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HomeMy WebLinkAbout06-03-2009 Supplemental Council AgendaCITY OF SARATOGA RECORDS RETENTION SCHEDULE Date Issued: Revision Revised: Approved By... Page 1 of 19 ril l etention C�tatlb T' fl �0 e5h� I� @S crrp ttan ADMINISTRATIVE SERVICES ING Records relating to the review and monitoring of any accounting or Audit Records P GC 34090 financial records to ensure compliance with GAAP standards and the City's procedures. Audit reports and records created in the creation of audit report. GC 34090; 26 Records related to bank transactions including deposit of funds, bank Banking Records AU +5 CFR 31.6001 1 statements, bank reconciliations, disbursements, and wire fund transfers. Bond Documents CL +10 GC 34090; X Bonds, revenue records relating to interest bearing certificates (negotiable instruments) issued by City to raise revenues, including CCP 337.5 certificates of participation and any non discharged debt. GC 34090; Summary of all financial accounts. Records relating to postings to the General Ledger P CCP 337 X General Ledger. Grants, Financial Grant information and documentation, including financial data, for all *Certain Records CL +5 GC 34090 X grants applied for by the City. grants may have individual requirements. Refer to grant's close -out procedures. Journal AU +7 GC 34090; CCP 337 X Records balancing bank accounts with transfers, corrections, and the general ledger. Public Financing Authority Financial P GC 34090, Annual financial reports, annual assessment district reports, staff reports for finalizing bonds, and other financial records relating to the Records 40802, 53901 City's Public Financing Authority. ACCOU NT& PAYABLE,_ Records relating to payment of financial obligations (money owed by the City). Includes vendor and contractor invoices, bills, statements and any Accounts Payable AU +4 GC 34090 non discharged debt. Also includes delivery receipts and employee travel reimbursements, petty cash requests for reimbursement, check requests, and expense reports. Bids and Proposals, GC 34090; Bids, proposals, and records of request for qualifications and requests Successful T +4* CCP 337 X for proposals regarding goods and services, where the proposal was selected by the City. *T term of the contract. Bids, proposals, and records of request for qualifications and requests Bids and Proposals, GC 34090; for proposals regarding goods and services. Unsuccessful proposals Unsuccessful T +4* CCP 337 not selected by the City. *T Term of associated contract. Checks AU +5 GC 34090; X Includes canceled and voided checks. Physical checks returned by the bank, or CD's containing digital images of cancelled checks, received CCP 337 monthly from the bank. Check Registers CU +7 GC 60201 X Records listing individual checks issued, and the date, payee, amount and purpose of each expense. GC 34090; 26 Records relating to the acquisition, depreciation, accrual, and disposal Fixed Assets AU +4 CFR 301 65- 1(F); CCP X of fixed assets. 337 26 CFR Records relating to funds levied on payments to instructors or vendors 16001 -1; 29 due to withholding orders from federal, state, or other agencies. Levy records, CU +6 CFR Instructor or Vendor 1627.3(a), (b)(2); CCP 337 Purchase Order Files AU +4 GC 34090; X Copies of Purchase Orders issued by the City to sellers or service providers, detailing products or services ordered, terms of sale, and CCP 337 payment agreement. Tax Records, Vendor AU +7 29 USC 436 X X Forms 1099 filed for reporting payments to vendors. CITY OF SARATOGA RECORDS RETENTION SCHEDULE Date Issued: Revision Revised: Approved By... Page 1 of 19 Record Series Official Retention. Citation anon Idam H� C, R', ,,I,, m� t Description I V. �4CCOUN TSREGEIVABk =E. Accounts Receivable AU +4 GC 34090 X Records related to accounting for money owed to the City, where the City sends out billing invoices. Business License Files T +4 GC 34090; CCP 337 X X Records related to business licenses, including applications, copies of issued licenses, and audits. Cash Receipts AU +4 CCP 337, 338 X Records related to payment received by the City. Includes, cash, check, and credit card payments. Includes records relating to property taxes collected by the state and disbursed to Saratoga. BUDGETS Budgets, Approved P GC 34090 X Records relating to internal planning and financial management. Includes budget vs. cost reports, summaries, worksheets, goals and objectives and milestones. Official City budgets as approved by City Council. Budget Adjustments P GC 34090 X Records of alterations to the budget due to changes in City revenue or expenditures, requiring approval from the City Council. Budgets, Proposed CU +2 GC 34090 Budgets presented to City Council for approval, but not approved. GENERALzAD MlNISYRATION" YAdrnlmstrntwecSE 7 z 2 m k O ƒ m m 2 Agendas, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Association Files CU +2 GC 34090 Records related to membership or the activities of professional or industry associations of which the City or City staff is a member or has a business interest. Complaint Files CL +2 GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL +4 CCP 337 X Contracts and agreements that do not require approval by the City Council. Generally contracts under $25,000, not capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Contracts and Agreements, Council Approved CL +10 GC 34090 X Contracts and agreements requiring City Council approval. Includes all contracts over $25,000. Most capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Official contract filed with the City Clerk. Delegation of Authority Signature Authorization Forms P GC 34090, City Policy Records authorizing specified employees to sign for and approve certain activities or documents during the absence of the individual normally authorized to do so. Master Plans/ Strategic Plans SU +2 GC 34090 X Special or long -range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU +2 GC 34090 Meeting minutes, records associated with staff meetings, not Council related. Minutes, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Opinions SU +2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Order Forms, Stores CU +2 GC 34090 Completed forms for ordering supplies. Photographs SU +2* GC 34090d Physical prints or digital images. Records of City events, landmarks, programs, facilities, etc. *Review for historic value before destruction. Reference Files, External Sources SU +2 GC 34090 Documents published by outside organizations, used for reference or research. Includes reports from external providers of services to the City and City residents. Reference Files, Internal SU +2 GC 34090 City- generated files used as reference. MFAORMMT COWED 61V0E;0.GY Computer System Administration SU +5 GC 34090 X X Records regarding activities to maintain and ensure continued operation of computer systems and applications. E -Mail Archives CU +3 GC 34090 City Policy X X Archived e-mail shall be maintained for three years; however, this does not override any specific retention requirements of individual records series. E -mails that constitute records must be preserved according to their retention periods elsewhere in this schedule. Page 2 of 19 Page 3 of 19 �I� df se eten 't �t fir, Ci a O' C i x .Description GC 34090; Network information systems (LAN/WAN) configuration maps and Network Configuration SU +5 CCP 337.2 X plans. Records relating to the infrastructure and set -up of servers. Records related to authorizing employees or contractors to have access Security Clearance to a City computer system, system module or the data stored in a Records SU +5 GC 34090 X X computer system or system module. Generally tracks permissions by position or employee classifications. Records related to software applications owned by the City. Includes Software Application Files CL +4 CCP 337 X software registrations and records related to the maintenance of software applications. Licenses, authorization codes for support services. r r i? F R IT E GC 34090; 26 Reports and payment records by pay period. Employee contributions Deferred CFR 31 and City payments. Compensation T +5 X X Records 1; 29 CFR 1627.3(2) 26 CFR Records relating to individual employees, including new hire, Employee Payroll 16001 1; 29 termination, salary, benefits, deductions, employee benefit enrollment Files CU +6 CFR X X forms, direct deposit authorization, W -4, DE -4, and employee 1627.3(a) authorizations for deductions. GC 34090; 29 Timesheets, signed by employee, supervisor, and department head, for CFR 516.2; audit and FEMA Reports. Includes applicable sign attachments: 20 CFR requests for time off, overtime authorization. Payroll Employee AU +6 516.6(1); IRS X X Timesheets Reg. 31.6001 1(e)(2); R &T 19530; LC 1174(d) Payroll Organization Reports listing City costs by employee and. program. Reports AU +2 GC 34090 X Payroll Registers p GC 34090, 37207 X X Salary, benefits, and deduction information, filed by pay period. Monthly, quarterly, fiscal year and calendar year reports. GC 34090; 22 Records including garnishments, adjustments, deduction CCR 1085 -2; authorizations, and PERS (Public Employee Retirement System) 29 CFR deductions. Payroll Salary and T +4 516.2, 516.5, X X Deduction Registers 516.6 26 CFR 31.6001- 1; LC 1174(d) PERS Payroll Reports CU +6 X X Report to CaIPERS detailing employee salary information and retirement contributions by pay period. 26 CFR Medical, dental, vision, life, disability, supplemental insurances. 16001 -1; 29 Premium Billings CU +6 CFR X X 1627.3(a), (b)(2) Records relating to the maintenance of information about tax liabilities, Tax Records, 26 CFR withholding and payment of taxes, records related to payment of State Employee P 31.6001 -1 X X and Federal taxes including 1096 and annual W -2 Forms, and the quarterly and annual DE 6 and DE 7 forms. yy REPORTS,._ Account Reports showing month -to -month status of balance sheet accounts. Reconciliation AU +5 GC 34090 Annual Financial AU +7 GC 34090.7 X Annual financial reports describing the financial status of the City, and related records. Bank Reconciliation AU +5 26 CFR 31.6001 -1 X Reports comparing balances of cash accounts and bank books. Reports mandated by the State Controller, detailing the City's revenues State Controller P GC 34090 X and expenditures for purposes of funding. Published by State, which may destroy after 5 years. Treasurer's AU +5 GC 34090 Monthly reports, including balance sheets. Page 3 of 19 c. ecord ?Series,, icial iRetention Citations ,U HC ter., M Description CITY MANAGER'S OFFICE CITY CLERK E,E ,�I Agendas, City Council P GC 34090, City Policy Original agendas and special meeting notices, including certificates of posting, original summaries, original communications and action agendas for City Council. Agenda packets, including staff reports and attachments. Applications, Commissions and Committees Not Selected CL +2 GC 34090 Citizen applications for vacancies on City commissions or committees, where the applicant was not selected. Applications, Commissions and Committees Selected T +5 GC 34090, 40801 Citizen applications for vacancies on City commissions or committees, where the applicant was selected to fill the position. Assessment Districts P GC 34090 X Original documentation of assessment districts in City. Delivery Receipts CU +2 GC 34090 Records documenting receipt of items sent by certified mail or hand delivered (e.g., appeals). Easements, Dedications, Rights of Way P GC 34090 Records relating to easements, rights -of -way, and other dedications associated with construction or subdivision projects. Franchises P GC 65864, 65869.5, 34090; CCP 337.2, 343; 5 CCR 16023 Records related to franchise agreements with the City, e.g. cable. Includes subdivision agreements, contracts for sale or purchase of property, grant of easements, etc. Lobbyist Reporting Forms T +2 GC 34090 Forms filed with the State regarding City's lobbyist consultants. Meetings, AudioNisual Recordings CU +3 mos. GC 34090.7 Recordings of City Council meetings, when used for minute preparation. May have historic value. Minutes, Council Meetings P GC 34090(d), 36814, 40801 X X Records regarding meeting minutes, resolutions, actions and decisions of the City Council. Includes administrative orders, minute orders and minute actions. Municipal Code P GC 34090 X The City's Municipal Code, with supplements and changes included. Plaques P X Records of plaques in the City. Includes tree and bench dedication plaques. Proof of Service Forms CL +2 GC 34090 Legal forms confirming delivery of official documents either by hand or through Certified Mail, for documents sent by the City. Public Record Requests CL +2 GC 34090 X Records reflecting Public Record Act (PRA) and Freedom of Information Act (FOIA) requests and material sent in response to same. Records Destruction Approvals Certificates P GC 34090 Documents certifying (confirming) the destruction of official records that have been approved for destruction. The certification attests to the fact that destruction was accomplished in accordance with applicable procedures. Records Inventory CU +2 GC 34090; 80 OPS Atty. Gen. 106 X Inventory of non current or inactive records holdings and location, indices. Records Management Files CL +2 GC 34090 Records regarding the management of City records, including records maintenance and transfer records. Does not include the retention schedule or destruction certificates. Records Retention Schedules SU +2 CCP 343 X X The document that lists each record series and the associated retention times, characteristics, responsible division, and legal citations, if applicable. Recorded Documents P X X Official version of documents recorded by the County Recorder's Office. Statements of Economic Interest, Employees CU +7 GC 81009(e), (f); 82006; 87200 et seq. Form 700 detailing employee's financial assets and investments that might create a conflict of interest. Required of various City employees including City Manager, City Clerk, department managers, and certain consultants. Page 4 of 19 �Recoi%I Series r.Fai 'Retention, Citationr� I C Description ELECTtIONS* :bM'� Please note that elections are administered by the Santa Clara County Registrar of Voters. The City does not handle or retain ballots or voter registration. Campaign Disclosure, Elected P GC 81009 (b) (g) FPPC Filings, including forms 410, 460, 496, and 497, which provide a record of candidate's financial activities during a campaign, where the candidate was subsequently elected. Campaign Disclosure, Not Elected E +5 GC 81009 (b) FPPC filings, including forms 410, 460, 496, and 497, which provide a record of candidate's financial activities during a campaign, where the candidate was not elected. Candidate Information Request Forms T +4 EC 17100(a) Forms filed with the City and the Registrar of Voters detailing candidate information, contact information to be disclosed to the public, and signature count. Candidate Intention Statements, Elected P GC 81009(b) Forms 501 filed with City Clerk, declaring candidates' intention to run for City Council, where the Candidate was elected. Candidate Intention Statements, not Elected CU +5 GC 81009(b) Forms 501 filed with City Clerk, declaring candidates' intention to run for City Council, where the Candidate was not elected. Candidate Statements of Qualification E +4* Candidate Statements of Qualification submitted by candidates for inclusion in ballot. *(For past elections in which a sample ballot has not been saved, Statements of Qualifications should be saved permanently) Certificates of Election E +2 EC 17300 et seq. Original reports and statements, records used to certify election results. Chinese Given Name Translation Forms E +2 EC 17300 et se GC q 34090 Forms, filed with the City and the Registrar of Voters, which provide each candidate's Chinese given name or preferred transliteration for an upcoming ballot, or approval for the Registrar of Voters to create a transliteration. Declarations of Intent to Install Temporary Political Signs E +2 GC 34090 Forms signed by candidates agreeing to remove temporary political signs promptly after an election and pay a fee to the City if failing to do so. Fair Campaign Practices Signature Forms E +1 EC 20442 The State's Code of Fair Campaign Practices, and the City's Pledge of Fair Campaign Practices, signed voluntarily by candidates for City Council. History P GC 34090 X History of elections: sample ballots, certificates of election, staff reports, and resolutions regarding elections. Nomination Papers, successful T +4 EC 17100(a); GC 81009(b) The circulated petition for nomination of a candidate for City Council, including names, signatures, and addresses of registered voters, where enough signatures were verified for the petition to be successful. Nomination Papers, unsuccessful E +4 EC 17100(a); GC 71 09( The circulated petition for nomination of a candidate for City Council, including names, signatures, and addresses of registered voters, where the petition was unsuccessful. Notifications and Publications E +2 GC34090 Proof of publication or posting, certification and listing of notice of posting; copy of newspaper notice and certification of offices to be voted for at forthcoming election. Oaths of Office T +6 GC 34090; 29 USC 1113 Oath of office forms filled out by elected officials and certified by the City Clerk. Petitions, Elections related E +1 EC 17200, 17400 Petitions received by the City, including initiative, referendum, or recall petitions. Kept from date of filing or election. Statements of Economic Interest, Elected Officials T +7 GC 81009 (e), (f); 82006; 87200 et seq. Forms 700 filed with the City Clerk, and forwarded to the Fair Political Practices commission. Details financial assets and investments that may present a conflict of interest. Statements of Economic Interest Not Elected CU +7 GC 81009 (e), (f); 82006; 87200 et seq. Forms 700 filed with the City Clerk during a campaign for City Council, where candidate was not elected. EMERGENC ISERUIGES„ Drill and Exercise Records CU +10 GC 34090 Documents relating to the City's emergency drills and exercises. Emergency Operations Plan SU +2 GC 34090 X The City's plan for preparing for and handling a variety of disasters and emergency situations. Page 5 of 19 RecorckSer es, Official Retention G tatrori U ..H Description Emergency Recovery Records CU +25 GC 34090 Records documenting the City's long -term recovery efforts after a disaster or emergency. Includes records relating to City collaboration with County, State or Federal agencies, and non profit organizations. Emergency Response Records CU +25 GC 34090 X Records detailing the work of formal City volunteers, spontaneous volunteers, and City staff during a declared emergency. Also includes records documenting activities of emergency operations center (EOC). Grant Records and Agreements, Emergency Preparedness CL +5* GC 34090 X Documents related to grants awarded for emergency preparedness efforts. Including applications, agreements, progress and financial reports and compliance paperwork. Primarily Homeland Security grants. *Certain grants may have individual requirements. Refer to grant's close out procedures. Grant Records, Unsuccessful CL +2 GC 34090 Emergency preparedness grants applied for by the City, where the grant was not awarded. Public Emergency Preparedness Files p CU +2 GC 34090 Records relating to City efforts to involve the public in emergency preparations, including records relating to Community Emergency Response Team training. Includes Disaster Service Worker files. Training Records, enc Emergency q Y CU +10 GC 34090 Records relating to the training of employees for dealing with emergency situations and evacuations. aENERA< A® MINISTRATIQNCwt Administrative Decisions and History P GC 34090 X Administrative records determined to have historic value; i.e., records related to significant decisions, projects, or programs of City staff. Administrative Policies SU +2 GC 34090, 40801 All City policies and procedures, including appropriate policy manuals and handbooks. Records documenting the implementation of management and administrative policies and directions for various City functions. Administrative Records CU +2 GC 34090 Records of a general nature including copies of memos, letters, chronological files, calendars, day timers, phone messages etc. that pertain to the general administrative activities and duties of the Department. Agendas, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Association Files CU +2 GC 34090 Records related to membership or the activities of professional or industry associations of which the City or City staff is a member or has a business interest. Bids and Proposals, Successful T +4* GC 34090; CCP 337 X Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services, where the proposal was selected by the City. *T term of the contract. Bids and Proposals, Unsuccessful T +4* GC 34090 Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services. Unsuccessful proposals not selected by the City. *T Term of associated contract. Complaint Files CL +2 GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Master Plans/ Strategic Plans SU +2 GC 34090 X Special or long range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU +2 GC 34090 Meeting minutes, records associated with staff meetings, not Council related. Minutes, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Order Forms, Stores CU +2 GC 34090 Completed forms for ordering supplies. Photographs SU +2* GC 34090d Physical prints or digital images. Records of City events, landmarks, programs, facilities, etc. *Review for historic value before destruction. Public Comments and Correspondence CU +2 GC 34090 Communications (written, voice, or digital) from the public on City matters, not included in Council meeting minutes. Includes official responses from Mayor, City Council, or City Manager. Page 6 of 19 E OW c� S.e......, lc R. a• n, .citation Y H. ;C R r D Publications and Presentations CU +2 GC 34090 Records related to providing information to the public and to staff about City activities. Includes internal and external newsletters, news clippings, brochures, and press releases. Records of presentations to the City Council, or to public groups by members of the Council or City staff. Associated working files, such as graphics used in document creation, where applicable. Reference Files, External Sources SU +2 GC 34090 Documents published by outside organizations, used for reference or research. Includes reports from external providers of services to the City and City residents. Reference Files, Internal SU +2 GC 34090 City generated files used as reference. Reports, General CU +2 GC 34090 Reports generated by staff, relating to status or progress of routine City activities. Not agenda related reports. Special Projects CU +2 GC 34090 Records relating to special projects carried out by the department. iluM,, RESOURCES Cal OSHA T +25 Forms 300 -A Annual Summary and 301 City Volunteer Program Records T +2 GC 34090 X Records of the activities and administration of the City's volunteer program, including all records maintained on active and non active volunteers. COBRA Files T +10 29 CFR 1627 29 CFR1602.30. 32 X X May include enrollment application, release authorizations, copies of proof of premium payment, if applicable. Disaster Service Worker Volunteer Program Records T +2 www.oes.ca.q ov; Disaster X X The Registration form with oath or affirmation shall be filed within 30 days of the date it was taken to the HR division or designated department as the official repository for Disaster Service Worker records and required in the event of a volunteer workers compensation injury. Service Worker Volunteer Program Employee Handbooks (Personnel Rules and Policies) SU +5 GC 12946, 34090 X Employees Personnel Files T +10 GC 34090; 29 CFR 1627.3; 29 CFR 1602.30.32 x x Official records of personnel history for all active City employees of regular status (full -time and part -time) or temporary status (non benefited full -time and part- time). Includes all job actions such as new hire paperwork, certifications, performance appraisals, personnel action changes, warning and discipline letters, commendations, emergency contact information, and records of leave taken under family leave laws. Separated employees' personnel files are kept as a personnel history record. Not a public record. Employment Applications CU +2 GC34090; GC 12946; 29 CFR 1627.3 Applications submitted for existing or anticipated job openings. Immigration T +5 Immigration Reform/ Control Act 1986 X X 1 9 Form; proof of eligibility to work in the United States of America. Insurance, Workers Compensation P GC 6410; 29 CFR 1910.20 x Workers Compensation records relating to employee industrial claims history. Insurance administered through ABAG. Medical Leaves of Absence T +5 FMLA 1993 US OSHA; 29 CFR 1910.20; 29 CFR1602.30. 32; 49 CFR 192 -9 X Records filed as part of a request for leave of absence. May include application and applicable medical records. Negotiations P 29 USC Sec 211(0); 29 CFR 516 X X Contracts, MOUs, correspondence, and official meeting notes Page 7 of 19 cord >Seres !Official Y bR, Retention; Citation `U H C 66 �v s Description, for as those not hired, eligibility list, job announcements, written rejection letters or invitations to Position Recruitment CU +3 GC 12946; GC 6250 et seq.; 29 CFR 1602 et se q•. 29 CFR 1607; 29 CFR 1627.3 X May include applications and resumes examination material and answer sheets, correspondence with applicants such the next phase of the process. Retirement Plans P GC 12946, 34090, 29 CFR X X PERS and Deferred Retirement Plan(s) Documents. Note: Employees enrollment information is maintained in the Personnel Files. 1627.3(2) Salary Range Tables and Job Descriptions CU +2 GC 12946 34090 X X Includes classification salary range tables, classification studies and survey's. Note: Only the most current salary range tables and job descriptions are vital records. Training Records and AB 1825 (GC 12950.1); 2 Written records of which employees received training, the dates of all training sessions, the content and material covered in each training Tuition T +2 CCR 7288.0; X X session, and the qualifications of the instructor. Reimbursement Program GC 6250 et seq. Unemployment GC 12946, 34090; 29 All documented claims submitted by former employees for unemployment compensation. Records may include: claim records, notices, reports, records generated by the appeal of claim Insurance Claim Records T +6 USC 1027, 1113; 29 CFR X determinations. 1602 et seq. LEGAL/LEGISLATIVE CCP 583.320 Civil appeals records. Lawsuits against the City. Appeals CU +3 (a)(3); GC 34090 Appointments to the Records of the appointment of an individual to fill a vacant Council seat is Council P and serve out the term of a Councilmember who unable to complete his or her term. City copy of documents filed with State, establishing incorporation of Articles of G03409 City and the boundaries thereof. Includes resolutions of the Santa Clara Incorporation CCP337.2 X X County Board of supervisors and any other records relating to the incorporation of the City. Case Records, Official documents relating to a case or its resolution by settlement. Any records associated with a case that are filed in court, notorized, or Formal P City Policy X authorized. Includes petitions, complaints, reply briefs, opening briefs, settlement agreements, filed pleadings, court documents. Case Records, Supporting case documentation including notes, drafts, Informal CL +5 City Policy X correspondence, proposed drafts of settlement agreements, and other less formal or non signed records. Contracts and agreements that do not require approval by the City Contracts and Council. Generally contracts under $25,000, not capital improvement Agreements CL +4 CCP 337 X projects. Includes specifications and plans, certificates of insurance, scopes of work. Contracts and Contracts and agreements requiring City Council approval. Includes all Agreements, Council CL +10 GC 34090 X contracts over $25,000. Most capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Approved Council Administrative Files T +2 X Records relating to Council members, current contact information, biographies, etc. Grand Jury Reports and City Responses CU +10 GC 34090, 6276.22 X Reports received from Santa Clara County Grand Jury, and City responses. Legal Advertising CU +4 CCP 343, 349 et seq.; GC Records related to legal advertising required for public hearings. 911.2, 34090 Opinions SU +2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Page 8 of 19 Record Series fricial Retentibn� Citation, V. E �G, Description COMMISSIONS AND COMMITTEES Agenda Packets P GC 34090 Agenda packets prepared for commissions and committees, including staff reports. Agendas P GC 34090 Original agendas and special meeting notices, including certificates of posting, original summaries, original communications and action agendas. Minutes P GC 34090 X X Meeting minutes, records associated with meetings of commissions and committees, including Council committees. Resolutions P GC 34090(e) Resolutions generated by commissions or committees. Includes approval or disapproval of planning projects, etc. Page 10 of 19 ReordSeriees ,EI O icral� e Retention Citation v WC escii �.r.' p ti o COMMUNITY DEVELOPMENT Building Permit Files P GC 34090a; H &S 19850, 4003, 4004 X Permits issued by City. Records related to plans, signs, grading, encroachment, including blueprints and specifications. Approval to construct or renovate property, zoning variances and conditional use permits. Includes structural calculations and soil and geotechnical reports as needed; and inspection records. Street Names and House Numbers P GC 34090a X Street dedications, closings, address assignments /changes. CODE tCOMPLIANCE x NR Abandoned Vehicles CL +2 GC 34090d Records of City handled code violations relating to abandoned vehicles. Does not include cases handled by Sheriffs office. Case Files CL +2 GC 34090d Building, housing and mobile home code violation records including inspections; public nuisance, rubbish and weed abatement, vehicle abatement, citations, and related complaints. Parking Citations CU +2 GC 34090 Records relating to citations for parking violations within City limits. Does not include cases handled by Sheriffs office. Permits, Animal CL +2 GC 34090 Horse and kennel permits issued by the City, associated documentation. Permits, Massage Parlor CL +2 GC 34090 Permits issued by the City required for establishing, managing, or practicing at a massage parlor within City limits. Associated documentation. Permits, Noise Exception CL +2 GC 34090 Permits issued by the City allowing an exception to the City's noise ordinance for the purposes of construction or other approved activity. Associated documentation. Permits, Solicitor CL +2 GC 4090 Permits issued by the City allowing permit holders to solicit within City limits. Associated documentation. Permits, Special Events CL +2 GC 4090 Permits issued for block parties, parades, and other special events requiring City approval. Associated documentation. Violations, Building, Property, Zoning CL +2 GC 34090d Supporting code enforcement activity relating to code violations against property. (Officially recorded documents are held by City Clerk) CsE NEW. "ADMINlSTRATIQIV Co'minf ty Devei6t I��. er1t r Administrative Records CU +2 GC 34090 Records of a general nature including copies of memos, letters, chronological files, calendars, day timers, phone messages etc. that pertain to the general administrative activities and duties of the Department. Agendas, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Arborist Files CU+5 GC 34090; H &S 19850 Tree removal permits, arborist reports, and associated records. Association Files CU +2 GC 34090 Records related to membership or the activities of professional or industry associations of which the City or City staff is a member or has a business interest. Code Books P GC 34090 X National Electrical Code, Uniform Building, Fire, Mechanical, Plumbing, etc. Includes supplements. Complaint Files CL +2 GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL +4 CCP 337 X Contracts and agreements that do not require approval by the City Council. Generally contracts under $25,000, not capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Contracts and Agreements, Council Approved CL +10 GC 34090 X Contracts and agreements requiring City Council approval. Includes all contracts over $25,000. Most capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Official contract filed with the City Clerk. General Subject Files/ Correspondence CU +2 GC 34090d Working documents and correspondence not in project files. Page 11 of 19 `may .R ec©rd $enes Official zR etention a Citation t x [Ito I e Grants, CDBG and Urban Development T +4 G( 40 24 CF 57 i02, 85.42; OMB Cir. A -102, A- 110, A 128 Community Development Block Grants and associated records: applications, reports, contracts, supporting documents. Grants, Unsuccessful CU +2 GC 34090 Community Development Block Grants and associated records, where the application was not successful and grant was not awarded. Historic Preservation Inventory SU +2 GC 34090d List of historic structures and landmarks within City limits. Maps, City Boundary P GC 34090d Recorded maps, surveys, monuments. Master Plans/ Strategic Plans SU +2 GC 34090 X Special or long -range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU +2 GC 34090 Meeting minutes, records associated with staff meetings, not Council related. Minutes, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Opinions SU +2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Order Forms, Stores CU +2 GC 34090 Completed forms for ordering supplies. Photographs SU +2* GC 34090d Physical prints or digital images. Records of City events, landmarks, programs, facilities, etc. *Review for historic value before destruction. Reference Files, External Sources SU +2 GC 34090 Documents published by outside organizations, used for reference or research. Includes reports from external providers of services to the City and City residents. Reference Files, Internal SU +2 GC 34090 City generated files used as reference. Security Bonds CL +2 GC 34090 Records of security deposits provided to the City for certain projects, guaranteeing that the projects will follow specific guidelines. if°LANNI ROC Annexations P GC 34090a Reports, agreements, and public notices related to applicants' requests for annexation of property to the City. Bids and Proposals, Successful T +4* GC 34090; CCP 337 X Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services, where the proposal was selected by the City. *T term of the contract. Bids and Proposals, Unsuccessful T+4* GC 34090 Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services. Unsuccessful proposals not selected by the City. *T Term of associated contract. Development Agreements P CCP337, 337.1(a), 337.15; 48 CFR 4.703 X Infrastructure contracts, franchises. Environmental Review (CEQA) Files P GC 34090a CEQA 'Guidelines X California Environmental Quality Act: Exemptions, Environmental Impact Report, mitigation monitoring, negative declaration, notices of completion and determination, comments, statements of overriding considerations. Includes environmental audit records for these files. Environmental Review Supporting Documentation CL +5 GC 34090d Correspondence, consultants, issues, conservation. General Plan and Elements P GC 34090 X General Plan dictating acceptable land uses for the City. Includes sphere of influence. General Plan Amendments, Approved P GC 34090 X Records of proposed amendments to the General Plan that have been approved. General Plan Amendments, Denied CU +3 GC 65103, 50110 X Records of proposed amendments to the General Plan that have been denied. Page 12 of 19 Heritage Resource Alteration Applications Maps, Plans, Drawings, Exhibits, Photos Planning Commission Files Project Files, Planning and Zoning P P P GC 34090 GC 34090; H &S 19850; GC 34090.7 GC 34909a; H &S 19850, 4003, 4004 X X Refer to COMMISSIONS AND COMMITTEES Special application equired in addition to planning application when applicant's proposed plans are alterations to a house or structure designated as historic or declared a heritage resource. Zoning, tentative subdivision, parcel, land use map, aerial photos, specific plans. May include planning application, blueprints, drawings, maps, plans, reports, evaluations, correspondence, uses, permits, variances, studies, appeals, compliance certificates, public notices, conditions of approval, lot line adjustments, or other planning related matters. Project specific records that pertain to real property. Page 13 of 19 Page 14 of 19 R ecord ESe es. >,Retent ont Citations l v E escriptian P WORKS }�y CORRORAT l0 N YARDE rr I Eir d. rr Y'r.rr E I E r r E' ��ivrEr.r�. ✓1E&�E,�3.�. rrra32'�E? Air Quality Permits SU +2 GC 34090 Permits issued to the City by the Bay Area Air Quality Management District, allowing usage of City's gasoline refueling station. Hazardous Materials Training Files T +2 8 CCR 3204 Trainings materials and records regarding the handling of hazardous materials. Hazardous Waste Disposal Records CU +10 CAL OSHA; 40 CFR 122.21 Documentation regarding the handling and disposal of hazardous waste. Material Safety Data Sheets T +30 8 CCR 3204, 5194 X Records relating to the description, use, and safe handling of hazardous substances. Operating Journals CU +2 GC 34090 Daily entries documenting activities in City operations. Includes crew schedules. Operating Records CU +2 GC 34090 Records related to City operations. Includes data books, operating reports, overtime, and crew schedules. Signage L +2 GC 34090 Log books, index register cards, inventory lists, records of traffic signs. Underground Storage Tanks, Compliance P GC 34090a Documents related to underground storage tanks and compliance with regulations. Underground Storage Tanks, Maintenance and Operation L +2 GC 34090 Location, installation, removal, remediation. Vendor Files CL +4 CCP 337 Includes copies of contracts, invoices, and purchase orders by vendor. ENGINEERING Asbestos Records P GC 34090a Documents relating to abatement projects for public buildings. Benchmark Data P GC 34090a Map and description of benchmarks. Bonds, Insurance P CCP 337.2, 343 Bonds insuring City projects. Includes material bonds and work performance bonds. Bridge and Overpass Reports L GC 34090 State reports on status of bridges and overpasses in the City. Kept for life of structure. Capital Improvement Projects P GC 34090 X Public projects carried out by the City. Includes plans, permits, and supporting documentation. Deposit Account Projects CL +4 CCP 337 Records of projects for residents or businesses in which City receives a deposit from applicant, arranges for various surveys and studies to be performed by approved consultants, who are paid through applicant's deposit. Includes plans, and supporting documentation. Drawings P GC 34090 Part of project files for both Capital Improvement Projects and Deposit Account Projects. Includes site map, plan, and specifications, traffic control plans. Easements, Dedications, Rights-of- Way P GC 34090 Records relating to easements, rights -of -way, and other dedications associated with construction or subdivision projects. Includes abandonments and vacations of the above. (Officially recorded documents are held by the City Clerk) Environmental Review (CEQA) Files P GC 34090a CEQA guidelines California Environmental Quality Act: Exemptions, environmental impact report, mitigation monitoring, negative declaration, notices of completion and determination, comments, statements of overriding considerations. Environmental Review Supporting Documentation CL +2 GC 34090d Correspondence, consultants, issues, conservation. Grants, Federal and State CL +5 GC 34090 X Grants applied for by the City for funding capital improvement projects. Includes applications, reports, contracts, supporting documents. 'Certain grants may have individual requirements. Refer to grant's close out procedures. Grants, Unsuccessful CL+2 GC 34090 Grants applied for by the City for funding projects, where the grant was not successful. Maps and Plats P GC 34090 Maps of fire hydrants, lighting districts, wheel chair ramps, storm drains, streets, sidewalks, sewers, etc. Includes survey maps (Record of Survey). Plats of City property lines and parcels. NPDES Permit Books SU +2 GC 34090 National Pollutant Discharge Elimination System permit booklet describing Clean Water Act requirements for City projects and stormwater runoff. Page 14 of 19 CCI 'Sena$ Retetll EEO rr Rl I �Wt I is x P> SC[ eaYn t Q1 rt NPDES Report CU +3 40 CFR 122.41(j)(2) Annua report on the City's compliance with the National Pollutant Discharge Elimination System permit. Permits, Encroachment Issued by City P GC 34090 X Permits issued by City to residents or organizations allowing improvements along City -owned property or roads, e.g. for driveway alterations or underground utility trenches. Permits, Encroachment From External Entities P GC 34090 X Encroachment permits issued to the City, e.g. for maintenance along Highway 9 or Big Basin Road. Permits, Oversize Load CL +2 GC 34090 Permits issued by City allowing transportation of oversize load within City limits. Soil Reports P GC 34090d Final reports on soil analysis, construction recommendations. Kept with project files. Special Districts P GC 34090a Supporting documents re: improvement, lighting, parking, underground utility districts; bonds, taxes, and construction. Standards and Specifications SU +2 GC 34090 City standards and specifications for projects that impact roadways, infrastructure, or storm drains. Traffic Signals L +4 GC 34090 X Logs, drawings, wiring diagrams, codes, circuit numbers, installation records, testing, and maintenance records. GENERAtw ADM T l v 0* Ct Administrative Records CU +2 GC 34090 Records of a general nature including copies of memos, letters, chronological files, calendars, day timers, phone messages etc. that pertain to the general administrative activities and duties of the Department. Agendas, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Association Files CU +2 GC 34090 Records related to membership or the activities of professional or industry associations of which the City or City staff is a member or has a business interest. Bids and Proposals, Successful T +4* GC 34090; CCP 337 X Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services, where the proposal was selected by the City. *T term of the contract. Bids and Proposals, Unsuccessful T +4* GC 34090 Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services. Unsuccessful proposals n ot selected by the City. *T Term of associated contract. Y b• Complaint Files CL +2 GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL +4 CCP 337 X Contracts and agreements that do not require approval by the City Council. Generally contracts under $25,000, not capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Contracts and Agreements, Council Approved CL +10 GC 34090 X Contracts and agreements requiring City Council approval. Includes all contracts over $25,000. Most capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Official contract filed with the City Clerk. Master Plans/ Strategic Plans SU +2 GC 34090 X Special or long -range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU +2 GC 34090 Meeting minutes, records associated with staff meetings, not Council related. Minutes, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Opinions SU +2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Order Forms, Stores CU +2 GC 34090 Completed forms for ordering supplies. Photographs SU +2* GC 34090d Physical prints or digital images. Records of City events, landmarks, programs, facilities, etc. *Review for historic value before destruction. Reference Files, External Sources SU +2 GC 34090 Documents published by outside organizations, used for reference or research. Includes reports from external providers of services to the City and City residents. Page 15 of 19 Page 17 of 19 erld N�yrP nE R ec ©rd Series Offraai'w Retention ,Citation escnnption AS. RECREATION /FACILITIES E E F ACILITIE S,., Building Permits P GC 34090a; H &S 19850, 4003, 4004 Building permits issued for City facilities projects. Approval to construct or renovate property, zoning variances and conditional use permits. Capital Improvements, Construction P 2.083110; GC 34090a, 4004; H &S 19850 Records regarding the planning, design, construction, conversion or modification of City -owned facilities, structures, and systems. Drawings L +2 H &S 19850 Drawings and plans for City -owned buildings and facilities. Drawings may be associated with renovations or improvements, or new construction. Equipment Ownership L +2 GC 34090 Records relating to ownership of equipment, including drawings, operating instructions, warranties, and registrations. Facility Rentals CU +4 CCP 337 All records relating to rental usage of City -owned facilities, including application, reservation form /contract, permission to serve alcohol form, "clean and ready" agreement, and clean -up checklist. Grants, Federal and State CL +5* GC 34090 X Records related to grants received for City facilities projects. *Certain grants may have individual requirements. Refer to grant's close -out procedures. Grants, Unsuccessful CL +2 GC 34090 Grants applied for by the City to fund facilities projects, where the grant was not awarded. Inspection Records, Construction Specialty L +5 GC 34090 Records related to specialty inspection of construction activities to ensure compliance with specifications. p Inspections, Fire L +2 UFC 103.34, GC 34090 Certificates of inspection by fire department of fire alarms and sprinkler systems in City -owned facilities. Maintenance Records CU +2 GC 34090a Work orders and invoices relating to maintenance of City -owned facilities. Includes monthly work order status reports. Project Files L +2 GC 34090 Records related to improvements, renovations, or construction of City owned facilities. Reports, Facilities Projects CU +2 GC 34090 Status reports detailing current and recently completed facilities projects and present status. Specifications and Plans L +2 GC 34090 Records of the precise details and description of the service or project to be completed, or the item to be ordered. GENERAjW/ADMINISTRATII®N Recreation /Facilities Administrative Records CU +2 GC 34090 Records of a general nature including copies of memos, letters, chronological files, calendars, day timers, phone messages etc. that pertain to the general administrative activities and duties of the Department. Agendas, Commissions and Committees Refer to COMMISSIONS AND COMMITTEES Association Files CU +2 GC 34090 Records related to membership or the activities of professional or industry associations of which the City or City staff is a member or has a business interest. Bids and Proposals, Successful T +4* GC 34090; CCP 337 X Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services, where the proposal was selected by the City. *T term of the contract. Bids and Proposals, Unsuccessful T +4* GC 34090 Bids, proposals, and records of request for qualifications and requests for proposals regarding goods and services. Unsuccessful proposals not selected by the City. *T Term of associated contract. Complaint Files CL +2 GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL +4 CCP 337 X Contracts and agreements that do not require approval by the City Council. Generally contracts under $25,000, not capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Contracts and Agreements, Council Approved CL +10 GC 34090 X Contracts and agreements requiring City Council approval. Includes all contracts over $25,000. Most capital improvement projects. Includes specifications and plans, certificates of insurance, scopes of work. Official contract filed with the City Clerk. Page 17 of 19 �v�fY "k"t Ymwn 3 4 pm Rb, R ecord S CEO Retention Citation .Y 'H' MI ,Clescription .5.,. Report records related to City claims, loss runs, loss analysis and related records. Federal OSHA forms; safety reports, actuarial studies. Risk Management Reports CL +5 OMB 20 0029; 29 CFR 1904.4; GC 34090 X Safety Program CU +10 GC 12946, 34090 Safety committee records, including safety inspections, evacuation drills, and the Injury Illness Prevention Program. Does not include minutes or agendas. Training Records, Safety CU +4 GC 34090 Records relating to the training and orientation of employees on safety issues. Records may include class attendance sheets, schedules, classes offered, records of class curriculum or syllabus, and training materials development. Certain safety programs may have specific retention periods (e.g., 3 CCR 6724(e) requires retention of pesticide training records for 2 years). Page 19 of 19 SPECIAL CHARACTERISTICS V Vital records are critical to the City's business, and are either irreplaceable or very difficult to replace. Vital records enable the City to provide important services during and immediately following a disaster or emergency; meet obligations to employees; reconstruct assets, legal rights and obligations; and establish the City's financial position. H Historical records may document the City's incorporation, annexations, major projects, and strategic direction. These records may have intrinsic value due to age, author, subject, or special nature. C Confidential records contain sensitive or private information that would be harmful to an employee or the City if accessed or viewed by unauthorized individuals. Care should be taken to protect confidential records. LEGEND RECORDS RETENTION AU Year of Audit L Life (of improvement or equipment) CU Current Year P Permanent CL Closed SU Superseded E Election Date T Term (of employment, contract, etc.) Refer to note in the record's description for additional retention details 'For convenience, the destruction date for all non permanent records is set as Dec. 31 of the relevant year. For example, a record with a retention of CU +2 created on April 12, 2010 would be set for destruction on Dec. 31, 2012. Similarly, if a record was to be retained for CL +7 and the matter closed on April 12, 2010, the destruction date would be set for Dec. 31, 2017. CCP Code of Civil Procedure CCR Code of California Regulations CEQA California Environmental Quality Act CFR Code of Federal Regulations City Policy Administrative decision to extend retention beyond legal requirements EC Election Code FMLA Family and Medical Leave Act CITATIONS GC California Government Code H &S California Health and Safety Code LC Labor Code OMB Office of Management Budget OSHA Occupational Safety Health Act R &T Revenue and Taxation Code UFC Uniform Fire Code USC United States Code Total Fund Activity Summary FY 2009/10 Estimated Revenues Expenditures Use of Estimated Fund Balance Carryforward Fund Balance Fund Category 7/1/2009 Transfers In Transfers Out Fund Balance 6/30/2010 Operating Funds General Fund Reserve for Petty Cash 1,300 1,300 Designated for Operations 2,869,964 57,400 2,927,364 Economic Uncertainty 1,500,000 1,500,000 J Capital Projects Reserve 550,000 (550,000) Hillside Reserve 300,000 300,000 Grant Matching Project Reserve 636,000 636,000 Economic Stabiltiy Funds 25,000 (25,000) Uncollected Deposits Reserve 289,454 289,454 Development Reserve 707,380 (75,000) 632,380 Environmental Reserve 613,182 (50,000) 563,182 Undesignated Fund Balance 500,185 15,895,482 16,440,468 642,600 597,799 Special Revenue Funds Landscape Lighting Districts 285,965 436,359 533,260 189,064 CDBG Program Fund 332,517 332,517 Housing Rehabilitation Pgm 209,558 3,000 212,558 Internal Service Funds Liability/Risk Management 213,548 305,000 342,861 175,687 Workers Compensation 49,368 260,000 265,881 43,487 Office Stores Fund 40,585 50,000 54,200 36,385 IT Services 158,521 400,000 458,185 100,336 Vehicle Equip Maintenance 42,247 225,000 237,953 29,294 Building Maintenance 198,303 750,000 791,198 157,105 Equipment Replacement Funds 150,645 206,000 126,360 230,285 IT Equipment Replacement 312,703 58,008 116,200 254,512 Total Operating Funds 9,653,908 18,921,367 19,699,082 8,876,193 Debt Service 2001 Series GO Bonds 981,602 950,000 1,018,556 913,046 Total Debt Service 981,602 950,000 1,018,556 913,046 Trust Agency Funds Library Capital Improvement 2 330,089 10,000 15,000 325,089 KSAR 37,661 65,200 100,000 2,861 Total Trust Agency Funds 367,750 75,200 115,000 327,950 TOTAL OPERATING BUDGET 11,003,260 19,946,567 20,832,638 10,117,189 Capital Funds 3 Street Projects 8,328,048 8,328,048 Park Trail Projects 1,769,548 2,236,963 4,006,511 Facility Projects 716,525 177,571 894,096 Administrative Projects 791,018 175,000 966,018 Total Capital Funds 3,277,091 10,917,582 14,194,673 TOTAL ALL FUNDS 14,280,351 30,864,149 35,027,311 10,117,189 City Clerk [Ann Sullivan] Page 1 or .3 From: Mary Furey Sent: Wednesday, June 03, 2009 2:06 PM To: Chuck Page; 'Kathleen King'; Kathleen King; Jill Hunter; Howard Miller; 'hmiller @apple.com'; Susie Nagpal Cc: Dave Anderson; City Clerk [Ann Sullivan] Subject: RE: Information needed on the budget Attachments: Rev Exp History.xls; Rec Schedule June 3, 2009 version.doc; CDD Schedule June 3, 2009 version.doc; FB Since 2000 June 3, 2009 version.doc Council Members, Please find attached a spreadsheet which provides the General Fund data as requested below for the last ii years. Please note that prior to FY 2007/08, the General Fund: Did not include all of the Recreation Department programs (Rec and Teen Services were in separate funds) Did not include Community Development Department expenses Included some of the internal service fund support expenses, and the vehicle and equipment replacement costs which varied from year to year The Capital Improvement Program did not exist until FY 2001/02; therefore Transfers Out (which were booked as negative Transfers In) did not begin until FY 2001/02. Negative operations (budget and actuals) are a result of using FB reserve, typically to transfer out to the CIP Some capital expenditures (infrastructure /building projects) continued to be funded in the General Fund through FY 2006/07 There are numerous inconsistencies in the financial data from year to year due to the excessive turnover in staff during these years. Additionally, department summary schedules for Recreation and CDD are attached for your review. The Recreation department schedule reflects changes resulting from council direction on May 20 Also attached is a GF Balance schedule which includes FB info back to FY ending June 30, 2000. Mary From: Kathleen King [mailto:kk2king @comcast.net] Sent: Wednesday, June 03, 2009 8:04 AM To: Dave Anderson; Mary Furey; City Clerk [Ann Sullivan] Subject: Information needed on the budget I do not want to embarrass anyone tonight. I can not imagine that you can not supply the following historical data I requested. If you can't, I am sure that Ann Sullivan can look it up or Dave Anderson. 6/3/2009 1998/99 through 2008/09 Total Revenues Transfer In/ total General Fund Adopted and Actuals -this should be two numbers for each year pulled from historical data Total Expenditures Transfers out by fund/ Total General Fund Adopted and Actuals- this should be two numbers for each year pulled from historical data I do not need summary files, just 11 years of the four numbers. Please send to both my emails because my city email is still causing problems and could you call me when you send it, 408 605 -5251. You may want to copy the rest of the council since I think historical data is critical to decisions. Please remember, I don't need you to reformat the data, just the raw information is fine. Dave, if this can not be supplied by tonight, I suggest we talk. Kathleen King From: Mary Furey [mailto:mfurey @saratoga.ca.us] Sent: Thursday, May 28, 2009 4:19 PM To: Kathleen King; Kathleen King; Chuck Page; Jill Hunter; Howard Miller; hmiller @apple.com; Susie Nagpal Cc: Dave Anderson; City Clerk [Ann Sullivan] Subject: RE: Information needed on the budget Kathleen and all, 1. The soft copy of the FY 2009/10 financial summaries section is attached it is the same as in your agenda packet 2. 5. The following questions which are requesting information from 1998 to present can only be supplied from 2007/08 through 2009/10 just since the time I've been here. The following 5 files contain these schedules for these three budget years. Also I have attempted to re- compile the Total Fund Activity schedule (the 1s of the 5 files) into the same format as the current years as much as possible. We found the FY 2005/06 and FY 2006/07 budget files which include summary overview schedules, so they're attached also, however we haven't found summary schedules for the prior years yet. We'll continue to look through prior staffs directories on Monday. Mary From: Kathleen King [mailto:kk2king @comcast.net] Sent: Thursday, May 21, 2009 8:55 AM To: 'Mary Furey'; 'Dave Anderson'; 'City Clerk [Ann Sullivan]' Cc: 'Howard Miller'; Nick Streit Subject: Information needed on the budget Could I have the following data in soft copy? 1. What was handed to us on the budget last night, the third version, in soft copy? Please rev the budget. I think we are on Rev 3 or 4. Since Howard and Chuck disagreed with previous data I had on budgets, please send me all the following from 1998 to present. Please give me finals from each year, not the ones on the website since I was told last night they might not be correct: 2. Total fund activity Summary (page B -3 in the current budget). 6/3/2009 Page 2 o f 3 3. Total Revenues Transfers In by fund from 1998 to present (page B -4 and 5) 4. Total Expenditures Transfers out (page B -6 and B- 7) 5. Recreation and Facilities General Fund Revenue and Expenditures(page C -128) 6. Community Development General Fund Revenues and Expenditures (page C -54) Thank you, Kathleen 6/3/2009 Page 3 of 3 FY 1998/99 Budget Actuals FY 1999/2000 Budget Actuals FY 2000/01 Budget Actuals Revenues 6,208,705 6,857,882 8,000,574 8,751,180 8,370,567 10,638,676 Transfers In (3,414,529) TOTAL 6,208,705 6,857,882 8,000,574 8,751,180 4,956,038 10,638,676 Expenditures 6,385,497 5,778,281 7,166,168 6,794,476 9,465,026 7,719,422 Transfers Out TOTAL 6,385,497 5,778,281 7,166,168 6,794,476 9,465,026 7,719,422 NET OPERATIONS (176,792) 1,079,601 834.406 1,956,704 (4.508,988) 2,919.254 FY 2001/02 Budget Actuals 8,548,160 11,314,033 (7,604,875) (7,606,869) 943,285 3,707,164 General Fund Revenue and Expenditure History Fiscal Year 1998/99 FY 2008/09 FY 2002/03 Budget Actuals 10,635,899 11,264,014 325,000 363,310 10,960,899 11,627,324 9,283,184 8,882,207 9,328,359 8,353,280 5,419,237 5,038,012 9,283,184 8,882,207 14,747,596 13,391,292 (8,339.899) (5,175,043) (3.786,697) (1,763,968) 9,607,942 200,000 9,807,942 FY 2003/04 Budget Actuals 9,600,027 399,664 9,999,691 8,352,030 8,094,023 2,434,621 2,491,621 10,786,651 10,58 5,644 (978,709) (585,953) FY 2004/05 Budget Actuals 8,936,564 9,388,208 1,035,755 1,069,374 9,972,319 10,457,582 8,969,495 8,511,142 1,326,128 1,064,836 10,295,623 9,575,978 (323.304) 881,604 FY 2005/06 Budget Actuals 10,077,255 11,205,974 658,883 658,882 10,736,138 11,864,856 9,278,290 1,203,748 10,482,038 8,707,904 1,250,395 9,958,299 254,100 1,906.557 FY 2006/07 Budget Actuals 11,666,877 12,538,451 448,700 499,735 12,115,577 13,038,186 11,936,960 11,064,675 2 .678,392 2 .607,834 14,615,3 52 13,672,509 (2,499,775) (634.323) 16,141,135 316,761 16,457,896 FY 2007/08 Budget Actuals 16,603,495 2,275,254 18,878,749 16,089,216 14,974,824 900,000 1,230,020 16,989,216 16,204,844 (531,320) 2,673,905 FY 2008/09 Budget Estimated 16,930,863 15,602,101 153,732 162,312 17,084,595 15,764,413 16,878,056 15,855,707 1,543,500 1,543,500 18,421,556 17,399,207 (1.336,961) (1,634,794) GENERAL FUND Recreation Services Teen Services Facility Rentals TOTAL GENERAL FUNDS RECREATION DEPARTMENT GENERAL FUND REVENUES AND EXPENDITURES 2006/07 2007/08 2008/09 2008/09 2009/10 Actuals Actuals Adjusted Estimated Proposed REVENUES Taxes Fees, Licenses and Permits 6,900 9,150 Intergovernmental Revenues 84,039 Charge for Services 629,296 648,792 857,000 569,200 636,893 Rental lncome 186,932 242,127 175,000 171,575 183,900 Other Sources 464 9,174 62 TOTAL REVENUES 900,731 900,093 1,032,000 747,737 829,943 EXPENDITURES Salaries and Benefits 996,594 722,028 789,866 783,549 628,144 Operating Expenditures Materials Supplies 72,324 29,549 50,000 35,298 33,150 Fees Charges 126,946 19,044 16,850 18,500 19,260 Consultants Contract Services 407,681 349,374 409,100 365,752 344,040' Meetings, Events Training 2,141 4,427 6,200 4,363 5,800 Building Maintenance Projects 106,526 Total Operating Expenditures 715,618 402,394 482,150 423,914 402,250 Fixed Assets Internal Service Charges 244,811 272,910 272,910 245,975 TOTAL EXPENDITURES 1,712,212 1,369,233 1,544,926 1,480,372 1,276,369 TOTAL DEPARTMENTAL EXPENDITURES BY PROGRAM 2006/07 2007/08 2008/09 2008/09 2009/10 Actuals Actuals Adjusted Estimated Propo 862,295 113,566 736,351 1,712,212 941,212 123,487 304,534 1,369,233 1,093,189 132,881 318,856 1,544,926 1,027,013 124,925 328,433 1,480,372 903,824 65,601. 306,944 1,276,369 INTERNAL SERVICES FUNDS Building Maintenance 89,088 612,189 807,081 710,435 791,198 TOTAL INTERNAL SERVICES 89,088 612,189 807,081 710,435 791,198 TOTAL EXPENDITURES 1,801,300 1,981,422 2,352,007 2,190,807 2,067,567 REVENUES Taxes Fees, Licenses and Permits Intergovernmental Revenues Charge for Services Other Sources TOTAL REVENUES EXPENDITURES Salaries and Benefits Operating Expenditures Materials Supplies Fees Charges Consultant Contract Services Meetings, Events Training Total Operating Expenditures Fixed Assets Internal Service Charges TOTAL EXPENDITURES GENERAL FUND Development Services Advanced Planning Code Compliance Building Inspection Services TOTAL GENERAL FUND COMMUNITY DEVELOPMENT DEPARTMENT GENERAL FUND REVENUES AND EXPENDITURES 2006/07 2007/08 2008/09 2008/09 "'2 Actuals Actuals Adjusted Estimated 1,393,625 1,585,315 1,906,475 982,422 572,159 661,480 673,500 780,100 1,964 2,014 1,000 1,700 1,967,748 2,248,809 2,580,975 1,764,222 1,361,163 1,600,612 1,801,535 1,691,660 29,886 27,238 17,550 12,856 42,739 50,009 38,235 52,908 293,457 139,939 405,590 251,356 6,781 10,797 12,150 9,354 372,863 227,983 473,525 326,474 80,400 55,600 410,143 436,520 436,520 392658 1,870,026 2,238,738 2,711,580 2,454,654 2,185,602 TOTAL DEPARTMENTAL EXPENDITURES BY PROGRAM 2006/07 2007/08 2008/09 2008/09 Actuals Actuals Adjusted Estimated 875,702 978,505 1,228,263 1,033,213 103,553 61,575 199,328 198,940 143,900 213,305 236,968 224,896 746,871 985,353 1,047,021 997,605 1,870,026 2,238,738 2,711,580 2,454,654 09 +1 9;284* "332 9;206:1 85'602 SPECIAL REVENUE FUNDS CDBG Fund 266,134 (87,526) 258,838 47,732 Housing Rehabilitation Program TOTAL SPECIAL REV FUNDS 266,134 (87,526) 258,838 47,732 332 ,517. TOTAL EXPENDITURES 2,136,160 2,151,212 2,970,418 2,502,386 $n2 Fund Balance Reserves 5 Year Comparative Balances 6/30/2000 6/30/2001 6/30/2002 6/30/2003 6/30/2004 6/30/2005 6/30/2006 6/30/2007 6/30/2008 6/30/2009 6/30/2010 Actual Actual Actual Actual Actual Actual Actual Actual Actual Estimated Budgeted Fund Balance Reserves YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance General Fund Reserved Reserved for Petty Cash 300 300 300 300 300 300 1,300 1,300 1,300 1,300 1,300 Reserve for Retiree Medical 62,500 Development Deposits 0 604,909 Desiznated Operations Reserve 2,114,497 2,238,266 2,316,262 2,367,296 2,403,624 2,457,846 2,554,149 2,688,037 2,808,164 2,869,964 2,927,363 Economic Uncertainty 1,500,000 1,350,000 1,500,000 1,500,000 1,500,000 1,500,000 1,500,000 CIP Project Reserve 614,997 450,000 1,200,000 550,000 Hillside Reserve 300,000 300,000 Grant Matching Capital Reserve 636,000 636,000 Designated for Liab Claims 71,841 10,027 16,103 38,695 Prior Year Encumbrances 164,713 75,180 75,180 75,180 253,875 58,386 Designated for Economic Stability 25,000 Designated for Uncollected Deposits 289,454 289,454 289,454 Reserve for Carryforwards Op 80,000 Reserve for Carry forwards CIP 47,000 Development Services Fund 1,358,904 1,738,650 1,716,627 1,326,922 741,696 666,867 1,339,563 776,192 782,380 707,380 632,380 Environmental Services Fund 420,458 755,350 822,583 796,503 847,459 898,657 909,759 710,667 679,917 613,182 563,182 Designated for Recreation 174 8,103 2,087 49,402 (31,783) (30,291) Designated for Teen Services 12,863 (38,728) (42,654) Undesignated Undesignated Fund Balance 6,848,100 9,781,656 4,715,111 2,953,796 747,166 1,703,255 2,750,619 1,740,530 2,216,238 500,185 597,800 Total General Fund Reserves 10,814,275 14,532,352 9,586,986 7,611,616 6,377,691 7,152,104 9,675,057 8,880,760 9,535,839 7,992,465 7,447,479 Special Revenue Funds Landscape Lighting Districts 107,940 136,337 124,697 67,189 36,608 75,891 250,317 316,116 190,687 285,965 189,064 CDBG Program Fund 1 24,649 76,430 57,189 (1,065) (11,137) Housing Rehabilitation Pgm 84,000 127,298 200,289 202,368 206,658 209,558 212,558 Pavement Mgmt Fund 638,734 2,121,464 2,121,465 4,485 551,772 604,509 438,337 Engineering Development Funds 4,182 Development Deposit Funds (30,199) Total Special Revenue Funds 746,674 2,282,451 2,322,591 128,863 672,381 202,124 1,043,978 930,804 397,345 495,523 401,622 Debt Service 2001 Series Library GO Bonds 16,283 554,076 836,349 701,959 855,319 865,379 746,557 853,619 981,602 913,046 Leonard Road Bond 41,837 40,235 94 (421) 1,205 2,510 7,742 Total Debt Service 41,837 56,519 554,170 835,927 703,164 857,830 865,379 754,299 853,619 981,602 913,046 Fund Balance Reserves 6/30/2000 6/30/2001 6/30/2002 6/30/2003 6/30/2004 6/30/2005 6/30/2006 6/30/2007 6/30/2008 6/30/2009 6/30/2010 Actual Actual Actual Actual Actual Actual Actual Actual Actual Estimated Budgeted YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance YE Balance Internal Service Liability Risk Management 128,689 213,548 175,687 Workers Compensation 47,735 49,368 43,487 Office Stores Fund 32,616 40,585 36,385 IT Services 122,541 158,520 100,335 Vehicle Equip Maintenance 13,412 42,245 29,292 Building Maintenance 53,546 (15,618) 101,361 198,304 157,106 Vehicle Equip Replacement 247,149 8,573 98,110 150,646 230,286 IT Equipment Replacement 95,000 130,000 165,000 128,198 128,198 128,198 403,520 352,279 316,309 312,705 254,513 Total Internal Service Reserves 95,000 130,000 165,000 128,198 128,198 128,198 704,215 345,235 860,774 1,165,920 1,027,091 Trust Agency Library Capital Improvement 14,047,474 9,287,338 1,543,867 1,179,492 766,144 704,004 684,553 693,929 330,089 325,089 KSARTrustFund 86,303 94,132 120,133 167,428 87,377 74,064 61,531 64,862 38,661 37,661 2,861 Total Trust Agency Reserves 86,303 14,141,606 9,407,471 1,711,296 1,266,869 840,208 765,535 749,415 732,590 367,750 327,950 OPERATING BUDGET RESERVES 11,784,089 31,142,928 22,036,219 10,415,900 9,148,303 9,180,464 13,054,163 11,660,513 12,380,167 11,003,260 10,117,188 Capital Project Funds Street Project Funds 16,697 14,442 3,921,542 4,270,113 3,926,201 3,995,197 2,292,898 1,703,304 1,955,994 1,769,548 1,769,548 Park Trail Project Funds 2,143,965 1,949,571 2,117,980 673,700 501,491 337,899 391,071 1,464,309 1,502,397 716,525 (1,053,023) Facility Improvement Funds 209,223 711,872 543,585 206,715 200,606 441,991 515,315 791,018 74,493 Administrative Project Funds 100,841 99,859 (691,159) Total Capital Projects Funds 2,160,662 1,964,012 6,248,746 5,655,685 4,971,277 4,539,811 2,884,575 3,609,604 4,074,547 3,376,950 99,859 TOTAL RESERVES 13,944,751 33,106,940 28,284,965 16,071,585 14,119,579 13,720,276 15,938,738 15,270,117 16,454,714 14,380,209 10,217,047