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Reso 1437 12/2013RESOLUTION NO. 1437 RESOLUTION OF THE BOARD OF DIRECTORS OF THE VALLECITOS WATER DISTRICT APPROVING THE RECORDS RETENTION POLICY AND REPEALING RESOLUTION NO. 1304 WHEREAS, the Board of Directors wish to establish a policy and procedure for the retention and destruction of District records; and WHEREAS, the Records Retention Policy sets forth guidelines and procedures pertaining to the retention, purge, and destruction of District records maintained by the General Manager's Office, Administrative Services(Human Resources, Risk Management, and Public Information), Finance (Accounting and Purchasing), , Engineering, and Operations and Maintenance, and WHEREAS, the Records Retention Policy includes records retention schedules and the state and federal codes and statutes pertaining to fiscal and personnel records retention; and WHEREAS, all original records to be destroyed must be listed and approved by the responsible Department Manager and approved by the District's General Manager prior to their destruction. PASSED AND ADOPTED by the Board of Directors of the Vallecitos Water District at a regular meeting held on this 10th day of December, 2013, by the following roll call vote: AYES: EVANS, HERNANDEZ, POLTL, MARTIN NOES: ABSENT: ABSTAIN: / Ha( rtin, President Board of Directors ATTEST: Vallecitos Water District ( Dennis O. Lamb, Secretary f Board of Directors €,u'? Vallecitos Water District This Records Retention Policy was adopted by the Board of Directors on December 10, 2013, and becomes effective immediately. The policy sets forth guidelines and procedures pertaining to the retention, purge, and destruction of District records maintained by General Manager's Office, Administrative Service (Human Resources, Risk Management, and Public Information), Finance (Accounting and Purchasing), Engineering, and Operations and Maintenance, Departments. Additionally, this policy includes records retention schedules and the state and federal codes and statutes pertaining to fiscal and personnel records retention. RECORDS RETENTION Records retention requirements have been identified for General Manager's Office, Administrative Services, Finance, Engineering, and Operations and Maintenance Departments. Record series (groups of logically related documents) are titled for simplified records identification. Each record series has been evaluated based upon its administrative, operational, fiscal, legal and historical value to determine the appropriate retention period. This evaluation has resulted in the adopted records retention schedule. For each record series the schedule identifies the following: ■ Record Description - Identifies the type of record to be retained. ■ Office of Record - Indicates the Department which holds the official copy of the record series. ■ Disposition of Record - Tracks the record from office area to inactive area or to microfilming or other method of electronic storage. ■ Legal Authority - Identifies relevant state and federal codes and statutes. ■ Retention Period - Establishes the period of time which the documents must be retained. The retention period is indicated by alphanumeric retention codes. The retention codes are used to indicate when the retention period begins`and the length of time the record must be maintained. The retention code has two components: Vallecitos Water District Records Retention The alpha code represents when the retention period begins. The numeric code represents the length of time in years (unless otherwise specified) that records must be kept after the retention period begins. For example, a retention code of Au +3 means that a record's retention period Ad Adoption Ac Active Au After audit Cl Closed or Completion Cu Current Year E Election T Termination of employment or term of document P Permanent begins after completion of the audit and must be kept for three years thereafter. RECORDS PURGE 2 At least annually, each Department is responsible for reviewing all records listed on their schedule. All records which have reached the end of their retention period are to be destroyed. In the case of Federal and State grants, care should be exercised to ensure that records are maintained based on the retention period following the completion of the granting agency's audit rather than the District's. ABBREVIATIONS APCD Air Pollution Control District. (Southern California) Cal OSHA California Occupational Safety and Health Administration C.C.R California Code of Regulations CDPH California Department of Public Health C.F.R. Code of Federal Regulations DWR State of California, Division of Water Resources FEHA California Fair Employment & Housing Act. U.S.C. United States Code SWRCB California State Water Resources Control Board APPROVALS All original records to be destroyed must be listed and approved by the responsible Department Manager, and approved by the District's General Manager prior to their destruction. RECORDS DESTRUCTION The District has identified that recycling the paper produced from the destruction of these records is the most appropriate method of disposal. Accordingly, although the specific method used for destruction shall be at the discretion of the Department Manager, it shall reflect a method of destruction that recycles any paper. products and avoids the use of sanitary landfill sites. The approved listing of the destroyed documents shall be filed in the Administrative offices. Vallecitos Water District Records Retention Policy Page 3 of Record and Document Board Correspondence Board Meeting Audio Tape Board Meeting Video Tape Board Board Memos (action and information) — including attachments Conflict of Interest Statements (FPPC 700) Designation of Voting Alternate Director Files — including letter of appointment, bio, news clippings Incorporation Records Minutes Books — including voting records Ordinance Books Resolution Books GENERAL (ALL DEPARTMENTS) Agreements /Contracts (Non- construction) — including Memorandum of Understanding (MOU's), warranties, licensing agreements, approval form, insurance, amendments /change orders, quotes, etc. Agreements /Contracts (Construction) — including PO's, bid documents, amendments /change orders, approval forms, insurance Calendar /Appt Books Catalogs/Vendor Information Chronological Correspondence Paper Correspondence — external, internal, memos Department Budget — including supporting documentation Email — non - specific Email — specific (e.g. to current Construction /O & M Projects, enforcement of District Policies, Human Resources matters, significant financial expenditures and accounting transactions) Forms (Blank) Grant Funding — State /Federal Long Range & Strategic Plans Meeting Notes & Minutes (draft) Policy, Practices & Procedures Manuals Project Files (General — non - construction) Proposals — rejected bids Record Retention Program Records — including schedule, destruction records, procedures Reference Materials Reports /Studies Period Cu +7 C1 +30days CI +6 mos. Cu +2 Cu +5 Cu +7 Cu +7 C1 +5 CI +10 C +1 Cu Cu +1 Cu +2 Au +3 C1 +30days Printed hardcopy to be retained in related subject file (Retention period equals the requirement of the subject matter) Cu C1 +10 Cu +15 Cu +2 P Cu +5 C1 +2 Cu +4 Cu +1 Cu +5 Gov. Code, § 60200 Gov. Code, § 54953.5 Gov. Code, § 34090.7 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 60201(d)(2) Gov. Code, § 60201 Gov. Code, § 60200, Code Civ. Proc., § 337 Code Civ. Proc., § 337.15 Non - record Non - record Not original record — copy Gov. Code, § 60200 Gov. Code, § 60200 Non - record Gov. Code, § 60200 Non record Gov. Code, § 34090 Gov. Code, § 60200 Non - record Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Non - record Gov. Code, § 60200 Vallecitos Water District Records Retention of Record and Document Information Systems Software Installation Disks System Backup Tapes — excluding email system Purchasing Bidder's List Purchase Orders — Non Contract — including quotes, insurance GENERAL COUNSEL Administrative Code — including bylaws Board Inquires Deeds/Title Transfer Legal Opinions Litigation Files — including affidavits, court records, depositions, exhibits Public Records Act Requests — incoming and outgoing HUMAN RESOURCES Employee Files Workers Compensation Risk Management Claims against District Insurance /Benefits Employee Discipline Tuition Reimbursement Completed Applications Labor Negotiations Discrimination Complaint General Correspondence RISK MANAGEMENT Insurance Coverage— including policies, JPIA MOU's Insurance Claims — Non - litigated Safety Confined Space — entry permit, inspection, checklists, test data, notifications Driving Records (Department of Motor Vehicles) Driving Records (Department of Transportation) — including DMV exams & reports, drivers hours /logs, pull notices (A &B) drivers Equipment Calibration Records Injury & Accident Reports — including on the job and vehicle, OSHA log Compliance Inspection Reports— External agency re: regs, hazardous materials, pesticides, fire equipment, etc. Medical Examination /Exposure Records — including substance tests, hearing, respirator Period Cu +2 Gov. Code, § 60200 Cu +2 Gov. Code, § 60200 P Gov. Code, § 60200 Gov. Code, § 34090, Code Civ. Proc., § 337 (statute of limitations for breach of written contract) P Gov. Code, § 60200 E +7 Gov. Code, § 60200 P Gov. Code, § 60200 P Gov. Code, § 60200 P Gov. Code, § 60200 CI +2 Gov. Code, § 60200 T +10 P CI +5 T +9 T +3 CI +7 CI +3 P T +5 Au +3 P Cu +6 T +5 T +5 C1 +5 P T +30 45 C.F.R. §1068.6 APPA Labor Code, § 139.6 Gov. Code, § 60201 29 C.F.R. § 1627.3(b)(2) Gov. Code, § 12946 (FEHA) Gov. Code, § 12946 (FEHA) Gov. Code, § 12946 (FEHA) 29 U.S.C. §§ 203(m), 207(g), 211(c) 29 U.S.C. § 255 (a) Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Vallecitos Water District Records Retention OSHA Correspondence & Notices Terminal Safety Inspection & Compliance Records — BIT Program Workplace assessments — including ergonomic studies and job hazard analysis Environmental Air Pollution Control District Inspections — including tanks, generators Asbestos Records including identification and disposal manifests Hazardous Material including material safety data sheets, inventory list & handling procedures Hazardous Waste Disposal Manifests Hazardous Waste Compliance Inspections — including internal and external (County Environment Health) Pesticide Records — inventory, use, disposal Safety Inspections — (Internal) including facility audits Safety Meeting Minutes — including tailgate Training Records — including attendance, new employee orientation, scheduled, certification PUBLIC INFORMATION Annual Reports — Water Quality Reports Education Curriculum — including instructor release forms Media Files — including new clippings, TV and radio tapes, news releases Photographs — Official Public Outreach Materials — including newsletters, fact sheets, brochures, other collateral materials, videos Accounts Payable Bank Statements Purchase Order File Accounts Payable supporting documentation (voucher, invoice, purchase order) Open Payables Report Warrant Register Annual Vendor Detail 1099 Tax Information & Returns Accounts Receivable Invoices Cash Receipts Journal Entries Revenue Backup Assessment Pay -offs Refunds CI +5 C1 +5 Cu +2 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 P I " 3 years per permit P " Cu +10 CAL OSHA Cu +10 CALOSHA Cu +10 CAL OSHA Cu +2 Cu +7 Cu +7 Cu +7 Cu +5 Cu +2 Cu/E+5 Cu+5 Cu +5 Au +5 Au +4 Au+4 Au +4 Au +4 Au +7 Au +5 Au +7 Au +7 Au +7 Au +7 Au +7 Au +7 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 11 Gov. Code, §§ 12236, 60200 Gov. Code, §§ 12236, 60201, 60202 Gov. Code, §§ 12236, 60201 Gov. Code, §§ 12236, 60201 "Don't have 41 C.F.R. §50- 201.501 Gov. Code, §§ 12236, 60201 11 Ij 11 11 Payroll Time Sheets CI +6 29 C.F.R. § 516.2. 516.5 Payroll Changes CI +6 " Vallecitos Water District Records Retention Policy Page 6 Office of Record and I Employee Master File Labor & Fringe Distribution Sick Leave Other Leave Pay Code Register Payroll Deduction Register Payroll Check Register YTD Earnings QTD Earnings Taxable Wages State Income Tax Returns Federal Income Tax Returns Year -end Payroll Tape Utility Billing Payment Stubs & Tapes Meter Reads Service Requests Utility Billing Register Refunds Credit Bureau Assignments Purge Tapes Grants State Grants Federal Grants Financial Reports Audited Financial Statements Expenditure /Encumbrance Project Expenditure Reports Asset, Equity, Liability Reports Revenue Ledgers State Controller Reports Fixed Asset Subsidiary Ledger Surplus Property List Other Financial Reports Bonds Payable and Other Long -Term Indebtedness Canceled Checks (any media from bank) General Correspondence ENGINEERING Pipeline /Facility Design — including preliminary/final design reports, technical memos, design criteria, calculations, etc. Maps /Drawings — including shop, fabrication, & record /as -built Member Agency Files — including agreements, correspondence, etc. Project (CI P) Files — Pipeline Construction /Repair — including agreements, contracts, correspondence, permits, etc. Specifications (Spec Books) & Half Size Drawings Statement of Qualifications Project Files — Environmental, including contracts, correspondence, CEQA/NEPA, compliance documents, technical reports, reduced copies of maps, mitigation monitoring reports. Notice of Determination and regulatory Retention I Legal Au +10 Au +10 Au +10 P P Au +10 Au +10 Au +10 Au +10 Au +10 Au +10 Au +10 Au +7 Au +7 Au +7 Au +7 Au +7 Au +7 Au +7 Au +3* Au +S* P Au +7 Au +10 Au +7 Au +7 P Au +10 Au +7 Au +7 T +10 Au +7 Au+5 Code, § 1 Gov. Code, § 37207 Gov. Code, § 37207 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 60200 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 60200 Gov. Code, § 34090 Gov. Code, § 60200 Gov. Code, § 60200 Code Civ. Proc., § 337.15 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236 Gov. Code, § 12236, Code Civ. Proc., § 337.5 Gov. Code, § 12236, Code Civ. Proc., § 337.5 Gov. Code, §12236 P Gov. Code, §60200 CI +10 P Cu +3 Cu +10 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Code Civ. Proc., § 337.15 Vallecitos Water District Records Retention Policy Page 7 Retention I Legal agency permits. A +4 Gov. Code, § 60200 Water & Sewer Books P Code Civ. Proc., § 337.15 Receipt Books P Code Civ. Proc., § 337.15 Assessment District Documents P Gov. Code, § 60200 I.D. "A" (CD and cover letter) P Code Civ. Proc., § 337.15 I.D. "A" — including supporting documentation, notices, etc. Au +7 Code Civ. Proc., § 337.15 Annexations P Code Civ. Proc., § 337.15 As -Built Mylars P Code Civ. Proc., § 337.15 Fire Flow Analysis Cu +2 Code Civ. Proc., § 337.15 Project Photo Documentation — during construction P Gov. Code, § 60200 Field Orders (Contractor) — including log P Gov. Code, § 60200 Non - compliance Reports (Contractor) — including log P Gov. Code, § 60200 Submittals (select items) P Gov. Code, § 60200 Inspection Reports — pipeline construction P Gov. Code, § 60200 Final Reports — construction manager and final summary P Gov. Code, § 60200 report Quality Assurance Reports P Gov. Code, § 60200 Annexations P Gov. Code, § 60200 As -Built Mylars P Gov. Code, § 60200 Quitclaims — including blankets, reserved & specific P Gov. Code, § 60200 Standard Specifications & Drawings P Gov. Code, § 60200 Exchange of Water Agreement P Gov. Code, § 60200 Temporary Service Agreement P Gov. Code, § 60200 Deeds/Title Documents — including easements, grants of right P Gov. Code, § 60200 of way, etc. Water Availability Letter Cu +5 Gov. Code, § 60200 OPERATIONS AND MAINTENANCE Inventory List— including emergency availability A +4 Gov. Code, § 60200 Maintenance Records Cu +2 Gov. Code, § 60200 Repair/Trouble Reports Cu +2 Gov. Code, § 60200 Facilities Inspection Reports CI +2 Gov. Code, § 60200 Crime /Incident Reports — Including police reports CI +7 29 C.F.R. § §1904.2, 1904.4 Emergency Preparedness Plan — including member agency Cu +2 29 C.F.R. § §1904.2, 1904.4 participation Licenses — including FCC Cu +2 29 C.F.R. §§1904.2,1904.4 Operating & Maintenance Manuals P 29 C.F.R. §§1904.2,1904.4 Operating Permits — including APCD, User Fuel Tax, Health, P 29 C.F.R. §§1904.2,1904.4 EPA, Hazardous Waste Tax, Storage Tanks, Oversized Load Transportation, NPDES Underground Storage Tank (Fuel/Waste Oil) Records — P 29 C.F.R. § §1904.2, 1904.4 including tightness test, inspection reports. Removal — including permits, photos, inspection, contract Vehicles Recycling Records — including tires, batteries, waste oil, oil P 29 C.F.R. § §1904.2, 1904.4 filters Fuel Usage Reports Au +5 29 C.F.R. § §1904.2, 1904.4 Repair (Summary) Records including preventative care C +2 Gov. Code, § 60200; checklist, history, CHID Inspection, BIT Cal. Veh. Code § 34501.12 Smog Certificate — including test results P Gov. Code, § 60200 Vallecitos Water District Records Retention Wastewater - Collection System CCTV inspection logs Carbon Sampling logs FOG application logs Enhanced Maint. Cleaning logs Monthly Reports Monthly Call Out Reports Misc. System Checks (1-12S, Odor Ctr) Outfall Inspection Logs Smoke Testing Logs Spill logs Station Checklists Vactor Routine Cleaning Logs Weekly Billing Meter Trends Water Delivery System Department of Health Services Reports — including bacterial / chemical lab test results Drain Water Notices (Regional Water Quality) Meter Calibration Meter Readings Operating Log Books — including system activity, flow changes Preventative Maintenance Checklist (power plant & pump station) Recording Charts Sanitary Survey (Cal. Dept. Pub Hlth) SCADA Service Connection Records SCADA System Event Logs Shutdown Records South Lake - Inspections & Reports Station Log Sheets — including meter station entry/activity log TTHM /HAA5 samplings Twin Oaks Facility - Risk Mgmt Plan - Process Safety Mgmt Water Quality Complaint Reports Work Orders — including repair records Lead and Copper tap sampling — CDPH and USEPA testing, et al Treatment Plant Records including monitoring information, all calibration and maintenance records, original strip chart recordings for continuous monitoring instrumentation, copies of all reports required for the Treatment Plant Permit. Water quality and system water outage complaints, verbal and written, receiving and corrective action taken. Bacteriological Analyses CaIARP (Employee Chem. Exposure) Chemical Analyses Records and resultant corrective actions Written reports, summaries or communications relating to Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +5 Cu +2 Cu +2 Cu +5 Cu +5 Cu +5 Cu +10 Cu +5 Cu +5 Cu +2 P Cu +2 C u +10 Cu +5 P Cu +5 CI +5 CI +12 C1 +5 CU +12 CI +5 T +30 CI +10 Cu +3 Cu +12 SWRCB Order WQ2013- 0058 — Attachment (A) Gov. Code, § 60200, 22 C.C.R. §64470 Gov. Code, § 60200 Gov. Code § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Gov. Code, § 60200 Cal. DWR Gov. Code, § 60200 22 CCR 64470(b)(1) 40 C.F.R. § 68.200 8 C.C.R. § 5189 22 C.C.R. § 64470 Gov. Code, § 60200 22 C.C.R. § 64690.80; 40 C.F.R. § 142.14 Order 93 -23, Monitoring and Reporting Section A, Item 7 40 C.F.R. § 141.33 22 C.C.R. § 64470 Hlth & Safety Code § 25531- 25543.3 22 C.C.R. § 64470 11 40 C.F.R. § 141.91 Vallecitos Water District Records Retention Policy Page 9 Office of Record and Document sanitary surveys of the system conducted the water supl a private consultant or any local, state or federal agency Variances or exemptions granted to the system Mahr Res. Dam Inspection Records Odor Ctrl.Scrubber Records Process Safety Mgmt. Risk Mgmt. Plan Standby Generator ALL DEPARTMENTS Other Records Destroyed on a case -by -case basis as determined by the Department Director consistent with the retention period established under this policy for similar documents. Duplicate Records Destroyed whenever they are no longer required. Cu +5 P 3yrs P C1 +5 C1 +3 * Audit in this case refers to the final Federal /State audit. * *Process is subject to update and revalidation at least every five (5) years * * *Or two compliance cycles, whichever is longer. Legal 22 C.C.R. § 64470 Cal. Water Code, § 6101 APCD Permit 920363 8 C.C.R.. § 5189 40. C.F.R. § 68.200; 29 C.F.R. § 1910.1020(d)(1) APCD Permit *982896 Gov. Code, § 12236 Gov. Code, § 12236