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HomeMy WebLinkAbout102-Attachment A.pdfDate Issued: Revision #: Revised: Record Series Official RetentionCitationVHC Description Audit RecordsPGC 34090 Records relating to the review and monitoring of any accounting or financial records to ensure compliance with GAAP standards and the City’s procedures. Audit reports and records created in the creation of audit report. Banking Records AU+5 GC 34090; 26 CFR 31.6001- 1 Records related to bank transactions including deposit of funds, bank statements, bank reconciliations, disbursements, and wire fund transfers. Bond DocumentsCL+10 GC 34090; CCP 337.5 X Bonds, revenue records relating to interest bearing certificates (negotiable instruments) issued by City to raise revenues, including certificates of participation and any non-discharged debt. General LedgerP GC 34090; CCP 337 X Summary of all financial accounts. Records relating to postings to the General Ledger. Grants, Financial Records CL+5*GC 34090X Grant information and documentation, including financial data, for all grants applied for by the City. *Certain grants may have individual requirements. Refer to grant's close-out procedures. JournalAU+7 GC 34090; CCP 337 X Records balancing bank accounts with transfers, corrections, and the general ledger. Public Financing Authority - Financial Records P GC 34090, 40802, 53901 Annual financial reports, annual assessment district reports, staff reports for finalizing bonds, and other financial records relating to the City's Public Financing Authority. Accounts PayableAU+4GC 34090 Records relating to payment of financial obligations (money owed by the City). Includes vendor and contractor invoices, bills, statements and any non-discharged debt. Also includes delivery receipts and employee travel reimbursements, petty cash requests for reimbursement, check requests, and expense reports. 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; CCP 337 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. ChecksAU+5 GC 34090; CCP 337 X Includes canceled and voided checks. Physical checks returned by the bank, or CD's containing digital images of cancelled checks, received monthly from the bank. Check RegistersCU+7GC 60201X Records listing individual checks issued, and the date, payee, amount and purpose of each expense. Fixed AssetsAU+4 GC 34090; 26 CFR 301 65- 1(F); CCP 337 X Records relating to the acquisition, depreciation, accrual, and disposal of fixed assets. Levy records, Instructor or Vendor CU+6 26 CFR 16001-1; 29 CFR 1627.3(a), (b)(2); CCP 337 Records relating to funds levied on payments to instructors or vendors due to withholding orders from federal, state, or other agencies. Purchase Order FilesAU+4 GC 34090; CCP 337 X Copies of Purchase Orders issued by the City to sellers or service providers, detailing products or services ordered, terms of sale, and payment agreement. Tax Records, VendorAU+729 USC 436XX Forms 1099 filed for reporting payments to vendors. CITY OF SARATOGA RECORDS RETENTION SCHEDULE Approved By… ACCOUNTS PAYABLE ACCOUNTING ADMINISTRATIVE SERVICES Page 1 of 19 Record Series Official RetentionCitationVHC Description Accounts ReceivableAU+4GC 34090X 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 XXRecords related to business licenses, including applications, copies of issued licenses, and audits. Cash ReceiptsAU+4CCP 337, 338X 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, ApprovedPGC 34090X 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 AdjustmentsPGC 34090X Records of alterations to the budget due to changes in City revenue or expenditures, requiring approval from the City Council. Budgets, ProposedCU+2GC 34090 Budgets presented to City Council for approval, but not approved. Agendas, Commissions and Committees Association FilesCU+2GC 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 FilesCL+2GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL+4CCP 337X 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+10GC 34090X 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+2GC 34090X Special or long-range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU+2GC 34090 Meeting minutes, records associated with staff meetings, not Council- related. Minutes, Commissions and Committees OpinionsSU+2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Order Forms, StoresCU+2GC 34090 Completed forms for ordering supplies. PhotographsSU+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+2GC 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+2GC 34090 City-generated files used as reference. Computer System Administration SU+5GC 34090XX Records regarding activities to maintain and ensure continued operation of computer systems and applications. E-Mail Archives CU+3 GC 34090; City Policy XX 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. Refer to COMMISSIONS AND COMMITTEES Refer to COMMISSIONS AND COMMITTEES ACCOUNTS RECEIVABLE GENERAL ADMINISTRATION - Administrative Services INFORMATION TECHNOLOGY BUDGETS Page 2 of 19 Record Series Official RetentionCitationVHC Description Network ConfigurationSU+5 GC 34090; CCP 337.2 X Network information systems (LAN/WAN) configuration maps and plans. Records relating to the infrastructure and set-up of servers. Security Clearance Records SU+5GC 34090XX Records related to authorizing employees or contractors to have access to a City computer system, system module or the data stored in a computer system or system module. Generally tracks permissions by position or employee classifications. Software Application Files CL+4CCP 337X Records related to software applications owned by the City. Includes software registrations and records related to the maintenance of software applications. Licenses, authorization codes for support services. Deferred Compensation Records T+5 GC 34090; 26 CFR 31.6001- 1; 29 CFR 1627.3(2) XX Reports and payment records by pay period. Employee contributions and City payments. Employee Payroll Files CU+6 26 CFR 16001-1; 29 CFR 1627.3(a) XX Records relating to individual employees, including new hire, termination, salary, benefits, deductions, employee benefit enrollment forms, direct deposit authorization, W-4, DE-4, and employee authorizations for deductions. Payroll - Employee Timesheets AU+6 GC 34090; 29 CFR 516.2; 20 CFR 516.6(1); IRS Reg. 31.6001- 1(e)(2); R&T 19530; LC 1174(d) XX Timesheets, signed by employee, supervisor, and department head, for audit and FEMA Reports. Includes applicable sign attachments: requests for time off, overtime authorization. Payroll - Organization Reports AU+2GC 34090X Reports listing City costs by employee and program. Payroll RegistersP GC 34090, 37207 XXSalary, benefits, and deduction information, filed by pay period. Monthly, quarterly, fiscal year and calendar year reports. Payroll - Salary and Deduction Registers T+4 GC 34090; 22 CCR 1085-2; 29 CFR 516.2, 516.5, 516.6; 26 CFR 31.6001- 1; LC 1174(d) XX Records including garnishments, adjustments, deduction authorizations, and PERS (Public Employee Retirement System) deductions. PERS Payroll ReportsCU+6XX Report to CalPERS detailing employee salary information and retirement contributions by pay period. Premium BillingsCU+6 26 CFR 16001-1; 29 CFR 1627.3(a), (b)(2) XX Medical, dental, vision, life, disability, supplemental insurances. Tax Records, Employee P 26 CFR 31.6001-1 XX Records relating to the maintenance of information about tax liabilities, withholding and payment of taxes, records related to payment of State and Federal taxes including 1096 and annual W-2 Forms, and the quarterly and annual DE-6 and DE-7 forms. Account Reconciliation AU+5GC 34090 Reports showing month-to-month status of balance sheet accounts. Annual FinancialAU+7GC 34090.7X Annual financial reports describing the financial status of the City, and related records. Bank ReconciliationAU+5 26 CFR 31.6001-1 X Reports comparing balances of cash accounts and bank books. State ControllerPGC 34090X Reports mandated by the State Controller, detailing the City's revenues and expenditures for purposes of funding. Published by State, which may destroy after 5 years. Treasurer'sAU+5GC 34090 Monthly reports, including balance sheets. PAYROLL REPORTS Page 3 of 19 Record Series Official RetentionCitationVHC Description Agendas, City CouncilP 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+2GC 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 DistrictsPGC 34090X Original documentation of assessment districts in City. Delivery ReceiptsCU+2GC 34090 Records documenting receipt of items sent by certified mail or hand delivered (e.g., appeals). Easements, Dedications, Rights-of- Way PGC 34090 Records relating to easements, rights-of-way, and other dedications associated with construction or subdivision projects. FranchisesP 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+2GC 34090 Forms filed with the State regarding City's lobbyist consultants. Meetings, Audio/Visual 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 XX Records regarding meeting minutes, resolutions, actions and decisions of the City Council. Includes administrative orders, minute orders and minute actions. Municipal CodePGC 34090X The City's Municipal Code, with supplements and changes included. PlaquesPX Records of plaques in the City. Includes tree and bench dedication plaques. Proof of Service Forms CL+2GC 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+2GC 34090X Records reflecting Public Record Act (PRA) and Freedom of Information Act (FOIA) requests and material sent in response to same. Records Destruction Approvals & Certificates PGC 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 InventoryCU+2 GC 34090; 80 OPS Atty. Gen. 106 X Inventory of non-current or inactive records holdings and location, indices. Records Management Files CL+2GC 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+2CCP 343XX The document that lists each record series and the associated retention times, characteristics, responsible division, and legal citations, if applicable. Recorded DocumentsPXX 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. CITY CLERK CITY MANAGER'S OFFICE Page 4 of 19 Record Series Official RetentionCitationVHC Description 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+5GC 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+4EC 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 PGC 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+5GC 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 ElectionE+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 seq ., GC 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+2GC 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+1EC 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. HistoryPGC 34090X 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 81009(b) 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+2GC34090 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 OfficeT+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. Drill and Exercise Records CU+10GC 34090 Documents relating to the City's emergency drills and exercises. Emergency Operations Plan SU+2GC 34090X The City's plan for preparing for and handling a variety of disasters and emergency situations. EMERGENCY SERVICES * 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. ELECTIONS* Page 5 of 19 Record Series Official RetentionCitationVHC Description Emergency Recovery Records CU+25GC 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+25GC 34090X 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 34090X 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+2GC 34090 Emergency preparedness grants applied for by the City, where the grant was not awarded. Public Emergency Preparedness Files CU+2GC 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, Emergency CU+10GC 34090 Records relating to the training of employees for dealing with emergency situations and evacuations. Administrative Decisions and History PGC 34090X Administrative records determined to have historic value; i.e., records related to significant decisions, projects, or programs of City staff. Administrative PoliciesSU+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+2GC 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 Association FilesCU+2GC 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 FilesCL+2GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Master Plans/ Strategic Plans SU+2GC 34090X Special or long-range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU+2GC 34090 Meeting minutes, records associated with staff meetings, not Council- related. Minutes, Commissions and Committees Order Forms, StoresCU+2GC 34090 Completed forms for ordering supplies. PhotographsSU+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+2GC 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. GENERAL ADMINISTRATION - City Manager's Office Refer to COMMISSIONS AND COMMITTEES Refer to COMMISSIONS AND COMMITTEES Page 6 of 19 Record Series Official RetentionCitationVHC Description Publications and Presentations CU+2GC 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+2GC 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+2GC 34090 City-generated files used as reference. Reports, GeneralCU+2GC 34090 Reports generated by staff, relating to status or progress of routine City activities. Not agenda-related reports. Special ProjectsCU+2GC 34090 Records relating to special projects carried out by the department. Cal OSHAT+25 Forms 300-A Annual Summary and 301 City Volunteer Program Records T+2GC 34090X Records of the activities and administration of the City's volunteer program, including all records maintained on active and non-active volunteers. COBRA FilesT+10 29 CFR 1627.3; 29 CFR1602.30. 32 XX 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.g ov; Disaster Service Worker Volunteer Program XX 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. 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 XX 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. ImmigrationT+5 Immigration Reform/ Control Act 1986 XX I-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. NegotiationsP 29 USC Sec 211(C); 29 CFR 516 XX Contracts, MOUs, correspondence, and official meeting notes HUMAN RESOURCES Page 7 of 19 Record Series Official RetentionCitationVHC Description Position RecruitmentCU+3 GC 12946; GC 6250 et seq.; 29 CFR 1602 et seq.; 29 CFR 1607; 29 CFR 1627.3 X May include applications and resumes for those not hired, eligibility list, examination material and answer sheets, job announcements, written correspondence with applicants such as rejection letters or invitations to the next phase of the process. Retirement PlansP GC 12946, 34090, 29 CFR 1627.3(2) XX PERS and Deferred Retirement Plan(s) Documents. Note: Employees enrollment information is maintained in the Personnel Files. Salary Range Tables and Job Descriptions CU+2 GC 12946, 34090 XX 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 Tuition Reimbursement Program T GC 6250 et seq.XX The City tracks all supervisory employees two hours of harassment training required by California Law AB 1825, required training is every two years. Unemployment Insurance Claim Records T+6 GC 12946, 34090; 29 USC 1027, 1113; 29 CFR 1602 et seq. X All documented claims submitted by former employees for unemployment compensation. Records may include: claim records, notices, reports, records generated by the appeal of claim determinations. AppealsCU+3 CCP 583.320 (a)(3); GC 34090 Civil appeals records. Lawsuits against the City. Appointments to the Council P Records of the appointment of an individual to fill a vacant Council seat and serve out the term of a Councilmember who is unable to complete his or her term. Articles of Incorporation P GC34090; CCP337.2 XX City copy of documents filed with State, establishing incorporation of City and the boundaries thereof. Includes resolutions of the Santa Clara County Board of supervisors and any other records relating to the incorporation of the City. Case Records, FormalPCity PolicyX Official documents relating to a case or its resolution by settlement. Any records associated with a case that are filed in court, notorized, or authorized. Includes petitions, complaints, reply briefs, opening briefs, settlement agreements, filed pleadings, court documents. Case Records, Informal CL+5City PolicyX Supporting case documentation including notes, drafts, correspondence, proposed drafts of settlement agreements, and other less formal or non- signed records. Contracts and Agreements CL+4CCP 337X 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+10GC 34090X 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. Council Administrative Files T+2X 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 AdvertisingCU+4 CCP 343, 349 et seq.; GC 911.2, 34090 Records related to legal advertising required for public hearings. OpinionsSU+2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. OrdinancesP GC 60201, 34090 (d), 40806 XX Regulations enacted by council action and related records. Includes proof of publication notices. LEGAL/LEGISLATIVE Page 8 of 19 Record Series Official RetentionCitationVHC Description PetitionsCU+1 GC50115, 6253 Petitions submitted to the City Council. Resolutions, CouncilP GC 34090(d), 40801 XX Formal expression of the will, opinion and intent voted by the City Council and legislative-type actions. AbandonmentsPGC 34090aX Records relating to abandonment, condemnation, and demolition of City- owned buildings. Acquisitions/ Dispositions P GC 34090a; GC 6254 X Supporting documents regarding the sale, purchase, exchange, lease or rental of property by the City. AppraisalsCL+2 GC 34090; GC 6254(h)XX Real estate appraisals relating to potential acquisition of property by the City. Exempt from disclosure until final acquisition is made, or until contract agreement is obtained. Deeds and Promissory Notes PGC 34090aX Title deeds and other records establishing City ownership of property. PROPERTY Page 9 of 19 Record Series Official RetentionCitationVHC Description Agenda PacketsPGC 34090 Agenda packets prepared for commissions and committees, including staff reports. AgendasPGC 34090 Original agendas and special meeting notices, including certificates of posting, original summaries, original communications and action agendas. MinutesPGC 34090XX Meeting minutes, records associated with meetings of commissions and committees, including Council committees. ResolutionsPGC 34090(e)Resolutions generated by commissions or committees. Includes approval or disapproval of planning projects, etc. COMMISSIONS AND COMMITTEES Page 10 of 19 Record Series Official RetentionCitationVHC Description Building Permit FilesP 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 PGC 34090aX Street dedications, closings, address assignments/changes. Abandoned VehiclesCL+2GC 34090d Records of City-handled code violations relating to abandoned vehicles. Does not include cases handled by Sheriff's office. Case FilesCL+2GC 34090d Building, housing and mobile home code violation records including inspections; public nuisance, rubbish and weed abatement, vehicle abatement, citations, and related complaints. Parking CitationsCU+2GC 34090 Records relating to citations for parking violations within City limits. Does not include cases handled by Sheriff's office. Permits, AnimalCL+2GC 34090 Horse and kennel permits issued by the City, associated documentation. Permits, Massage Parlor CL+2GC 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+2GC 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, SolicitorCL+2GC 34090 Permits issued by the City allowing permit-holders to solicit within City limits. Associated documentation. Permits, Special Events CL+2GC 34090 Permits issued for block parties, parades, and other special events requiring City approval. Associated documentation. Violations, Building, Property, Zoning CL+2GC 34090d Supporting code enforcement activity relating to code violations against property. (Officially recorded documents are held by City Clerk) Administrative Records CU+2GC 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 Arborist FilesCU+5 GC 34090; H&S 19850 Tree removal permits, arborist reports, and associated records. Association FilesCU+2GC 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 BooksPGC 34090X National Electrical Code, Uniform Building, Fire, Mechanical, Plumbing, etc. Includes supplements. Complaint FilesCL+2GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL+4CCP 337X 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+10GC 34090X 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+2GC 34090d Working documents and correspondence not in project files. COMMUNITY DEVELOPMENT GENERAL ADMINISTRATION - Community Development BUILDING Refer to COMMISSIONS AND COMMITTEES CODE COMPLIANCE Page 11 of 19 Record Series Official RetentionCitationVHC Description Grants, CDBG and Urban Development T+4 GC 34090; 24 CFR 570.502, 85.42; OMB Cir. A-102, A- 110, A-128 X Community Development Block Grants and associated records: applications, reports, contracts, supporting documents. Grants, UnsuccessfulCU+2GC 34090 Community Development Block Grants and associated records, where the application was not successful and grant was not awarded. Historic Preservation Inventory SU+2GC 34090d List of historic structures and landmarks within City limits. Maps, City BoundaryPGC 34090d Recorded maps, surveys, monuments. Master Plans/ Strategic Plans SU+2GC 34090X Special or long-range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU+2GC 34090 Meeting minutes, records associated with staff meetings, not Council- related. Minutes, Commissions and Committees OpinionsSU+2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Order Forms, StoresCU+2GC 34090 Completed forms for ordering supplies. PhotographsSU+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+2GC 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+2GC 34090 City-generated files used as reference. Security BondsCL+2GC 34090 Records of security deposits provided to the City for certain projects, guaranteeing that the projects will follow specific guidelines. AnnexationsPGC 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+5GC 34090d Correspondence, consultants, issues, conservation. General Plan and Elements PGC 34090X General Plan dictating acceptable land uses for the City. Includes sphere of influence. General Plan Amendments, Approved PGC 34090X 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. Refer to COMMISSIONS AND COMMITTEES PLANNING Page 12 of 19 Record Series Official RetentionCitationVHC Description Heritage Resource Alteration Applications PGC 34090 Special application required 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. Maps, Plans, Drawings, Exhibits, Photos P GC 34090; H&S 19850; GC 34090.7 X Zoning, tentative subdivision, parcel, land use map, aerial photos, specific plans. Planning Commission Files Project Files, Planning and Zoning P GC 34909a; H&S 19850, 4003, 4004 X 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. Refer to COMMISSIONS AND COMMITTEES Page 13 of 19 Record Series Official RetentionCitationVHC Description Air Quality PermitsSU+2GC 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+28 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 JournalsCU+2GC 34090 Daily entries documenting activities in City operations. Includes crew schedules. Operating RecordsCU+2GC 34090 Records related to City operations. Includes data books, operating reports, overtime, and crew schedules. SignageL+2GC 34090 Log books, index register cards, inventory lists, records of traffic signs. Underground Storage Tanks, Compliance PGC 34090a Documents related to underground storage tanks and compliance with regulations. Underground Storage Tanks, Maintenance and Operation L+2GC 34090 Location, installation, removal, remediation. Vendor FilesCL+4CCP 337 Includes copies of contracts, invoices, and purchase orders by vendor. Asbestos RecordsPGC 34090a Documents relating to abatement projects for public buildings. Benchmark DataPGC 34090a Map and description of benchmarks. Bonds, InsuranceP CCP 337.2, 343 Bonds insuring City projects. Includes material bonds and work performance bonds. Bridge and Overpass Reports LGC 34090 State reports on status of bridges and overpasses in the City. Kept for life of structure. Capital Improvement Projects PGC 34090X Public projects carried out by the City. Includes plans, permits, and supporting documentation. Deposit Account Projects CL+4CCP 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. DrawingsPGC 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 PGC 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+2GC 34090d Correspondence, consultants, issues, conservation. Grants, Federal and State CL+5*GC 34090X 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, UnsuccessfulCL+2GC 34090 Grants applied for by the City for funding projects, where the grant was not successful. Maps and PlatsPGC 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 BooksSU+2GC 34090 National Pollutant Discharge Elimination System permit booklet describing Clean Water Act requirements for City projects and stormwater runoff. ENGINEERING CORPORATION YARD PUBLIC WORKS Page 14 of 19 Record Series Official RetentionCitationVHC Description NPDES ReportCU+3 40 CFR 122.41(j)(2) Annual report on the City's compliance with the National Pollutant Discharge Elimination System permit. Permits, Encroachment - Issued by City PGC 34090X 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 PGC 34090X Encroachment permits issued to the City, e.g. for maintenance along Highway 9 or Big Basin Road. Permits, Oversize Load CL+2GC 34090 Permits issued by City allowing transportation of oversize load within City limits. Soil ReportsPGC 34090d Final reports on soil analysis, construction recommendations. Kept with project files. Special DistrictsPGC 34090a Supporting documents re: improvement, lighting, parking, underground utility districts; bonds, taxes, and construction. Standards and Specifications SU+2GC 34090 City standards and specifications for projects that impact roadways, infrastructure, or storm drains. Traffic SignalsL+4GC 34090X Logs, drawings, wiring diagrams, codes, circuit numbers, installation records, testing, and maintenance records. Administrative Records CU+2GC 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 Association FilesCU+2GC 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 FilesCL+2GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL+4CCP 337X 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+10GC 34090X 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+2GC 34090X Special or long-range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU+2GC 34090 Meeting minutes, records associated with staff meetings, not Council- related. Minutes, Commissions and Committees OpinionsSU+2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Order Forms, StoresCU+2GC 34090 Completed forms for ordering supplies. PhotographsSU+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+2GC 34090 Documents published by outside organizations, used for reference or research. Includes reports from external providers of services to the City and City residents. GENERAL ADMINISTRATION - Public Works Refer to COMMISSIONS AND COMMITTEES Refer to COMMISSIONS AND COMMITTEES Page 15 of 19 Record Series Official RetentionCitationVHC Description Reference Files, Internal SU+2GC 34090 City-generated files used as reference. Landscape recordsCU+2GC 34090 Drawings, specifications, photos, reports. Maintenance/ Operations CU+2GC 34090 Includes work orders, inspection, repairs, cleaning, reports, and complaints. MapsPGC 34090 Irrigation, plot plans. Reports, Playground Safety CL+2GC 34090 Regular reports on the safety of playground equipment in City parks Pest and Weed Control - Agricultural Use Reports CU+2 3 CCR 6624(g) Copies of reports sent to state Department of Agriculture. Pesticide/ Herbicide Use Reports CU+2 3 CCR 6624(g) Records of pesticide and herbicide use by site and employee. Sports Organization Agreements T+4CCP 337 Contracts and payment records relating to field rentals by sports organizations. FuelingAU+3CCP 337 Meter readings, fuel consumption reports, invoices, receipts and records pertaining to refueling of City vehicles. Inventory, EquipmentL+2GC 34090X Includes vehicles and related documentation regarding repairs. Inventory, Vehicle Ownership and Title L+2GC 34090X Owner's manual, warranty documents, Department of Motor Vehicle title and registration, and related documents. Licenses and PermitsT+2GC 34090X Forms and related documents related to licenses and permits required by federal or state agencies. Maintenance/ Operations L+2GC 34090 Records related to requests for service and work orders for fuel, vehicle, and equipment maintenance and repairs. Vehicle Inspection Records L+2GC 34090 Records related to periodic inspection and certification of fleet vehicles. STREETS AND FLEET PARKS Page 16 of 19 Record Series Official RetentionCitationVHC Description Building PermitsP 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. DrawingsL+2H&S 19850 Drawings and plans for City-owned buildings and facilities. Drawings may be associated with renovations or improvements, or new construction. Equipment OwnershipL+2GC 34090 Records relating to ownership of equipment, including drawings, operating instructions, warranties, and registrations. Facility RentalsCU+4CCP 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 34090X Records related to grants received for City facilities projects. *Certain grants may have individual requirements. Refer to grant's close-out procedures. Grants, UnsuccessfulCL+2GC 34090 Grants applied for by the City to fund facilities projects, where the grant was not awarded. Inspection Records, Construction Specialty L+5GC 34090 Records related to specialty inspection of construction activities to ensure compliance with specifications. Inspections, FireL+2 UFC 103.34, GC 34090 Certificates of inspection by fire department of fire alarms and sprinkler systems in City-owned facilities. Maintenance RecordsCU+2GC 34090a Work orders and invoices relating to maintenance of City-owned facilities. Includes monthly work order status reports. Project FilesL+2GC 34090 Records related to improvements, renovations, or construction of City- owned facilities. Reports, Facilities Projects CU+2GC 34090 Status reports detailing current and recently-completed facilities projects and present status. Specifications and Plans L+2GC 34090 Records of the precise details and description of the service or project to be completed, or the item to be ordered. Administrative Records CU+2GC 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 Association FilesCU+2GC 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 FilesCL+2GC 34090 Records related to complaints filed by the public regarding the City's operations, activities, or policies. Contracts and Agreements CL+4CCP 337X 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+10GC 34090X 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. Refer to COMMISSIONS AND COMMITTEES GENERAL ADMINISTRATION - Recreation/Facilities RECREATION/FACILITIES FACILITIES Page 17 of 19 Record Series Official RetentionCitationVHC Description Master Plans/ Strategic Plans SU+2GC 34090X Special or long-range program plans and goals for the City, e.g., coordination of services. Minutes, Administrative Meetings CU+2GC 34090 Meeting minutes, records associated with staff meetings, not Council- related. Minutes, Commissions and Committees OpinionsSU+2 GC 34090, 6254 X Written legal opinions resulting from research on a given topic. Order Forms, StoresCU+2GC 34090 Completed forms for ordering supplies. PhotographsSU+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+2GC 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+2GC 34090 City-generated files used as reference. Activity Guide Schedules CU+2GC 34090 Calendars of deadlines for production of Activity Guide. Activity GuidesCU+2GC 34090X Quarterly Activity Guides listing all classes, camps, trips, events, etc. Blaney Plaza Banner Schedules CU+2GC 34090 Calendars of users of Blaney Plaza. Bottom line reportsCU+2GC 34090 Reports generated quarterly to see bottom line of Recreation classes. Class RostersCU+2GC 34090 List of registered students in a class or program. Instructor Applications and Contracts T+4 CCP 337; GC 12946; IRS.GOV X Recreation instructor records including contracts, applications, and W9 forms. Instructor PaymentsCU+4GC 34090 Records related to instructor payment at conclusion of course. Miscellaneous Payments CU+4GC34090 Records of miscellaneous payments made to the Recreation Department, including instructor forms, ad payments, and miscellaneous payment reports. Promotional MarketingCU+7 Trip and class fliers, posters, press releases, etc. Includes materials used in preparation of marketing materials. Registration formsCU+2GC 34090X Registration forms for classes or programs, filled out by participants. Release of Liability/ Health Forms CU+4 GC 34090, City Policy X Release of Liability and Health Forms required of trip participants. Roster of InstructorsSU+2GC 34090 Roster that includes all contact information for all current Contract Instructors. ABAG Plan Liability Insurance Information and Documents SU+5 GC 12946, 34090 X Plan information and handouts/memos describing plan. Accident and Incident Reports CL+7 29 CFR 1904.2, 1904.6 Records related to accidents during which City property is damaged; safety incidents including fire alarms; fire department reports; violations of security policies. Does not include records on employee injury. Claim FilesCL+5 GC 34090, 25105.5 XX Records regarding claims of wrongdoing by the organization or its employees. Claims generally request compensation for damage or loss. Insurance CertificatesT+5 GC 12946, 34090 X Insurance certificates issued by the City's insurance administrator. Insurance certificates naming the City as additionally insured for events taking place on City property. Photographs, Accident, Incident, or Claim CL+5CCP 343 Photographs taken by City employees or members of the public documenting claims, accidents, or incidents involving City property or employees. May be prints, negatives, film, or digital files. Applicable photographs should be stored for the same duration as associated claim. RISK MANAGEMENT RECREATION Refer to COMMISSIONS AND COMMITTEES Page 18 of 19 Record Series Official RetentionCitationVHC Description Risk Management Reports CL+5 OMB 1220- 0029; 29 CFR 1904.4; GC 34090 X Report records related to City claims, loss runs, loss analysis and related records. Federal OSHA forms; safety reports, actuarial studies. Safety ProgramCU+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+4GC 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