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Home My WebLink About13-076 Resolution Updating City's Retention Schedule RESOLUTION NO. 13-076 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA AMENDING THE CIT�"S RECORDS RETENTION SCHEDULE WHEREAS, on the 6`�' day of November, 2013, the City Council of the City of Saratoga approved a records retention schedule governing the retention of City records; and WHEREAS, the implementation of the records retention schedule has revealed that a change to the records retention schedule is necessary to more accurately reflect the contents of a record; and NOW, THEREFORE, the City Council of the City of Saratoga hereby resolves that the following should be added to the Administrative Services—Payroll section of the Records Retention Schedule. Record Series Official Citation Description Retention Payroll —Deduction AU + 5 GC34090 Records of deductions including garnishments, Register adjustments, deductions, authorizations, and PERS (Public Employee Retirement System) deductions. The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 4th day of December 2013 by the following vote: AYES: Mayor Emily Lo, Vice Mayor Howard Miller, Council Member Manny Cappello, Chuck Page, Jill Hunter NOES: None ABSENT: None ABSTAIN: None - � , � l/�t-c_� . , Emily Lo, Mayor ATTEST: . , .�jf� DATE: ��I��li I� ry�tal Bothelio, City Clerk CITY OF SARATOGA ,�� 5� ,�,� �, �� , � 19�5� ,1�,� ��' � � � � � 2013 U dated Records Retention p Schedule City Manager's Office 12/4/2013 Introduction: State law generally requires cities to retain their records for at least two years and in some cases longer periods of time. In addition, efficient administration of City business requires retaining different types of records for different periods. Accordingly the City of Saratoga has prepared this Records Retention Schedule. The Schedule was developed with reference to the Secretary of State Local Government - Records Management Guidelines, City experience with use of various types of records, specific legal requirements applicable to various types of records, and the experiences and practices of other cities. Kev terms: The Schedule uses the following key terms: "Record Series": A record series is a group of similar records arranged under a single filing system or kept together as a unit. They deal with a particular subject, result from the same activity, or have a special form. "Official Retention": The length of time a record must be retained to fulfill its administrative, fiscal and/or legal function. "Citation": A reference to legal authoriry. "Vital" (V), "Historical" (H), "Confidential" (C): Three special characteristics, as defined below, that assist the City with understanding the value of certain records. "Description": A statement that explains what documents are included within a record series. Retention Period Abbreviations: AU: Year of Audit P: Permanent CU: Current Year SU: Superseded CL: Closed T: Term (of employment, contract, etc.) E: Election Date *: Refer to note in the record's description L: Life (of improvement or equipment) for additional retention details Citation Abbreviations: CCP: Code of Civil Procedure FMLA: Family and Medical Leave Act CCR: Code of California Regulations LC: Labor Code GC: California Government Code OMB: Office of Management& Budget H&S: California Health and Safety Code OSHA: Occupational Safety& Health Act CEQA: California Environmental Quality Act R&T: Revenue and Taxation Code CFR: Code of Federal Regulations UFC: Uniform Fire Code EC: Election Code USC: United States Code Vital (Vl, Historical (Hl, Confidential (Cl: 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. Policies: The "General Administration" section applies to all departments. 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. Official Record Series Retention Citation V H C Description GENERAL ADMINISTRATION AU = Year of Audit CU = Current Year CL = Closed E = Election Date L = Life (of improvement or equipment) P = Permanent SU = Superseded T = Term (of employment, contract, etc.) * = Refer to note in the record's description for additional retention details All City policies and procedures, including appropriate policy manuals and handbooks. Records Administrative Policies SU+S GC 34090 documenting the implementation of management and administrative policies and directions for various City functions. Records of a general nature including copies of memos, letters, chronological files, archived Administrative Records CU+2 GC 34090 calendars etc. that pertain to the general administrative activities and duties of the Department. Records related to membership or the activities of professional or industry associations of which the City Association Files SU+2 GC 34090 or City staff is a member or has a business interest. Bids, proposals, and records of request for Bids and Proposals, GC 34090; qualifications and requests for proposals regarding Successful AU+5 CCP 337 X goods and services, where the proposal was selected by the City. Bids, proposals, and records of request for Bids and Proposals, qualifications and requests for proposals regarding Unsuccessful CU+2 GC 34090 goods and services. Unsuccessful proposals not selected by the City. Complaint Files CL+2 GC 34090 Records related to complaints filed by the public reqardinq the City's operations, activities, or policies. Contracts and Does not include capital improvement projects. Agreements CL+10 CCP 337, 343 X Includes leases, equipment, services or supplies. Official contract filed with the City Clerk. Contracts and Capital improvement projects. Includes specifications Agreements, Capital P GC 34090, X and plans, certificates of insurance, insurance bonds, Improvement Projects H&S 19850 and scopes of work. Official contract filed with the City Clerk. Delegation of Authority- Records authorizing specified employees to sign for Signature Authorization P GC 34090 and approve certain activities or documents during Forms the absence of the individual normally authorized to do so. Delivery Receipts CU+2 GC 34090 Records documenting receipt of items sent by certified mail or hand delivered (e.q., appeals). General Subject Files/ CU+2 GC 34090(d) Working documents and correspondence not in Correspondence project files. Documents determined to have historic value; i.e., records and photographs related to significant Historical Documents P GC 34090 X decisions, projects, or programs of City staff. E.g., pictures on the creation of the city seal; newspaper article documentina the anniversarv of the citv. Page 1 of 22 Official Record Series Retention Citation V H C Description Master Plans/Strategic Special or long-range program plans and goals for the Plans SU+2* GC 34090 X City, e.g., coordination of services. (*Scan into electronic repository before destroyinq.) Minutes,Administrative Meeting minutes, records associated with staff Meetinqs CU+2 GC 34090 meetinqs, not Council-related. 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 public groups by members of the Council or City staff. Publications and SU+2* GC 34090 Associated working files, such as graphics used in Presentations document creation, where applicable. (*Scan into electronic repository before destroying.) Documents published by outside organizations, used Reference Files, CL+2 GC 34090 for reference or research. Includes reports from External Sources external providers of services to the City and City residents. Reference Files, Internal CL+2 GC 34090 City-generated files used as reference. Reports generated by staff, relating to status or Reports, General CU+2 GC 34090 progress of routine City activities. Not agenda-related reports. Records relating to special projects carried out by the Special Projects CU+2 GC 34090 department. E.g., Tree-lighting ceremony project records. Page 2 of 22 Official Record Series Retention Citation V H C Description ADMINISTRATIVE SERVICES AU = Year of Audit CU = Current Year CL = Closed E = Election Date L = Life (of improvement or equipment) P = Permanent SU = Superseded T = Term (of employment, contract, etc.) " = Refer to note in the record's description for additional retention details ACCOUNTING � Reports and related documents showing transactional Account Reconciliation AU+5 GC 34090 activity and month-to-month status of balance sheet accounts. Audit Work Papers AU+S GC 34090 Back up documents and confirmation letters. GC 34090; 26 Records related to bank transactions including Banking Records AU+S CFR 31.6001- deposit of funds, bank statements, bank � reconciliations, disbursements, and wire fund transfers. Bonds, revenue records relating to interest bearing GC 34090; certificates (negotiable instruments) issued by City to Bond Documents CL+10 CCP 337.5 X raise revenues, including certificates of participation and any non-discharqed debt. GC 34090; Summary of all financial accounts. Records relating General Ledger P CCP 337 X to postings to the General Ledger. 24 CFR Community Development Block Grants and 570.502(b)(3), associated records: applications, reports, contracts, Grants, CDBG and 85.42; OMB supporting documents. Urban Development CL+4 Cir.A-102,A- X 110,A-128, HUD regs Grants, CDBG - Community Development Block Grants and Unsuccessful CL+2 GC 34090 associated records, where the application was not successful and qrant was not awarded. Grant information and documentation, including Grants, Financial financial data, for all grants applied for by the City. Records CL+5* GC 34090 X �*Certain grants may have individual requirements. Refer to qrant's close-out procedures.) Documentation of financial transactions entered into Journal Entries AU+4 GC 34090 X the general ledger. Page 3 of 22 Official Record Series Retention Citation V H C Description ACCOUNTS PAYABLE 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 Accounts Payable employee travel reimbursements, petty cash requests (check runs &check AU+4 GC 34090 X for reimbursement, check requests, and expense registers) reports. Records listing individual checks issued, and the date, payee, amount and purpose of each expense. Includes canceled and voided checks. Physical Checks AU+5 GC 34090; X checks returned by the bank, or CD's containing CCP 337 digital images of cancelled checks, received monthly from the bank. GC 34090; 26 Records relating to the acquisition, depreciation, Fixed Assets AU+4 CFR 301 65- X accrual, and disposal of fixed assets. 1(F); CCP 337 Original copies of Purchase Orders issued by the City GC 34090; to sellers or service providers, detailing products or Purchase Order Files AU+4 CCP 337 X services ordered, terms of sale, and payment aqreement. GC 34090; 29 Forms 1099, and W-9s filed for reporting payments to USC 436; IRS vendors. Records relating to withholding orders on Reg 31.6001- Payments to instructors or vendors from federal, state, Tax Records, Vendor AU+5 1(e)(2); R&T X X or other agencies. 19530; 29 CFR 516.5-516.6 ACCOUNTS RECEIVABLE � Records related to accounting for money owed to the Accounts Receivable AU+4 GC 34090 X City, where the City sends out billing invoices. Includes false alarm cards. GC 34090, Original applications for business licenses submitted Business License to the City. Applications P Municipal X Code 4-05.070 Business License Files T+4 GC 34090; X Business license renewal notice reports and business CCP 337 license issuance reports. Cash Receipts AU+4 GC 34090; X Records related to payment received by the City. CCP 337 Includes, cash, check, and credit card payments. Page 4 of 22 Official Record Series Retention Citation V H C Description BUDGETS Annual operating and capital budget documents relating to internal planning and financial Budgets,Adopted P GC 34090 X management. Includes budget vs. cost reports, summaries, schedules, goals and objectives and milestones. Official City budgets as approved by City Council. Budget Adjustments, AU+4 GC 34090 X Records of alterations to the budget due to changes Journal Entries in City revenue or expenditures. Budqets, Proposed CU+2 GC 34090 Budqets presented to City Council for approval. HUMAN RESOURCES � 29 CFR May include enrollment application, release Benefits File: COBRA 1602.30-32, authorizations, copies of proof of premium payment, if Files T+10 1627.3; 29 X X applicable. USC 1027; GC 34090 FMLA 1993 US Records filed as part of a request for leave of OSHA; 29 CFR absence. May include application and applicable Benefits File: Medical 1910.20; 29 medical records. Leaves of Absence CL+30 CFR1602.30.3 X 2; 49 CFR 192- 9 GC 12946, PERS and beneficiary documents. Benefits File: P 34090, 29 CFR X X Retirement Plans 1627.3(2) Cal OSHA CU+5 $ CCR Forms 300-AAnnual Summary and 301 (workers 14300.33 compensation injury reports)filed with Cal OSHA. City Volunteer Program Records of the activities and administration of the Records T+2 GC 34090 X City's volunteer program, including all records maintained on active and non-active volunteers. The oath or affirmation of any disaster service worker of any city shall be filed in the office of the city clerk of the city. Disaster Service Worker GC 3105(c), (" If volunteer and not public employee, T= Volunteer Program T+5* �e� X X Termination of volunteer service; If volunteer is a Records public employee, T= Termination of employment.) Employee Handbooks Authoritative manual of employee policies. (Personnel Rules and SU+2 GC 34090 X Policies) Page 5 of 22 Official Record Series Retention Citation V H C Description 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 Employees Personnel GC 34090; 29 paperwork, certifications, performance appraisals, Files T+10 CFR 1602.30- X X personnel action changes- recorded on personal 32, 1627.3 action forms (PAF), 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 GC34090; GC Applications submitted for existing or anticipated job Applications CU+2 12946; 29 CFR openings. (Mostly all electronic files on Calopps.org.) 1627.3 8 CFR I-9 Form; proof of eligibility to work in the United 274a.2(b)(2)(i); States of America. Immigration Immigration T+3 Reform/Control X X Act 1986 Pub. L 99-603 (8 USC 1324a); GC 34090 GC 6410; 8 Workers Compensation records relating to employee Insurance, Workers P CCR X industrial claims history. Insurance administered Compensation 15400.2(a); LC through ABAG. 110-139.6 Contracts, memorandum of understanding (MOUs), Negotiations P 29 USC 211(c), X X correspondence, and official meeting notes. 203(m), 207(g) GC 12946; GC May include applications and resumes for those 6250 et se considered and/or selected for the position, eligibility q'' list, examination material and answer sheets,job Position Recruitment CL+3 29 CFR 1602 X announcements, written correspondence with et seq.; 29 candidates such as rejection letters or invitations to CFR 1607; 29 the next phase of the process. CFR 1627.3 GC 12946, Includes classification salary range tables, 34090; 29 CFR classification studies and survey's. Note: Only the Salary Range Tables SU+2 516.6(a)(2); X X most current salary range tables and job descriptions and Job Descriptions 2g CFR are vital records. 1602.14 AB 1825 (GC Training Records and 12950.1); 2 Written records of which employees received training Tuition Reimbursement CU+7 CCR 7288.0; X X and the dates of all training sessions. For sexual Program GC 6250 et harassment training, the name of the training provider. seq. Page 6 of 22 Official Record Series Retention Citation V H C Description GC 12946, All documented claims submitted by former Unemployment 34090; 29 employees for unemployment compensation. Insurance Claim T+6 USC 1027, X Records may include: claim records, notices, reports, Records 1113; 29 CFR records generated by the appeal of claim 1602 et seq., determinations. 516.2 INFORMATION TECHNOLOGY � Records regarding activities to maintain and ensure Computer System continued operation of computer systems and Administration SU+5 GC 34090 X X applications. Checklists and special requests regarding new users, new system set up, and termination. (Electronic documents.) Archived e-mail shall be maintained for three years; however, this does not override any specific retention E-Mail Archives CU+3 GC 34090 X requirements of individual records series. E-mails that constitute records must be preserved according to their retention periods elsewhere in this schedule. Network information systems (LAN/WAN) Network Configuration SU+5 GC 34090; X configuration maps and plans. Records relating to the CCP 337.2 infrastructure and set-up of servers. (Electronic documents.) Records related to authorizing employees or contractors to have access to a City computer Security Clearance 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 Software Application the City. Includes software registrations and records Files SU+2 GC 34090 X related to the maintenance of software applications. Licenses, authorization codes and certificates for support services. Page 7 of 22 Official Record Series Retention Citation V H C Description PAYROLL Reports and payment records by pay period. GC 34090; 26 Employee contributions and City payments to Deferred Compensation CFR 31.6001- deferred compensation plan 457. Records T+5 1; 29 CFR X X 1627.3(2) Records relating to individual employees, including GC 34090; 29 new hire, termination, salary, benefits, deductions, CFR 516.2, employee benefit enrollment forms, direct deposit authorization, W-4, DE-4, and employee 516.5-516.6; authorizations for deductions. Includes withholding Employee Payroll Files T+6 IRS Reg X X orders on employees. 31.6001- 1(e)(2); 29 USC 436; R&T 19530 Records of deductions including garnishments, adjustments, deductions, authorizations, and PERS (Public Employee Retirement System) deductions. Payroll—Deduction AU + 5 GC 34090 X Register GC 34090; 29 Timesheets, signed by employee, supervisor, and CFR 516.2; 20 department head, for audit and FEMA Reports. Payroll - Employee CFR 516.6(1); Includes applicable sign attachments: requests for Timesheets (Bi-weekly AU+6 IRS Reg. X X time off, overtime authorization. pay run) 31.6001- 1(e)(2); R&T 19530; LC 1174fd) Payroll -Organization P GC 34090, X Bi-weekly reports listing City costs by employee and Reports 37207 proqram. GC 34090, Salary, benefits, and deduction information, filed by 37207; 22 pay period. Monthly, quarterly, fiscal year and CCR 1085-2; calendar year reports. Records including Payroll Registers P 29 CFR 516.2, X X garnishments, adjustments, and PERS (Public 516.6, 516.6; Employee Retirement System)deductions. 26 CFR 31.6001-1; LC 1174(d) Report to CaIPERS detailing employee salary information and retirement contributions by pay GC34090; period. Reports list a group of employees, not one CAC 22-1085- report per employee. 2; 26 CFR PERS Payroll Reports P 31.6001-1; 29 X X CFR 516.5- 516.6, LC1174(d) Page 8 of 22 Official Record Series Retention Citation V H C Description GC 34090; 26 Medical, dental, vision, life, disability, supplemental CFR 16001-1; insurances. Reports list a group of employees, not Premium Billings P 29 CFR X X one report per employee. 1627.3(a), (b)(2) GC 34090; 29 Records relating to the maintenance of information USC 436; 26 about tax liabilities, withholding and payment of taxes, CFR 31.6001- records related to payment of State and Federal taxes Quarterly& Calendar 1; IRS REG including annual W-2 Forms, and the quarterly and YearTax Reporting P 31.6001- X X annual DE-9, DE-9C, Form 941, DE-6, and DE-7 1(e)(2); R&T forms. 19530; 29 CFR 516.5-516.6 REPORTS Comprehensive Annual Financial Report (CAFR)and or Financial Statements. Auditor reports relating to the review and monitoring of accounting or financial records to ensure compliance with GAAP standards Annual Reports P GC 34090 X and the City's financial procedures. Includes: Single Audit reports; TDAAudit reports; GANN Appropriation Limit report; Public Financing Authority (PFA) reports; and Auditor's Internal Control memorandum or reports. Other mandated reports to include:Annual Streets Report;Annual AB 1600 Report;Annual Property Tax OtherAnnual Reports P GC 34090 X Levy Report;Annual SLESF/COP Report; Maintanence of Effort (MOE)- Public Safety; and Annual Possessory Interest Report. Reports to the State Reports mandated by the State Controller, detailing Controller P GC 34090 X the City's revenues and expenditures for purposes of fundinq:Annual Cities Report; and Streets Report. Fund balances: total revenue versus total Treasurer's Report AU+5 GC 34090 expenditures. (i.e., status update.) Page 9 of 22 Official Record Series Retention Citation V H C Description CITY MANAGER'S OFFICE AU = Year of Audit CU = Current Year CL = Closed E = Election Date L = Life (of improvement or equipment) P = Permanent SU = Superseded T = Term (of employment, contract, etc.) * = Refer to note in the record's description for additional retention details Permits, Special Events I CL+2 GC 34090 I Permits issued for events requiring a Special Event Permit, Group Use Permit, or Block Party Permit. CITY CLERK � Fair Political Practices Commission (FPPC) Form Agency Report of Public SU+2 GC 34090 806. Offical Appointments Original agendas and special meeting notices, including certificates of posting, original summaries, Agendas, City Council CU+2* GC 34090 original communications and action agendas for City Council. Agenda packets, including staff reports and attachments. (*Scan into electronic repository before destro ying.) Applications, Citizen applications for vacancies on City Commissions and CL+2 GC 34090 commissions or committees, where the applicant was Committees- Not not selected. Selected Applications, Citizen applications for vacancies on City Commissions and T+5 GC 34090, commissions or committees, where the applicant was Committees- Selected 40801 selected to fill the position. Records of the appointment of an individual to fill a Appointments to the P GC 34090 X vacant Council seat and serve out the term of a Council Councilmember who is unable to complete his or her term. City copy of documents filed with State, establishing GC34090; incorporation of City and the boundaries thereof. Articles of Incorporation P X X Includes resolutions of the Santa Clara County Board CCP337.2 of supervisors and any other records relating to the incorporation of the City. Assessment Districts P GC 34090 X Original documentation of assessment districts in City. Material provided to City Council from members of the Communications from public, relating to agendized or non-agendized items, the Public at Council CU+2* GC 34090 for consideration at any noticed meeting of the City Council. Retained as part of the official City agenda Meetings packet for the meeting to which it pertains. (*Scan into electronic repository before destroying.) Council Administrative T+2 GC 34090 X Records relating to Council members, current contact Files information, bioqraphies, etc. Council Resolutions P GC 34090(d), X X Formal expression of the will, opinion and intent voted 40801 by the City Council and leqislative-type actions. Easements, Records relating to easements, rights-of-way, and Dedications, Rights-of- P GC 34090 X other dedications associated with construction or Way subdivision projects. Page 10 of 22 Official Record Series Retention Citation V H C Description GC 65864, Records related to franchise agreements with the 65869.5, City, e.g., cable. Includes subdivision agreements, Franchises P 34090; CCP X contracts for sale or purchase of property, grant of 337.2, 343; 5 easements, etc. CCR 16023 CCP 343, 349 Records related to legal advertising required for public Legal Advertising CU+4 et seq.; GC hearings. Includes proof of publication notices. 911.2, 34090 Lobbyist Reporting * Forms filed with the State regarding City's lobbyist Forms T+2 GC 34090 consultants. ( Scan into electronic repository before destroyinq.) IMeetings, Video P GC 34090.7 X Video recordings of City Council meetings. Provides a Recordinqs record of leqislative history and intent. IMinutes, Council P GC 34090(d), X X Records regarding meeting minutes, resolutions, Meetinqs 36814, 40801 actions and decisions of the City Council. IMunicipal Code P GC 34090 X The City's Municipal Code, with supplements and chanqes included. Regulations enacted by council action and related Ordinances P GC 34090(d), X X records. Certificate of Ordinance Adoption—States 40806 when the ordinance was adopted and when/how the ordinance was leqally advertised. IPetitions CU+2 GC 50115, Petitions submitted to the City Council. 34090 For official documents sent by the City: Legal forms Proof of Service Forms CL+2 GC 34090 confirming their delivery either by hand or through Certified Mail. Archived communications (written, voice, or digital) Public Comments and from the public on City matters, not included in Correspondence CU+3 GC 34090 Council meeting minutes. Includes official responses from Mayor, City Council, or City Manager. Records reflecting Public Record Act(PRA)and Public Record Requests CL+2 GC 34090 X Freedom of Information Act(FOIA) requests and material sent in response to same. Documents certifying (confirming)the destruction of Records Destruction official records that have been approved for Approvals & P GC 34090 destruction. The certification attests to the fact that Certificates destruction was accomplished in accordance with applicable procedures. IRecorded Documents P GC 34090 X X Official version of documents recorded by the County Recorder's Office. GC 34090; 80 Inventory of non-current or inactive records holdings Records Inventory CU+2 OPS Atty. Gen. X and location, indices. 106 Records regarding the management of City records, Records Management CL+2 GC 34090 including records maintenance and transfer records. Files Does not include the retention schedule or destruction certificates. Records Retention The document that lists each record series and the Schedules SU+4 CCP 343 X X associated retention times, characteristics, responsible division, and leqal citations, if applicable. Form 700 detailing financial assets and investments Statements of Economic GC 81009(e), that might create a conflict of interest for individuals Interest CU+7 (f); 82006; required to file a Form 700 as noted in the City's 87200 et seq. Conflict of Interest Code, such as the City Council, City Manaqer, Commissioners, and other City staff. �ELECTIONS* � Page 11 of 22 Official � Record Series Retention Citation V H C Description * Please note that elections are administered by the Santa Clara County Registrar of Voters. The City does not handle or retain ballots o�voter registr-�tion. Initiative, referendum, and recall records, including GC 34090, petitions, arguments, rebuttals for measures, and Initiatives, Ballot 34458-34460; impartial analysis. Measures, Referendum P EC 17200, X 17400 FPPC Filings, including forms 410, 460, 496, and 497, GC 81009 (b), Which provide a record of candidate or committees' Campaign Disclosure P �g� campaign finance activities during a campaign. Also includes cadidate intention statements, Form 501. Original reports and statements, records used to Certificates of Election T+4* GC81009(a), certify election results. (*Scan into electronic �d� repository before destroying.) History of elections: sample ballots, certificates of History P GC 34090 X election, staff reports, and resolutions regarding elections. EC 17100(a), Nomination paper and other election documents such 17300 et seq., as, Form 700, Candidate Information Request Forms, Nomination Paper and 20442; GC Candidate Statements of Qualification, Foreign Election Documents- P 34090, Language Given Name Translation Forms, Elected 81009(b), (e), Declarations of Intent to Install Temporary Political (f), 82006, Signs, and Fair Campaign Practices Signature Forms. 87200 et seq. EC 17100(a), Nomination paper and other election documents such 17300 et seq., as, Form 700, Candidate Information Request Forms, Nomination Paper and 20442; GC Candidate Statements of Qualification, Foreign Election Documents- E+5 34090, Language Given Name Translation Forms, Not Elected 81009(b), (e), Declarations of Intent to Install Temporary Political (f), 82006, Signs, and Fair Campaign Practices Signature Forms. 87200 et seq. GC 34090; 29 Oath of office forms filled out by elected officials and Oaths of Office T+g* USC 1113 certified by the City Clerk. (*Scan into electronic repository before destroying.) EMERGENCY SERVICES � Emergency Operations The City's plan for preparing for and handling a Plan SU+2 GC 34090 X variety of disasters and emerqency situations. Records documenting the City's long-term recovery Emergency Recovery efforts after a disaster or emergency. Includes records Records CU+25 GC 34090 X relating to City collaboration with County, State or Federal agencies, and non-profit organizations. Docments qo to FEMA. Records detailing the work of formal City volunteers, Emergency Response spontaneous volunteers, and City staff during a Records CU+25 GC 34090 X declared emergency. Also includes records documenting activities of emergency operations center(EOC). Documents qo to FEMA. Documents related to grants awarded for emergency Grant Records and preparedness efforts. Including applications, Agreements, CL+10 GC 34090 X agreements, progress and financial reports and Emergency compliance paperwork. Primarily Homeland Security Preparedness grants. (*Certain grants may have individual repuirements. Refer to grant's close-out procedures.) Grant Records, CL+2 GC 34090 Emergency preparedness grants applied for by the Unsuccessful City, where the qrant was not awarded. Page 12 of 22 Official Record Series Retention Citation V H C Description LEGAL/LEGISLATIVE CCP 583.320 Civil appeals records. Appeals CU+3 (a)(3); GC 34090 Official documents relating to a case or its resolution by settlement. Any records associated with a case 42 USC 1983; that are filed in court, notorized, or authorized. Case Records, Formal P GC 6254, Includes petitions, complaints, subpoenas (where the 34090 City is a party to the case), reply briefs, opening briefs, settlement agreements, filed pleadings, court documents. Does not include internal memoranda or correspondence with opposing side. Supporting case documentation including notes, 42 USC 1983; drafts, correspondence, proposed drafts of settlement Case Records, Informal CL+7 GC 34090 agreements, and other less formal or non-signed records. I.e., everything not included in Case Records, Formal. Grand Jury Reports and GC 34090, Reports received from Santa Clara County Civil City Responses CU+10 6276.22 X Grand Jury, and City responses. Opinions SU+2 GC 34090, X Written legal opinions resulting from research on a 6254 qiven topic. (I.e., Research memoranda.) Subpoenas CL+7 42 USC 1983; Court ordered requests to the City for documents or GC 34090 witnesses, where the City is not a party to the case. PROPERTY � Abandonments P GC 34090(a) X Records relating to abandonment, condemnation, and demolition of City-owned buildinqs. Acquisitions/ GC 34090(a); Supporting documents regarding the sale, purchase, Dispositions P GC 6254 X exchange, lease or rental of property by the City for more than one year. Real estate appraisals relating to potential acquisition Appraisals CL+2 GC 34090; GC X X of property by the City. Exempt from disclosure until 6254(h) final acquisition is made, or until contract agreement is obtained. GC 34090(a); Title deeds and other records establishing City 24 CFR ownership of property. Deeds and Promissory P 570.502(b)(3), X Notes 24 CFR 8.42 & OMB Circ. SA- 110 Page 13 of 22 Official Record Series Retention Citation V H C Description COMMISSIONS AND COMMITTEES AU = Year of Audit CU = Current Year CL = Closed E = Election Date L = Life (of improvement or equipment) P = Permanent SU = Superseded T = Term (of employment, contract, etc.) * = Refer to note in the record's description for additional retention details Original agendas and special meeting notices, Agendas, Commissions CU+2* GC 34090 X including certificates of posting, original summaries, &Committees original communications and action agendas. (*Scan into electronic repository before destroyin.q.) Agenda Packets, Agenda packets prepared for commissions and Commissions& CU+2* GC 34090 X committees, including staff reports. (*Scan into Committees electronic repository before destroyinq.) Material provided to commissions and committees from members of the public, relating to agendized or Communications from non-agendized items, for consideration at any noticed the Public at CU+2* GC 34090 X meeting of the commission or committee. Retained Commission Meetings as part of the agenda packet for the meeting to which it pertains. (*Scan into electronic repository before destro ying.) Meetings, Video Video recordings of commission and committee Recordings P GC 34090 X meetings. Provides a record of legislative history and intent. Minutes, Commissions GC 34090, Meeting minutes, records associated with meetings of & Committees P 36814, 40801 X X commissions and committees, including Council committees. Resolutions generated by commissions or Resolutions P GC 34090(e) X committees. Includes approval or disapproval of planninq projects, etc. Page 14 of 22 Official Record Series Retention Citation V H C Description COMMUNITY DEVELOPMENT AU = Year of Audit CU = Current Year CL = Closed E = Election Date L = Life (of improvement or equipment) P = Permanent SU = Superseded T = Term (of employment, contract, etc.) " = Refer to note in the record's description for additional retention details BUILDING � Permits issued by City. Records related to plans, GC 34090(a); signs, grading, encroachment, including blueprints Building Permit Files P H&S 19850, X and specifications. Approval to construct or renovate 4003, 4004 property. Includes structural calculations and soil and geotechnical reports as needed; and inspection records. ICode Books SU+3 GC 34090; X National Electrical Code, Uniform Building, Fire, CCP 340.5 Mechanical, Plumbinq, etc. Includes supplements. �House Numbers P GC 34090(a) X Address assignments/changes. CODE COMPLIANCE � Records of City-handled code violations relating to Abandoned Vehicles CL+2 GC 34090(d) abandoned vehicles. Does not include cases handled by Sheriff's office. IAlarm Permits SU+2 GC 34090 Security alarm permits for homes or businesses located in the City. I Permits,Animal CL+2 GC 34090 Horse and kennel permits issued by the City, associated documentation. Permits, Massage Permits issued by the City required for establishing, Establishment/Practition CL+2 GC 34090 managing, or practicing at a massage establishment er within City limits.Associated documentation. Permits issued by the City allowing an exception to Permits, Noise CL+2 GC 34090 the City's noise ordinance for the purposes of Exception construction or other approved activity. Associated documentation. IPermits, Solicitor CL+2 GC 34090 Permits issued by the City allowing permit-holders to solicit within City limits. Associated documentation. Building, housing and mobile home code violation Violations, Building, records including inspections; public nuisance, Property, Zoning CL+2 GC 34090(d) rubbish and weed abatement, vehicle abatement, citations, and related complaints. Page 15 of 22 Official Record Series Retention Citation V H C Description �PLANNING Reports, agreements, and public notices related to Annexations P GC 34090(a) X applicants' requests for annexation of property to the City. �City Boundary P GC 34090 X Map of city boundary limits. CCP337, Infrastructure contracts, franchises. Development 337.1(a), Agreements P 337.15; 48 X CFR 4.703 California Environmental Quality Act: Exemptions, GC 34090(a); Environmental Impact Report, mitigation monitoring, Environmental Review P CEQA X negative declaration, notices of completion and (CEQA) Files Guidelines determination, comments, statements of overriding considerations. Includes environmental audit records for these files. General Plan and P GC 34090 X General Plan dictating acceptable land uses for the Elements City. Includes sphere of influence. General Plan Records of proposed amendments to the General Amendments,Approved P GC 34090 X Plan that have been approved. General Plan CU+3 GC 34090, X Records of proposed amendments to the General Amendments, Denied 65103, 50110 Plan that have been denied. Historic Preservation P GC 34090 X List of historic structures and landmarks within City Inventory limits. Special application required in addition to planning Heritage Resource CL+2 GC 34090 application when applicanYs proposed plans are Alteration Applications alterations to a house or structure designated as historic or declared a heritaqe resource. GC 34090; Zoning, tentative subdivision, parcel, land use map, Maps, Plans, Drawings, P H&S 19850; X street names, specific plans. Included in Project Exhibits, Photos GC 34090.7 Files, Planning and Zoning. May include photographs, planning application, blueprints, drawings, maps, plans, reports (including arborist reports), evaluations, correspondence, use permits, variances, studies, appeals, compliance Project Files, Planning GC 34909(a); certificates, public notices, documents confirming and Zoning P H&S 19850, X delivery of public notices, conditions of approval, lot 4003, 4004 line adjustments, or other planning-related matters. Project specific records that pertain to real property. Security Bonds and Records of security deposits provided to the City for Deposits CL+2 GC 34090 certain projects, guaranteeing that the projects will follow specific quidelines. Includes tree deposits. ITree Removal Permit CU+2* GC 34090; Tree removal permit applications and photographs. Applications H&S 19850 (*Scan into electronic repository before destroyinq.) Page 16 of 22 Official Record Series Retention Citation V H C Description PUBLIC WORKS AU = Year of Audit CU = Current Year CL = Closed E = Election Date L = Life (of improvement or equipment) P = Permanent SU = Superseded T = Term (of employment, contract, etc.) " = Refer to note in the record's description for additional retention details CORPORATION YARD � GC 34090; Annual permits issued to the City by the Bay Area Air Air Quality Permits SU+7 CCP 338(k) Quality Management District, allowing usage of City's qasoline refuelinq station. Hazardous Materials 8 CCR 3204(d) Trainings materials and records regarding the Training Files 5�+2 et. Seq. handling of hazardous materials. Hazardous Waste CAL OSHA; 40 Documentation regarding the handling and disposal of Disposal Records CU+10 CFR 122.21 hazardous waste. Material Safety Data 8 CCR 3204, Records relating to the description, use, and safe Sheets (MSDS) P 5194(b)(5)(I)(2) handling of hazardous substances. ISignage L+2 GC 34090 Log books, index register cards, inventory lists, records of traffic siqns. IUnderground Storage P GC 34090 Documents related to underground storage tanks and Tanks, Compliance compliance with requlations. Underground Storage Location, installation, removal, remediation. Tanks, Maintenance and P GC 34090 Operation �Vendor Files AU+4 GC 34090 Invoices and copies of purchase orders by vendor. IWork Orders CU+2 GC 34090 Work orders received from Traffic Safety Committee, the public, and upper manaqement. I ENGINEERING � IBenchmark Data P GC 34090(a) Map and description of benchmarks-elevation points. Four-paqe document unlikelv to ever chanqe. CCP 337.2, Certificates of bonds insuring City projects. Includes Bonds, Insurance P 343 X material bonds and work perFormance bonds. Incorporated into contract. IBridge and Overpass �+4 GC 34090 X State reports on status of bridges and overpasses in Reports the City. ICapital Improvement P GC 34090 X Public projects carried out by the City. Includes plans, Prolects permits, and supportinq documentation. Records of projects for residents or businesses in which City receives a deposit from applicant, arranges Deposit Account CCP 337; GC for various surveys and studies to be performed by Projects P 34090 approved consultants, including city geologist, who are paid through applicant's deposit. File includes plans, and reports generated, such as soil reports. Part of project files for both Capital Improvement Projects and Deposit Account Projects. Includes site Drawings P GC 34090 map, plan, and specifications, traffic control plans. Included in Capital Improvement Projects and Deposit Account Prolects. Page 17 of 22 Official Record Series Retention Citation V H C Description Records relating to easements, rights-of-way, and Easements, other dedications associated with construction or Dedications, Rights-of- P GC 34090 X subdivision projects. Includes abandonments and Way vacations of the above. (Officially recorded documents are held by the City Clerk.) California Environmental Quality Act: Exemptions, environmental impact report, mitigation monitoring, Environmental Review GC 34090(a); negative declaration, notices of completion and (CEQA) Files P CEQA X determination, comments, statements of overriding guidelines considerations. Often included in Capital Improvement Project Files. For subdivisions, filed in Deposit Account file. Environmental Review- Correspondence, consultants, issues, conservation. Supporting CL+2 GC 34090(d) Documentation Grants applied for by the City for funding capital improvement projects. Includes applications, reports, Grants, Federal and CL+5* GC 34090 X contracts, supporting documents. Included in Capitla State Improvement Project Files. (*Certain grants may have individual requirements. Refer to grant's close- out procedures.) IGrants, Unsuccessful CL+2 GC 34090 Grants applied for by the City for funding projects, where the qrant was not successful. Paper maps of fire hydrants, lighting districts, wheel Maps and Plats P GC 34090 X chair ramps, storm drains, streets, sidewalks, sewers, etc. Includes survey maps (Record of Survey). Plats of City property lines and parcels. National Pollutant Discharge Elimination System permit booklet describing Clean Water Act NPDES Permit Books P 40 CFR 122.28 requirements for City projects and stormwater runoff. Called Municipal Regional Permit(MRP). 40 CFR Annual report on the City's compliance with the NPDES Report CU+5 122.41(j)(2) National Pollutant Discharge Elimination System permit. Permits issued by City to residents or organizations Permits, Encroachment- P GC 34090 X allowing improvements along City-owned property or Issued by City roads, e.g., for driveway alterations or underground utility trenches. Permits, Encroachment- Encroachment permits issued to the City, e.g. for From External Entities P GC 34090 X maintenance along Highway 9 or Big Basin Road. Included in Capital Improvement Project Files. IPermits, Oversize Load CL+2 GC 34090 Permits issued by City allowing transportation of oversize load within City limits. Final reports on soil analysis, construction Soil Reports P GC 34090(d) recommendations. Included in Deposit Account Project files. Annual reports regarding amount of contribution made Special Districts P GC 34090(a) by city residents toward landscape and lighting districts. IStandards and SU+2 GC 34090 City standards and specifications for projects that Specifications impact roadways, infrastructure, or storm drains. Logs, drawings, wiring diagrams, codes, circuit numbers, installation records, testing, and Traffic Signals L+4 GC 34090 X maintenance records. Siemens produces and maintains these files. City may have copies of particular reports incorporated in Capital Improvement Projects file. Page 18 of 22 Official Record Series Retention Citation V H C Description PARKS Drawings, specifications, photos, and reports for Landscape Records CU+2 GC 34090 lighting and landscaping districts. IMaintenance/ CU+2 GC 34090 Copies of invoices held for reference for future Operations contracts. �Maps P GC 34090 Irriqation, plot plans. 3 CCR Copies of monthly reports sent to state Department of Pest and Weed Control - P 6624 GC Agriculture. Reports list the type of pesticide, amount Agricultural Use Reports �g�' used, for what purpose, and acreage applied to. 34090 Pesticide/ Herbicide Use 3 CCR Internal records of pesticide and herbicide use by Reports P 6624(g); GC park and employee. 34090 IPlaques P GC 34090 X Records of plaques in the City. Includes tree and bench dedication plaques. Reports, Playground CL+2 GC 34090 Monthly inspection reports on the safety of Safety playqround equipment in City parks Sports Organization Payment records relating to field rentals by sports Agreements SU+2 CCP 337 organizations. STREETS AND FLEET � Meter readings, fuel consumption reports, invoices, Fueling AU+3 CCP 337 receipts and records pertaining to refueling of City vehicles. Ilnventory, Equipment L+2 GC 34090 X Includes vehicles and related documentation reqardinq repairs. Inventory, Vehicle Owner's manual, warranty documents, Department of Ownership and Title L+2 GC 34090 X Motor Vehicle title and registration, and related documents. Forms and related documents related to licenses and Licenses and Permits L+2 GC 34090 X permits required by federal or state agencies. License is received once for the life of the vehicle. Maintenance/ Records related to requests for service and work Operations L+2 GC 34090 orders for fuel, vehicle, and equipment maintenance and repairs. IVehicle Inspection Records related to monthly inspection and Records CU+3 GC 34090 certification of fleet vehides. Page 19 of 22 Official Record Series Retention Citation V H C Description RECREATION/FACILITIES AU = Year of Audit CU = Current Year CL = Closed E = Election Date L = Life (of improvement or equipment) P = Permanent SU = Superseded T = Term (of employment, contract, etc.) " = Refer to note in the record's description for additional retention details �FACILITIES � IAsbestos Records P GC 34090(a) Documents relating to abatement projects for city buildinqs. GC 34090(a); Building permits issued for City facilities projects. Building Permits P H&S 19850, Approval to construct or renovate property, zoning 4003, 4004 variances and conditional use permits. 2.083110; GC Records regarding the planning, design, construction, Capital Improvements, P 34090(a), conversion or modification of City-owned facilities, Construction 4004; H&S structures, and systems. 19850 Drawings and plans for City-owned buildings and Drawings L+2 H&S 19850 X facilities. Drawings may be associated with renovations or improvements, or new construction. Records relating to ownership of equipment, including drawings, operating instructions, warranties, and Equipment Ownership L+3 GC 34090 registrations. E.g., HVAC, generator, ovens, fridges, appliances. All records relating to rental usage of City-owned facilities, including application, reservation Facility Rentals CU+4 GC 34090 form/contract, permission to serve alcohol form, "clean and ready" agreement, clean-up checklist, schedules, calendars, receipts, and invoices. Records related to grants received for City facilities Grants, Federal and projects. (*Certain grants may have individual State CL+5* GC 34090 X requirements. Refer to grant's close-out procedures. Grants usually c/ose when money is used and City receives a certificate of completion.) IGrants, Unsuccessful CL+2 GC 34090 Grants applied for by the City to fund facilities proiects, where the qrant was not awarded. I Inspections, Fire CL+5 UFC 103.34, Certificates of inspection by fire department of fire GC 34090 alarms and sprinkler systems in City-owned facilities. Inspection Records, Records related to specialty inspection of construction Construction Specialty CL+5 GC 34090 activities to ensure compliance with specifications. Work orders and invoices relating to maintenance of Maintenance Records CU+2 GC 34090(d) City-owned facilities. Includes monthly work order status reports. Records related to improvements, renovations, or Project Files L+2 GC 34090 construction of City-owned facilities. Includes photographs of the construction sites. Smaller projects. Reports, Facilities CU+2 GC 34090 Status reports detailing current and recently- Projects completed facilities projects and present status. Page 20 of 22 Official Record Series Retention Citation V H C Description Records of the precise details and description of the Specifications and Plans L+2 GC 34090 service or project to be completed, or the item to be ordered. Included in Project Files. RECREATION � Quarterly Activity Guides listing all classes, camps, Activity Guides SU+2* GC 34090 X trips, events, etc. (*Scan into electronic repository before destroyin.q.) IBottom Line Reports CU+2 GC 34090 Reports generated quarterly to see bottom line of Recreation classes. �Class Rosters CU+2 GC 34090 List of reqistered students in a class or proqram. InstructorApplications CCP 337; GC Recreation instructor records including contracts, and Contracts T+4 12946; X applications, W-9 forms, and all contact information IRS.GOV for all current Contract Instructors. Trip and class fliers, photographs of classes, press Promotional Marketing CU+7 GC 34090 releases, etc. Includes materials used in preparation of marketinq materials. Registration forms for classes or programs, filled out Registration Forms CU+2 GC 34090 X by participants with credit card payment information redacted. Done electronically now. Release of Liability/ CU+4 GC 34090 X Release of Liability and Health Forms required of trip Health Forms participants. Page 21 of 22 Official Record Series Retention Citation V H C Description RISK MANAGEMENT Association of Bay Area Copy of annual Memorandum of Coverage (MOC), Governments (ABAG) declarations, and exclusions. (*Hold onto as long as Plan Liability Insurance CL+5* GC 34090 X claim files are held. Scan into electronic repository Information and before destroying.) Documents Records regarding claims of wrongdoing by the City or its employees. Claims generally request Claim Files CL+5 GC 34090, X X compensation for damage or loss. Records include 25105.5 photographs taken by City employees or members of the public documenting claims, accidents, or incidents involving City property or employees. Employee Safety Evacuation drills, Safety Committee records and Information CU+10 GC 34090 minutes, Safety Inspection Reports, Injury Illness Prevention Proqram records, and Safety Traininq. Insurance certificates issued by the City's insurance administrator. Insurance certificates naming the City Insurance Certificates T+5 GC 34090 X as additionally insured for events taking place on City property. Minutes, Risk Meeting minutes, records associated with staff Management CU+2* GC 34090 meetings, not Council-related. (*Scan into electronic Committee repository before destroyinq.) OMB 1220- ABAG Plan reports related to City claims, loss runs, Risk Management CL+5 0029; 29 CFR X loss analysis and related records. Safety reports, Reports 1904.4; GC actuarial studies. 34090 Page 22 of 22