Insurance Policies of District Property Expiration +i Department preference; GC§60201 et seq. Risk Mgmt. 10 years ADMIN/ 0962 18 Insurance Policies of District 5 years Department preference; GC§60201 et seq. Risk Mgmt. Working papers, supporting documentation for policies Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/RM- Page 1 of 3 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 28 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute ADMIN / RISK MANAGEMENT (18) without prior written consent Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests,audits, and investigations;in which case,retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Upon Return ADMIN/ of Key or Risk Mgmt. 18 Key Logs Separation Department preference; GC§60201 et seq. from Em to ment Litigation &Lawsuits-Employment Benefits e.g., Lawsuits initiated by represented/unrepresented employee groups or Department preference; Statute of Limitations for most contracts is ADMIN/ 0977 18 individual employees pertaining to employment benefits or retirement P 4 years;wrongful death for construction is completion + 5 years; Risk Mgmt. benefits, against the District(CCCSD)or against Contra Costa County CCP§§337 et seq.; GC§§945, 60201 et seq. Employees' Retirement Association (CCCERA) (Excludes employment practices issues-see RS 0959) Litigation &Lawsuits-Employment Practices e.g., Lawsuits or claims by employees or prospective employees against Separation + the District pertaining to discrimination (such as sex, race, age or 7 years or Department preference; Calif. Labor Division is required to keep their OSHA records 7 years; EEOC/FLSA/ADEA(Age)requires 3 ADMIN/ disability,)wrongful termination, harassment, retaliation or other Disposition + Risk Mgmt. 0959 18 employment-relate issues; includes complaints or claims filed with state or 7 years, years for promotion, demotion,transfer, selection, or discharge; federal agencies such as Department of Fair Employment and Housing whichever is State Law requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR §3204(d)(1)et seq., GC§§12946, 60201 et seq (DFEH)and Equal Employment Opportunity Commission (EEOC) Longer (Excludes retirement and benefits-related issues-See RS 0977) ADMIN/ Litigation &Lawsuits (Excludes Employment Benefits, Employment DispositionDepartment preference; Statute of Limitations for most contracts is + Risk Mgmt. 0964 18 Practices, Personnel Issues, and Real Property) 15 years 4 years;wrongful death for construction is completion + 5 years; CCP§§337 et seq.; GC§§945, 60201 et seq. ADMIN/ 0965 18 Logs:Visitor Logs(after hours), Daily Activity Reports, Security Logs/Sign 2 years Department preference; GC§60201 et. seq. Risk Mgmt. In Logs ADMIN/ 0823 18 Parking Authorization List Superseded GC§60201 et seq. Risk Mgmt. (Parking authority at Plant Site)Original forwarded to Risk Management ADMIN/ 18 Real Property-Claims, Losses Litigation & Lawsuits(Includes Sewer P Department reference; GC 60201 et se GC 60201(d)(8) Risk Mgmt. Overflows and Hazardous Waste related; excludes Slide Repair files) p p § q'' § ( )( ) ADMIN/ Department preference; Statute of Limitations for most contracts is Risk Mgmt. 0967 18 Release of Liability P 4 years;wrongful death for construction is completion + 5 years; CCP§§ 337 et seq.; GC§§ 945, 60201 et seq.; PC§832.5 Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/RM- Page 2 of 3 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 29 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute ADMIN / RISK MANAGEMENT (18) without prior written consent Office of Record Record Series Record Series Title Total Comments/Reference Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests,audits, and investigations;in which case,retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ADMIN/ Department preference; OSHA requires 5 years; State law Risk Mgmt. 0969 18 Risk Assessments/Risk Control Audits 5 years requires 2 years; 8 CCR 14300.33(a); 29 CFR 1904.33, 29 CFR 1904.44; GC§60201 et seq.; LC§6429c ADMIN/ 18 Security Activity Reports 2 years Copies(the database is the original); GC§60200 Risk Mgmt. ADMIN/ Life of the Department preference (the data is interrelated); GC§60201 et Risk Mgmt. 18 Security Database System + 1 seq. ADMIN/ Department preference; Statute of Limitations for most contracts is Risk Mgmt. 0973 18 Settlement Agreements P 4 years;wrongful death for construction is completion + 5 years; CCP§§ 337 et seq.; GC§§ 945, 60201 et seq.; PC§832.5 ADMIN/ 0979 18 Slide Repair Files P Department preference; GC§60201 et seq. Risk Mgmt. ADMIN/ 0069 18 Tapes&Recordings(Audio, CD, DVD,Video,VHS)Security Videos, etc. 1 year GC§53160, §60201 et seq. Risk Mgmt. ADMIN/ Death + 5 Department preference; Claims can be made for 30 years for toxic Risk Mgmt. 0978 18 Workers Compensation Files-Deceased Employees years substance exposure; 8 CCR§3204(d)(1)et seq., GC§§12946, 60201 et seq. Separation + 30 years, or Department preference; Claims can be made for 30 years for toxic ADMIN/ 0976 18 Workers Compensation Files-Regular Termination substance exposure; 8 CCR§3204(d)(1)et seq., GC§§12946, Risk Mgmt. of Benefits, 60201 et seq; LC§1198.5, 8 CCR 5144, 29 CFR whichever is 1910.1020(d)(1)(i) longer Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) Admin/RM- Page 3 of 3 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 30 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 31 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE (RRS) J ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute DISTRICT COUNSEL (21) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). COUNSELDISTRICT District 1059 21 District Counsel Legal Opinions 10 yearsDepartment preference; GC§60201 et seq. Counsel District Litigation &Lawsuits-Employment Benefits Counsel e.g., Lawsuits initiated by represented/unrepresented employee groups or until Department preference; Statute of Limitations for most contracts is individual employees pertaining to employment benefits or retirement Transferred 0977 21 P 4 years;wrongful death for construction is completion + 5 years; to benefits, against the District(CCCSD)or against Contra Costa County CCP§§ 337 et seq.; GC§§ 945, 60201 et seq. Admin/Risk Employees' Retirement Association (CCCERA) Mgmt. (Excludes employment practices issues-see RS 0959) District Counsel Litigation &Lawsuits until Department preference; Statute of Limitations for most contracts is Transferred 0964 21 (Excludes Employment Benefits, Employment Practices, Personnel Issues, Disposition 4 years;wrongful death for construction is completion + 5 years; to and Real Property) + 15 years CCP§§ 337 et seq.; GC§§ 945, 60201 et seq. Admin/Risk Mgmt. District 0302 21 Projects& Issues (varies over time) 15 years GC§60201 et seq. Counsel District Counsel until Real Property-Claims, Losses Litigation & Lawsuits Transferred 21 (Includes Sewer Overflows and Hazardous Waste related; excludes Slide P Department preference; GC§60201 et seq.; GC§60201(d)(8) to Repair files) Admin/Risk Mgmt. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) DC- Page 1 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 32 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE (RRS) j ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute DISTRICT COUNSEL (21) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). District Counsel until Department preference; Statute of Limitations for most contracts is Transferred 0973 21 Settlement Agreements P 4 years;wrongful death for construction is completion + 5 years; to I CCP§§337 et seq.; GC§§945, 60201 et seq. Admin/Risk Mgmt. District Counsel until Transferred 0979 21 Slide Repair Files P Department preference; GC§60201 et seq. to Admin/Risk Mgmt. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) DC- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 33 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE �� wlthoul prior written co C!2005 Gladwell Governmental Services,Inc. All rights reserved_ c a nsent nol duplicate or dlslriduJle ENG. & TECH. SRVS. / CAPITAL PROJECTS (05) Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). PROJECTS • • PROJECTS, i E&TS/ Annexations/Boundary Changes (Local Agency Formation Commission- Capital 0452 05 LAFCO) P GC§60201 et seq. Projects Index, Maps, Documents, Correspondence E&TS/ Aperture Cards: may include Subdivision Information, Documents, Plans and Capital 0507 05 Profiles P Department preference; For disaster preparedness purposes; Projects Images have been digitized and imported into Laserfiche, geographic GC§60201 et seq. information system or other District software system E&TS/ Capital 0453 05 Capital Improvement Plans (CIP)and Capital Improvement Budget(CIB) P Department preference; Part of the budget; GC§60200 Projects E&TS/ City of Concord Contract(Agreement, amendments for Operations Capital 0456 05 Maintenance, Shared Facilities) P Department preference; GC§60201 et seq. Projects (Non-project related files) E&TS/ Copyrights/Trademarks/Patents-Maintained in Project Files Capital 0024 05 (see Secretary of the District for Non-District Project Specific Patents)License P Department preference; GC§60201 et seq. Projects Agreements 5 years E&TS/ Engineering Project Files/Capital Improvement Project(CIP) Files: from Final Capital 0818 05 As-Built/ Preliminary drafts; GC§60201 et seq. Projects Record Drawing Mark-ups,Working Maps, pre"As Built" maps (Drafts) Record Drawing Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/CP- Page 1 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 34 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE �� wlthoul prior written co C!2005 Gladwell Governmental Services,Inc. All rights reserved_ c a nsent nol duplicate or dlslriduJle ENG. & TECH. SRVS. / CAPITAL PROJECTS (05) Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Engineering Projects/Capital Improvement Projects (CIP)-Administrative Files e.g., Design Phase: Position Papers, Project Schedules, Proposals, Contract Correspondence, Engineering Services, Cost Estimates, Backup, Contract Negotiations, Costs and Billings(Budgets,Authorizations,Accounting Adjustment Forms/Corrections, Material Requisitions, Invoices, Payment Authorizations), General Project Communications(Correspondence From/To Consultants,Agencies, Others; Field Memos/Trip Reports, Meetings, Workshops, Presentations, Public Hearings), Reports (Review Comments, Cost Estimates), Construction Cost Estimates, 50%and 95% Plans and Specifications, (50%, 95% and Final) Review Comments, Prequalification of Contractors, Bid Phase (Approval to Advertise, Prospective Bidders List, E&TS/ Bidder Inquiries, Pre-bid Meetings/Minutes, Bid Opening Reports, Bid For disaster preparedness purposes; Final environmental Capital 0506 05 Summary, Evaluation of Bids, Pre-Award Submittals, Prevailing Wage 10 years determinations are required to be kept a"reasonable period of Projects Determination, Notice of Award/Apprentice Labor Relations Board time"; 14 CCR§15095(c); GC§60201 et seq. Notification), Special Project Forms, Construction Activities During Design Phase e.g., Construction Phase: Preconstruction Coordination, Bids and Design Review Comments/Notes,Workshops, Presentations, Public Hearings, Public Records Requests, Requests for Proposals, Extra Work Reports/Potential Claims, Safety/Accident/Illness Reports and Contractor IIPPs, Certified Payrolls, Position Papers, Correction Notices, Public and CSO/POD Contact Reports, Shutdown Requests, Equipment Spare Parts, Hot Work Permits, Preliminary Notices, Stop Notices, Budget/Progress Payments (Accounting Adjustments, Payments, Purchases, Material Requisitions, Invoices, Payment Authorizations), Preconstruction and Construction Photographs,Training Schedules,Video/TV Inspection Results, Preconstruction Survey, Contract Closeout Prefinal/Final Inspection/Startup and Punch List Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/CP- Page 2 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 35 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT RECORDS RETENTION SCHEDULE �� wlthoul prior written co C!2005 Gladwell Governmental Services,Inc. All rights reserved_ c a nsent nol duplicate or dlslriduJle ENG. & TECH. SRVS. / CAPITAL PROJECTS (05) Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Engineering Projects/Capital Improvement Projects (CIP)-Permanent Files e.g., Design Phase: Contracts, Report Outlines, Final Reports, and TV Reports, Reference Materials, Consultant Reports, Report Calculations, Design (Disciplines, Memos and Directives, Civil/Structural, Survey, I For disaster preparedness purposes; GC§60201 et seq.; Final Specifications, Right of Way Easements and Agreements, Calculations, Final environmental determinations are required to be kept a Plans and Specifications, Permits), Litigation,Attorney-Client Privilege "reasonable period of time"; 14 CCR§15095(c); GC§60201 et E&TS/ e.g., Construction Phase: Contracts, Consultant Agreements, Insurance, seq.; Statute of Limitations for written contracts are four years P Capital 0817 05 Bonds, Correspondence (From/To Contractors, Consultants,Agencies, from the date of breach; errors and omissions is 10 years; Projects Property Owners, Others), Change Orders/Memos, RFIs(Contractor-related), Death during construction is 10 years; CCP§§337., 337.1(a), Progress and Miscellaneous Meetings and Minutes, Daily Work Verification 337.15 GC§60201 et seq., Contractor has retention Reports, Work Directives, Permits/Easements, Reports(Schedules/Progress, requirements in 48 CFR 4.703 Daily Inspections, Survey, Noise,Vibration and Odor), Shop Drawing Submittals and Log,Tests(Soils, Concrete, Pipes, Miscellaneous), Concrete Pour Cards, Contract Acceptance/Closeout(Warranties, Record Drawings,As Builts, CIB Form, Position Paper, Notice of Completion), O&M Manuals, Specifications/Geotech Reports,Attorney-Client Privilege, Engineer's Project Files on CD E&TS/ Mt.View Sanitary District Contract(Agreement, amendments for Operations Capital 0467 05 Maintenance, Shared Facilities) P Department preference; GC§60201 et seq. Projects (Non-project related files) E&TS/ Not accessible to the public; Statewide Guidelines show 2 Capital 0303 02 Real Estate Appraisals-Property NOT purchased, Loans not funded, etc. 10 years years; GC§§60201 et seq., 6254(h) Projects Department preference; USPAP (Uniform Standards of E&TS/ Professional Appraisal Practice)ethical standards require Capital 0471 05 Real Estate Appraisals-Property purchased P appraisers to retain records for at least 5 years, or final Projects disposition +2 years, if used in a judicial proceeding; GC 1§60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/CP- Page 3 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 36 of 95 CENTRAL CONTRA COSTA SANITARY DISTRICT consent RECORDS RETENTION SCHEDULE ,- wlthoul prior written c C!2005 Gladwell Governmental Services,Inc. J All rights reserved. o nol duplicate or dlslridule ENG. & TECH. SRVS. / CAPITAL PROJECTS (05) Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). E&TS/ Department preference; plans must be updated every 5 years, Capital Sewer System Management Plans (SSMP)and Audits 5 years audits are required every 2 years; SWRCB Order 2006-03;40 Projects CFR 122.410)(2); GC§60201 et seq. E&TS/ Capital 0476 05 Special Purpose Maps/Tracts with Survey Notes P Department preference; GC§60201 et seq. Projects E&TS/ TV Collection Line Inspection/Video Inspections (Digital Recordings)- Life of Capital 0478 05 Capital Project Inspections Acceptance Work(all lines) System + Department preference; GC§60201 et seq. Projects (Electronic File effective 2004) Permanent E&TS/ TV Collection Line Inspection/Video Inspections (Video Tapes)-Capital Department preference; estimated life expectancy of VHS tapes Capital Project Inspections Acceptance Work(all lines) Life of Tape is 10 years based on when degradation occurs;VHS tape Projects (These are 2004 and older recordings on VHS tapes archived with District recordings were replaced with digital recordings (electronic Project physical files) files)in 2004; GC§60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/CP- Page 4 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 37 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). ENVIRONMENTAL •MPLIANCE SOURCE CONTROL Agreements City of Concord Memorandum of Understanding - Department preference; Covers E&O Statute of Limitations; E&TS/ CORRESPONDENCE AND ADMINISTRATION Published Audit Standards=4-7 years; Statute of Limitations: ERC/ 0492 07 For administration of a Pretreatment Program Completion Contracts&Spec's=4 years, Wrongful Death=comp. + 5 years, Environ. + 10 years Developers=comp. + 10 years; Statewide guidelines propose Compliance (Excludes compliance and inspection records, see RS 0495; excludes termination + 5 years; CCP§§336(a), 337 et. seq., GC§60201 pretreatment program records, see RS 0498) et seq. Agreements-Contra Costa Clean Water Program Service Agreement Department preference; Covers E&O Statute of Limitations; E&TS/ CORRESPONDENCE AND ADMINISTRATION Published Audit Standards=4-7 years; Statute of Limitations: ERC/ For provisions of industrial and commercial facility inspections and illicit Completion Contracts&Spec's=4 years, Wrongful Death=comp. + 5 years, Environ. 0502 07 discharge control activities(Stormwater) + 10 years Develo ers=comp• + 10 ears; Statewide guidelines propose Compliance termination + 5 years; CCP§§336(a), 337 et. seq., GC§60201 (Excludes compliance and inspection records, see RS 0495) et seq. Agreements- Mt.View Sanitary District Service Agreement- E&TS/ CORRESPONDENCE AND ADMINISTRATION ERC/ For provision of industrial and commercial facility inspections and pollution Completion1§60201 Department preference; CCP§§336(a), 337 et. seq., GC Environ. 0467 07 prevention support services + 10 years et seq. Compliance (Excludes compliance and inspection records, see RS 0495) E&TS/ Department preference; Solid Waste Transfer/Processing is 3 ERC/ 0491 07 Bollinger Canyon Clean-up and Abatement Order Project P years; Electronic Waste Recycling is 3 years; Non-hazardous Environ. (Monitoring and Maintenance Reports) Ash Disposal is 5 years; 14 CCR 17379(a); 14 CCR 18660.8(d); Compliance 14 CCR 17414(b); GC§60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 1 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 38 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Industrial User(IU)/Best Management Practices(BMP)/Commercial/ SDP (short-term/Dental)ADDRESS/FACILITY FILE/SITE E&TS/ INSPECTIONS Close of ERC/ [Street Files] Business/ Environ. 0495 07 e.g. dry cleaners food service, vehicle maintenance and repair facilities, Termination Department preference; GC§60201 et seq. Compliance etc. of Use+ 10 years (Includes City of Concord, Mt.View Sanitary District, and Contra Costa Clean Water Program service areas) E&TS/ Industrial User(IU), Permitted/Pretreatment Program-ANNUAL FILES ERC/ 0498 07 Class I, II, III, SDP (multi-year) 10 years Department preference; NPDES Monitoring records required Environ. for 3 years;40 CFR§§122.21, 122.41, 122.44,40 CFR 792.195 Compliance (Includes City of Concord service area) E&TS/ Industrial User(IU), Permitted -APPLICATIONS, SPILL RESPONSE Close of ERC/ PLAN Business/ Department preference; NPDES Monitoring records required Environ. 0497 07 Class I, II, III, SDP (multi-year) Termination for 3 years;40 CFR§§122.21, 122.41, 122.44,40 CFR 792.195 Compliance of Use+ 10 (includes City of Concord service areas) years Landfills-Permit, Periodic Compliance Reporting E&TS/ e.g., routine correspondence and reports received from Acme Fill, ERC/ 07 International Technologies, etc. 10 years Department preference; GC§60201 et seq. Environ. Compliance (Excludes operational oversight records,which are filed in Industrial User files, see RS 0497) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 2 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 39 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Landfills-Remediation and Monitoring E&TS/ Department preference; Solid Waste Transfer/Processing is 3 ERC/ e.g. permits closure plans, agreements, reports, litigation files, etc.for years; Electronic Waste Recycling is 3 years; Non-hazardous Environ. 0493 07 Acme Fill, International Technologies Corporation, etc. P Ash Disposal is 5 years; 14 CCR 17379(a); 14 CCR 18660.8(d); Compliance (Excludes operational oversight records,which are filed in Industrial Users 14 CCR 17414(b); GC§60201 et seq. files, see RS 0497) E&TS/ Minimum ERC/ 0496 07 Local Discharge Limits/Pretreatment Local Limits Superseded Department preference; NPDES Monitoring records required for Environ. (Technical documents, correspondence) + 10 years 3 years;40 CFR§§122.21, 122.41, 122.44,40 CFR 792.195 Compliance E&TS/ Pollution Prevention Program Activities (Award Applications and Awards) ERC/ 0503 07 5 years Department preference; GC§60201 et seq. Environ. The awards program was discontinued, once records in this category have Compliance been destroyed,this record series becomes obsolete. E&TS/ Regulatory Agencies-Correspondence,Audits, Findings, ERC/ 0499 07 Correspondence,Annual and Semi-Annual Reports, Regional Boards P Department Preference;40 CFR 792.195; GC§60201 et seq. Environ. (RWQCB, USEPA, etc.) Compliance E&TS/ ERC/ 0500 07 Reports: Investigation or Studies of Industries or Areas 10 years Department preference;40 CFR 792.195; GC§60201 et seq. Environ. e.g., trunk line monitoring, etc. Compliance E&TS/ Life of ERC/ 0501 07 Source Control Database System +5 Data is interrelated; GC§60201 et seq. Environ. (Street Address Sites) Compliance years E&TS/ ERC/ 0504 07 Waste Hauler Permits (Septic, Grease Control, etc.)-By Hauler 5 years Meets municipal government auditing standards;-GC§60201 et Environ. seq. Compliance Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 3 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 40 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). HOUSEHOLD HAZARDOUS0. E&TS/ Audits and Inspections from Regulatory Agencies ERC/ CUPA(Certified Unified Program Agencies), DOHS (Department of Health Department preference; consistent with safety inspections;40 Household 0480 06 Services), Fire Department, DOT(Department of Transportation), 7 years CFR§§122.21, 122.41,40 CFR 792.195; GC§60201 et seq. Hazardous Stormwater/Sewer Inspections, etc. Waste E&TS/ Consistent with HW Manifests; Test results for hazardous waste ERC/ CESQG Inventory Forms(Small Business Participation Registration/ generators are required for 3 years; Used Oil is required for 3 Household 0481 06 Receipts for Material to be Disposed) 3 years years;40 CFR 262.40, 8 CCR 3204(d)(1)(A), 22 CCR 66262.40; Hazardous 22 CCR 66266.130(c)(5), H&S§25250.18(b)(3), Waste 25250.19(a)(2)(B)et seq. E&TS/ Permits are issued by the County;test results for hazardous ERC/ Household Hazardous Waste Mobile Events waste generators are required for 3 years; Used Oil is required Household 0482 06 (Permits, Property Agreements) 3 years for 3 years;40 CFR 262.40, 8 CCR 3204(d)(1)(A), 22 CCR Hazardous 66262.40; 22 CCR 66266.130(c)(5), H&S§25250.18(b)(3), Waste 25250.19(a)(2)(B)et seq. E&TS/ Department preference; Fire system/backflow testing is ERC/ Inspections(Internal) required for 2 years; UFC§10-2-5.7; UPC§603.3.3; GC Household 0483 06 Daily,Weekly, Community, Fire Alarm, Safety, Fire Extinguisher, Fume 3 years §60201; Hazardous Materials Inspections CCR67450.3, HSC Hazardous Hood Calibration 25200.3 and 25201.5 Waste E&TS/ ERC/ Supersedeld Household 0484 06 Manuals: Operations&Maintenance O&M Facility Maintenance or UntilDepartment preference; GC§60201 et seq. Hazardous Disposal Waste Equipmen Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 4 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 41 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Department preference to cover hazardous waste matters; E&TS/ Partner Agencies(Includes contracts and correspondence) Covers E&O Statute of Limitations; Published Audit ERC/ Standards=4-7 years; Statute of Limitations: Contracts& Household 0485 06 P Spec's=4 years,Wrongful Death=comp. +5 years, Cities of Concord, Clayton, San Ramon, Mt.View Sanitary District, etc. Hazardous (Household Hazardous Waste Facility Use Agreements) IDevelopers=comp. + 10 years; Statewide guidelines propose Waste termination + 5 years; CCP§§336(a), 337 et. seq., GC§60201 et seq. E&TS/ ERC/ Permits Household 0486 06 (Permit by Rule, Variances, Exemptions, Land Use, Sewer, etc.) P Department preference; GC§60201 et seq. Hazardous Waste E&TS/ Reports: CalRecycle/HHWCF Annual Reporting (These are included as Department preference, HHW Collection Facility Annual ERC/ an appendix to the District's annual report) Reports,which include a copy of Form 303, are retained Household 0487 06 10 yearspermanent in the Board meeting Agenda packets by the Hazardous e.g., Household Hazardous Water annual reports to the Board, CalRecycle Secretary of the District; GC§60201 et seq. Waste Form 303, etc. E&TS/ Technician Attendance Records/Time Sheets ERC/ Track attendance for hours of work, and specific training including tailgates Preliminary drafts; Department Preference; GC§§12946, 60201 Household 0479 06 and training updates(Source records for Technician Hours and Training 5 years et seq. Hazardous Waste Log) E&TS/ Technician Hours and Training Log Department preference; Claims can be made for 30 years for ERC/ Life of toxic substance exposure; 8 CCR§3204(d)(1)et seq., GC Household 06 Log of hours worked,training received including tailgates and training System + §§12946, 60201 et seq. Hazardous updates(Excel spreadsheet) 30 years Waste Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 5 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 42 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). E&TS/ Department preference; Statewide guidelines propose 7 years; ERC/ Training-By Employee for HHW Contract Employees(Attendance Calif. Labor Division is required to keep their OSHA records 7 Separation1-3 years; EEOC/FLSA/ADEA(Age)requires 3 years for promotion, Household 0488 06 Rosters, Certificates, Outlines and Materials) + 30 yearsdemotion,transfer, selection, or discharge; State Law requires 2 Waste Hazardous Includes: Material Handling Exposure years; 29 CFR 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 et seq. Department Preference; Claims can be made for 30 years for E&TS/ toxic substance exposure; Statewide guidelines propose 7 ERC/ Training-By Employee for HHW District Employees(Attendance Rosters, Separation years; Calif. Labor Division is required to keep their OSHA Household 0489 06 Certificates, Outlines and Materials) + 30 years records 7 years; EEOC/FLSA/ADEA(Age)requires 3 years for Hazardous promotion, demotion,transfer, selection, or discharge; State Waste Law requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR §3204(d)(1)et seq., GC§§12946, 60201 et seq. E&TS/ Transportation-Waste Disposal Department Preference;test results for hazardous waste ERC/ generators are required for 3 years; Used Oil is required for 3 Household 0490 06 Hazardous Waste Manifests, Bills of Ladings(BOLs), HHW Mobile Event P years;40 CFR 265.71, 40 CFR 262.40, 8 CCR 3204(d)(1)(A), Hazardous Manifests, Certificates of Destruction/Recycling, etc. 22 CCR 66262.40; 22 CCR 66266.130(c)(5), H&S Waste §25250.18(b)(3), 25250.19(a)(2)(B)et seq. _ . - • E&TS/ Environmental Laboratory Accreditation Program (ELAP) ERC/ 0803 16 Certificate and Correspondence 30 yearsDepartment preference; GC§60201 et seq.,40 CFR 792.195 Laboratory E&TS/ Inspections(Internal) ERC/ (like 483 5 ears ]Department preference; GC§60201 et seq.; Hazardous Laboratory in HHW) e.g., Fume Hood Inspections, Injury& Illness Prevention Program (IIPP) y Materials Inspections CCR67450.3, HSC 25200.3 and 25201.5 Inspections, etc. E&TS/ Laboratory Data and Laboratory Calibration ERC/ 0801 16 10 years Department preference; GC§60201 et seq. Laboratory e.g., TSS, Bacteria, EPA1631, EPA 200.3, etc. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 6 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 43 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). E&TS/ Life of ERC/ 0804 16 Laboratory Information Management System (LIMS)Database System + Data is interrelated; GC§60201 et seq. Laboratory 10 ears E&TS/ Laboratory Studies ERC I P Department preference; GC§60201 et seq. Laboratory e.g. NO3,ATP,Walnut Creek NH3 Study, etc. E&TS/ Disposal of ERC/ 0805 16 Manuals-Operation and Maintenance O&M for various equipment Equipment Administrative value; GC§60201 et seq. Laboratory + 10 ears E&TS/ Quality Assurance ERC/ 0806 16 e.g., MDL's, Corrective Actions, Performance Testing,Training Records, 10 years Department preference; GC§60201 et seq. Laboratory etc. E&TS/ Reports: NPDES (National Pollutant Discharge Elimination System) Department preference (originals are sent to the Regional ERC/ 0808 16 Monitoring Reports and Process Control Reports 10 yearsBoard); Monitoring records required for 3 years; 40 CFR Laboratory (Monthly and Annually) §§122.21, 122.41, 122.44 GC§60201 et seq. E&TS/ Superseded ERC/ 0809 16 Standard Operating Procedures(SOP)-Laboratory Testing Procedures + 10 years Department preference; GC§60201 et seq.,40 CFR 792.195 Laboratory E&TS/ (like 490 ERC/ in HHW) Waste Disposal- Laboratory 5 years Department preference; GC§60201 et seq. Laboratory REGULATORY • E&TS/ ERC/ 0811 15 Air Quality Permit-Operations (Including Title V, BAAQMD, Permit PDepartment preference;40 CFR 70.6; GC§60201 et seq. Regulatory Applications) Compliance E&TS/ ERC/ 0821 15 NPDES (National Pollutant Discharge Elimination System) Permits P Department preference; Permits are for 5 years; Monitoring Regulatory records required for 3 years;40 CFR§§122.21, 122.41, 122.44 Compliance Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 7 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 44 of 95 CENTRAL CGNTRA CO STA SANITARY DISTRICT RECORDS RETENTION SCHEDULE (x12005 GI ad well Governmental Services,Inc. withAl I ahtsre5 a rvee.ut prior written coc u nsenE nGl tlupllcale or Glstndlne ENG. & TECH. SRVS. 1 ENV. & REG. COMP. (06) (07) (15) (16 witho Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). E&TS/ Regulatory Agencies-Correspondence,Audit Findings, Greenhouse Gas ERC/ 0807 15 Reports, Emission Inventories, Health Risk Assessments, Title V- Monthly 10 yearsDepartment preference;40 CFR 792.195; GC§60201 et seq. Regulatory Semi-Annual and Annual Reports, DTSC Semi-annual reports for Soil Caps Compliance e.g.,Air quality correspondence and reporting E&TS/ ERC/ 0825 15 Reports: Biosolids/Sewage Sludge(503 and NPDES)Annual 10 years Department preference; GC§60201 et seq. Regulatory Compliance E&TS/ Solids Handling- Regulatory Compliance Department preference (copies-manifests are attached to ERC/ 0474 05 10 years invoices); Sewage Sludge is required for 5 years;40 CFR Regulatory (Applies to Environmental Services, Planning and Plant Operations '122.41 2 ; WC 13263.2 b et se GC 60201 et se Compliance Department) �)( ) § ( ) q'' § q' E&TS/ ERC/ 0475 05 Solids HandlingRule Development Regulatory Compliance 10 ears Department reference; GC 60201 et se Regulatory p g y p y p p § q' Compliance E&TS/ ERC/ 0833 15 Violations-(Reportable Compliance Activity(RCA)and Notices of 10 years Department preference; GC§60201 et seq. Regulatory Violations (NOV's)) Compliance Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) E&TS/ERC- Page 8 of 8 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 45 of 95 CENTRAL CONTRA cosTA SANITARY DISTRICT REGARDS RETENTION SCHEDULE ()2005 GI ad well Governmental Sendc as,Inc. All rights reserved. consento nol dupilcale or d1slri6ule without prlar written cENG. & TECH. S RVS. / PLAN. & DEV. SRVS. (05) ®' Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). E&TS/PDS/DEVELOPMENT SERVICES(RIGHT OF WAY&PROPERTY MANAGEMENT, DEVELOPMENT INSPECTION, PERMIT COUNTER, MAINLINE REVIEW)(05) E&TS/PDS/ Contractor Registration Files(Permit Counter File) When Develop. 0459 05 (Downloaded copies of Contractors'State License and OSHA Permit, Superseded Department preference; GC§60201 et seq. Services Notices of Violations) or Expired E&TS/PDS/ Development Review Correspondence(Z Files) Develop. 0508 05 Review of other agency projects prior to construction for review of 10 years Department preference; GC§60201 et seq. Services Development Project Conflicts, Interagency project files, coordination files Easement Files-Offers of Dedications, Irrevocable Offers of Dedications, E&TS/PDS/ Grant Deeds and various other Deeds,Appurtenant Easements, Develop. 0510 05 Dedications, Private Access, various Agreements, MOLIs,Assignments, P GC§60201(d)(8) Services Gifts, Purchases, Covenants, Licenses,Assignments, Conditions and Restrictions(CC&Rs), and instruments conveying property rights to the District, Permanent Encroachments, Encroachment Agreements Job Files/Main Line Project Review Files (pre 1980 refer to project numbering system) E&TS/PDS/ Final environmental determinations are required to be kept a Develop. 0461 05 (Applications, Correspondence, Drawings, Inspection Reports, Job Cards, p "reasonable period of time"; 14 CCR§15095(c); GC§60201 et Owner Agreements, Record Drawings/Cut Sheets, Improvement Plans/ Services Plan Review/Permit Counter Scanned Receipts,Applications, seq. Correspondence, Refunds(including project security deposits and refundable bonds) E&TS/PDS/ Land Surveys/Survey books Develop. 0465 05 (Digital and hardcopy records) P Department preference; GC§60201 et seq. Services E&TS/PDS/ Permits/Capacity Fees/Completion Notices/Connection Permits/ Department preference; GC§60201 et seq. Develop. 0457 05 Repair Permits/Permits P Permits scanned Services Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/PDS- Page 1 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 46 of 95 CENTRAL CONTRA cosTA SANITARY DISTRICT REGARDS RETENTION SCHEDULE ()2005 GI ad well Governmental Sendc as,Inc. All rights reserved. consento nol dupilcale or d1slri6ule without prlar written cENG. & TECH. S RVS. / PLAN. & DEV. SRVS. (05) ®' Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Retu rn E&TS/PDS/ Upon Develop. 0633 10 Project Security Deposits, Refundable Bonds Satisfaction Department preference; GC§60201 et seq. Services of Conditions Right of Way and Property Management- Real Property-District Owned Properties (Fee Title&Leases) Grant Deeds,various other Deeds, Lot-Line Adjustments, Mergers, Order E&TS/PDS/ of Condemnations, Dedications, Private Access,various Agreements, Develop. 0460 05 MOUs, Licenses,Assignments, Gifts, Purchases, Covenants, Conditions P GC§60201(d)(8) Services and Restrictions (CC&Rs)and Miscellaneous Instruments granting land rights. 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. E&TS/PDS/ Develop. 0505 05 Standard Specifications (Written by the District) PDepartment preference; GC§60201 et seq. Services E&TS/PDS/ ]Department preference (Tracts maintained by appropriate County Develop. 0477 05 Subdivisions/Tract Map Files(Our Easements are Added to these) P and/or City); GC§60201 et seq. Services E&TS/PDS/FINANCIAL PLANNING(RATES&FEES)(05) E&TS/PDS/ Capacity Use Agreements and Commercial Property Files, CUC(Capacity Financial 0472 05 Use Charge)Agreements P Department preference; GC§60201 et seq. Planning E&TS/PDS/ Financial Delinquent Letters(Post Offices, etc.),Trial Balance 12 years Department preference; GC§60201 et seq. Planning Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/PDS- Page 2 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 47 of 95 CENTRAL CONTRA cosTA SANITARY DISTRICT REGARDS RETENTION SCHEDULE ()2005 GI ad well Governmental Sendc as,Inc. All rights reserved. consento nol dupilcale or d1slri6ule without prlar written cENG. & TECH. S RVS. / PLAN. & DEV. SRVS. (05) ®' Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). E&TS/PDS/ Local Improvement Districts (LID)/Contractual Assessment Districts Financial 0466 05 (CAD)(FINANCIAL PORTION ONLY) P GC§60201 et seq. Planning (Formation and Administration of various districts) E&TS/PDS/ Rates and Charges Development(Reports, Memos, and Backup for Department preference; Final documents are adopted by the Financial 0470 05 Development of Annual Sewer Service Charge, Capacity Fees, 5 years Board (District Secretary is OFR); GC§60201 et seq. Planning Environmental and Development-related fees) E&TS/PDS/ Reimbursement Agreements/Binders/Folders/Documents Fully Paid Financial 0469 05 (Payment tracking) or Expired + Meets auditing standards; GC§60201 et seq. Planning 5 ears E&TS/PDS/ Sewer Service Charge (SSC) County Rolls,Adjustments/Corrections/ Financial 0473 05 CS Listing, Direct Bills, Exceptions&Exemptions/Tax Levy P Department preference; GC§60201 et seq. Plannin •DS/PLANNING&APPLIED RESEARCH (COLLECTIONi E&TS/PDS/ CEQA/NEPA Document Preparation Files-For District Projects 5 years or Planning & The final documents are retained permanent in the District Project files. Completion Department preference;final original documents are forwarded to Applied 0455 05 of Project, Project Managers to file in the Project files; GC§60200 et seq. Research e.g., Environmental Impact Reports, Negative Declarations, Notices of whichever is Determination, Notices of Exemption, etc. later E&TS/PDS/ CEQA/NEPA: Response Preparation Files- For Other Agencies District comments/responses to other agencies' projects (unrelated to a Planning & Department preference; comments are recorded in other Applied 0454 05 District Project) 2 years agencies'documents; GC§60200 et seq. Research e.g.,for other agencies'documents E&TS/PDS/ Planning & 0042 06 Master Plans(Water System, Water Availability, Urban Water Master P Department Preference; GC§60201 et seq. Applied Plan, etc.) Research E&TS/PDS/ Department Preference (installation of lines are in CIP project Planning & 0458 05 Recycled Water Connections/Site Plans/Program Correspondence P files); Published Audit Standards=4-7 years; Statute of Applied Permit Agreement, Water Usage, Regulations, Site Inspections, etc.) Limitations: Contracts&Spec's=4 years; CCP§§336(a), 337 et. Research seq., GC§60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/PDS- Page 3 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 48 of 95 CENTRAL CONTRA cosTA SANITARY DISTRICT REGARDS RETENTION SCHEDULE ()2005 GI ad well Governmental Sendc as,Inc. All rights reserved. consento nol dupilcale or d1slri6ule without prlar written cENG. & TECH. S RVS. / PLAN. & DEV. SRVS. (05) ®' Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). PDS SPECIAL PROJECTS Return to E&TS/ Capital Capital Drawings/Record Drawings/As Builts/Large Format Drawings Projects Department preference; GC§60201 et seq. Projects After Scannin E&TS/ Life of Special Projects& 0464 05 Geographic Information System (GIS) Database System + Data fields are interrelated; GC§60201 et seq. Asset Mgmt. Permanent Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/PDS- Page 4 of 4 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 49 of 95 CENTRAL CENTRA COSTA SANITARY DIS TRI CT RECORDS RETENTION SCHEDULE Q2006 Gladwell Governmental Services.lnc. Althoulsreswrltie6anoldupllca[eardlstrldute ENG. & TECH. SRVS. / RESOURCE RECOVERY (05) wlthoul prlarwrltlen consenS Office of Record Series Record Series Title Comments/Reference Record Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). RESOURCE • E&TS/ Resource Public-Private Partnership Projects/Pilot Projects P Department preference; GC§60201 et seq. Recovery E&TS/ Resource Recycled Water Potential Projects/Clients P Department preference; GC§60201 et seq. Recovery Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) E&TS/RR- Page 1 of 1 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 50 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 51 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute GENERAL MANAGER (12) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). GENERAL MANAGER General 0302 12 Projects& Issues (varies over time) Minimum GC§60201 Manager 15 years General 0401 12 Reports Annual Strategic Plan and related correspondence District Strate P Department reference; GC 60201 et se Manager p g p p § q' Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) GM- Page 1 of 1 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 52 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 53 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / COLLECTION SYSTEMS OPERATIONS (03) ` without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). • -S/COLLECTION SYSTEM • - • • OPS/ Confined Space Entries Lead 0352 03 (Relates to permits) 2 years 8 CCR 5157(d)(14)&(e)(6); 29 CFR 1910.146(e)(6); GC§60201 Division et seq. Customer Issues and Concerns (Excludes those related to the Treatment 0353 03 OPS/ Plant) Database/Cityworks Database Life of System District preference; Data is interrelated; SWRCB Order 2006- CSO + Permanent 0003; NPDES Permit; GC§60201 et seq. (Source: Service Requests, Phone Calls, E-mails, etc.) Lead Customer Issues and Concerns: Paper-INFORMATION Entered in 2 years After District preference; Considered a preliminary draft/source Division 0354 03 database(Division tracking concerns retains originals) Data Entry record (the database is the original); GC§60201 et seq., GC §6252 OPS/ Lead 03 Generator Operation Logs 5 years AQMD Rule 1470; Form 400—E-1 3a instructions, §60201 et seq Division Incidents: Collection System Spill Reports/Sanitary Sewer Overflows Corrective Required for a minimum of 5 years;40 CFR 122.410)(2); OPS/ 0357 03 (SSOs)(regulatory, annual, monthly, inter-office, etc.) Action + 10 SWRCB Order 2006-0003; NPDES Permit;40 CFR 122.410)(2); CSO GC§60201 et seq. (Orange Sheets) years Maintenance Files (Construction/Spot Repairs, Daily Logs/Daily Work Reports (DWRs), District preference to be consistent with other records; GC Overflows, Pipeline Daily Work Reports/Pipeline Cleaning Work Schedule, OPS/ et seq.; SWRCB Order 2006-0003; NPDES Permit CSO 0358 03 Underground Service Alerts (USA): Utility Cuts, Rodding/Hydro flush, 5 years1§60201 monitoring records required for 3 years;40 CFR§§122.21,40 Routine/Scheduled Maintenance, Completed Street Job Projects CFR 122.410)(2), 122.41, 122.44 (Colored folders) OPS/ 03 Pre-Trip Inspections/DOT Program/Vehicle Safety Checks/Daily Vehicle 2 years 13 CCR 1234(e); GC§60201 et seq. CSO Inspections/Daily Equipment Checks/Generator Monthly Checklists OPS/ TV Collection Line Inspection, TV Reports/Video Inspections (Digital Life of System Department preference (10 year cycles for TV inspections); CSO 0365 03 Recordings)- Regular Inspections + Permanent SWRCB Order 2006-0003; NPDES Permit; GC§60201 et seq. (Database) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/22/19) OPS/CSO- Page 1 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 54 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / COLLECTION SYSTEMS OPERATIONS (03) ` without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS/ Underground Service Alerts (USAs)- Electronic Notifications from Regional Transfer to Required for 3 years; GC§§4216.2(d)&4216.3(d), 60201 et CSO 03 Notification Center(Received through and retained in Dig-Smart software CMMS seq. q' Vehicle Maintenance Life of the Department preference; If a motor carrier, required for 18 Computerized Maintenance Management System (CMMS) System or 1months after vehicle is sold; CHP requires life of vehicle; OSHA OPS/ 0367 03 e. maintenance of District-owned and registered vehicles; excludes year from Sale requires 1 year; 8 CCR 3203(b)(1);49 CFR 396.21(b)(1);49 CSO g" g ( or Disposal, q y § vehicles where registration with DMV is not required such as motorized whichever l' CFR 396.3(c); CCP§337 et. seq., 13 CCR 1234(f); GC§60201 carts,forklifts, and trailers-see OPS/Maintenance RS 0832) longer et seq. Division Work Orders/Service Requests/Corrective Action Requests: CMMS Life of System Department preference; data is interrelated; SWRCB Order 2006 PeWorkn 0368 03 Database(Computerized Maintenance Management System) + Permanent 0003; NPDES Permit; GC§60201 et seq. g Work Division Work Orders/Service Requests/Corrective Action Requests: Paper- 2 years After Department preference; Considered a preliminary draft/source Performin 0369 03 ENTIRE INFORMATION Entered in CMMS (Division providing service record (the database is the original); SWRCB Order 2006-0003; g Work retains originals; Division requesting service is considered a co Data Entry NPDES Permit; GC§60201 et seq., GC§6252 Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/22/19) OPS/CSO- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 55 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All withohtpriorwveenconstduplicateordistribute OPS / HUMAN RESOURCES (13) & PAYROLL (11) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). • RESOURCES OPS/ Human 0727 13 Classification and Compensation Studies/Surveys P Department preference; GC§60201 et seq., 29 CFR 516.6 Resources Complaints-Department of Fair Employment& Housing (DFEH)or Department preference (same as the Personnel File);All State OPS/ Equal Opportunity Commission (EEOC) Final and Federal laws require retention until final disposition of formal Human 0728 13 Disposition +2 complaint; State requires 2 years after action is taken; GC Resources Description &resolution of complaint, correspondence. Includes years §§12946, 60201 et seq. recruitment and personnel complaints Department preference; D.O.T. Requires 5 years for positive OPS/ Drug and Alcohol Testing/D.O.T.files (ALL Files- Random, Post- tests, refusals, annual summaries, etc., 1 year for negative tests; Human 0729 13 Accident& Reasonable Suspicion Tests, refusals, annual summaries, 5 years EEOC/FLSA/ADEA(Age)requires 3 years physical examinations; State Law requires 2 years; 29 CFR 1627.3(b)(v), Resources etc.) 49 CFR 382.401 et seq.; GC§§12946, 60201 et seq.,49 CFR 655.71 et seq.;49 CFR 382.401 et seq.49 CFR 653.71 et seq. OPS/ Human 0730 13 EEO-4 Reports and records required to generate report 3 years 29 CFR 1602.30 Resources Department preference to be consistent with District-wide OPS/ Employee Benefit Policies/Insurance Policy Files(Benefits: Health, Eye, standards; EEOC/ADEA(Age)requires 1 year after benefit plan Human 0731 13 Dental, Life Insurance, Long Term Disability, Unemployment Insurance, 7 years termination; Federal law requires 6 years after filing date; State Resources etc.) Includes Policies and Handbook Law requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC 11027; GC§§12946, 60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/HR- Pagel of 6 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 56 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All withohtpriorwveenconstduplicateordistribute OPS / HUMAN RESOURCES (13) & PAYROLL (11) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Employee Medical Files/Personnel Medical Files e.g., Background and fingerprint clearances, Disability(LTD/STD) OPS/ records, Family Medical Leave Act(FMLA)records, Hazmat exposure Files maintained separately; Claims can be made for 30 years Human 0741 13 records, Interactive Process records, Medical Tests and Screening, Pre- Separation + for toxic substance exposure; 8 CCR§3204(d)(1)et seq., GC Resources employment Physicals, Pulmonary Tests (Respirator Fit Tests), Return to 30 years §§12946, 60201 et seq.; LC§1198.5, 8 CCR 5144, 29 CFR Work, Sealed Medical Records,Work Restrictions 1910.1020(d)(1)(i) Excludes Occupational Injury/Worker's Compensation Claim-related medical records Employee Personnel Files e.g.,Application/Resume and Supplementals,Awards, Benefits, Personnel Files: EEOC/FLSA/ADEA(Age)requires 3 years OPS/ Certifications, Commendations, Disciplinary Actions, DMV Printout(New Separation + physical examinations; State Law requires 2 years; 29 CFR Human 0740 13 hire only,) Employment Agreements/Contracts, Evaluations, Licenses, 10 years 1627.3(b)(v),49 CFR 382.401 et seq.; GC§§12946, 60201 et Resources New Hire documents, Oaths of Office/Disaster Service Worker Oaths, seq.,49 CFR 653.71 et seq.; LC§1198.5, 29 CFR 1602.14; GC Personnel Action Forms, Policy acknowledgements, Trainings §3105 Excludes Medical Records and Post-Retirement Benefit Records Employee Retiree Benefits File (Official Post-Employment Benefits file for Department preference; retirement benefits is 6 years from last OPS Retirees and Beneficiaries) Termination action; EEOC/FLSA/ADEA(Age)requires 3 years for promotion, / of Human 748 13 e.g., Dental enrollment/change forms, Life Insurance Benefits+7 demotion,transfer, selection, or discharge; State Law requires 2 Resources enrollment/change/beneficiary forms, Medical enrollment/change forms, years 3 years; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR§3204(d)(1)et Notifications (of employee or beneficiary death, etc.), Post-employment seq., GC§§12946, 60201 et seq.; 29 USC 1113. LC§1198.5, Correspondence (Retirement Letter, CCCERA Notifications, etc.) 29 CFR 1602.14 Hire+ 3 years160201 OPS/ or Separation Employment Eligibility Verification Form 1-9 and Supporting Immigration Reform and Control Act of 1986(IRCA); GC§ Human 13 Documentation + 1 year, et seq. Resources whichever is later Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/HR- Page 2 of 6 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 57 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All withohtpriorwveenconstduplicateordistribute OPS / HUMAN RESOURCES (13) & PAYROLL (11) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS/ Employment Notices Poster(Photograph) Department preference; recommended best practice is four Human 13 California and Federal Employment required workplace employee rights 4 years years to prove posting in the event of investigation or audit; GC§ Resources and notices postings 60201 et seq. OPS/ Human 0733 13 Job Descriptions/Specifications P Department preference; GC§60201 et seq. Resources OPS/ Department preference;All State and Federal laws require Human 0735 13 Labor Relations-Grievances P retention until final disposition of formal complaint; State requires Resources 2 years after action is taken; GC§§12946, 60201 et seq., 29 CFR 1602.31 & 1627.3(b)(1) OPS/ Labor Relations- Negotiations Human 0736 13 P Department preference; GC§60201 et seq. Resources [Includes classification and compensation studies related to negotiations] OPS/ Human 0734 13 Labor Relations-Sexual Harassment P Department preference; 29 CFR 1602.30 Resources Litigation &Lawsuits-Employment Benefits, Retirement e.g., Lawsuits initiated by represented/unrepresented employee groups OPS/ or individual employees pertaining to employment benefits or retirement Department preference; Statute of Limitations for most contracts Human 0977 13 benefits, against the District(CCCSD)or against Contra Costa County P is 4 years;wrongful death for construction is completion + 5 Resources Employees' Retirement Association (CCCERA) years; CCP§§337 et seq.; GC§§945, 60201 et seq. (Excludes employment practices issues-see RS 0959) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/HR- Page 3 of 6 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 58 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All withohtpriorwveenconstduplicateordistribute OPS / HUMAN RESOURCES (13) & PAYROLL (11) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Litigation &Lawsuits-Employment Practices e.g., Lawsuits or claims by employees or prospective employees against the District pertaining to discrimination (such as sex, race, age or Separation +5 Department preference; CCP§§ 337 et seq.; GC§§ 945, 60201 disability,)wrongful termination, harassment, retaliation or other Years, or OPS/ employment-related issues; includes complaints or claims filed with state Disposition +5 et seq.; Calif. Labor Division is required to keep their OSHA Human 0959 13 records 7 years; EEOC/FLSA/ADEA(Age)requires 3 years for or federal agencies such as Department of Fair Employment and years, Resources promotion, demotion,transfer, selection, or discharge; State Law Housing (DFEH)and Equal Employment Opportunity Commission whichever is requires 2-3 years; 29 CFR 1627.3(b)(ii), 8 CCR§3204 (EEOC) Longer (Excludes retirement and benefits-related issues-See RS 0977) OPS/ Memoranda of Understanding (MOUs)- Bargaining Units, Executive Department preference; Statute of Limitations: Contracts& Human 0738 13 Management, Employment Contracts and Unrepresented Groups P Spec's+4 years'CCP§§336(a), 337 et seq, GC§60201 et seq Resources OPS/ Human 0739 13 Organization Charts (Final is in the Budget) 3 years GC§60201 et seq. Resources Recruitment Files-Personnel Advancement/Lateral/Trainee Department preference; EEOC/FLSA/ADEA(Age)statue of OPS/ limitations is 1-3 years; State Law requires 2 years; Reports& Human 0747 13 e.g.,Announcements;Appointments (Advancement, Lateral, Transfer, 10 years Data used to compile EEO reports are required for 3 years; 29 Resources Trainee); Letters of Interest, Resumes; Selection materials (exams, CFR 1602 et seq & 1627.3(a)(5)and (6), 2 CCR 11013(c); GC scores, notes, results) §§12946, 60201 et seq.,49 CFR 653.71 et seq. Recruitment Files-Solicited Department preference; EEOC/FLSA/ADEA(Age)statue of OPS/ limitations is 1-3 years; State Law requires 2 years; Reports& e.g.,Advertisement;Applications and Supplementals (Pre-2009 paper, Superseded + Human 0743 13 post 2009 only in NeoGov); Brochures/Job Descriptions; Exams(written 3 years Data used to compile EEO reports are required for 3 years; 29 Resources and practical, sign-in sheets); Selection materials (interview schedules, CFR 1602 et seq & 1627.3(a)(5)and (6), 2 CCR 11013(c); GC questions, rating sheets, scores, notes and results); Eligibility Lists §§12946, 60201 et seq.,49 CFR 653.71 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/HR- Page 4 of 6 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 59 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All withohtpriorwveenconstduplicateordistribute OPS / HUMAN RESOURCES (13) & PAYROLL (11) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). • - PAYROLL Deduction Authorizations(Employee) OPS/ e.g., Charitable contributions Human 0635 11 7 years Retained to match other auditing periods; GC§60201 et seq. Resources Beginning in 2018, charitable contributions paper forms were replaced /Payroll with online enrollment. For years 2010-2017, charitable contributions forms are retained in digital format. OPS/ Human 0732 11 Employee Compensation/Salary Charts 5 years Department preference; Secretary of the District retains Resources e.g. Salary Schedules adopted by the Board Permanently in the Agenda packet; GC§60201 et seq. /Payroll OPS/ Fully Satisfied, Human 0639 11 Garnishments (all records) or Employee Retained to match other auditing periods; GC§60201 Resources Separated, + 7 /Payroll years OPS/ Leave Requests-June 2018 and older Leave Requests retained in pape Human 0038 11 form for only 7 years; July 2018 forward Leave Requests are only 7 years Department preference; Draft/Preliminary documents Resources electronic and retained indefinitely in Intellitime Database (timesheet is the original); GC§60201 et seq. /Payroll OPS/ Human 0640 11 Payroll Checks(Copies) 7 years GC§60201(d)(12), CCP§337 Resources /Payroll OPS/ Human 0641 11 Payroll Reports- Payroll Changes, Payroll Register, Detail Year End 7 years Department preference for CCCERA buy-back purposes; GC Resources (cumulative accrual registers, payroll adjustments) §60201 et seq. /Payroll OPS/ Department preference; Statute of Limitations for retirement Human 0644 11 Retirement Contribution Reports 50 years benefits is 6 years from last action; GC§§12946, 60201; 29 USC Resources 1113; (financial database is the original); CCCERA is OFR; /Payroll I IL Department preference; GC§60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/HR- Page 5 of 6 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 60 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All withohtpriorwveenconstduplicateordistribute OPS / HUMAN RESOURCES (13) & PAYROLL (11) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS/ Department preference; only 7 years is required); IRS requires 4 Human Timesheets-June 2018 and older Timesheets retained in paper form for years; Ca. requires 2 year min.; FTB keeps 3 years; Published Resources 0070 11 only 7 years; July 2018 forward Timesheets are only electronic and 7 years articles show 4-10 years; IRS Reg §31.6001-1(e)(2), R&T /Payroll retained indefinitely in Intellitime Database §19530; LC§ 1174(d); 29 CFR 516.5&516.6(c); GC §60201(d)(12) OPS/ W-2 Wage and Tax Statements Department preference; IRS:4 years after tax is due or paid; Ca. Human 0645 11 Includes Reconciliations,Adjustments and Workpapers FTB: 3 years;Articles show 7 years; IRS Reg §31.6001-1(e)(2), Resources Beginning in 2016,the W-2 form retained in digital format, all other P R&T§19530; 2 9CFR 516.5-516.6, 29USC 436, GC /Payroll records retained in paper form. §60201(d)(12) OPS/ No Longer in IRS Regulation 31-6001-1 four years after the due date of such Human 0646 11 W-4 Employee's Withholding Allowance Certificates Effect+4 tax for the return period to which the records relate, or the date Resources such tax is paid,whichever is the later. 26 CFR 31.6001-1 GC /Payroll years §60201 et seq. Wage and Tax Reports, Returns, Deposits,Adjustments(Federal and State) OPS/ e.g., Employment Development Department(EDD): Form DE 6 Department Preference; IRS:4 years after tax is due or paid Human (longer for auditing &contractor delinquency); Ca. FTB: 3 years; Resources 0634 11 Quarterly Wage and Withholding Report, Form DE 9 Quarterly 7 years Published articles show permanent; ; IRS Reg §31.6001-1(e)(2), /Payroll Contribution Return and Report of Wages; Internal Revenue Service (IRS): 26 CFR§1.6001-1, R&T§19530, GC§60201 et seq. S): Form 941 Employer's Quarterly Federal Tax Return, Form 1095-C Employer-Provided Health Insurance Offer and Coverage, Form W-3 Transmittal of Wage and Tax Statements Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/HR- Page 6 of 6 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 61 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / PLANT MAINTENANCE (15) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS PLANT MAINTENANCE(15)of Tank 10 years, OPS/ Department preference; EPA recommends that formal test + Plant 15 Aboveground Storage Tank(District Owned) Unless for records or reports be retained for the life of the container; GC Maint. Maintenance, Repairs, Inspections,Tests Remediation, §60201 et seq. then Permanent OPS/ Expiration +5 Plant 15 Air Quality Permits-Pump Stations Department preference;40 CFR 70.6; GC§60201 et seq. Maint. years OPS/ Monitoring and Maintenance records are required on site for 3 Plant 0359 15 Cathodic Protection Maintenance Records 7 years years, 6'/2 years for cathodic protection maintenance, 5 years for Maint. calibration &maintenance of release detection systems; 23 CCR 2712(b); H&S §25284.2(1) OPS/ When Plant 0816 15 Elevator Inspections/Certificates Superseded GC§60201 et seq. Maint. OPS/ Lead 15 Generator Operation Logs 3 years AQMD Rule 1470; GC§60201 et seq Division OPS/ Upon Disposal Plant 0805 15 Manuals-Operation and Maintenance O&M for various equipment of Equipment GC§60201 et seq. Maint. OPS/ Department preference; 3 years is required for spill reports;40 Plant 0819 15 Monthly Maintenance Reports/Production/Work Status Reports 3 years CFR 122.410)(2) Maint. OPS/ Permits (Various Operating Permits) Plant 0047 15 [i.e. Boilers, Pressure Vessels, Cranes, etc.) P Department preference; GC§60201 et seq. Maint. OPS/ Pressure Vessel Inspections/Certificates When Plant 0966 15 (Copies) Superseded GC§60201 et seq. Maint. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/PM- Pagel of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 62 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / PLANT MAINTENANCE (15) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS/ Underground Storage Tanks USTA Expiration +7 Department reference; permits are good for 5 ears; 23 CCR Plant 0360 03 g g (USTA) p p p g y Maint. located on District properties- USTA Permits years 2712©, H&S §25285(a) OPS/ Underground Storage Tanks(USTA) Monitoring and Maintenance records are required on site for 3 Plant 0359 03 located on District property-USTA Monitoring and Maintenance, Release P years, 5 years for calibration &maintenance of release detection Maint. Detection Systems systems; 23 CCR 2712(b); H&S §25284.2(i) Equipment Maintenance Life of System, OPS/ (Treatment Plant, Pump Stations, District-owned Buildings and Grounds) or 1 year for Plant 0832 15 sale or Department Distrint Preference; GC§160201 et seq. Maint. Computerized Maintenance Management System (CMMS) disposal, e.g., maintenance and conditioning of mechanical systems and instruments; whichever is maintenance of motorized carts,forklifts, trailers, etc. Ion er OPS/ Violations-Unauthorized Discharges (Reportable Compliance Activity Department preference; NPDES records are required for 3 years; Plant 0833 15 (RCA)and Notices of Violations(NOV's)) 10 years 40 CFR§§122.21, 122.41, 122.44 Maint. Division Work Orders/Service Requests/Corrective Action Requests: CMMS Life of System Performin 0368 15 Database(Computerized Maintenance Management System) + Permanent Data is interrelated; GC§60201 et seq. g Work Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/PM- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 63 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / PLANT OPERATIONS (15) ` without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). • - • - • OPS/Plant 0812 15 Chemical Usage Reports/Bills of Lading 1 year Department preference; attached to invoices; GC§60201 et seq. Operations OPS/Lead 0352 15 Confined Space Entries 2 years 8 CCR 5157(d)(14)&(e)(6); 29 CFR 1910.146(e)(6); GC§60201 Division et seq. OPS/Plant 0814 15 Customer Issues and Concerns-NCR Form (Only those related to the 5 years Department preference; GC§60201 et seq. Operations Treatment Plant. See Collections) OPS/Plant Daily Logs/Diaries/Plant Operations Checklists/Reports/Round Specified in Permit; Department preference (EPA can go back 7 Operations 0815 15 sheets/Check sheets/Shift Supervisors Logs/Operator Logs P years);40 CFR 122.410)(2);40 CFR 792.195 (Plant Operations Only) OPS/Plant 0648 15 General Plant Operations Files (Do not use after July, 2019) 7 years Department Preference (From Versatile Upgrade/Renumbering- Operations for those items that could not be matched); GC§60201 et seq. OPS/Lead Generator Operation Logs 5 years AQMD Rule 1470; Form 400—E-1 3a instructions, GC§60201 et Division seq. OPS/Lead 0356 15 Hot Work Permits 2 years 8 CCR 5157(d)(14)&(e)(6); 29 CFR 1910.146(e)(6); GC§60201 Division OPS/Lead 0805 15 Manuals-Operation and Maintenance O&M for various equipment Upon Disposal GC§60201 et seq. Division of Equipment OPS/ 0820 15 Monthly Operating Reports 50 Years Department preference; GC§60201 et seq. Admin [Forwarded to the General Manager] Superseded or OPS/Plant 0822 15 Operator's Certifications Separation + 3 Department preference; consistent with requirements for NPDES Operations (Copies maintained in Human Resources Personnel File) monitoring records (3 years); GC§60201 et seq. ears OPS/Plant Pump Stations: Daily Logs/Log Book 5 years Department preference (not all data is in the CMMS); GC§60201 Operations et seq. Regulatory Agencies-Correspondence,Audits, and Reports-Title V Department preference; Some correspondence from Regulatory OPS/Plant 0807 15 i.e. Green House Gases-GHG, Emission Inventories, Regional Water P Agencies need to be retained for long periods of time;40 CFR Operations Quality Control Board RWQCB, Regional Control Board RCB, DHS, EIAP 792.195; GC§60201 et seq. All Title V Records have minimum 5 year retention Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/PO- Pagel of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 64 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / PLANT OPERATIONS (15) ` without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS/Plant 0824 15 Regulatory Signature Authority Moff Department preference;40 CFR 792.195; GC§60201 et seq. Operations (Designated Chief Operator) OPS/Plant Department preference; Clean Water Act Lawsuits can go back 5 Operations 0825 15 Reports: Biosolids(503 and NPDES)and Spill Reports-Annual years; Spill reports have the potential to be involved with Clean Water Act actions; GC§60201 et seq. Reports: Monitoring, Samples, Studies&Testing Department preference to be consistent with sewage sludge and OPS/Plant 0826 15 Annual/monthly/daily: Calibration, compliance,flow data, meterbilling auditing standards;40 CFR 122.410)(2);WC§13263.2(b) Operations readings, maintenance, odor complaints&surveys, tests, totalizer sheeet seq. strip chart recordings-folding, roll, etc.) OPS/Plant 0362 15 SCADA: Supervisory Control and Data Acquisition Database Data is interrelated;-GC§§60201 et seq. Operations + Permanent OPS/Plant Life of Department preference; For disaster preparedness purposes; GC Operations Shop Drawings/Submittals for Plant Equipment Equipment/ §60201 et seq. Facility OPS/Plant Department preference (copies-manifests are attached to Operations 0474 15 Solids Handling/Sludge Removal- Regulatory Compliance 5 years ]invoices); Sewage Sludge is required for 5 years;40 CFR 122.410)(2); WC§13263.2(b)et seq.; GC§60201 et seq. OPS/Plant 0827 15 Standard Op erating Procedures( )SOP y p p §Plant Information System Superseded + Department reference; GC 60201, et seq' Operations 5 years OPS/Plant 0828 15 Standard Operating Procedures(SOP)-Process Control Documents Superseded + Department preference;40 CFR 122.410)(2);WC§13263.2(b)et Operations 5 years seq. NPDES Permits require work schedules be retained for 5 years; OPS/Plant 0364 15 Task Assignments/Work Schedules for Operators 5 years EEOC's basic requirement is 1 year after action; Bureau of Operations National Affairs recommends 2 years for work schedules; 29 CFR 516.6(1), 29 CFR 1602.14, GC§60201 et seq. OPS/Plant 0830 15 Trend Plots(prepared with software)- Process Parameters 5 years Department preference to be consistent with other records;40 Operations CFR 122.410)(2) Division Work Orders/Service Requests/Corrective Action Requests: CMMS Life of System Performing 0368 15 Database(Computerized Maintenance Management System) + Permanent Data is interrelated; GC§60201 et seq. Work Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/PO- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 65 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / SAFETY (18) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS/SAFETY(was part of 18 Risk Management) preference; Calif. Labor Division is required to keep OPS/ 0953 18 Cal-OSHA Inspections&Citations, Log 200, 300, 301, 301A, etc. 7 years their records 7 years; OSHA requires 5 years; State law requires Safety 2 years; 8 CCR 14300.33(a); 29 CFR 1904.33, 29 CFR 1904.44; GC§60201 et seq.; LC§6429c; OMB 1220-0029 OPS/ Lead 0352 15 Confined Space Entries 2 years 8 CCR 5157(d)(14)&(e)(6); 29 CFR 1910.146(e)(6); GC§60201 Division et seq. OPS/ Crane Inspections 5 years8 CCR 344.80&81; GC§60201 et seq. Safety OPS/ I I Department preference; Claims can be made for 30 years for Safety 0958 18 Employee Environmental (Noise, etc.)Testing Results P toxic substance exposure; 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 et seq. OPS/ Hazardous Waste Site/Disposal/Liner from Ponds P District preference; GC§60201 et seq. Safety Lead 0356 18 Hot Work Permits 2 years 8 CCR 5157(d)(14)&(e)(6); 29 CFR 1910.146(e)(6); GC§60201 Dept. et seq. OPS/ 0963 18 Investigations: Incidents, Unusual Occurrences or Near Misses(Not toxic 5 years Department preference; GC§60201 et seq. Safety substance exposures) Material Safety Data Sheet(MSDS)/Safety Data Sheets(SDS)/Chemical The MSDS or a record of the chemical/substance/agent, OPS/ Use Report Form (or records of the chemical/substance/agent,where and where and when it was used is required to be maintained for 30 Safety 0043 18 when it was used) 30 years years;Applies to qualified employers; 8 CCR 3204(d)(1)(B)(2 (Copies are available to Departments via MSDSonline) and 3) 29 CFR 910.1020(d)(1)(ii)(B), GC§60201 et seq. OPS/ Respiratory Tests/Fit Testing Transfer to Department preference; Claims can be made for 30 years for Human 0968 18 Human toxic substance exposure; 8 CCR§3204(d)(1)et seq., 8 CCR Resources [Annual testing] Resources 5144, 29 CFR 1910.1020(d)(1)(i), GC§§12946, 60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/SFTY- Page 1 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 66 of 95 CENTRAL CONTRA COSTA SANITADISTRICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,es,IncInc All rights reserved.Do not duplicate or distribute OPS / SAFETY (18) without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). OPS/ Safety Checks/Pre-Starts/Commercial Vehicle Prestarts and Forklift Department preference; If a motor carrier, required for 3 and 14 Lead 0064 01 Inspections 2 yearsIGC months;49 CFR 396.11(c)(2);49 CFR 396.21(b)(1); GC§60201 Division et seq. Safety Committee Meetings/Reports Department preference; Calif. Labor Division is required to keep OPS/ 0970 18 (Accident vehicle reports, agendas, minutes, calendars, meeting related 5 yearstheir records 7 years; OSHA requires 5 years; State law requires Safety materials)Safety Suggestion Program 2 years; 8 CCR 14300.33(a); 29 CFR 1904.33, 29 CFR 1904.44; GC§60201 et seq.; LC§6429c OPS/ 0957 18 Safety Directives, Hazardous Materials Business Plans"HMBP" SupersededDocuments of historical significance should be retained longer; Safety 2 years §60201 et seq. OPS/ 0971 18 SafetyPrograms/Safety Regulations/Safety Directives 5 ears Department reference; GC 60201 et se Safety g y g y y p p § q' OPS/ Self-contained Breathing Apparatus (SCBA)- Frames Tanks etc. Life of Department preference; Certificates are issued for 3-5 years; GC Safety A aratus et seq. OPS/ Self-contained Breathing Apparatus (SCBA) MonthlyInspections 2 ears Department preference; GC§60201 Safety OPS/ 0975 18 Training Database OSHA required training Life of System Department preference (data is interrelated)GC§60201 et seq. Safety +5 years Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 2 7/17/19) OPS/SFTY- Page 2 of 2 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 67 of 95 CENTRAL CONTRA COSTA SANITARY s,Inc. ICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,Inc. All rights reserved.Do not duplicate or distribute SECRETARY OF THE DISTRICT (19) without prior written consent Office of Record Record Series Record Series Title Total Comments/Reference (OFR) No. Div. Retention No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated,retired,calendar year, fiscal year end,etc.) Retention is suspended by litigation,complaints,claims,Public Records Act requests,audits, and investigations,in which case,retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). SECRETARY OF DISTRICT Secretary of Agenda Posting Logs and Notices of Publication in Newspaper, Legal Brown Act challenges must be filed within 30 or 90 days of action; the District 1052 19 Notices,Agenda Mailing Lists including Fee Interested Requests 2 years GC 60201 et se GC 54960.1 c 1 9 9 9 q § q�� § O( ) Secretary of 0004 19 Agendas&Agenda Packets-District Board, Standing Board Committees P Department preference; GC§60201 et seq. the District e.g.Ad Hoc Committees, Board Committees Secretary of CCCERA Administration Department preference; Bureau of National Affairs recommends 2 the District 0301 19 (Includes Correspondence and Analysis) 10 years years for all supplementary Personnel records; GC§60201 et seq. Secretary of 0024 19 Copyrights/Trademarks/Patents P Department preference; GC§60201 et seq. the District (See Engineering for District Project Specific Patents) Secretary of 1054 19 District Code Administration, Distribution, etc. 2 years GC§60201 et seq. the District Secretary of 1055 19 District Code and History File(always retain 1 supplement) P GC§60201 et seq. the District Secretary of 1059 19 District Counsel Legal Opinions 10 yearsDepartment preference; GC§60201 et seq. the District Secretary of 1056 19 District Seal P Department preference(historical purposes); GC§60201 et seq. the District Secretary of Election Administration File: Copies of Board Candidate Statements, the District 1074 19 Statement of Qualifications, etc. 4 years Department preference (2 elections); GC §60201 et seq. Excludes Certificate of Election and Oath of Office-see 1057 Secretary of 1057 19 Elections-Certificate of Election, Oath of Office PDepartment preference(historical purposes); GC§60201 et seq. the District FPPC 400 Series Forms(Campaign Filings)-SUCCESSFUL CANDIDATES Contra (Elected Officials)(Copies)-After 2016, no longer retaining, copies are I ]County is Filing Officer(these are copies); Paper must be Costa 1062 19 accessible from the Filing Officer(County); after remaining files have been 4 Years retained for at least 2 years; GC§81009(f)&(g) County destroyed,this Records Series will be obsolete. (Fair Political Practices Commission) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0, August 15, 2019 (Rev 3 7/17/19) SOD- Page 1 of 3 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 68 of 95 CENTRAL CONTRA COSTA SANITARY s,Inc. ICT RECORDS RETENTION SCHEDULE ©2005 Glresery Governmental Services,Inc. 9I All withohtpriorwveenconstduplicateordistribute SECRETARY OF THE DISTRICT (19) ` without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Department preference (only required for 4 years); District FPPC 700 Series Forms(Statement of Economic Interests)- PUBLIC maintains originals for designated employees and consultants Secretary of 1060 19 OFFICIALS and DESIGNATED EMPLOYEES and CONSULTANTS 7 yearsrequired to file with the Secretary of the District and copies for the District designated in the Conflict of Interest Code(Filed by year) elected officials (Board)and employees(Executive Management) (Fair Political Practices Commission) required to file with the County; GC§81009(f)(g); GC §81009(e)(g) Secretary of FPPC 700 Series Forms(Statement of Economic Interests)- the District 1063 19 COMMUNICATIONS/CORRESPONDENCE 2 years GC§60201 et seq. (Fair Political Practices Commission) Secretary of 1061 FPPC Form 806 (Agency Report of Public Official Appointments) 7ears Must post on website; 2 CCR 18702.5; GC§60201 et seq.; GC the District (Fair Political Practices Commission) y §81009(e) Secretary of 1064 19 Grand Jury and Related Documents 5 years GC§60201 et seq. the District Secretary of 0035 19 Historical Records P District Secretary determines historical significance; GC§60201 the District let seq. 5 years,with Secretary of Minutes: Closed Session Meetings of the District Board and Standing District GC§60201 et seq. the District Board Committees(includes supporting documents) Counsel Review Minutes: Regular and Special Meetings of the District Board and Standing Secretary of 1066 19 Board Committees P GC§60201(d)(3) the District Includes Action Summaries,which served as Committee minutes prior to 2016; excludes Closed Session Secretary of 1068 19 Order of Formation (CCCSD)[Articles of Incorporation] PDepartment preference (historical purposes); GC§60201 the District Secretary of 0046 19 Ordinances P JGC§60201(d)(2) the District Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) SOD- Page 2 of 3 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 69 of 95 CENTRAL CONTRA COSTA SANITARY s,Inc. ICT RECORDS RETENTION SCHEDULE ©2005 Glresery Governmental Services,Inc. 9I All withohtpriorwveenconstduplicateordistribute SECRETARY OF THE DISTRICT (19) ` without prior written consent Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. If an appropriate Record Series(category)is not listed here, use the Districtwide Records Retention Schedule to determine retention. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated, retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims, Public Records Act requests, audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Secretary of Personnel File: Board of Directors Term of the District 1072 19 Includes: Biography, photos Office+4 Department preference; GC§60201 et seq. ears Secretary of 0052 19 Policies&Procedures-BOARD APPROVED POLICIES/Administrative P District preference; Statewide guidelines propose superseded +2 the District Procedures(BPs and APs) or 5 years; GC§60201 et seq. Secretary of 0054 19 Public Records Act Requests and copies of documents produced 2 years GC§60201(d)(5) the District 30 days, Secretary of or After Department preference; audio is legally required for 30 days (or the District 0068 19 Recordings of District Board Meetings(Audio) (September, 2015&prior) Approval, adoption of the minutes); GC§54953.5(b) whichever is Ion er Secretary of Recordings of District Board Meetings(Video) (October, 2015 forward) P Board Policy No. 020; video is legally required for 90 days; GC the District 1§53161 Secretary of Records Destruction Lists Post-2010 Record Series Number System the District 0074 19 (Archive and Destruction Authorizations including Certificates of Destruction) P Department preference; GC§60201(b)(2) Secretary of Records Destruction Lists Pre-2010 Record Series Number System the District 0056 19 (Archive and Destruction Authorizations including Certificates of Destruction) P Department preference; GC§60201(b)(2) Secretary of 1070 19 Records Retention Schedules P Department preference; GC§60201(b)(2) the District Secretary of 0063 19 Resolutions(includes Resolutions of Commendation) PGC§60201 et. seq. the District Secretary of Sewer Service Charge (SSC)-Prop.218 Protest/Response Letters, Log, Department preference, Letters and Tally retained permanent in the District Tally 5 years]mailing Board agenda packet; Communications maintains the notice and list; GC§53753(e)(2) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 3 7/17/19) SOD- Page 3 of 3 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 70 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 71 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute DISTRICTWIDE (0.1 1) without prior written consent. Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. First check if an appropriate Record Series(category)is in your Department's Records Retention Schedule;if none, then your Department is the Lead and these retentions apply. Lead Department means any Department creating or retaining original/official District records in these categories. Zero means not District records and retention is when no longer useful based on the Department's or employee's operational need. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated,retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims,Public Records Act requests,audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). DISTRICTWIDE(COMMON TO MULTIPLE DEPARTMENTS) Agreements&Contracts: DEPARTMENT'S ADMINISTRATIVE FILES Covers E&O Statute of Limitations (insurance certificates are filed with agreement); Published Audit Standards=4-7 years; Statute of Lead Dept. 0006 01 Contract administration records; may contain Bids, RFPs, RFQs Completion Limitations: Contracts&Spec's=4 years,Wrongful Death=comp. + (Successful),Authorizations for Expenditures, etc. + 10 years 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP§337 et. seq., GC§60201 et Excludes unsuccessful, see RS 0013 (Unsuccessful Bids, RFPs, RFQs) seq. Lead Dept. 0021 01 Committees or Task Forces: Internal e.g., agendas, minutes, attendance sheets, etc. 2 years ]Non-records GC§60201 et seq. Committees,Task Forces,Associations, Commissions and Boards: Lead Dept. 0022 01 External Organizations(e.g.ABAG, BACWA, CASA, CSDA, CWEA, 0 EBMD, LAFCO, NACWA, WERF, etc.) e.g., Legislative Updates, newsletters, etc. Lead Dept. 0023 01 Copies or duplicates of any District record 0 Retention period is based on the Department's or employee's (where official record is retained under another RRS category) operational need; GC§60200 Lead Dept. 0025 01 Correspondence-Establishing Policy Superseded Statewide guidelines propose Superseded +2 or 5 years; GC (documenting formation of policies or decision making process) +2 years §60201 et seq. Correspondence-Regulatory Agencies Department preference; some correspondence from Regulatory Lead Dept 0026 01 (where not retained under another RRS category) P Agencies need to be retained for long periods of time; GC§60201 et seq. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 4 7/17/19) DW- Page 1 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 72 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute DISTRICTWIDE (0.1 1) without prior written consent. Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. First check if an appropriate Record Series(category)is in your Department's Records Retention Schedule;if none, then your Department is the Lead and these retentions apply. Lead Department means any Department creating or retaining original/official District records in these categories. Zero means not District records and retention is when no longer useful based on the Department's or employee's operational need. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated,retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims,Public Records Act requests,audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Correspondence-Routine (where not retained under another RRS category) Content relates in a substantive way to the conduct of the public's business Lead Dept. 0027 01 2 ears GC§60201 et seq.; City of San Jose v. Superior Court(Smith). p e.g., administrative, chronological, communications, general files, letters, y S218066. Supreme Court of California, 2017 memorandums, miscellaneous reports, reading,working files, etc. (Does NOT include Regulatory Agency Correspondence) See RS 0028 (Transitory Items)and RS 0029 (Preliminary Drafts and Notes)for content that does not relate in a substantive way to the conduct of the public's business. Lead Dept. 0031 01 Equipment Inventories, Parts lists 5 years Meets auditing standards; Fixed Asset Inventory is maintained by Financial Services for a longer period; GC§60201 et seq. District Preference(may include records pertaining to independent 10 years contractor's compensation, or expense reimbursement); Meets minimum- auditing standards; Uniform Admin. Requirements for Grants to Lead Dept. 0033 01 Grants-SUCCESSFUL-all records, including FEMA claims After Funding Local Governments is 3 years from expenditure report or final Agency Audit, payment of grantee or subgrantee; 2 CFR 200.333; 24 CFR if required 91.105(h), 92.505, &570.502(b),29 CFR 97.42; OMB Circular A- 110&A-133; GC§60201 et seq. Lead Dept. 0034 01 Grants-UNSUCCESSFUL-applications, correspondence, etc. 2 years GC§60201 et seq. Secretary Transfer to Historical Records Secretary of the District determines historical significance; GC of the 0035 01 (where not required for permanent retention under another RRS category) Secretary of §60201 et seq. District the District Lead Dept. 0039 01 Licenses(Federal, State, Local) Expiration Department preference; GC§60201 et seq. e.g., operator licenses required for District work +3 year Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 4 7/17/19) DW- Page 2 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 73 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute DISTRICTWIDE (0.1 1) without prior written consent. Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. First check if an appropriate Record Series(category)is in your Department's Records Retention Schedule;if none, then your Department is the Lead and these retentions apply. Lead Department means any Department creating or retaining original/official District records in these categories. Zero means not District records and retention is when no longer useful based on the Department's or employee's operational need. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated,retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims,Public Records Act requests,audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Logs:Visitor Logs(business hours), Sign-In Logs,Vehicle Logs, Lead Dept. 0040 01 Conference Room Logs, Delivery Log [after hour logs forwarded to Safety& 2 years Department preference; GC§60201 et seq. Risk Management] Superseded Lead Dept. 0041 01 Manuals: Equipment Diagrams, Instructions, Operation and Maintenance or Until GC§60201 et seq. Manuals, Specifications and Warrantees Disposal of Equipment Ensure records kept in Department files comply with District Ops/ Transfer topolicy; Originals are maintained by Personnel. Supervisors notes Human 0048 01 Personnel Files- Department-level Copies Human should be maintained in a separate folder and be incorporated inat Resources Resources the employee's annual performance review; 29 CFR 1602.31 & Separation 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC§§12946, 60201 et seq. After Supervisors notes should maintained in a separate folder and be Lead Dept. 0049 01 Personnel Files- Department-level Supervisor's Notes Performance incorporated in the employee's annual performance review; 29 Review CFR 1602.31 & 1627.3(b)(ii), 8 CCR§3204(d)(1)et seq., GC §§12946, 60201 et seq. Lead Dept. 0050 01 Policies&Procedures- Department-Specific Procedures, Instructions Superseded District preference(consistent with SOPs/Standard Operating on How to Perform Duties + 5 years Procedures); GC§60201 et seq, PRELIMINARY DRAFTS AND NOTES-not typically retained by the District or employee Lead Dept. 0029 01 0 GC§60201 et seq. (Where it is not a policy or custom to retain preliminary drafts, draft need not be retained once the final document is retained pursuant to the RRS.) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 4 7/17/19) DW- Page 3 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 74 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute DISTRICTWIDE (0.1 1) without prior written consent. Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. First check if an appropriate Record Series(category)is in your Department's Records Retention Schedule;if none, then your Department is the Lead and these retentions apply. Lead Department means any Department creating or retaining original/official District records in these categories. Zero means not District records and retention is when no longer useful based on the Department's or employee's operational need. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated,retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims,Public Records Act requests,audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Lead Dept. 0057 01 Reference Materials: Brochures, Manuals, Newsletters, Presentations& Superseded Documents of historical significance should be retained longer; Reports: Produced by LEAD Department + 5 years GC§60201 et seq, Reference Materials: Brochures, Manuals, Newsletters, Presentations& Lead Dept. 0058 01 Reports: Produced by OUTSIDE ORGANIZATIONS 0 Non-Records (where not retained under another RRS category) Reports [Annual]-District [Business Plan, Goals&Objectives,ADA Development Plan, Board Lead Dept. 0401 01 Guidelines] P Department preference; GC§60201 et seq. (General Manager is OFR for Strategic Plan) Lead Dept. 0015 01 Reports and Studies-Annual and Monthly Reports- Historically P Department preference; GC§60201 et seq. Significant Lead Dept. 0060 01 Reports and Studies-Annual and Monthly Reports-Other Than 5 years Department preference; GC§60201 et seq. Historically Significant Lead Dept. 0064 01 Safety Checks/Pre-Starts/Commercial Vehicle Prestarts and Forklift 2 years Department preference; If a motor carrier, required for 3 and 14 Inspections months; 49 CFR 396.11(c)(2);49 CFR 396.21(b)(1); GC§60201 Surveys/Questionnaires (that the District issues). If a summary of the data Lead Dept. 0067 01 is compiled,the survey forms are considered a draft or transitory record, 2 years Department preference; GC§60201 et seq. and can be destroyed when no longer required. Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 4 7/17/19) DW- Page 4 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 75 of 95 CENTRAL CONTRA COSTA SANITARICT RECORDS RETENTION SCHEDULE ©2005 Gladwell Governmental Services,s,Inc.Inc. All rights reserved.Do not duplicate or distribute DISTRICTWIDE (0.1 1) without prior written consent. Office of Record Record Series Title Comments/Reference Record Series Total Div. Retention (OFR) No. No. First check if an appropriate Record Series(category)is in your Department's Records Retention Schedule;if none, then your Department is the Lead and these retentions apply. Lead Department means any Department creating or retaining original/official District records in these categories. Zero means not District records and retention is when no longer useful based on the Department's or employee's operational need. Retention begins when the business process is completed(i.e.,audited, settled, closed, sold, terminated,retired, calendar year, fiscal year end, etc.) Retention is suspended by litigation, complaints, claims,Public Records Act requests,audits, and investigations;in which case, retention resumes after settlement or completion. Prior to destroying records, follow the destruction procedure set forth in Administrative Procedure No.AP 006(Records Program Handbook). Training -ALL COURSE RECORDS: District-Sponsored Training that is Attended by Employees from Outside Agencies District preference for courses that are attended by employees Lead Dept. 0071 01 7 yearsoutside the District; See Lead Department for applicable class list; i.e., SEMS, NIMS, Incident Action Plans (IAP),After Action Reports(AAR), GC§60201 et seq. Plans, Preparedness Training, etc. Training -ALL COURSE RECORDS-All Attended by District Employees District preference(the department that conducts the class maintains the records; individuals retain certificates if issued; i.e.,Attendance Rosters, Outlines and Materials; includes SEMS, NIMS, Statewide guidelines propose 7 years; Calif. Labor Division is Lead Dept. 0073 01 Incident Action Plans (IAP),After Action Reports(AAR), Preparedness 7 years]required to keep their OSHA records 7 years; EEOC/FLSA/ADEA Training, Confined Space, Driver Safety, Ethics (AB 1234 State Mandated (Age)requires 3 years for promotion, demotion,transfer, training), Sexual Harassment Prevention,ADA, etc. (including training selection, or discharge; State Law requires 2-3 years; 29 CFR videos) 1602.31; 8 CCR§3204(d)(1)et seq., GC§§12946, 60201 et seq.; GC§53235.2(b) Electronic and paper records are categorized,filed and retained based upon the CONTENT of the record. Records where either the Content relates in a substantive way to the conduct of the TRANSITORY ITEMS-not retained in the ordinary course of business public's business,or ARE made or retained for the purpose of preserving the informational content for future reference are Lead Dept. 0028 01 Content not Substantive, or not made or retained for the purpose of 0 saved by placing them in an electronic or paper(project)file folder preserving the informational Content for future reference and retained for the applicable retention period. If not mentioned here, consult the District Counsel to determine if a record is e.g., checklists, packing slips, supply inventories,thank yous, etc. considered transitory/preliminary drafts. GC§§60201 et seq., 6252; 64 Ops. Cal.Atty. Gen. 317 (1981)); City of San Jose v. Superior Court(Smith). S218066. Supreme Court of California, 2017 Lead Dept. 0013 01 Unsuccessful Bids, RFPs, RFQs 5 years District preference; Special Districts are required to keep public works unaccepted bids for 2 years; GC§60201(d)(11) Adopted by Resolution No. 2019- on August 15, 2019 Ver: 2019-0,August 15, 2019(Rev 4 7/17/19) DW- Page 5 of 5 August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 76 of 95 Intentionally blank August 6, 2019 Regular ADMIN Committee Meeting Agenda Packet- Page 77 of 95