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Home My WebLink About13-073 Resolution Approving Updated Records Retention ScheduleRESOLUTION 13 -073 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA ADOPTING THE UPDATED RECORDS RETENTION SCHEDULE WHEREAS, on the 3rd day of June, 2009, the City Council of the City of Saratoga approved a records retention schedule governing the retention of City records; WHEREAS, the schedule has been updated to more accurately reflect the contents, value, and variety of records created by the City of Saratoga; WHEREAS, staff consulted guidelines provided by the Secretary of State and referred to the records retention schedules of other cities to update the legal citations and retention requirements; and WHEREAS, the key updates are as follows: (1) created a City -wide "General Administration" section; (2) edited names and descriptions of record series; (3) reorganized or consolidated records series; (4) removed inapplicable record series; (5) added new record series; (6) changed record retention periods; and (7) edited citations. NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of Saratoga does hereby adopt the Updated Records Retention Schedule (Attachment A). The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 6t" day of November 2013 by the following vote: AYES: Mayor Jill Hunter, Vice Mayor Emily Lo, Council Member Howard Miller, Manny Cappello NOES: None ABSENT: Council Member Chuck Page ABSTAIN: None Jill Hunter, Mayor ATTEST: a DATE: I 1 ?j C al Bothelio, City Clerk CITY OF SARATOGA o� S A Rq� ��c Q 4 � }FO � B' 2013 Updated Records Retention Schedule City Manager's Office 11/6/2013 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. Key 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 authority. "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 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 Citation Abbreviations: CCP: Code of Civil Procedure CCR: Code of California Regulations GC: California Government Code H &S: California Health and Safety Code CEQA: California Environmental Quality Act CFR: Code of Federal Regulations EC: Election Code Vital (V). Historical (H). Confidential CCU: FMLA: Family and Medical Leave Act LC: Labor Code OMB: Office of Management & Budget OSHA: Occupational Safety & Health Act R &T: Revenue and Taxation Code UFC: Uniform Fire Code USC: United States Code 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. Page 1 of 26 Official Record Series Retention Citation V 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. Administrative Policies SU +5 GC 34090 Records 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 CU +2 GC 34090 calendars etc. that pertain to the general Records administrative activities and duties of the Department. Records related to membership or the activities of professional or industry associations of which the Association Files SU +2 GC 34090 City or City staff is a member or has a business interest. Bids, proposals, and records of request for Bids and Proposals, AU +S GC 34090; X qualifications and requests for proposals Successful CCP 337 regarding goods and services, where the proposal was selected by the City. Bids, proposals, and records of request for Bids and Proposals, CU +2 GC 34090 qualifications and requests for proposals Unsuccessful regarding goods and services. Unsuccessful proposals not selected by the City. Records related to complaints filed by the public Complaint Files CL +2 GC 34090 regarding the City's operations, activities, or policies. Does not include capital improvement projects. Contracts and CL +10 CCP 337, 343 X Includes leases, equipment, services or supplies. Agreements Official contract filed with the City Clerk. Contracts and Capital improvement projects. Includes GC 34090, specifications and plans, certificates of insurance, Agreements, Capital P H &S 19850 X insurance bonds, and scopes of work. Official Improvement Projects contract filed with the City Clerk. Delegation of Authority Records authorizing specified employees to sign - Signature P GC 34090 for and approve certain activities or documents Authorization Forms during the absence of the individual normally authorized to do so. Page 1 of 26 Page 2 of 26 Official Record Series Retention Citation V H C Description Records documenting receipt of items sent by Delivery Receipts CU +2 GC 34090 certified mail or hand delivered (e.g., appeals). General Subject Files/ Working documents and correspondence not in Correspondence CU +2 GC 34090(d) 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 documenting the anniversary of the city. Special or long -range program plans and goals Master Plans/ SU +2* GC 34090 X for the City, e.g., coordination of services. ( *Scan Strategic Plans into electronic repository before destroying.) Minutes, Meeting minutes, records associated with staff Administrative CU +2 GC 34090 meetings, not Council- related. Meetings 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 Publications and presentations to public groups by members of the Presentations SU +2* GC 34090 Council or City staff. Associated working files, such as graphics used in document creation, where applicable. ( *Scan into electronic repository before destroying . ) Documents published by outside organizations, Reference Files, CL +2 GC 34090 used for reference or research. Includes reports External Sources from external providers of services to the City and City residents. Reference Files, CL +2 GC 34090 City - generated files used as reference. Internal 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 Special Projects CU +2 GC 34090 the department. E.g., Tree - lighting ceremony project records. Page 2 of 26 Page 3 of 26 Official Record Series Retention Citation V 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 Account AU +5 GC 34090 transactional activity and month -to -month status Reconciliation of balance sheet accounts. Audit Work Papers AU +5 GC 34090 Back up documents and confirmation letters. GC 34090; 26 Records related to bank transactions including deposit of funds, bank statements, bank Banking Records AU +5 C F R 31.6001- reconciliations, disbursements, and wire fund 1 transfers. Bonds, revenue records relating to interest bearing certificates (negotiable instruments) Bond Documents CL +10 GC 34090; X issued by City to raise revenues, including CCP 337.5 certificates of participation and any non - discharged debt. GC 34090; Summary of all financial accounts. Records General Ledger P CCP 337 X relating to postings to the General Ledger. Community Development Block Grants and 24 CFR associated records: applications, reports, 570.502(b)(3) contracts, supporting documents. Grants, CDBG and CL +4 , 85.42; OMB X Urban Development Cir. A -102, A- 110, A -128, HUD regs Community Development Block Grants and Grants, CDBG - CL +2 GC 34090 associated records, where the application was not Unsuccessful successful and grant was not awarded. Grant information and documentation, including financial data, for all grants applied for by the City. Grants, Financial CL +5* GC 34090 X ( *Certain grants may have individual Records requirements. Refer to grant's close -out procedures.) Documentation of financial transactions entered Journal Entries AU +4 GC 34090 X into the general ledger. Page 3 of 26 Page 4 of 26 Official Record Series Retention Citation V 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 Accounts Payable delivery receipts and employee travel (check runs & check AU +4 GC 34090 X reimbursements, petty cash requests for registers) reimbursement, check requests, and expense 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 Purchase Order Files AU +4 GC 34090; X City to sellers or service providers, detailing CCP 337 products or services ordered, terms of sale, and payment agreement. Forms 1099, and W -9s filed for reporting GC 34090; 29 payments to vendors. Records relating to USC 436; IRS withholding orders on payments to instructors or Reg 31.6001- vendors from federal, state, or other agencies. Tax Records, Vendor AU +5 1(e)(2); R &T X X 19530;29 CFR 516.5- 516.6 ACCOUNTS RECEIVABLE Records related to accounting for money owed to Accounts Receivable AU +4 GC 34090 X the City, where the City sends out billing invoices. Includes false alarm cards. GC 34090, Original applications for business licenses Business License P Municipal X submitted to the City. Applications Code 4- 05.070 Business License T +4 GC 34090; X Business license renewal notice reports and Files CCP 337 business license issuance reports. GC 34090; Records related to payment received by the City. Cash Receipts AU +4 CCP 337 X Includes, cash, check, and credit card payments. Page 4 of 26 Page 5 of 26 Official Record Series Retention Citation V Description BUDGETS Annual operating and capital budget documents relating to internal planning and financial management. Includes budget vs. cost reports, Budgets, Adopted P GC 34090 X 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 Journal Entries changes in City revenue or expenditures. Budgets presented to City Council for approval. Budgets, Proposed CU +2 GC 34090 HUMAN RESOURCES 29 CFR May include enrollment application, release 1602.30 -32, authorizations, copies of proof of premium Benefits File: COBRA T +10 1627.3; 29 X X payment, if applicable. Files USC 1027; GC 34090 FMLA 1993 Records filed as part of a request for leave of US OSHA; 29 absence. May include application and applicable CFR 1910.20; medical records. Benefits File: Medical CL +30 29 X Leaves of Absence CFR1602.30. 32; 49 CFR 192 -9 GC 12946, PIERS and beneficiary documents. Benefits File: P 34090, 29 X X Retirement Plans CFR 1627.3(2) Forms 300 -A Annual Summary and 301 (workers Cal OSHA CU +5 8 CCR compensation injury reports) filed with Cal OSHA. 14300.33 Records of the activities and administration of the City Volunteer City's volunteer program, including all records Program Records T +2 GC 34090 X 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 (* If volunteer and not public employee, T = Worker Volunteer T +5* GC 3105(c), X X Termination of volunteer service; If volunteer is a Program Records (e) public employee, T = Termination of employment.) Authoritative manual of employee policies. Employee Handbooks (Personnel Rules and SU +2 GC 34090 X Policies) Page 5 of 26 Page 6 of 26 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 paperwork, certifications, Employees Personnel GC 34090; 29 performance appraisals, personnel action Files T +10 CFR 1602.30- X X changes - recorded on personal action forms 32, 1627.3 (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. GC34090; Applications submitted for existing or anticipated Employment CU +2 GC 12946; 29 job openings. (Mostly all electronic files on Applications CFR 1627.3 Calopps.org.) 1 -9 Form; proof of eligibility to work in the United 8 CFR States of America. 274a.2(b)(2)(i ); Immigration Reform /Contr Immigration T +3 of Act 1986 X X Pub. L 99 -603 (8 USC 1324a); GC 34090 GC 6410; 8 Workers Compensation records relating to Insurance, Workers CCR employee industrial claims history. Insurance Compensation P 15400.2(a); X administered through ABAG. LC 110 -139.6 29 USC Contracts, memorandum of understanding Negotiations P 211(c), X X (MOUs), correspondence, and official meeting 203(m), notes. 207(g) May include applications and resumes for those GC 12946; considered and /or selected for the position, GC 6250 et eligibility list, examination material and answer se 29 CFR q�' sheets, job announcements, written Position Recruitment CL +3 1602 seq.; X correspondence with candidates such as rejection 29 CFR R 1607; letters or invitations to the next phase of the 29 CFR 1627.3 process. Page 6 of 26 Page 7 of 26 Official Record Series Retention Citation V H C Description GC 12946, Includes classification salary range tables, 34090;29 classification studies and survey's. Note: Only the Salary Range Tables SU +2 CFR X X most current salary range tables and job and Job Descriptions 516.6(a)(2); descriptions are vital records. 29 CFR 1602.14 Training Records and AB 1825 (GC 12950.1); 2 Written records of which employees received Tuition CU +7 CCR 7288.0; X X training and the dates of all training sessions. Reimbursement GC 6250 et For sexual harassment training, the name of the Program training provider. seq. GC 12946, All documented claims submitted by former 34090;29 employees for unemployment compensation. Unemployment USC 1027, Records may include: claim records, notices, Insurance Claim T +6 1113; 29 CFR X reports, records generated by the appeal of claim Records 1602 et seq., determinations. 516.2 INFORMATION TECHNOLOGY Records regarding activities to maintain and ensure continued operation of computer systems Computer System SU +5 GC 34090 X X and applications. Checklists and special requests Administration 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 E -Mail Archives CU +3 GC 34090 X specific retention 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 CCP 337.2 to the 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 the City. Includes software registrations and Software Application SU +2 GC 34090 X records related to the maintenance of software Files applications. Licenses, authorization codes and certificates for support services. Page 7 of 26 Page 8 of 26 Official Record Series Retention Citation V Description PAYROLL Reports and payment records by pay period. Deferred GC 34090; 26 Employee contributions and City payments to Compensation T +5 CFR 31.6001- X X deferred compensation plan 457. Records 1; 29 CFR 1627.3(2) Records relating to individual employees, GC 34090; 29 including new hire, termination, salary, benefits, CFR 516.2, deductions, employee benefit enrollment forms, 516.5- 516.6; direct deposit authorization, W -4, DE -4, and Employee Payroll IRS Reg employee authorizations for deductions. Includes Files T +6 31.6001- X X withholding orders on employees. 1(e)(2); 29 USC 436; R &T 19530 Timesheets, signed by employee, supervisor, and GC 34090; 29 department head, for audit and FEMA Reports. CFR 516.2; Includes applicable sign attachments: requests for Payroll - Employee 20 CFR time off, overtime authorization. Timesheets (Bi- weekly AU +6 516.6(1); IRS X X pay run) Reg. 31.6001 1(e)(2); R &T 19530; LC 1174(d) Payroll - Organization GC 34090, Bi- weekly reports listing City costs by employee Reports P 37207 X and program. Salary, benefits, and deduction information, filed GC 34090, by pay period. Monthly, quarterly, fiscal year and 37207;22 calendar year reports. Records including CCR 1085 -2; garnishments, adjustments, and PERS (Public Payroll Registers P 29 CFR X X Employee Retirement System) deductions. 516.2, 516.6, 516.6; 26 CFR 31.6001- 1; LC 1174(d) Report to CalPERS detailing employee salary GC34090; information and retirement contributions by pay CAC 22 -1085 period. Reports list a group of employees, not 2; 26 CFR one report per employee. PERS Payroll Reports P 31.6001 -1; 29 X X CFR 516.5- 516.6, LC1174(d) Page 8 of 26 Page 9 of 26 Official Record Series Retention Citation V Description GC 34090; 26 Medical, dental, vision, life, disability, CFR 16001 -1; supplemental insurances. Reports list a group of Premium Billings P 29 CFR X X employees, not one report per employee. 1627.3(a), (b)(2) GC 34090; 29 Records relating to the maintenance of USC 436; 26 information about tax liabilities, withholding and CFR 31.6001- payment of taxes, records related to payment of 1; IRS REG State and Federal taxes including annual W -2 Quarterly & Calendar P 31.6001- X X Forms, and the quarterly and annual DE -9, DE- Year Tax Reporting 1(e)(2); R &T 9C, Form 941, DE -6, and DE -7 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 and the City's Annual Reports P GC 34090 X financial procedures. Includes: Single Audit reports; TDA Audit 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 Other Annual Reports P GC 34090 X Property Tax Levy Report; Annual SLESF /COP Report; Maintanence of Effort (MOE) - Public Safety; and Annual Possessory Interest Report. Reports mandated by the State Controller, Reports to the State P GC 34090 X detailing the City's revenues and expenditures for Controller purposes of funding: Annual Cities Report; and Streets Report. Treasurer's Report AU +5 GC 34090 Fund balances: total revenue versus total expenditures. (i.e., status update.) Page 9 of 26 Page 10 of 26 Official Record Series Retention Citation V 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 issued for events requiring a Special Permits, Special CL +2 GC 34090 Event Permit, Group Use Permit, or Block Party Events Permit. CITY CLERK Agency Report of Fair Political Practices Commission (FPPC) Form Public Offical SU +2 GC 34090 806. Appointments Original agendas and special meeting notices, including certificates of posting, original summaries, original communications and action Agendas, City Council CU +2* GC 34090 agendas for City Council. Agenda packets, including staff reports and attachments. ( *Scan into electronic repository before destroying.) Applications, Citizen applications for vacancies on City Commissions and commissions or committees, where the applicant Committees - Not CL +2 GC 34090 was not selected. Selected Applications, Citizen applications for vacancies on City Commissions and GC 34090, commissions or committees, where the applicant Committees - T +5 40801 was selected to fill the position. Selected Records of the appointment of an individual to fill Appointments to the a vacant Council seat and serve out the term of a Council P GC 34090 X Councilmember who is unable to complete his or her term. City copy of documents filed with State, establishing incorporation of City and the Articles of GC34090; boundaries thereof. Includes resolutions of the Incorporation P CCP337.2 X X Santa Clara County Board of supervisors and any other records relating to the incorporation of the City. Original documentation of assessment districts in Assessment Districts P GC 34090 X City. Page 10 of 26 Page 11 of 26 Official Record Series Retention Citation V H C Description Material provided to City Council from members of the public, relating to agendized or non - agendized items, for consideration at any noticed Communications from meeting of the City Council. Retained as part of the Public at Council CU +2* GC 34090 the official City agenda packet for the meeting to Meetings which it pertains. ( *Scan into electronic repository before destroying . ) Council Administrative T +2 GC 34090 X Records relating to Council members, current Files contact information, biographies, etc. GC 34090(d), Formal expression of the will, opinion and intent Council Resolutions P 40801 X X voted by the City Council and legislative -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. 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 CC 343, 349 Records related to legal advertising required for Legal Advertising CU +4 et seq.; GC public hearings. Includes proof of publication 911.2, 34090 notices. Lobbyist Reporting Forms filed with the State regarding City's lobbyist *Scan Forms T +2* GC 34090 consultants. ( into electronic repository before destroying.) Meetings, Video Video recordings of City Council meetings. Recordings P GC 34090.7 X Provides a record of legislative history and intent. Records regarding meeting minutes, resolutions, Minutes, Council P GC 34090(d), X X actions and decisions of the City Council. Meetings 36814, 40801 Municipal Code P GC 34090 X The City's Municipal Code, with supplements and changes included. Regulations enacted by council action and related GC 34090(d), records. Certificate of Ordinance Adoption — Ordinances P 40806 X X States when the ordinance was adopted and when /how the ordinance was legally advertised. Petitions CU +2 GC 50115, Petitions submitted to the City Council. 34090 Proof of Service For official documents sent by the City: Legal Forms CL +2 GC 34090 forms confirming their delivery either by hand or through Certified Mail. Page 11 of 26 Page 12 of 26 Official Record Series Retention Citation V Description Archived communications (written, voice, or digital) from the public on City matters, not Public Comments and CU +3 GC 34090 included in Council meeting minutes. Includes Correspondence official responses from Mayor, City Council, or City Manager. Records reflecting Public Record Act (PRA) and Public Record CL +2 GC 34090 X Freedom of Information Act (FOIA) requests and Requests material sent in response to same. Documents certifying (confirming) the destruction of official records that have been approved for Records Destruction destruction. The certification attests to the fact Approvals & P GC 34090 that destruction was accomplished in accordance Certificates with applicable procedures. Recorded 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 Records Inventory CU +2 OPS Atty. X holdings and location, indices. Gen. 106 Records regarding the management of City Records Management CL +2 GC 34090 records, including records maintenance and Files transfer records. Does not include the retention schedule or destruction certificates. The document that lists each record series and Records Retention SU +4 CCP 343 X X the associated retention times, characteristics, Schedules responsible division, and legal citations, if applicable. Form 700 detailing financial assets and investments that might create a conflict of interest Statements of GC 81009(e), for individuals required to file a Form 700 as Economic Interest CU +7 (f); 82006; noted in the City's Conflict of Interest Code, such 87200 et seq. as the City Council, City Manager, Commissioners, and other City staff. ELECTIONS* _*_Please note that elections are administered by the Santa Clara County Registrar of Voters. The City does not handle or retain ballots or voter re itration. Initiative, referendum, and recall records, Initiatives, Ballot GC 34090, including petitions, arguments, rebuttals for Measures, P 34458 - 34460; X measures, and impartial analysis. Referendum EC 17200, 17400 FPPC Filings, including forms 410, 460, 496, and 497, which provide a record of candidate or Campaign Disclosure P GC 81009 committees' campaign finance activities during a (b) (g) campaign. Also includes cadidate intention statements, Form 501. Page 12 of 26 Page 13 of 26 Official Record Series Retention Citation V Description Original reports and statements, records used to Certificates of Election T +4* GC8(dO) 9(a), certify election results. ( *Scan into electronic repository before destroying . ) History of elections: sample ballots, certificates of History P GC 34090 X election, staff reports, and resolutions regarding elections. Nomination paper and other election documents such as, Form 700, Candidate Information EC 17100(a), Request Forms, Candidate Statements of 17300 et Qualification, Foreign Language Given Name Nomination Paper and seq., 20442; Translation Forms, Declarations of Intent to Install Election Documents - P GC 34090, Temporary Political Signs, and Fair Campaign Elected 8 ), (006, Practices Signature Forms. (f), 82 (f), 82 , 87200 et seq. Nomination paper and other election documents such as, Form 700, Candidate Information EC 17100(a), Request Forms, Candidate Statements of 17300 et Qualification, Foreign Language Given Name Nomination Paper and seq., 20442; Translation Forms, Declarations of Intent to Install Election Documents - E +5 GC 34090, Temporary Political Signs, and Fair Campaign Not Elected 81009(b), (e), Practices Signature Forms. (f), 82006, 87200 et seq. Oath of office forms filled out by elected officials Oaths of Office T +6* GC 34090; 29 and certified by the City Clerk. ( *Scan into USC 1113 electronic repository before destroying.) EMERGENCY SERVICES Emergency The City's plan for preparing for and handling a Operations Plan SU +2 GC 34090 X variety of disasters and emergency situations. Records documenting the City's long -term recovery efforts after a disaster or emergency. Emergency Recovery CU +25 GC 34090 X Includes records relating to City collaboration with Records County, State or Federal agencies, and non - profit organizations. Docments go to FEMA. Records detailing the work of formal City volunteers, spontaneous volunteers, and City staff Emergency Response CU +25 GC 34090 X during a declared emergency. Also includes Records records documenting activities of emergency operations center (EOC). Documents go to FEMA. Page 13 of 26 Page 14 of 26 Official Record Series Retention Citation V H C Description Documents related to grants awarded for emergency preparedness efforts. Including Grant Records and applications, agreements, progress and financial Agreements, CL +10 GC 34090 X reports and compliance paperwork. Primarily Emergency Homeland Security grants. ( *Certain grants may Preparedness have individual requirements. Refer to grant's close -out procedures.) Grant Records, CL +2 GC 34090 I I I Emergency preparedness grants applied for by Unsuccessful the City, where the grant was not awarded. 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 that are filed in court, notorized, or 42 USC 1983; authorized. Includes petitions, complaints, subpoenas (where the City is a party to the case), Case Records, Formal P GC 6254, reply briefs, opening briefs, settlement 34090 agreements, filed pleadings, court documents. Does not include internal memoranda or correspondence with opposing side. Supporting case documentation including notes, drafts, correspondence, proposed drafts of Case Records, CL +7 42 USC 1983; settlement agreements, and other less formal or Informal GC 34090 non - signed records. Le., everything not included in Case Records, Formal. Grand Jury Reports CU +10 GC 34090, X Reports received from Santa Clara County Civil and City Responses 6276.22 Grand Jury, and City responses. GC 34090, Written legal opinions resulting from research on Opinions SU +2 6254 X a given topic. (i.e., Research memoranda.) 42 USC 1983; Court ordered requests to the City for documents Subpoenas CL +7 GC 34090 or witnesses, where the City is not a party to the case. PROPERTY Records relating to abandonment, condemnation, Abandonments P GC 34090(a) X and demolition of City -owned buildings. Acquisitions/ GC 34090(a); Supporting documents regarding the sale, Dispositions P GC 6254 X purchase, exchange, lease or rental of property by the City for more than one year. Page 14 of 26 Record Series Official Retention Citation V Description Real estate appraisals relating to potential GC 34090; acquisition of property by the City. Exempt from Appraisals CL +2 GC 6254(h) X X disclosure until final acquisition is made, or until contract agreement is obtained. Title deeds and other records establishing City GC 34090(a); ownership of property. 24 CFR Deeds and P 570.502(b)(3) X Promissory Notes 24 CFR 8.42 & OMB Circ. SA -110 Page 15 of 26 Page 16 of 26 Official Record Series Retention Citation V 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, including certificates of posting, original Commissions & CU +2* GC 34090 X summaries, original communications and action Committees agendas. ( *Scan into electronic repository before destroying.) Agenda packets prepared for commissions and Agenda Packets, committees, including staff reports. ( *Scan into Commissions & CU +2* GC 34090 X electronic repository before destroying.) Committees Material provided to commissions and committees from members of the public, relating to agendized or non - agendized items, for Communications from consideration at any noticed meeting of the the Public at CU +2* GC 34090 X commission or committee. Retained as part of Commission Meetings the agenda packet for the meeting to which it pertains. ( *Scan into electronic repository before destroying.) Video recordings of commission and committee Meetings, Video P GC 34090 X meetings. Provides a record of legislative history Recordings and intent. Minutes, Commissions GC 34090, Meeting minutes, records associated with & Committees P 36814, 40801 X X meetings of commissions and committees, including Council committees. Resolutions generated by commissions or Resolutions P GC 34090(e) X committees. Includes approval or disapproval of planning projects, etc. Page 16 of 26 Page 17 of 26 Official Record Series Retention Citation V 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, signs, grading, encroachment, including GC 34090(a); blueprints and specifications. Approval to Building Permit Files P H &S 19850, X construct or renovate property. Includes 4003, 4004 structural calculations and soil and geotechnical reports as needed; and inspection records. GC 34090; National Electrical Code, Uniform Building, Fire, Code Books SU +3 CCP 340.5 X Mechanical, Plumbing, etc. Includes supplements. House Numbers P GC 34090(a) X Address assignments /changes. CODE COMPLIANCE Records of City - handled code violations relating Abandoned Vehicles CL +2 GC 34090(d) to abandoned vehicles. Does not include cases handled by Sheriffs office. Alarm Permits SU +2 GC 34090 Security alarm permits for homes or businesses located in the City. Permits, Animal CL +2 GC 34090 Horse and kennel permits issued by the City, associated documentation. Permits issued by the City required for Permits, Massage establishing, managing, or practicing at a Establishment/Practiti CL +2 GC 34090 massage establishment within City limits. oner Associated documentation. Permits issued by the City allowing an exception Permits, Noise CL +2 GC 34090 to the City's noise ordinance for the purposes of Exception construction or other approved activity. Associated documentation. Permits issued by the City allowing permit - holders Permits, Solicitor CL +2 GC 34090 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 17 of 26 Page 18 of 26 Official Record Series Retention Citation V Description PLANNING Reports, agreements, and public notices related Annexations P GC 34090(a) X to 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 P 337.1(a), X Agreements 337.15; 48 CFR 4.703 California Environmental Quality Act: Exemptions, Environmental Impact Report, mitigation Environmental Review GC 34090(a); monitoring, negative declaration, notices of (CEQA) Files P CEQA X completion and determination, comments, Guidelines 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 Elements the City. Includes sphere of influence. General Plan Records of proposed amendments to the General Amendments, P GC 34090 X Plan that have been approved. Approved General Plan GC 34090, Records of proposed amendments to the General Amendments, Denied CU +3 65103, 50110 X Plan that have been denied. Historic Preservation P GC 34090 X List of historic structures and landmarks within Inventory City limits. Special application required in addition to Heritage Resource planning application when applicant's proposed Alteration Applications CL +2 GC 34090 plans are alterations to a house or structure designated as historic or declared a heritage resource. Maps, Plans, GC 34090; Zoning, tentative subdivision, parcel, land use Drawings, Exhibits, P H &S 19850; X map, street names, specific plans. Included in Photos GC 34090.7 Project Files, Planning and Zoning. May include photographs, planning application, blueprints, drawings, maps, plans, reports (including arborist reports), evaluations, correspondence, use permits, variances, studies, Project Files, Planning GC 349 appeals, compliance certificates, public notices, and Zoning P 1 850); X documents confirming delivery of public notices, 4003, 4 4004 004 400 conditions of approval, lot line adjustments, or other planning - related matters. Project specific records that pertain to real property. Records of security deposits provided to the City Security Bonds and CL +2 GC 34090 for certain projects, guaranteeing that the projects Deposits will follow specific guidelines. Includes tree deposits. Page 18 of 26 Page 19 of 26 Official Record Series Retention Citation V Description Tree removal permit applications and Tree Removal Permit CU +2* GC 34090; photographs. ( *Scan into electronic repository Applications H &S 19850 before destroying . ) Page 19 of 26 Page 20 of 26 Official Record Series Retention Citation V 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 Quality Permits SU +7 CCP 338(k) Air Quality Management District, allowing usage of City's gasoline refueling station. Hazardous Materials 8 CCR Trainings materials and records regarding the SU +2 3204(d) et. handling of hazardous materials. Training Files Seq. Hazardous Waste CAL OSHA; Documentation regarding the handling and CU +10 40 CFR disposal of hazardous waste. Disposal Records 122.21 8 CCR 3204, Records relating to the description, use, and safe Material Safety Data P 5194(b)(5)(1)( handling of hazardous substances. Sheets (MSDS) 2) Signage L +2 GC 34090 Log books, index register cards, inventory lists, records of traffic signs. Underground Storage Documents related to underground storage tanks Tanks, Compliance P GC 34090 and compliance with regulations. Underground Storage Location, installation, removal, remediation. Tanks, Maintenance P GC 34090 and Operation Vendor Files AU +4 GC 34090 Invoices and copies of purchase orders by vendor. Work orders received from Traffic Safety Work Orders CU +2 GC 34090 Committee, the public, and upper management. ENGINEERING Map and description of benchmarks - elevation Benchmark Data P GC 34090(a) points. Four -page document unlikely to ever change. Certificates of bonds insuring City projects. Bonds, Insurance P CCP 337.21 X Includes material bonds and work performance 343 bonds. Incorporated into contract. Bridge and Overpass L +4 I GC 34090 X State reports on status of bridges and overpasses Reports in the City. Page 20 of 26 Page 21 of 26 Official Record Series Retention Citation V H C Description Capital Improvement Public projects carried out by the City. Includes Projects P GC 34090 X plans, permits, and supporting documentation. Records of projects for residents or businesses in which City receives a deposit from applicant, arranges for various surveys and studies to be Deposit Account P CCP 337; GC performed by approved consultants, including city Projects 34090 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 Drawings P GC 34090 site map, plan, and specifications, traffic control plans. Included in Capital Improvement Projects and Deposit Account Projects. 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 GC 34090(a); monitoring, negative declaration, notices of Environmental Review P CEQA X completion and determination, comments, (CEQA) Files guidelines statements of overriding considerations. Often included in Capital Improvement Project Files. For subdivisions, filed in Deposit Account file. Environmental Review Correspondence, consultants, issues, - Supporting CL +2 GC 34090(d) conservation. Documentation Grants applied for by the City for funding capital improvement projects. Includes applications, Grants, Federal and reports, contracts, supporting documents. State CL +5* GC 34090 X Included in Capitla Improvement Project Files. ( *Certain grants may have individual requirements. Refer to grant's close -out procedures.) Grants, Unsuccessful CL +2 GC 34090 Grants applied for by the City for funding projects, where the grant was not successful. Paper maps of fire hydrants, lighting districts, wheel chair ramps, storm drains, streets, Maps and Plats P GC 34090 X sidewalks, sewers, etc. Includes survey maps (Record of Survey). Plats of City property lines and parcels. Page 21 of 26 Page 22 of 26 Official Record Series Retention Citation V Description National Pollutant Discharge Elimination System 40 CFR permit booklet describing Clean Water Act NPDES Permit Books P 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 +5 122.410)(2) National Pollutant Discharge Elimination System permit. Permits issued by City to residents or Permits, organizations allowing improvements along City - Encroachment - P GC 34090 X owned property or roads, e.g., for driveway Issued by City alterations or underground utility trenches. Permits, Encroachment permits issued to the City, e.g. for Encroachment - From P GC 34090 X maintenance along Highway 9 or Big Basin Road. External Entities Included in Capital Improvement Project Files. Permits, Oversize CL +2 GC 34090 Permits issued by City allowing transportation of Load 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 Special Districts P GC 34090(a) made by city residents toward landscape and lighting districts. Standards and City standards and specifications for projects that Specifications SU +2 GC 34090 impact roadways, infrastructure, or storm drains. Logs, drawings, wiring diagrams, codes, circuit numbers, installation records, testing, and maintenance records. Siemens produces and Traffic Signals L +4 GC 34090 X maintains these files. City may have copies of particular reports incorporated in Capital Improvement Projects file. PARKS Drawings, specifications, photos, and reports for Landscape Records CU +2 GC 34090 lighting and landscaping districts. Maintenance/ CU +2 GC 34090 Copies of invoices held for reference for future Operations contracts. Maps P GC 34090 Irrigation, plot plans. Pest and Weed 3 CCR Copies of monthly reports sent to state Control - Agricultural P 6624(g); GC Department of Agriculture. Reports list the type of Use Reports 34090 pesticide, amount used, for what purpose, and acreage applied to. Pesticide/ Herbicide 3 CCR Internal records of pesticide and herbicide use by Use Reports P 6624(g); GC park and employee. 34090 Plaques P GC 34090 X Records of plaques in the City. Includes tree and bench dedication plaques. Page 22 of 26 Page 23 of 26 Official Record Series Retention Citation V Description Reports, Playground CL +2 GC 34090 Monthly inspection reports on the safety of Safety playground equipment in City parks Sports Organization SU +2 CCP 337 1 Payment records relating to field rentals by sports Agreements I I jorganizations. STREETS AND FLEET Meter readings, fuel consumption reports, Fueling AU +3 CCP 337 invoices, receipts and records pertaining to refueling of City vehicles. Inventory, Equipment L +2 GC 34090 X Includes vehicles and related documentation regarding repairs. Owner's manual, warranty documents, Inventory, Vehicle L +2 GC 34090 X Department of Motor Vehicle title and registration, Ownership and Title and related documents. Forms and related documents related to licenses Licenses and Permits L +2 GC 34090 X and 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. Vehicle Inspection CU +3 GC 34090 Records related to monthly inspection and Records certification of fleet vehicles. Page 23 of 26 Page 24 of 26 Official Record Series Retention Citation V 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 Asbestos Records P GC 34090(a) Documents relating to abatement projects for city buildings. 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, Capital Improvements, 34090(a), construction, conversion or modification of City - Construction P 4004; H &S owned facilities, 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, Equipment Ownership L +3 GC 34090 warranties, and 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 projects. ( *Certain grants may have Grants, Federal and CL +S* GC 34090 X individual requirements. Refer to grant's close -out State procedures. Grants usually close when money is used and City receives a certificate of completion.) Grants, Unsuccessful CL +2 GC 34090 Grants applied for by the City to fund facilities projects, where the grant was not awarded. UFC 103.34, Certificates of inspection by fire department of fire Inspections, Fire CL +5 GC 34090 alarms and sprinkler systems in City -owned facilities. Page 24 of 26 Page 25 of 26 Official Record Series Retention Citation V H C Description Inspection Records, Records related to specialty inspection of Construction Specialty CL +5 GC 34090 construction activities to ensure compliance with specifications. Work orders and invoices relating to maintenance Maintenance Records CU +2 GC 34090(d) of 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 Status reports detailing current and recently - Projects CU +2 GC 34090 completed facilities projects and present status. Records of the precise details and description of Specifications and L +2 GC 34090 the service or project to be completed, or the item Plans to be ordered. Included in Project Files. RECREATION Quarterly Activity Guides listing all classes, Activity Guides SU +2* GC 34090 X camps, trips, events, etc. ( *Scan into electronic repository before destroying.) Bottom Line Reports CU +2 GC 34090 Reports generated quarterly to see bottom line of Recreation classes. Class Rosters CU +2 GC 34090 List of registered students in a class or program. CCP 337; GC Recreation instructor records including contracts, Instructor Applications T +4 12946; X applications, W -9 forms, and all contact and Contracts IRS.GOV information for all current Contract Instructors. Trip and class fliers, photographs of classes, Promotional Marketing CU +7 GC 34090 press releases, etc. Includes materials used in preparation of marketing materials. Registration forms for classes or programs, filled Registration Forms CU +2 GC 34090 X out 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 Health Forms trip participants. Page 25 of 26 Page 26 of 26 Official Record Series Retention Citation V Description RISK MANAGEMENT Copy of annual Memorandum of Coverage Association of Bay (MOC), declarations, and exclusions. ( *Hold onto Area Governments as long as claim files are held. Scan into (ABAG) Plan Liability CL +5* GC 34090 X electronic repository before destroying. ) Insurance Information and Documents Records regarding claims of wrongdoing by the City or its employees. Claims generally request compensation for damage or loss. Records Claim Files CL +5 GC 34090, X X include photographs taken by City employees or 25105.5 members of the public documenting claims, accidents, or incidents involving City property or employees. Evacuation drills, Safety Committee records and Employee Safety CU +10 GC 34090 minutes, Safety Inspection Reports, Injury Illness Information Prevention Program records, and Safety Training. Insurance certificates issued by the City's insurance administrator. Insurance certificates Insurance Certificates T +5 GC 34090 X naming the City 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 Committee electronic repository before destroying.) OMB 1220- ABAG Plan reports related to City claims, loss Risk Management CL +S 0029; 29 CFR X runs, loss analysis and related records. Safety Reports 1904.4; GC reports, actuarial studies. 34090 Page 26 of 26