Agenda Packet — Hercules City Council, May 14, 2024

IMPORTANT NOTICE ABOUT PUBLIC COMMENTS AND MEETING

PARTICIPATION
Due to concerns with security of the Zoom format, effective October 10, 2023, Remote Public Comment will not be accepted. Public comment may be provided in-person or via email, as set forth below. Members of the public desiring to provide comments as a part of the meeting are encouraged to either submit written comments by 3:00 p.m. prior to the meeting or to attend the meeting in person.

How to Participate:

IN PERSON: Members of the public are invited to attend and participate in Person: City of Hercules Council Chambers, 111 Civic Drive, Hercules, CA. Fill out a public speaker card located on the side table and submit it to the City Clerk.

VIA ZOOM: At this time remote public comment is suspended and will not be accepted. To watch and listen only: Download the Zoom mobile app from the Apple Appstore or Google Play. If you are using a desktop computer, you can test your connection to Zoom by clicking here or go to: https://www.zoom.us/join. Zoom also allows you to join by phone at +1-669-900-6833.

Zoom Webinar ID: 853 6598 5956 Zoom Passcode: 871423
EMAIL: Public comments can also be submitted via email to [email protected]. Please note that emailed comments will not be read aloud by staff. Any public comments received up until 3:00 p.m. of the meeting date will be:

1. distributed to the Council before the meeting,

2. posted online for public inspection and

3. inserted into the meeting record.

As emails containing public meeting comments are part of the official record, note that personal contact information may be published if it is included with your email.
1 Tuesday, May 14, 2024
6:00 PM
City of Hercules
111 Civic Drive
Hercules, CA 94547
City Council
Mayor Dan Romero
Vice Mayor Dion Bailey
Council Member Alex Walker-Griffin
Council Member Chris Kelley
Council Member Tiffany Grimsley
Dante Hall, City Manager
Patrick Tang, City Attorney
Eibleis Melendez, City Clerk
Meeting Agenda
CLOSED SESSION - 6:00 P.M., REGULAR MEETING - 7:00 P.M.

In-Person in Council Chambers or to Listen only:

Zoom ID: 853 6598 5956
Zoom Passcode: 871423 Zoom Phone Number: 1-669-900-6833 2 May 14, 2024City Council Meeting Agenda
See last pages of agenda for information regarding meeting procedures To view webcast of meetings, live or on demand, go to the City's website at www.ci.hercules.ca.us I. CLOSED SESSION – CALL TO ORDER - ROLL CALL - 6:00 P.M.

II. PUBLIC COMMUNICATION - CLOSED SESSION ITEMS
III. CONVENE INTO CLOSED SESSION-
The Hercules City Council will meet in Closed Session regarding the following:

1. 22-852 Pursuant to Government Code Section 54957.6 Conference With Labor Negotiators - City Negotiators: Dante Hall, City Manager; Edwin Gato, Director of Finance; relative to the following employee groups:
a. Teamsters Local 315 Employee Organizations
b. Hercules Police Officers Association
c. Hercules Senior Manager Employee Group
d. Confidential Unrepresented Employee Group
e. Mid Management Employee Group
IV. REGULAR MEETING – CONVENE TO OPEN SESSION - ROLL CALL - 7:00 P.M.

V. REPORT ON ACTION TAKEN IN CLOSED SESSION
VI. PLEDGE OF ALLEGIANCE
VII. MOMENT OF SILENCE
VIII. INTRODUCTIONS/PRESENTATIONS/COMMISSION REPORTS
IX. AGENDA ADDITIONS/DELETIONS
X. PUBLIC COMMUNICATIONS
This time is reserved for members of the public to address issues not included in the agenda. In accordance with the Brown Act, Council will refer to staff any matters brought before them at this time, and those matters may be placed on a future agenda.

Individuals wishing to address the City Council are asked to complete a form indicating the name and address of the speaker and the general topic to be addressed. Speakers must make their comments from the podium and will be allowed 3 minutes to discuss their concerns. All public comments are recorded and become part of the public record. A limit of 30 minutes will be devoted to taking public comment at this point in the agenda. If any speakers remain at the conclusion of the initial 30 minute period, time will be reserved at the conclusion of the meeting to take the remaining comments.

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3 May 14, 2024City Council Meeting Agenda
XI. PUBLIC HEARINGS
XII. CONSENT CALENDAR

1. 22-847 Meeting Minutes for the Regular Meeting of April 23, 2024 Meeting Minutes for the Regular Meeting of April 23, 2024Attachments:

XIII. DISCUSSION AND/OR ACTION ITEMS

1. 22-848 Green Empowerment Zone Board Representative
RECOMMENDATION:

1. Receive a presentation from County staff on the Northern Waterfront Green Empowerment Zone (GEZ);

2. Ask any questions of City or County staff;

3. Take public comment; and

4. Approve a resolution appointing a Council Member to represent the City on the GEZ governing board.

Staff Report - Green Empowerment Zone Representative
Attach 1 - Resolution
Attach 2 - GEZ Invitation Letter
Attachments:

2. 22-846 Professional Services Agreement with Records Control Services Inc., in the amount of $38,145.91 for the Review and Update of the Cities Records Retention Schedule, Policy and File Management.

RECOMMENDATION:

Adopt
a Resolution approving a professional services agreement with Records Control Services in the amount of $38,145.91 for the Review and Update of the Cities Records Retention Schedule, Policy and File Management.

Staff Report - Review and Update of Records Retention Schedule and Policy Attach 1 - Resolution
Attach 2 - RCS Inc - Hercules Retention Schedule Updates & Record Review Proposal Attach 3 - 2018 Retention Schedule
Attach 4 - 2018 Records Management Program Manual
Attachments:

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4 May 14, 2024City Council Meeting Agenda

3. 22-851 Volunteer Recognition
RECOMMENDATION:

Staff recommends the City Council receive an update on Volunteer Recognition in the City of Hercules.

Staff Report - Hercules Volunteers
Attach 1 - Volunteer Recognition - Herculean Mile Nomination form & button on City website Attachments:

4. 22-849 Authorize Display of Pride Month Commemorative Flag RECOMMENDATION:

Approve Display of Commemorative Flag for the month of June - Pride Month
Staff Report - Pride Flag Display for Month of June 2024 Attach 1 - Flag Policy #16
Attachments:

5. 22-850 Authorize Display of Juneteenth Commemorative Flag RECOMMENDATION:

Approve the Display of the Juneteenth Commemorative Flag from June 14th through June 21st.

Staff Report - Juneteenth Flag Display 2024
Attach 1 - Flag Policy #16
Attachments:

XIV. PUBLIC COMMUNICATIONS
This time is reserved for members of the public who were unavailable to attend the Public Communications period during Section X of the meeting, or were unable to speak due to lack of time. The public speaker requirements specified in Section X of this Agenda apply to this Section.

XV. CITY COUNCIL/CITY MANAGER/CITY ATTORNEY ANNOUNCEMENTS,

COMMITTEE, SUB-COMMITTEE AND INTERGOVERNMENTAL COMMITTEE REPORTS

AND FUTURE AGENDA ITEMS
This is the time for brief announcements on issues of interest to the community. In accordance with the provisions of the Brown Act, matters which do not appear on this agenda but require City Council discussion may be either (a) referred to staff or other resources for factual information or (b) placed on a future meeting agenda.

1. Regional Committee

2. City Council Committees and Subcommittees

3. Commission Liaisons

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5 May 14, 2024City Council Meeting Agenda
XVI. ADJOURNMENT
The next Regular Meeting of the City Council will be held on Tuesday, May 28, 2024 at 7:00p.m. in the Council Chambers.

Agendas are posted in accordance with Government Code Section 54954.2(a) or Section 54956.

Members of the public can view electronic agendas and staff reports by accessing the City website at www.ci.hercules.ca.us and can receive e-mail notification of agenda and staff report postings by signing up to receive an e-notice from the City’s homepage. Agendas and staff reports may also be obtained by contacting the City Clerk at (510) 799-8200 (Posted: May 9, 2024)

INSTRUCTIONS ON HOW TO PARTICIPATE AND WATCH THE HERCULES CITY COUNCIL AND PLANNING

COMMISSION HYBRID MEETINGS
Attend in Person: Hercules City Council Chambers – 111 Civic Drive, Hercules, CA 94547 Attend via Zoom Teleconference: Details provided below and zoom webinar login, passcode and phone numbers provided on the agenda cover.

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6 May 14, 2024City Council Meeting Agenda
How to Submit Public Comments
In Person: Attend meeting at the Hercules City Council Chambers, fill out a public speaker card located on the side table and submit it to the City Clerk.

Via Zoom: At this time remote public comment is suspended and will not be accepted. To watch and listen only Download the Zoom mobile app from the Apple Appstore or Google Play. If you are using a desktop computer, you can test your connection to Zoom by clicking here or go to: https://www.zoom.us/join. Zoom also allows you to join by phone at +1-669-900-6833 or +1-929-205-6099 or +1-253-215-8782.

Written Comments Submitted Electronically: All comments received before 3:00 p.m. the day of the meeting will be provided to the City Council prior to the meeting and posted to the City’s agenda website and located by clicking on the “meeting details” tab. Written comments received after 3:00 p.m. will be provided to City Council and posted to the agenda website the following day. Written comments will not be read aloud during the meeting. Email comments to [email protected]. Please indicate which item on the agenda you are commenting on in the subject line of your email.

Written comments submitted in person or via mail: Additional ways to provide your public comment is to either drop off your comment in person to the front desk receptionist located in the City Hall lobby or to mail your comment to City of Hercules, ATTN: City Clerk – Public Comment (Meeting Date), 111 Civic Drive, Hercules, CA 94547 in time to reach the City Clerk no later than 3:00 p.m. on the day of the meeting or you can submit your comment by telephone by calling (510) 799-8208 no later than 3:00 p.m. on the meeting date.

If you need assistance with public comment, please contact: Eibleis Melendez City Clerk at [email protected] or by calling (510) 799-8208.

All public comments will become part of the official meeting record. As email containing public meeting comments are part of the official record, note that personal contact information may be published if it is included with your email. The City cannot guarantee that its network and/or the website will not be uninterrupted. To ensure that the City Council receives your written comments, you are strongly encouraged to submit your comments in writing in advance of the meeting by 3:00 p.m. on the day of the Council or Commission meeting.

OTHER WAYS TO WATCH THE MEETING
Live on Channel 28: City Council meetings will replay the following Thursday at 7:00 p.m. and Saturday at 1:00 p.m.

Planning Commission meetings will replay the following Wednesday at 7:00 p.m. and Saturday at 9:00 a.m.

Video Streamed Live on the City’s Website:

To view City Council and Planning Commission meeting videos online go to: Hercules Meeting Videos.

Instructions to view Live or On-Demand Videos from the City’s website:

1. Go to: Hercules Meeting Videos or https://hercules.legistar.com/calendar.aspx.

2. Locate the desired meeting and date.

3. Click the associated “Video” link (Video status is as follows):

Video = Video is available for on demand viewing.

In Progress = Video is available for viewing during live recording.

Not Available = Video is either unavailable or has not been recorded.

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7 May 14, 2024City Council Meeting Agenda

THE HERCULES CITY COUNCIL ADHERES TO THE FOLLOWING POLICIES,

PROCEDURES AND REGULATIONS REGARDING CITY COUNCIL MEETINGS

1. SPECIAL ACCOMMODATIONS: In compliance with the Americans with Disabilities Act, if you require special accommodations to participate at a City Council meeting, please contact the City Clerk at 510-799-8208 at least 48 hours prior to the meeting.

2. AGENDA ITEMS: Persons wishing to add an item to an agenda must submit the final written documentation 12 calendar days prior to the meeting. The City retains the discretion whether to add items to the agenda. Persons wishing to address the City Council otherwise may make comments during the Public Communication period of the meeting.

3. AGENDA POSTING: Agendas of regular City Council meetings are posted at least 72 hours prior to the meeting at City Hall, the Hercules Swim Center, Ohlone Child Care Center, and on the City’s website (www.ci.hercules.ca.us),

4. PUBLIC COMMUNICATION: Persons who wish to address the City Council should complete the speaker form prior to the Council's consideration of the item on the agenda.

Anyone who wishes to address the Council on a topic that is not on the agenda and is relevant to the Council should complete the speaker form prior to the start of the meeting. Speakers will be called upon during the Public Communication portion of the meeting. In accordance with the Brown Act, the City Council may not take action on items not listed on the agenda. The Council may refer to staff any matters brought before them at this time and those matters may be placed on a future agenda.

In the interests of conducting an orderly and efficient meeting, speakers will be limited to three (3) minutes.

Anyone may also submit written comments at any time before or during the meeting.

5. CONSENT CALENDAR: All matters listed under Consent Calendar are considered to be routine and will be enacted by one motion. There will be no separate discussion of these items unless requested by a member of the Council or a member of the public prior to the time the City Council votes on the motion to adopt.

6. LEGAL CHALLENGES: If you challenge a decision of the City Council in court, you may be limited to raising only those issues you or someone else raised at the meeting or in written correspondence delivered at, or prior to, the meeting. Actions challenging City Council decisions shall be subject to the time limitations contained in Code of Civil Procedure Section 1094.6.

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8 CONSENT CALENDAR

AGENDA ITEM

1. 22-847

9 111 Civic Drive
Hercules, CA 94547City of Hercules
Meeting Minutes
City Council
Mayor Dan Romero
Vice Mayor Dion Bailey
Council Member Alex Walker-Griffin
Council Member Chris Kelley
Council Member Tiffany Grimsley
Dante Hall, City Manager
Patrick Tang, City Attorney
Eibleis Melendez, City Clerk
Tuesday, April 23, 2024
SPECIAL MEETING 6:30 P.M., REGULAR MEETING 7:00 P.M.

In Council Chambers or To Watch or Listen: Zoom ID: 860 6334 7873 Zoom Passcode:
860718
Zoom Phone Number: 1-669-900-6833
I. SPECIAL MEETING – CALL TO ORDER - ROLL CALL - 6:30 P.M.

Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey

Present: 5 -
II. PUBLIC COMMUNICATION - SPECIAL MEETING ITEMS
NONE
III. COMMISSION INTERVIEWS

1. 22-843 COMMISSION INTERVIEW
RECOMMENDATION:

Interview eligible candidate for vacant Hercules Finance Commission seat.

Council Members interviewed one (1) candidate for the vacant seat on the Finance Commission.

IV. REGULAR MEETING – CONVENE TO OPEN SESSION - ROLL CALL - 7:00 P.M.

Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey

Present: 5 -
V. REPORT ON ACTION TAKEN IN CLOSED SESSION-

NO CLOSED SESSION
NONE
VI. PLEDGE OF ALLEGIANCE
The Pledge of Allegiance was lead by Council Member Walker-Griffin.

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22-847
10 April 23, 2024City Council Meeting Minutes
VII. MOMENT OF SILENCE
Mayor Romero held a Moment of Silence for Reverend Cecil Williams.

VIII. INTRODUCTIONS/PRESENTATIONS/COMMISSION REPORTS
Mayor Romero would like to acknowledge the following for the Month of May - Military Appreciation Month
Jewish American Heritage Month
Asian Pacific American Heritage Month
National Teacher Appreciation Day- May 7th
Peace Officer Memorial Day- May 15th
Municipal Clerks Week- May 5th-11th
National Police Week - May 12th-18th
Mayor Romero acknowledged the listed groups and days for the month of May.

IX. AGENDA ADDITIONS/DELETIONS
NONE
X. PUBLIC COMMUNICATIONS
NONE
This time is reserved for members of the public to address issues not included in the agenda. In accordance with the Brown Act, Council will refer to staff any matters brought before them at this time, and those matters may be placed on a future agenda.

XI. PUBLIC HEARINGS
NONE
XII. CONSENT CALENDAR
MOTION: A motion was made by Council Member Walker-Griffin, seconded by Council Member Kelley, to adopt the Consent Calendar. The motion carried by the following vote:

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -

1. 22-837
Meeting Minutes for the Regular Meeting of April 9, 2024

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11 April 23, 2024City Council Meeting Minutes
Meeting Minutes for the Regular Meeting of April 9, 2024Attachments:

APPROVED
XIII. DISCUSSION AND/OR ACTION ITEMS

1. 22-838 Commission and Committee Appointments
RECOMMENDATION:

Consider making an appointment to the Hercules Finance Commission for the start of a new two (2) year term and fill a vacant seat.

Staff Report - Finance Commission AppointmentAttachments:

City Manager, Dante Hall, introduced the item. City Clerk, Eibleis Melendez, took a roll call vote. The Council voted unanimously to appoint Cedric Whigham to the City's Finance Commission. Mr. Whigham will serve a two year term ending December 2025.

2. 22-844
1) Landscaping and Lighting Assessment Districts - Approval of Preliminary Engineer’s Reports and Declaring the City Council’s Intention to Levy and Collect Assessments for Fiscal Year 2024/25 2) Update on Proposition 218 timeline to notice and ballot property owners within the Victoria by the bay LLAD
RECOMMENDATION:

City staff is recommending City Council adopt the following resolutions:
a. A resolution for the preliminary approval of the Engineer’s Report and declaring the City Council’s intention to levy and collect assessments for Fiscal Year 2024/25 within the Citywide Landscaping and Lighting Assessment District No. 83-2, which is comprised of Benefit Zone Nos. 1, 2, 3&4, 5A, 5B, 5C, 6, 7, 8, 9, and 10, and setting a public hearing for June 25, 2024;
b. A resolution for the preliminary approval of the Engineer’s Report and declaring the City Council’s intention to levy and collect assessments for Fiscal Year 2024/25 within the Victoria by the Bay Landscaping and Lighting Assessment District No. 2002-1 and setting a public hearing for June 25, 2024;
c. A resolution for the preliminary approval of the Engineer’s Report and declaring the City Council’s intention to levy and collect assessments for Fiscal Year 2024/25 within the Hercules Village Landscaping and Lighting Assessment District No. 2002-2 and setting a public hearing for June 25, 2024;
d. A resolution for the preliminary approval of the Engineer’s Report and

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12 April 23, 2024City Council Meeting Minutes
declaring the City Council’s intention to levy and collect assessments for Fiscal Year 2024/25 within the Baywood Landscaping and Lighting Assessment District No. 2004-1 and setting a public hearing for June 25, 2024; and
e. A resolution for the preliminary approval of the Engineer’s Report and declaring the City Council’s intention to levy and collect assessments for Fiscal Year 2024/25 within the Bayside Landscaping and Lighting Assessment District No. 2005-1 and setting a public hearing for June 25, 2024.

Staff Report - FY 2024-25 LLAD ROI
Attach 1 - FY24-25 Citywide LL
Attach 2 - FY24-25 VBB L&L
Attach 3 - FY24-25 HV L&L
Attach 4 - FY24-25 Baywood LL
Attach 5 - FY24-25 Bayside L&L
Attach 6(a) - L832-2425 PER
Attach 6(b) - L2002-1-2425 PER
Attach 6(c) - L2002-2-2425 PER
Attach 6(d) - L041-2425 PER
Attach 6(e) - L051-2425 PER
Attach 7 - Draft LLAD Program Coordinator Job Description Attachments:

City Manager, Dante Hall, introduced the item. Public Works Director/ City Engineer, Mike Roberts, presented the item. Ed Espinoza from Francisco and Associates, attended via Zoom to answer any questions. Council Members asked questions and provided comment. Director Roberts, Mr.

Espinoza and City Manager Hall provided a response. No public comment.

The following action was taken on five resolutions.

MOTION: A motion was made by Council Member Kelley, seconded by Council Member Walker-Griffin, to adopt Resolution 24-024. The motion carried by the following vote:

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -
MOTION: A motion was made by Council Member Grimsley, seconded by Council Member Walker-Griffin, to adopt Resolution 24-025. The motion carried by the following vote:

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -
MOTION: A motion was made by Council Member Kelley, seconded by Council Member Grimsley, to adopt Resolution 24-026. The motion carried by the following vote:

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13 April 23, 2024City Council Meeting Minutes

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -
MOTION: A motion was made by Council Member Kelley, seconded by Vice Mayor Bailey, to adopt Resolution 24-027.The motion carried by the following vote:

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -
MOTION: A motion was made by Council Member Walker-Griffin seconded by Council Member Kelley, to adopt Resolution 24-028.The motion carried by the following vote:

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -

3. 22-839
Review and Approve of the Local Road Safety Plan
RECOMMENDATION:

City Council receive a presentation on the Local Road Safety Plan (LRSP), discuss, provide feedback if any, and adopt a resolution approving the LRSP which could occur at a future meeting if additional discussion or substantial revisions are needed.

Staff Report - Local Roads Safety Plan
Attach 1 - Resolution LRSP
Attach 2 - Draft Local Roadway Safety Plan
Presentation - Local Roadway Safety Plan
Attachments:

City Manager, Dante Hall, introduced the item. Public Works Director/ City Engineer, Mike Roberts, representative from Kittleson & Associates presented. Council asked questions and provided comment. Director Roberts and Kittleson & Associates provided a response. No public comment. Action was taken on this item.

MOTION: A motion was made by Vice Mayor Bailey, seconded by Council Member Kelley, to adopt Resolution 24-029. The motion carried by the following vote:

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -

4. 22-845
Report and Discussion on the Hercules Branding Project and Logo Concepts
RECOMMENDATION:

Staff recommends that City Council receives and files the Brand Research Summary and provides feedback on the logo concepts provided by ranking their top three preferences in number order (1, 2, and 3).

Staff Report - Hercules Branding Project
Attach 1 - Hercules Brand Research Summary
Attach 2 - Draft City Logo Concepts
Attachments:

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14 April 23, 2024City Council Meeting Minutes
City Manager, Dante Hall, Introduced the Item. Representatives from Tripepi Smith attended vi Zoom and presented. Council asked questions and provided comments. City Manager Hall and Tripepi Smith provided a response. No public comment. No action was taken on this item but feedback was provided on design examples.

5. 22-841
Budget Workshop: FY 24-25 City of Hercules Annual Proposed Budget RECOMMENDATION:

No action is required at this time. It is recommended that the City Council discuss and provide direction to staff regarding the proposed Fiscal Year (FY) 24-25 annual budget, specifically on the following:

1. Reorganization of Human Resources and Information Technology (IT) divisions.
a. Add Human Resources department and Director.
b. Reallocation of existing IT personnel from Administrative Services Department to the Finance Department.

2. Additional budget request and Attachment 1 describes the notable changes, along with the economic impact associated with each adjustment.

SR - Budget Workshop - FY 24-25 Proposed Annual Budget

04.23.2024
Attach 1 - List of Additional Budget Request
Attach 2 - Proposed General Fund - Summary
Attach 3 - Proposed General Fund - Expenditures by Category Attach 4 - Projected General Fund Ending Available Cash Balance Attach 5 - General Fund Five-Year Forecast
Attach 6 - Proposed Special Revenue Budget - Fund Summaries Attach 7 - Proposed Sewer Enterprise Budget - Fund Summaries Attach 8 - Proposed Internal Service Budget - Fund Summaries Attach 9 - Proposed Debt Service Budget - Fund Summaries Attach 10 - Proposed Capital Project Budget - Fund Summaries Attach 11 - Proposed Capital Improvement Projects - Spending Plan & Funding Sources
Presentation
Attachments:

City Manager, Dante Hall, introduced the item. Finance Director, Edwin Gato, presented. Council asked questions and provided comment.

Director Gato, City Manager Hall and Director Roberts provided a response. No public comment. No action was taken on this item.

6. 22-842
Metropolitan Transportation Commission Transit-Oriented Communities Policy - Discussion of Compliance Options
RECOMMENDATION:

Receive a report on the options to comply with the Metropolitan Transportation Commission (MTC) Transit-Oriented Communities (TOC)

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15 April 23, 2024City Council Meeting Minutes
policy and provide staff with direction on which compliance policies the City would like to pursue or investigate further.

Staff Report - TOC Compliance Options
Attach 1 - Half-Mile Map
Attach 2 - TOC Policy Options - Spreadsheet
Attach 3 - MTC-TOC Policy Overview
Presentation
Attachments:

City Manager, Dante Hall, introduced the item. Community Director, Tim Rood, presented. Council asked questions and provided comment.

Director Rood provided a response. No public comment. No action was taken on this item.

7. 22-840
Military Equipment Use and Acquisition
RECOMMENDATION:

Annual Approval of Hercules Police Department military equipment inventory and usage per policy section 709 in conformance with the requirements of California Assembly Bill 481; Military Equipment Funding, Acquisition, and Use (attached).

Staff Report - Military Equipment 2023
Attach 1 - Policy Section 709
Attach 2 - Annual Military Equipment Report 2023
Attach 3 - AB481
Attach 4 - 537 - Ordinance - Military Equipment
Presentation - Military Equipment 2023
Attachments:

Police Chief, Joseph Vasquez, introduced and presented the item.

Council asked questions and provided comment. Chief Vasquez provided a response. No public comment. Action was taken on this item.

MOTION: A motion was made by Vice Mayor Bailey, seconded by Council Member Kelley, to approve the Military Equipment Inventory and Use. The motion carried by the following vote:

Aye: Council Member C. Kelley, Council Member T. Grimsley, Council Member A.

Walker-Griffin, Mayor D. Romero, and Vice Mayor D. Bailey 5 -
XIV. PUBLIC COMMUNICATIONS
NONE
This time is reserved for members of the public who were unavailable to attend the Public Communications period during Section X of the meeting, or were unable to speak due to lack of time. The public speaker requirements specified in Section X of this Agenda apply to this Section.

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16 April 23, 2024City Council Meeting Minutes
XV. CITY COUNCIL/CITY MANAGER/CITY ATTORNEY ANNOUNCEMENTS,

COMMITTEE, SUB-COMMITTEE AND INTERGOVERNMENTAL COMMITTEE REPORTS

1. Regional Committee

2. City Council Committees and Subcommittees

3. Commission Liaisons
City Manager, Dante Hall, and City Attorney, Patrick Tang, had no announcements.

1. Regional Committee
Council Member Kelley reported out on the Contra Costa Transportation Authority(CCTA) board meeting.

2. City Council Committees and Subcommittees
No reports were provided

3. Commission Liaisons
No reports were provided
Community Events -
Council Member Kelley and Mayor Romeo attended the annual Bio-Rad Stockholder meeting.

Future Agenda Item Requests -
No future agenda item request were made

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XVI. ADJOURNMENT
Mayor Romero adjourned the meeting at 10:31 P.M.
_________________________________
Dan Romero, Mayor
Attest:
_______________________________
Eibleis Melendez, City Clerk

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18 DISCUSSION AND/OR ACTION

AGENDA ITEMS

1. 22-84
8 2. 22-846

3. 22-851

4. 22-849

5. 22-850
19 STAFF REPORT TO THE CITY COUNCIL
DATE: Regular Meeting of May 14, 2024
TO: Mayor and Members of the City Council
VIA: Dante Hall, City Manager
SUBMITTED BY: Tim Rood, Community Development Director SUBJECT: Green Empowerment Zone Board Representative
RECOMMENDED ACTION:

1. Receive a presentation from County staff on the Northern Waterfront Green Empowerment Zone (GEZ);

2. Ask any questions of City or County staff;

3. Take public comment; and

4. Approve a resolution appointing a Council Member and an alternate to represent the City on the GEZ governing board.

BACKGROUND:

In 2021 the Governor signed AB 844 (Grayson), which authorized the establishment of the Green Empowerment Zone (or “GEZ,”) for the Northern Waterfront Area of Contra Costa County and a por tion of Solano County, Vallejo, and Benicia. The Green Empowerment Zone builds upon the comparative advantage provided by the regional concentration of highly skilled energy industry workers by prioritizing access to tax incentives, grants, loan programs, workforce training programs, and private sector investment in the renewable energy sector.

On September 12, 2023, the Board of Supervisors of Contra Costa County authorized an agreement with the Governor’s Office of Business and Economic Development (GO-Biz) in an amount not to exceed $5,000,000 to be used to provide administrative and other support services for the Green Empowerment Zone consistent with the State legislation AB 179, the Budget Act of 2022. The term of this Agreement is Ju ly 1, 2023 – June 30, 2026.
22-848
20 The Governing Board of the Green Empowerment Zone had its first meeting on December 7, 2023. As Assemblymember Tim Grayson acknowledged at the meeting, the Bay Area is home to the second largest oil refining center on the west coast, and thousands of high -paying union jobs. Considering the State’s commitment to carbon neutrality, it was impera tive that there be an opera tional infrastructure to support the workforce in the transition into the next era of the energy economy. The goal of the GEZ is to establish a framework to ensure the transition to clean energy does not leave behind workers and ensures that the area remains a hub of the energy sector for years to come.

Related Programs
There is an existing landscape of programs, initiatives, and grant funding that are related to the Green Empowerment Zone and its enabling legislation. There are various programs and initiatives and grant funding that are already underway within the geography of the Green Empowerment Zone.

The C ounty has two existing and complementary initiatives and grant funding — the Northern Waterfront Economic Development Initiative, and the Just Transition Economic Revitalization Plan —that are related to the Green Empowerment Zone and that are described below.

 The Northern Waterfront Economic Development Initiative The Northern Waterfront Economic Development Initiative is a regional cluster - based economic development strategy with a goal of creating 18,000 new jobs by 2035. The Initiative leverages existing competitive advantages and assets by focusing on five targeted clusters (advanced transportation, advanced manufacturing, biomedical/biotech, ag tech & food processing, and clean tech).

The initiative has an opportunity to change health, education, and ec onomic outcomes in Contra Costa County for all residents of the Northern Waterfront communities, as described in the framework for community development. The hallmark of this initiative is the collaboration among the County and seven partner cities to enhance the economic vitality of the region.

 The Just Transition Economic Revitalization Plan
The County submitted a signed Agreement with the U.S. Department of Housing and Urban Development in July 2023 for a $750,000 Community Project Funding Grant to fund the development of a Just Transition Economic Revitalization Plan (JTERP). The JTERP is a plan for transitioning away from an economy that is dependent on fossil fuels to a zero -emission and clean and green economy, and a plan for improving the health, s afety, infrastructure, and job opportunities of residents in communities most impacted by the environmental burdens of the climate crisis. The County is committed to providing meaningful opportunities for sustained input from the community, with a special focus on highly impacted Environmental Justice communities, and workers, especially impacted workers. 21 The community engagement will include a JTERP Advisory Table, which includes Sustainability Committee member(s), labor/impacted workers, environmental and frontline environmental justice community representatives, local government, business/industry, workforce development and training entities, the education sector, and academic partners. At the end of 2023, staff prepared a request for proposal for consultants who will provide assistance with community engagement, economic analyses, and other specialized studies on other topics related to the JTERP.

 The Contra Costa Refinery Transition Partnership is an existing research effort funded by the California Workforce Development Board, led by the BlueGreen Alliance, that is planning for a refinery transition in Contra Costa County.

ANALYSIS:

Contra Costa County has invited the City of Hercules to par ticipate in the Green Empowerment Zone (GEZ) for the Northern Waterfront Area of Contra Costa County as established by Assembly Bill 844 (Attachment 2).

The GEZ bylaws adopted in December 2023 provide that each of the Northern Waterfront cities, including Hercules, may appoint a representative to the GEZ governing board. The board meets on the third Friday of every other month in Martinez, with the remaining 2024 meetings scheduled for 9:30 am on April 19, June 21, August 16, October 18, and December 20.

The Council may wish to appoint both a representative and an alternate, as it typically does for regional bodies.

Alyson Greenlee, Economic Development Manager for Contra Costa County, will be available for questions.

FISCAL IMPACT:

There is no fiscal impact associated with this action.

ATTACHMENTS:

Attach 1 – Resolution
Attach 2 – Invitation letter from Contra Costa County

22 RESOLUTION NO. ____

A RESOLUTION OF THE HERCULES CITY COUNCIL AUTHORIZING THE CITY TO

PARTICIPATE IN THE GREEN EMPOWERMENT ZONE FOR THE NORTHERN

WATERFRONT AREA OF THE COUNTY OF CONTRA COSTA

WHEREAS, Assembly Bill 844 authorized the establishment of the Green Empowerment Zone for the Northern Waterfront area of the County of Contra Costa, and WHEREAS, the purpose of the Green Empowerment Zone is to build upon the comparative advantage provided by the regional concentration of highly skilled energy industry workers by prioritizing access to tax incentives, grants, loan programs, workforce training programs, and private investment in the renewable energy sector, and

WHEREAS, the geography of the Green Empowerment Zone extends to the territories of the cities of Antioch, Benicia, Brentwood, Concord, Hercules, Martinez, Oakley, Pittsburg, and Vallejo, and the unincorporated areas of the County of Contra Costa north of State Highway 4, and

WHEREAS, Government Code section 7599.100 authorizes the cities of Antioch, Benicia, Brentwood, Concord, Hercules, Martinez, Oakley, Pittsburg, and Vallejo to participate in the Green Empowerment Zone upon the adoption of a resolution by the legislative body of each city.

NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Hercules as follows:

1. The City Council authorizes the City of Hercules to participate in the Green Empowerment Zone.

2. _______________ [name] is appointed to a two -year term as the City’s representative on the Green Empowerment Zone Board of Directors, pursuant to Government Code section 7599.101(b)(1).

3. _______________ [name] is appointed to a two-year term as the City’s alternate representative on the Green Empowerment Zone Board of Directors, pursuant to Government Code section 7599.101(b)(1).

23 The foregoing Resolution was duly and regularly adopted at a regular meeting of the City Council of the City of Hercules held on the 14th day of May 2024 by the following vote of the Council:

AYES:

NOES:

ABSENT:

ABSTAIN:

____________________________
DAN ROMERO, Mayor

ATTEST:

________________________________
Eibleis Melendez, City Clerk
24 John Gioia (say “Joy-a”)
District One
Board of Supervisors
Contra
Costa
County

11780 San Pablo Avenue, Suite D
El Cerrito, CA 94530
Phone: (510) 231-8686
Fax: (510) 374-3429
Email: [email protected] ● Website: www.cocobos.org/gioia

EAST RICHMOND HEIGHTS ◊ EL CERRITO ◊ EL SOBRANTE ◊ KENSINGTON ◊ MONTALVIN MANOR NORTH RICHMOND ◊ PINOLE ◊ RICHMOND ◊ ROLLINGWOOD ◊ SAN PABLO ◊ TARA HILLS

Dante Hall
City of Hercules
111 Civic Drive
Hercules, CA 94547

March 25, 2024

Dear Mr. Hall,

This letter is an invitation to the City of Hercules to participate in the Green Empowerment Zone (GEZ) for the Northern Waterfront Area of the County of Contra Costa as established by Assembly Bill 844.

The geography of the GEZ extends to the territories of the cities of Antioch, Benicia, Brentwood, Concord, Hercules, Martinez, Oakley, Pittsburg, and Vallejo, and the unincorporated areas of the County of Contra Costa north of State Highway 4. The purpose of the Green Empowerment Zone is to build upon the comparative advantage provided by the regional concentration of highly skilled energy industry workers by prioritizing access to tax incentives, grants, loan programs, workforce training programs, and private investment in the renewable energy sector.

Please direct a copy of your adopted resolution expressing your intent to participate in the GEZ with the name of the appointed representative to participate in the Governing Board to Alyson Greenlee, [email protected]
. If you have any questions, please call 925-655-
2783.

Sincerely,

John Gioia
District 1
Board of Supervisors
25 DISCUSSION AND/OR ACTION

AGENDA ITEM

2. 22-846

26 STAFF REPORT TO THE CITY COUNCIL
DATE: Regular Meeting of May 14, 2024
TO: Mayor and Members of the City Council
VIA: Dante Hall, City Manager
SUBMITTED BY: Eibleis Melendez, City Clerk
SUBJECT: Professional Services Agreement with Records Control Services Inc., in the amount of $ 38,145.91 for the Review and Update of the City of Hercules Records Retention Schedule, Policy and File Management.

RECOMMENDED ACTION:

Adopt a Resolution a pproving a professional services agreement with Records Control Services (RCS) in the amount of $ 38,145.91 for the Review and Update of the Cit y of Hercules Records Retention Schedule, Policy and File Management.

BACKGROUND:

The City’s Records Retention Schedule and Records Management Programs was last updated in 2018 by the City Clerk ’s Office. At that time the City approved a Records Retention Schedule ( Attachment 3) and a Records Management Program Manual (Attachment 4) which provided an overview, guidelines and policies related to all components of records management based on 2018 best practices and current technologies.

A records retention schedule and policy should be reviewed regularly to determine when amendments are needed and to verify that the City is following the current government code and standards. A Records Management Program should not only be reviewed and updated but also needs to meet the needs of the City ensuring that the implementation is practical and efficient. The proposed records management update will provide forward- facing guidelines and policies to manage both physical and electronic documents. 22-846
27 ANALYSIS:

Under this proposed scope of work, Records Control Services, Inc (RCS), will update the City’ Records Retention Schedule, review and recommend improvements to our existing record management policies and procedures, and review of inactive files stored in auxiliary locations.

Records Control Services scope of work also includes meeting with individual departments and providing training to staff and management, which will include a how-to reference booklet for program maintenance and the implementation of a comprehensive file indexing system that will be used consistently throughout the city.

A well-implemented records managemen t program saves money over time.

Implementation of this program will improve customer service, increase staff efficiency, make better use of limited staff resources, reduce liability and potentially reduce storage costs. It is recommended that Council proceed with awarding the agreement.

FISCAL IMPACT:

There is sufficient funding in the City Clerk Operations budget to fund the contract starting phase one during Fiscal Year 2023-24 and implementing phase two and three in Fiscal Year 2024-25.

ATTACHMENTS:

Attach 1- Resolution
Attach 2 - Agreement including Scope of Work
Attach 3 – 2018 Retention Schedule
Attach 4 – Records Management Program

28 HERCULES CITY COUNCIL
RESOLUTION NO.

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF HERCULES APPROVING

A PROFESSIONAL SERVI CES AGREEMENT WITH R ECORDS CONTROL SERVICES, INC. IN THE AMOUNT OF $3 8,145.91 FOR THE REVIEW AND UPDATE

OF THE CIT Y OF HERCULES RECORDS RETENTION SCHEDULE, POLICY AND

FILE MANAGEMENT PROGRAM, AND AUTHORIZING THE CIT Y MANAGER TO

EXECUTE THE AGREEMEN T ON BEHALF OF THE C ITY COUNCI L

WHEREAS, the City has an obligation to maintain and store records in accordance with government laws and regulations and accepted records management practices; and WHEREAS, a records retention schedule is an agency’s legal authority to dispose of official records that no longer have administrative, legal, fiscal or historical value and are eligible for destruction by law; and
WHEREAS, Government Code Section 34090 provides a procedure whereby any City record which has served its purpose and is no longer required may be destroyed; and WHEREAS, A Records Retention Schedule and Records Management Programs was last updated in 2018 by the City Clerk’s Office; and
WHEREAS, on April 24, 2018 the City Council adopted Resolution No. 18-027 adopting a Records Retention Schedule and Resolution No. 18-028 approving a Records Management Program; and
WHEREAS, A records retention schedule and policy should be reviewed on a regular basis to determine when amendments are needed and to verify that the City is following the current government code and standards; and
WHEREAS, there have been numerous changes in State regulations requiring the records retention schedule be updated; and
WHEREAS, due to advancements in technology more records are being created and retained in an electronic format and records management policies and retention schedules should reflect this.

NOW, THEREFORE BE IT RESOLVED that the City Council of the City of Hercules hereby approves a professional services agreement with Records Control Services, Inc. in the amount of $38,145.91 for the review and update of the cities records retention schedule, policy and file management program, and authorizing the City Manager to execute the agreement on behalf of the City Council.

29 The foregoing resolution was duly and regularly adopted at a regular meeting of the City Council of the City of Hercules held on the 14th day of May 2024 by the following vote of the Council.

AYES:

NOES:

ABSTAIN:

ABSENT:

_______________________________
Dan Romero Mayor

ATTEST:

______________________________________
Eibleis Melendez, City Clerk
30 Pr
oposal for a

Records Improvement Program

for the

Marc
h 1, 2024

A
Corporation of Information Resource Management Specialists

15 Cornwall Court,
Oakland, California 94611
Office: 510-530-6033
Primary Cell: 510-520-1635

Bruce G. Meier, Certified Records Manager
President/CEO

www.RecordsControlServices.com

™ T
his proposal was developed for and submitted to The City of Hercules, and it contains trademarked proprietary work product and information of Records Control Services, Inc. This proposal, and all information contained herein, must not be made available or transferred in any form whatsoever to any person or organization outside of The City of Hercules or its agents. By accepting and/or maintaining a copy of this proposal, all parties mentioned above agree to this statement. This proposal supersedes all other proposals for similar work provided by Records Control Services, Inc.

R
C
S
e
cords
o
ntrol
e
rvices
31 R
ecords Control Services, Inc.

2 Ta
ble of Contents
C
over Letter .............................................................................................................................. 3 Sc
ope of Work & General Recommendations ........................................................................... 4 Introd
uction ........................................................................................................................... 4 Pu
rpose ................................................................................................................................. 4 Projec
t Scope ........................................................................................................................ 4 Obser
vations ......................................................................................................................... 4 Gene
ral Recommendations ................................................................................................... 5 Ap
proach ............................................................................................................................... 6 Prop
osal for Updates to Records Retention Schedules and Records Management Policy ....... 7 Ph
ase 1 – RIM Policies/Procedures & Retention Schedules ................................................. 7 Ph
ase 2 – Retention Schedule Training ................................................................................ 9 Ph
ase 3 – Inactive & Obsolete Records Review ...................................................................10 C
ost Breakdown ......................................................................................................................12 Fe
e & Payment Terms .............................................................................................................13 R
CS Disclaimer .......................................................................................................................13 C
lient Acceptance & Signature Page .......................................................................................14 Fi
rm Information & Qualifications .............................................................................................15 R
eferences ..............................................................................................................................16

32 R
ecords Control Services, Inc.

3 15
Cornwall Court, Oakland, California 94611 Phone: 510-530-6033 C
over Letter
Ms. Eibleis Melendez, City Clerk
City of Hercules
111 Civic Drive,
Hercules, California 94547

Dear Eibleis:

Thank you for the opportunity to submit a proposal for your records retention schedules and inactive box review! You will find that Records Control Services, Inc. (RCS) is professionally qualified to assist the City in developing this essential records management component.

RCS is a closely held California small business located in Oakland. Since 1979, RCS has designed and implemented records management program components for over 85 cities, cou
nties, and local districts throughout California.

There is no “canned”, off-the-shelf solution to retention schedules or records management prog
rams. Our programs are uniquely developed with each department based on the City’s in
formation management practices and retention requirements.

RCS’s principals have over 144 years of combined experience and a unique approach to designing Records Improvement Programs. All program components address information governance and best management practices and follow Generally Accepted Recordkeeping Principles® (
GARP®),
as defined by the Association of Records Managers and Administrators, International.

RCS offers pragmatic solutions tailored to the City’s needs, including a thorough evaluation of existing systems culminating in phased recommendations for improvements. Typical program components integrate records retention schedules and uniform function-based filing indices with document management systems to directly correlate retention periods to record series (types of records
), and rapidly access hardcopy and electronic documents.

C
urrent projects with several small, medium, and large California cities, counties and local districts include:
 Strategic planning and comprehensive plan of action development  Retention schedule and uniform index development
 Active records management program implementation
 Electronic Records and Document Management Software evaluation and integration  Document scanning and image conversion services
 Information Governance policies and solutions
RCS does not represent any software, equipment, or supplies, so we offer an unbiased evaluation of available systems to best fit our client’s needs. Recommended materials are purchased through your procurement system to assure the lowest available prices.

I will be your project manager and I am available to answer questions about this proposal or modify proposed phases and options to best fit your implementation plans. I can be reached on my cell at 510-520-1635 or at [email protected]. Thank you for your time and consideration of a partnership with RCS!
Sincerely,

Bruce G. Meier, CRM, President/CEO
33 R
ecords Control Services, Inc.

4 Sc
ope of Work & General Recommendations
Introduction
Th
is report contains recommendations and proposals for a records improvement program, allowing the City to refine best records management and information governance practices.

Detailed tasks are included in the proposal that follows this section.

Purpose
Th
e purpose of this proposal is to provide the City with designing and researching Records Retention Schedules for managing physical and electronic documents, a review and improvements to policies and procedures for program management, and a review of inactive boxes stored in two auxiliary locations to allow highly efficient information management and disposal within the City.

Project Scope
Th
e program provides records retention suggestions for identified records managed and stored within the following City departments and divisions:
 City Clerk
 City Manager
 Finance
 Fire
 H
uman Resources
 Pl
anning & Building
 Police
 Parks & Recreation
 Public Works & Engineering
Observations
R
CS obtained information about the City’s records management policies and retention schedules, and records stored in the City Hall trailer and one Corp Yard cargo container.

The City’s records management policy is very comprehensive and sets the stage for a model records management program.

The City’s retention schedules were adopted in 2018 but need to meet more current retention requirements. Up-to-date citations are essential to supporting the City’s retention schedules if they are requested in court.

The City uses the Municipal Unified Functional Filing System™, or MUFFS™, format to hierarchically organize record series (types of records). This system was implemented by RCS’s sister company, Records Systems Associates, Inc., in the mid to late 1980’s, and is still in use by several departments.

The MUFFS™ index structure is still an excellent method of organizing the City’s information and creates an accurate listing of record series in each department or Office of Record. This format will be reviewed with each department and updated to reflect new, and remove obsolete, record series.

Limited legal citations are assigned to record series where there is no department policy override to the retention period. More comprehensive legal citations associated with each record series should be listed to show that the City has taken them into consideration when assigning and approving the retention periods.

While department retention preferences are referenced in the schedules, administrative retention decisions with reasons behind the change must be noted to set precedence for the chosen retention periods. Citations associated with the record series should also be listed for any entries that only state the department policy.
34 R
ecords Control Services, Inc.

5 D
ue to recent legislation, the schedules should be updated to reflect changes in minimum retention and reformatted to better match the departments’ nomenclature and classification structure.

Based on a survey of the two storage locations, RCS estimates that the City maintains approximately 6,463 linear filing inches of inactive and obsolete records in the facilities. This comprises nearly 18,000 pounds, or 9 tons, of paper.

Documents are maintained in a combination of modular open shelf filing equipment, standard filing cabinets, and a variety of sizes of boxes. The availability of an inventory of the records is unknown.

Boxes are stored among various office equipment and furniture, making access to the records difficult. A dedicated storage facility or offsite service provider is recommended for optimal storage of these records.

Both storage locations have had issues with water leaks which created significant mold issues and hazardous situations. These records should be reviewed for retention life and, where practical, repackaged into new, standard-sized record boxes.

Most of the records stored in the Corp Yard cargo container are beyond salvage due to water, mold, and degradation of the storage boxes. RCS assessed that only 7 out of the 159 boxes are salvageable.

Records stored in both locations must be reviewed and preserved as efficiently as possible.

General Recommendations
Th
e goal of a comprehensive records management program is to control the creation, acquisition, processing, maintenance, storage, and final disposition of all recorded information, regardless of form or media, handled during normal business practices.

Implementation of such a program would result in significant savings for the City through:
 Safe, highly efficient storage and retention of all records in accordance with Federal, State and Local regulations.
 Rapid access to all active, semi-active and inactive records stored in offices or off-site facilities.
 Immediate reduction of misfiled and lost information.  Cost effective use of prime office and storage space.  Timely disposal of obsolete records through approved retention schedules.  Protection of vital records from natural or man-made disasters.

RCS recommends a comprehensive Records Management Policy be adopted by the City Council, including a records retention component, to form the foundation of a legally acceptable Records and Information Management Program (RIM) in compliance with GARP® gu idelines. A
full RIM program should be implemented in several segments, including:

1. Inactive records storage system.

2. Active files management with a uniform filing system.

3. Records retention management with approved retention periods and schedules.

4. Information governance evaluation and needs assessment plan.

5. Electronic document management and tracking systems.

6. A Vital Records Protection and Disaster Recovery Program.

This proposal addresses the policy development and records retention management components for a comprehensive RIM Program. Detailed proposals for other segments can be submitted by RCS upon request of the City.
35 R
ecords Control Services, Inc.

6 Approa
ch
Th
is proposal is separated into three phases. Phase 1 must be implemented first, with the remaining phases implemented either separately or concurrently.

Work will be completed both at the City’s facilities and RCS’s Oakland offices. RCS’s principal consultant will visit City facilities for initial in-person interviews and records evaluation, reviewing the retention schedule structure, retention periods and policy suggestions, and the inactive and obsolete physical record review.

36 R
ecords Control Services, Inc.

7 Pro
posal for Updates to Records Retention Schedules and Records Management Policy This proposal presents the City of Hercules (City) with project tasks and time estimates for updating current records retention schedules, creating a comprehensive records management policy, providing training to staff and management, and a review of inactive and obsolete records in the City’s two designated storage facilities.

Implementation of this program will provide a highly efficient management and disposition system for designated records. The resulting tools will allow the City to improve best records management and information governance practices, and Generally Accepted Recordkeeping Principals®1.

Ph
ase 1 – RIM Policies/Procedures & Retention Schedules
Ph
ase Tasks

1. Introd
uce the program to City staff and management.

2. Review and evaluate the City’s current retention schedules and records management related policies and procedures.

3. Submit and review a model Records Management Policy with the Project Manager, modify as needed.

4. Evaluate records storage and management systems:
a. Review the current retention schedules with department Records Coordinators, modify as needed.
b. Discuss operating retention requirements and administrative retention decisions, as assigned in the current retention schedules.
c. Analyze active and inactive physical filing systems, access activities and quantities.
d. Review physical file listings, taxonomy and/or classification guides, if any. e. Discuss electronic document repositories, where used. f. Review and finalize the index changes with the department Records Coordinators.

5. Develop records retention schedules:
a. Research governmental and regulatory body minimum required retention periods. b. Assign suggested retention periods and summary descriptions of legal citations to each listed record series in the uniform classification index. c. Submit and review draft retention schedules with the Records Coordinators. d. Add special series aspects to the retention schedules, where needed. e. Submit retention schedules to the Records Coordinators for final review and approval by department management.
f. Review final draft retention schedules and policy suggestions with the Project Team.
g. Submit final draft retention schedules, in electronic format, for the City’s legal counsel to review.

As part of a comprehensive, legally acceptable Records and Information Management Program, RCS will review the current records related policies and provide a model Records Management Policy to address records management terminology, staff responsibilities, and blanket retention periods for certain electronic, transitory, duplicative, and general administrative records. This forms the basis of the program and a commitment by City management to best records management practices.

1 ® Ge
nerally Accepted Recordkeeping Principals & GARP are trademarked by the Association of Records Managers and Administrators, International.
37 R
ecords Control Services, Inc.

8 R
CS will work with the Project Team to adjust the model policy to fit the City’s structure. The final policy will be implemented according to the City’s policy approval process.

RCS will meet with key staff in each department (Records Coordinators) to review the current approved retention schedules and discuss physical and electronic document repositories (where needed) to compile a comprehensive listing of records series in the City. The listing will improve the City’s uniform, function-based record series index (MUFFS™ Index) for classifying all documents.

The index structure was created to include:
 A hierarchical coding system compatible with physical records, shared file volumes and electronic document management systems.
 Common nomenclature for each record series.
 A description of documents associated with the record series, where needed.  Office of Record of the official record or trusted copy.  Any special attributes or release restrictions.
 Total required retention period.
 Citations, legal research, and any administrative retention decisions with reasons.

The MUFFS™ Index is currently used by some departments to improve storage and quickly identify records in physical storage systems. This structure is ideal for use as the City’s records retention schedules and also to classify electronic documents in shared drives and the City’s electronic document management system.

After the revisions are approved by the departments, retention research is completed on the identified records series to determine minimum legal retention requirements. Each records series entry will include a summary of legal citations associated with the series, including one or more of the following:
 Stated required retention period.
 Target document type, where available.
 Trigger action (i.e., completion of project, date of loss, meeting date, etc.) RCS will review the updated retention schedules with the Records Coordinators and integrate specific attributes, including:
 Confirming administrative/operational retention requirements.  Reasons for any retention extensions or reductions.
 Confidentiality, vitality and/or historical nature, where necessary.

Administrative decisions extending or modifying the minimum requirements are added to the citations, where needed, to set precedence for record destruction in the normal course of business. The resulting retention schedule provides a direct correlation between the record series and the approved retention period.

RCS will then review the retention schedules with the Project Team and provide an electronic version for legal counsel review. The City is responsible for submission to legal counsel, and RCS will modify the schedules after the review, as needed, prior to final approval by the City Council.

The resulting approved retention schedules will address all City records and directly correlate retention periods with record series, regardless of physical or electronic format. Please read the Disclaimer section within this proposal regarding suggested retention periods and schedules.

38 R
ecords Control Services, Inc.

9 Ph
ase Results
Im
plementation of this phase, in total, will provide the City with:
 A comprehensive records and information management policy.  A uniform classification index that accurately represents record series maintained in each department.
 Retention period suggestions for each record series, based on current regulations, legal citations, and industry recommendations.
 Council-approved records retention schedules addressing all physical and electronic records.
 Improvements to information governance practices and Generally Accepted Recordkeeping Principals®.

Ph
ase Duration Estimate
D
epending upon staff availability and current RCS client obligations, this phase can be completed in approximately 10 to 12 weeks after initiation. Availability of City staff for schedule reviews is essential to phase completion within RCS time estimates.

Phase 2 – Retention Schedule Training
Ph
ase Tasks

1. C
reate a PowerPoint presentation addressing the retention schedules, policy, and procedures.

2. Develop a Records Retention Program reference guide for staff and management.

3. Review reference guide with the Project Manager, modify as needed.

4. Provide training sessions to staff.

Based on the final records management policy, RCS will develop a set of procedures for working with the approved retention schedules and create a how-to reference booklet to distribute at training sessions. The booklet is reviewed with the Project Team and modified, as needed, prior to in-house printing.

RCS will create a training presentation for staff and management. The presentation is based on the final policies and procedures and will include:
 Definitions of records management program terms
 Staff responsibilities
 General retention periods for certain administrative, transitory, reference and duplicate records.
 Procedures for analyzing records, determining retention periods, processing inactive records, and preparing records for destruction.

Training will include at most 2 sessions to accommodate staff schedules. The training session may be completed either onsite or remotely.

Phase Results
Im
plementation of the phase, in total, will provide the City with:
 Training and how-to guides for program maintenance.
 Staff and management trained in retention program terminology, policy, and operating procedures.

39 R
ecords Control Services, Inc.

10 Ph
ase Duration Estimate
D
epending upon staff availability, City Council approvals and current RCS client obligations, this phase can be completed in approximately 3 to 5 weeks after initiation. Availability of City staff for training is essential to phase completion within RCS time estimates.

Phase 3 – Inactive & Obsolete Records Review
Im
plementation of this phase provides identification of inactive and obsolete records within the City Hall trailer and one Corp Yard cargo container. Summary box listings identifying records and record series maintained in the locations will allow management to review and designate records for permanent storage or other disposition.

Phase Tasks

1. Introdu
ce the project to the Department.

2. Review the City’s inactive records within the designated locations:
a. Stage boxes for review inside or outside of the storage locations (*see note below).
b. Repackage any damaged or odd-sized boxes into new standard sized record boxes.
c. Pack records currently in file cabinetry into new standard sized record boxes. d. Create box entries with summary descriptions in an MS Excel spreadsheet. e. Classify the box contents into the City’s retention schedules. f. Number boxes to correspond to the spreadsheet entries.

3. Review inventory reports with the Project Manager.

4. Prepare designated records for destruction:
a. Add obsolete boxes to the City’s records destruction authorization forms. b. Review significantly damaged and unrecoverable records with the Project Manager, add to records destruction authorization forms. c. Submit authorization forms to the Project Manager for distribution. * This project will require a moderate level of hazardous waste protection and prevention by R
CS, including protective Tyvek suits, filtered breathing apparatus, gloves, eyewear and el
ectronic air filters. RCS will purchase protective gear and equipment as part of this proposal.

In
this phase, the City’s inactive and obsolete files located in the City Hall trailer and one Corp Yard cargo container are reviewed and classified into the City’s approved retention schedules.

RCS will stage the boxes for review and determine the condition of the records inside each box.

Any inactive records in minimally damaged standard records boxes or odd-sized boxes are repackaged into new standard records storage boxes. Boxes are then identified with a unique, sequential number and summary contents information for reference. No labels are applied to file folders or boxes.

Records designated as obsolete remain in current boxes and are added to destruction authorization forms provided by the City. If the City does not maintain destruction authorization forms, RCS will provide a model form for use.

Significantly damaged boxes and/or records are prepared for destruction approvals. Damage may include, but is not limited to:
 Moisture and/or significant water damage
 Mold and mildew
 Pest damage
Depending on the state of the boxes, damaged records may not be relocated for review. RCS will review external information on any significantly damaged boxes, where available, and enter a summary into the inventory spreadsheet and on destruction approval forms. 40 R
ecords Control Services, Inc.

11 Si
gnificantly damaged records may have long-term or permanent retention periods. These records should be evaluated by the City for recovery through a service provider.

Significantly damaged, unrecoverable records must be noted on destruction approval forms and certificates as unrecoverable and illegible for audit purposes.

The final spreadsheet will include a summary of the box contents and allow City staff and management to review records for disposition. RCS will review the spreadsheet with the Project Manager to determine the activity status of the boxes.

Obsolete and damaged records must be reviewed and approved by City management, the City Attorney, and the City Clerk prior to destruction. The City is responsible for the final destruction of any obsolete or damaged records.

The City is also responsible for relocating the processed inactive boxes to a secure storage location after RCS completion of the project.

RCS requires a work surface near the designated storage locations with power and a surge protected power strip, overhead protection from the elements (in case of rain or extreme sun), waste and recycling receptacles, and wireless internet access if available.

To implement the program as recommended, the City and RCS must purchase certain supplies.

Estimates for these materials are in the Cost Breakdown section and are based on current retail vendor pricing.

Estimates for supplies and equipment include:
 New, durable, quick-assembly records storage boxes.
 Personal protective supplies, including:
 Tyvek suits
 Rubberized gloves
 Small particle filtered breathing masks
 Protective eyewear, as needed
 Electronic air filters with additional HEPA level filter, as needed.  Miscellaneous supplies, including permanent markers and other minor supplies, as needed.
 Tax and shipping estimates.

RCS does not sell any supplies, equipment or software and all estimates are based on direct purchasing from vendors. Some items may be purchased through the City’s vendors if they are of comparable quality to RCS recommendations.

Phase Results
Im
plementation of this phase will provide the City with:
 Inactive records repackaged into new, standard records storage boxes.  A summary listing of the City’s boxes located in the designated storage locations.  Designated obsolete and damaged records prepared for destruction.  Improvements to the City’s best records management practices.

Phase Duration Estimate
D
epending upon City staff availability and prior RCS client obligations, this phase can be completed in approximately 13 to 15 weeks after initiation. Availability of City staff for the review of inventory lists, destruction approval forms, and significantly damaged records is essential to phase completion within RCS time estimates.

41 R
ecords Control Services, Inc.

12 C
ost Breakdown
RCS Professional Fees, Labor & Travel include all costs for system development and implementation. Travel expenses are based on anticipated travel to City offices from RCS Oakland offices.

Estimates for supplies and equipment are based on current vendor pricing. The City may purchase supplies and equipment directly from their approved vendors or through RCS. RCS will bill only direct costs for project supplies and equipment.

Implementation costs are billed according to the schedules listed below by phase.

Phase 1 – RIM Policy/Procedures & Retention Schedules
RC
S Professional Fees, Labor & Travel: $ 13,422.16
Invoices will be submitted according to the following schedule:

Progress payment 1: $3,355.54 at Phase initiation
Progress payment 2: $3,355.54 upon completion of Phase Task 4.f Progress payment 3: $3,355.54 upon completion of Phase Task 5.b Progress payment 4: $3,355.54 upon completion of Phase Task 5.g Phase 2 – Retention Schedule Training
RC
S Professional Fees, Labor & Travel: $ 2,400.26
Invoices will be submitted according to the following schedule:

Progress payment 1: $1,200.13 at Phase initiation
Progress payment 2: $1,200.13 upon completion of Phase Task 4 Phase 3 – Inactive & Obsolete Record Review
RC
S Professional Fees, Labor & Travel: $ 20,124.00
Supplies & Equipment Estimate: $ 2,199.49
Ph
ase Total: $ 22,323.49
Invoices will be submitted according to the following schedule:

Progress payment 1: $5,031.00 at Phase initiation
Progress payment 2: $5,031.00 upon 50% completion of Phase Task 2 Progress payment 3: $5,031.00 upon 100% completion of Phase Task 2 Progress payment 4: $5,031.00 upon completion of Phase Task 4 Supplies and equipment are billed at RCS costs as incurred.

Total Project Cost:

RCS Professional Fees, Labor & Travel: $ 35,946.42
Supplies & Equipment Estimate: $ 2,199.49
Proj
ect Total: $ 38,145.91

42 R
ecords Control Services, Inc.

13 Fe
e & Payment Terms
 Unless otherwise noted, professional fees for each phase include all costs for labor and are firm for a period of 90 days from the date of this proposal.  Invoices will be due upon receipt by the City, and payment must be received by RCS within 30 days of the invoice date. If payment is not received within 30 days of the invoice date, the invoice will be resubmitted with a 2.5% finance charge and a $75.00 administrative fee added to the total invoice amount. Finance charges and administrative fees are compounded for each 30-day late period.
 On-demand contact time separate from this proposal will be billed at $220.00 per hour, in 15- minute minimum increments. RCS will notify the City prior to incurring any unrelated contact time and obtain approvals from City management or the designated project manager.  Travel expenses include travel from and to RCS’s Oakland offices will be billed only as incurred.
 Project duration estimates depend upon City staff availability and current RCS client obligations. If project implementation is delayed due to availability of City staff, RCS reserves the right to modify payment schedules according to completed project tasks and/or delay timelines.
 ™ Municipal Unified Functional Filing System and MUFFS are trademarked by Records Sy
stems Associates, Inc. in 1976. All program tasks, recommendations, suggestions and/or other
project development information are the proprietary property of Records Control Se
rvices, Inc. Any and all information contained in this proposal, or its attachments, if any, sha
ll not be released or made available to any entity outside of the City or its agents.

RC
S Disclaimer
All recommendations, management systems, research or other information or work papers resulting from implementation of this proposal are suggestions to the City. The City is responsible for the disposition or destruction of any documents designated active, inactive, or obsolete. RCS will not alter or destroy, in any way, City documents, regardless of format, without specific written approval from the City or its authorized agents. RCS will not be responsible for loss or damage to the City or its agents, monetary or otherwise, resulting from implementation of this proposal or program, including, but not limited to, destruction of records by the City, or other damage to or loss of City documents, records and/or other information or sources of information.

In addition to the design and implementation of services mentioned above, this proposal may in
clude development of suggested record retention periods and schedules. RCS, its principals, staf
f and/or agents do not practice law or provide professional legal advice. Record retention pe
riods are often arbitrary time periods based upon industry operational requirements. If required, RCS will perform a reasonable search of specific record retention information resources to obtain suggested retention periods for designated City records and information. The City is responsible for reviewing and approving any suggested retention periods with its legal counsel, the executive management team, and the City Council, prior to implementation and/or document disposition or destruction.

By accepting and implementing this proposal, the City agrees to this disclaimer and all terms mentioned herein, and shall indemnify, defend, and hold harmless RCS against any and all loss or damage resulting from the design and/or implementation of recommendations and/or suggestions within this proposal, except to the extent that the loss or damage is caused by the willful misconduct or negligence of RCS.

43 R
ecords Control Services, Inc.

14 C
lient Acceptance & Signature Page
The City of Hercules accepts this proposal and its contents for updating Records Retention Schedules, policies and procedures for managing physical and electronic documents, staff training, and a review of designated inactive and obsolete records to allow highly efficient information management and disposal within the City, as provided by Records Control Services, Inc., dated March 1, 2024.

__________________________
Signature

__________________________ __________________________
Print Name & Title Bruce G. Meier, CRM, President
Records Control Services, Inc.

__________________________
Date:

44 R
ecords Control Services, Inc.

15 Firm
Information & Qualifications
Incorporated in 1979, Records Control Services, Inc. is a privately held, California small business firm of information resource management specialists offering development and implementation of partial or full-scale records and information management (RIM) programs in government and industry.

Records and Information Management Services include:
 Ina
ctive Record Management Solutions
 On-site Inactive Record Storage Facility Design
 Off-site Storage Vendor Evaluation/Feasibility Studies  Vital Records Protection/Disaster Recovery Programs
 Active Records Management Solutions
 Record/Document Indexing & Inventory
 Color Coded File Conversion & Storage Systems
 Bar-coded File Tracking Systems
 High Density Document Storage Solutions
 Filing System Relocation Services
 Record Retention Management
 Research and Development
 Index Development
 Training and Maintenance Programs
 Electronic Records & Document Management Solutions
 Electronic Records Management Software Systems
 Electronic Document Management System software
 Document Imaging Solutions
 Document Control Solutions
 Alternative Storage Solutions
 Information Governance Policies and Procedures
 RFP/RFQ Development
 Hourly/Daily Consultation Services

Firm Highlights & Specialization:
 The
Principal Consultant is a Certified Records Manager.
 Institute of Certified Records Managers (ICRM)
 A combined total of over 144 years of comprehensive RIM experience.  Members and Chapter Board Members of the Association of Records Managers and Administrators, International (ARMA).
 California Small Business.
 Provide educational workshops and seminars to state, local and regional government entities and private industry professional associations and organizations.

Records Control Services, Inc. has designed and implemented partial and full-scale RIM prog
rams for over 85 municipalities and government agencies, and numerous clients in private industry, throughout California.

Visit us at www.RecordsControlServices.com for more information about our services.

45 R
ecords Control Services, Inc.

16 R
eferences
City of
Monrovia
 Desi
gning a City-wide Records Management Policy and retention schedule updates.  Proj
ect includes:
o Reco
mmending improvements to record management policies and procedures. o Creatin
g a uniform, function-based records series classification index. o Eval
uating and updating records retention schedules for all departments based on
the classification index.
o Creatin
g a how-to reference guide on records management program activities. o Train
ing staff on retention schedule use and maintenance.

Ms.

Alice Atkins, City Clerk
626-93
2-5505
aa
[email protected]
415
S. Ivy Avenue, Monrovia, CA 91016
City of
San Rafael
 Desi
gned a City-wide Records Management Policy, City Clerk retention schedule up
dates and improvements to the Electronic Document Management System in the City C
lerk’s Office.
 Impl
emented a records inventory and active filing system, including electronic records mana
gement software solutions, in the City Clerk’s Office for records disposition and fut
ure conversion to electronic format.

Ms.

Lindsay Lara, CMC, City Clerk
415-48
5-3066
li
[email protected]
140
0 Fifth Ave, San Rafael, CA 94901

City of
Vacaville
 Desi
gning a City-wide Records Management Policy, retention schedule updates, and recom
mendations for improvements to electronic document management in the City.

Projec
t in process.
 Proj
ect includes:
o Reco
mmending improvements to record management policies and procedures. o Deve
loping an assessment of current physical and electronic records mana
gement activities in all departments.
o Creatin
g a uniform, function-based records series classification index. o Eval
uating and updating records retention schedules for all departments based on
the classification index.
o Creatin
g a how-to reference guide on records management program activities. o Train
ing staff on retention schedule use and maintenance.
o Deve
loping an information governance plan of action for future records mana
gement program improvements.
o Creatin
g a request for proposal to purchase an electronic records management syste
m.

Ms.

Lorina Fernandez, Administrative Technician
707-44
9-5100
Lo
[email protected]
650
Merchant Street, Vacaville, CA 95688

46 R
ecords Control Services, Inc.

17 City of Va
llejo
 Currently
improving the City’s Electronic Document Management System.  Desi
gned and implemented a City-wide Records Retention Program, including a comp
rehensive Records Management Policy and uniform filing index in Vallejo. Project in
cluded interviews with all City departments and divisions to develop a comprehensive li
st of records series and the uniform filing index structure.  Desi
gned and implemented Active Records Improvement Programs for the City Clerk’s Office
, Planning and Housing & Community Development departments, including in
stallation of an Electronic Records Management Software system, an inventory of all activ
e records, and hardcopy file conversion to a color-coded labeling structure using the reten
tion schedule’s uniform index structure.
 Over
the past 18 years, RSA also completed a multi-stage retention program for the City of
Fremont and the City of Pinole with Ms. Abrahamson.

Ms.

Dawn Abrahamson, MMC, City Clerk
City Cl
erk’s Office
707-64
8-4528
da
[email protected]
555
Santa Clara St, Vallejo, CA 94590
City of
Emeryville
 Desi
gned and implemented a City-wide Records Retention Program, including a comp
rehensive Records Management Policy and uniform filing index. Project included in
terviews with all City departments and divisions to develop a comprehensive list of records
series and the uniform filing index structure.
 Assi
sted in evaluating departments for rolling out a City-wide Electronic Document Mana
gement System.
 Desi
gned and implemented Active Records Improvement Programs for administrative, Pl
anning and Building departments, including installation of an Electronic Records Mana
gement Software system, an inventory of all active records, and hardcopy file con
version to a color-coded labeling structure using the retention schedule’s uniform in
dex structure.

Ms.

Lorrayne Leong, Deputy City Clerk
510-59
6-4383
ll
[email protected]
133
3 Park Ave, Emeryville, CA 94608
Dub
lin San Ramon Services District
 Desi
gning and implementing a multi-year, District-wide records management program star
ted in 1995, with numerous project components, including uniform records series cl
assification and taxonomy index, comprehensive active and inactive records mana
gement system, records retention program and updates, and electronic document mana
gement system evaluation and recommendations.
 Rece
ntly completed updating retention schedules originally created in 2006.

Ms.

Nicole Genzale, CMC, Executive Services Supervisor / District Secretary 925-87
5-2203
ge
[email protected]
705
1 Dublin Blvd, Dublin, CA 94568

47 R
ecords Control Services, Inc.

18 City of
Fresno
 Desi
gning a Records Management Policy, retention schedule updates, and a needs ass
essment with recommendations for improvements to electronic document mana
gement in the City Clerk’s Office, Personnel Services, Risk Management and Public Works
departments.
 Proj
ect includes:
o Reco
mmending improvements to record management policies and procedures. o Creatin
g a uniform, function-based records series classification index. o Eval
uating and updating records retention schedules for target departments ba
sed on the classification index.
o Deve
loping an assessment and gap analysis of current physical and electronic records
management activities in the target departments.
o Creatin
g a how-to reference guide on records management program activities. o Train
ing staff on retention schedule use and maintenance.
 Proj
ect will be continued with additional departments in 2024.

Ms.

Briana Parra, Assistant City Clerk
City Cl
erk’s Office
559-62
1-2489 (main line)
Bri
[email protected]
260
0 Fresno St, Fresno, CA 93721

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CITY OF HERCULES

RECORDS MANAGEMENT PROGRAM FOR THE

PRESERVATION, PROTECTION, RETENTION AND LEGAL
DISPOSITION OF THE CITY’S RECORDS

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Table of Contents
PURPOSE ....................................................................................................................................................... 3 AUTHORITIES ................................................................................................................................................ 4 DEFINITIONS ................................................................................................................................................. 6 ROLES AND RESPONSIBILITIES ................................................................................................................... 10 RECORDS RETENTION SCHEDULE ............................................................................................................... 12 Evaluating a Records Retention Period ................................................................................................... 12 Process to Adopt or Amend the Records Retention Schedule ............................................................... 12 Using the Records Retention Schedule ................................................................................................... 13 RECORDS MANAGEMENT .......................................................................................................................... 15 Records Inventory ................................................................................................................................... 15 Filing System Guidelines ......................................................................................................................... 15 Active Records – Paper Documents ........................................................................................................ 15 Active Records - Electronic Documents .................................................................................................. 15 Laptops, PDAs, Cell Phones and other Non-Network Devices ................................................................ 16 Electronic Mail ........................................................................................................................................ 16 Inactive Records – Electronic Documents ............................................................................................... 17 Inactive Records – Paper Documents ..................................................................................................... 17 Records Center – Paper Documents ....................................................................................................... 17 RECORDS DESTRUCTION ............................................................................................................................ 19 Paper Records ......................................................................................................................................... 19 Electronic Records................................................................................................................................... 19 Records Stored On Other Media ............................................................................................................. 20 ELECTRONIC DOCUMENT MANAGEMENT SYSTEM ................................................................................... 21 PUBLIC RECORDS REQUESTS ...................................................................................................................... 22 Inspection of Records ............................................................................................................................. 22 Copies of Records .................................................................................................................................... 22 Guidance to Requester ........................................................................................................................... 22 Format of Response ................................................................................................................................ 23 Procedure for Responding to Requests .................................................................................................. 23 Copyrighted or Proprietary Documents .................................................................................................. 24 Subpoena for Production of Business Records ....................................................................................... 24 RECORDS MANAGEMENT EDUCATION AND TRAINING ............................................................................ 25 76 3
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PURPOSE
Records management encompasses all the record-keeping requirements that allow an organization to establish and maintain control over information flow and administrative operations, seeking to control and manage records through the entirety of their life cycle, from creation to final disposition.

A well-implemented records management program improves customer service, increases staff efficiency, allocates scarce resources, and provides a legal foundation for how an agency conducts its daily mission. Other benefits include:
 Timely access to accurate information and records for use by the public, staff, appointed and elected officials;
 Improved decision making by staff, appointed and elected officials as a result of access to accurate and complete information;
 Increased efficiency in retrieval of information and documents;  Preservation of vital and historical records and records essential for the conduct of business;
 Demonstration of compliance with legal retention requirements established by federal, state and local authorities;
 Development of standards to manage records, in all formats, throughout their life cycle;  Orderly retirement and destruction of records no longer required to be retained as set forth in the records retention schedule;
 Elimination of duplicate and non-records;
 Proper administration of records not subject to disclosure;  Protection in litigation, audits and other disputes;
 Limiting legal liability and ensuring fiscal accountability;  Savings in records storage and retrieval costs; and
 Ability to evaluate and identify cost savings, efficiencies, and use of technologies in the program.

For a records management program to be effective it must include policies and procedures for the efficient and economical management of the creation, utilization, maintenance, retention, preservation, and disposal of City records, in all formats, based on state statutes governing public records. It must also provide for the education of staff on its importance and training of staff in all aspects of the program.

This document provides an overview, guidelines and policies related to all components of the City’s records management program. It should be used in conjunction with the City’s records retention schedule as adopted by the City Council and specific procedure manuals and forms developed by the City Clerk for each component of the program. 77 4
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AUTHORITIES
The following is a summary of the relevant legislative authorities.

Election Code Sections 17000 - 17506
Retention and Preservation of Elections Records - addresses the retention and preservation requirements related to election documents.

Government Code 6200
Every officer having custody of any record, map, book, or paper filed in a public office who is guilty of willfully destroying or removing the whole or any part of such item is punishable by imprisonment of not less than one or more than 14 years.

Government Code 6250 - 6270.5
The Public Record Act – sets forth time limits, fees, records not subject to disclosure, information relating to the conduct of the public’s business prepared, owned, used or retained by any state or local agency regardless of physical form or characteristics.

Government Code Section 12168.7
The Secretary of State has adopted uniform statewide standards established by the American National Standards Institute for the purpose of storing and recording permanent documents in electronic media. These standards require that a trusted system be utilized.

Government Code Section 34090
City records may be destroyed with approval of the legislative body by resolution and written consent of the City Attorney except those records affecting title to real property or liens thereon; court records; records required to be kept by statute; records less than two years old; and minutes, ordinance or resolutions of the legislative body or City board or commission.

Government Code Section 34090.5
City records may be destroyed without approval of the legislative body or written consent of the City Attorney if the following conditions are complied with: a) records have been photographed or electronically recorded in archival quality on a medium that is a trusted system and that does not permit additions, deletions, or changes to the original document in compliance with Government Code Section 12168.7; b) the device used for reproduction is able to reproduce the records as accurately and legibly as the original; c) reproduced records are made as accessible for public reference as the original records; and d) a true copy of archival quality of the reproduction is kept in a safe and separate place for security purposes.

Government Code Section 34090.6
The head of a department, after one (1) year, may destroy recordings of routine video monitoring, and after 100 days may destroy recordings of telephone and radio communications 78 5
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maintained by the department with approval of the legislative body and the written consent of the City Attorney.

Government Code Section 34090.7
The legislative body may prescribe a procedure under which duplicate records may be destroyed.

Government Code Section 53921
With approval of the legislative body, the City Treasurer may destroy or cremate bonds and coupons that have been paid or canceled.

Government Code Section 81009
This section defines the length of time campaign statements and statements of economic interests must be retained.

Health and Safety Code Section 19850
Plans for every building having a building permit issued shall be kept during the life of such building, except single or multiple dwellings not more than two stories in height and their garages and other appurtenant structures and one story buildings except those of steel frame or concrete where the span between walls does not exceed 25 feet.

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DEFINITIONS

Active Record
A record that relates to a current activity and is referred to on a regular basis.

Archives
A repository for storing historical records, no matter what the media format, which should be protected or preserved.

Disposition
The length of time a record is kept, which may be permanent.

Electronic Document Management System
A computer system or suite of programs designed to store and track electronic documents and other media.

Electronic Mail (E-mail)
Electronic mail may include non-interactive communication of text, data, images or voice messages between a sender and a designated recipient by systems utilizing telecommunications links. It may also include correspondence transmitted and stored electronically using software facilities called e-mail, facsimile, or messaging systems; or voice messages transmitted and stored for later retrieval from a computer system.

Historical Record
A record with enduring value that reflects a significant historical event, documents the history and development of an agency, or provides valuable research data.

Inactive Record
A record that is accessed on an average of less than once a year, but that must be maintained until it reaches its disposition date.

Litigation Hold
A temporary hold on destruction of any document potentially relevant to reasonably anticipated, pending or threatened litigation.

Original Record
A public record that is the final version of a document, not a draft version. If the final version requires signatures to be effective, the signed document is the original record. All prior versions are working papers.

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The department listed as the record custodian on the records retention schedule is responsible for maintaining the original record in accordance with the records retention schedule. Any copy of the original record maintained by the record custodian or any department is considered a “duplicate” and may be destroyed once it is no longer useful to the department.

If a document is created electronically and then printed out and kept in hard copy, the department will need to make a determination whether the electronic or hard copy is the “original” and should dispose of the “duplicate” once it is unnecessary.

Non-Record
Materials not kept in the ordinary course of business such as transitory documents, voicemail, copies of documents kept only for convenience or reference, working papers, stocks of publications and blank forms, rough notes, calculations or drafts assembled and created and used in the preparation or analysis of other documents, punch cards, printouts, indexes, letters of transmittal, and personal materials. These materials are not public records and should not be retained any longer than they are useful. When they are no longer useful, they should be destroyed by the department director or designee.

Non-records are subject to legal discovery and legal holds even if they should have been destroyed earlier.

Permanent Record
A record that is required to be kept in perpetuity, usually identified by statute or other written guidance. Examples include, but are not limited to, original minutes, ordinances, resolutions, records related to land ownership, restrictions, conveyances, and vital records.

Public Record
Any writing containing information relating to the conduct of the City’s business prepared, owned, used or retained by the City regardless of physical form or characteristics. This includes hard copies and electronic records.

Records Center
One or more physical locations, on or off site, designated by the City Clerk as a location for the storage of physical records that are no longer active and are awaiting their final disposition.

Records Coordinator
A staff person, appointed by the department director in each department, who coordinates with the City Clerk and department staff in the management of the departments records. The records coordinator assists staff in: 1) classifying documents; 2) setting up and maintaining a file inventory; 3) maintaining file structures and naming conventions for files stored both in hard 81 8
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copy and electronically; 4) preparing records for inactive storage; 5) preparing records for destruction; and 6) preparing records for scanning into an electronic document management system.

Record Custodian
The record custodian is the department that has responsibility for the retention and final disposition of the original and/or final record. This is generally the department that created the record. However, at times custodial responsibility may be assigned in the retention schedule to the department that maintains the record after its creation by another department.

Records Management
The systematic control of the creation, processing, use, protection, storage and final disposition of all public records pursuant to federal, state and local laws and regulations.

Records Retention Schedule
A document, adopted by resolution of the legislative body, which identifies the length of time a record is retained prior to disposition based on legal requirements. The retention periods listed in the schedule apply to all records whether maintained in hard copy or in an electronic format.

A department may identify a specific document or series of records to be retained longer than legally required if identified on the retention schedule as a record that has been determined, by department policy, as a record that has value beyond its legally required retention period.

Trusted System (GC12168.7)
A combination of techniques, policies and procedures wherein there is no plausible scenario in which a document retrieved from or reproduced by the system could differ substantially from the document that is originally stored.

A cloud computer storage service that complies with International Organization for Standardization ISO/IEC 27001:2013, or other applicable industry standard relating to security techniques and information security management, and provides administrative users with controls to prevent stored records from being overwritten, deleted, or altered shall be considered a trusted system. Cloud computing is defined by the National Institute of Standards and Technology Special Publication 800-145 or a successor publication, and includes the service and deployment models referenced.

A trusted system shall comply with applicable standards articulated in the State Administrative Manual and the Statewide Information Management Manual. Local government entities may adopt applicable standards articulated in the State Administrative Manual and Statewide 82 9
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Information Management Manual for purposes of utilizing a trusted system.

Municipal Uniform Functional Filing System (MUFFS)
A widely used, standardized filing system adopted by many municipalities and used by the City of Hercules. The file numbers listed in the City of Hercules records retention schedule are consistent with this system.

Vault
A fire proof room with a locking mechanism designated for the storage of resolutions, ordinances, minutes, bonds and vital records.

Vital Record
A record that contains information that is essential for the resumption of operation after a disaster or the reestablishment of the legal and financial status of the organization.

Writing
Any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing, any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored.

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ROLES AND RESPONSIBILITIES

City Attorney
The City Attorney reviews and approves requests by departments to dispose of records in accordance with the City’s records retention schedule and provides legal guidance to departments in establishing retention periods. The City Attorney may also put legal holds on specific documents.

City Clerk
The City Clerk is the records manager for the City and is responsible for the proper and efficient management of the City’s records and the records management program. The City Clerk: 1) maintains and updates the records retention schedule and records management program manual; 2) prepares procedures and trains staff on how to manage records from cradle to grave; 3) oversees designated record centers; 4) oversees an annual review of City records eligible for destruction; and 5) administers any electronic document management systems.

City Council
The City Council sets policies for the management of the City’s records through adoption of the records retention schedule and the policies related to the records management program.

Department Directors
Each department director is responsible for establishing and maintaining an active, continuing program for the economical and efficient management of the public records of that department including: 1) effective control over the creation, maintenance and use of public records; 2) maintenance and security of records deemed appropriate for preservation; 3) segregation and disposal of records of temporary value; and 4) designating a records coordinator to assist department staff in this endeavor.

Department directors shall ensure that their staff follows the procedures established by the City Clerk related to: 1) naming conventions and file structures for electronic and paper records; 2) maintaining a file inventory of all records; 3) proper storage of records; 4) destruction of records, both in hard copy and in an electronic form, that have reached their final retention period; 5) approved indexing standards and retention periods for records entered into a document management system; and 6) ensuring records are easily accessible and that staff provides timely and accurate response to request for information by members of the public.

Employees and City Officials
Each employee of the City has the duty to protect, preserve, store, transfer, destroy or otherwise dispose of, use and manage public records in according with applicable state regulations, or such rules as may be approved by the City Council and such procedures as prepared by the City Clerk.

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No employee, City official, agent or contractor has, by virtue of his or her position or employment, any personal rights to City records even though he or she may have created or compiled them. The unauthorized destruction, removal or use of such records is prohibited.

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RECORDS RETENTION SCHEDULE

Evaluating a Records Retention Period
There are only four reasons to keep a record. Those reasons are:

Administrative Value
The administrative value of a record is determined by the period during which an organization uses a record to perform its primary function and the need to carry on the daily business of the organization.

Legal Value
The legal value of a record is determined by the records required to be kept by law, or those that may be required in case of litigation or government investigation.

Fiscal Value
The fiscal value of a record determines which records relate to the financial transaction of the municipality, especially those required for audit or tax purposes.

Historical Value
The historical value of a record pertains to those records with long-term value and include organizational and administrative history, policies, and general social, economic or other conditions.

A records retention schedule is an agency’s legal authority to receive, create, retain and dispose of official public records. It assists the agency by documenting which records require office or temporary storage, which records have historic or research value, and which records should be destroyed after a specific time period because they no longer have any administrative, fiscal, legal or historical value.

In the event of litigation, courts accept a records retention schedule as establishing an agency’s normal course of doing business. The records retention schedules and certificates of destruction authorizing the destruction of specific records are kept on file with the City Clerk and are maintained as permanent records.

Process to Adopt or Amend the Records Retention Schedule The City Council provides the authority for the retention and disposition of records by adopting the City of Hercules’ Records Retention Schedule. This schedule should be reviewed and amended as needed. The most current records retention schedule was adopted by Resolution No. 18-____ on _______________ which also rescinded the prior schedule adopted by Resolution No. 92-16.

At the time of preparing the most current records retention schedule, departments had not yet prepared file inventories for their records. The City Clerk met with each department to 86 13
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determine the types of records created and maintained by the department and the department’s recommended retention period based on its administrative value. The City Clerk, in consultation with the City Attorney, reviewed the proposed retention periods to ensure they met the legal requirements for retention. If a department has determined that there is an administrative, legal, fiscal or historical value in keeping a specific type of record beyond the legally required time, the schedule indicates that the record is being retained for a specific period as a matter of “department policy”. For efficiency, effectiveness, and cost savings purposes, departments have been encouraged to limit the amount of time records are kept beyond their legal retention period.

The City Clerk will meet with departments at least once every two years to review each department’s file inventory and the records retention schedule to determine if the schedule requires any amendments.

Using the Records Retention Schedule
The records retention schedule applies to all original records regardless of format. In the case of outgoing correspondence and documents, whenever the original of the public record is sent to a location outside the custody of the City, one copy of the record is retained by the department sending the record as if it were the original of the record.

Retention is based on the subject matter of the record, whether it is a paper document, single e-mail, trail of e-mails, an electronic document, such as a Word, Excel, Power Point, web page, audio or video recording, cell phone and voice mail recordings, tapes/discs as well as all attachments.

The records retention schedule includes a legend that provides: 1) a listing of all departments that may be the records custodian for specific records; 2) retention description codes to be used in conjunction with a retention period; 3) record categories – either by department or type of record.

The City uses the Municipal Uniform Functional Filing System (MUFFS). Each record description, or records series, has been assigned a file number based on this system.

Within a record category, there may be multiple sub-categories. Each record series within a sub-category has been assigned a file number, a records custodian, a retention period, and either a reference to a legal citation or a statement that the record is being retained per “department policy”. Records retained per “department policy” are being retained beyond the legal retention period based on the department’s determination that the record has either administrative, legal, fiscal or historic value that requires a longer retention period.

The department director is the records custodian for records listed on the records retention schedule. The records custodian is responsible for ensuring that original records listed on the records retention schedule, with the department listed as records custodian, are maintained 87 14
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until eligible for destruction and that no original record is destroyed without first obtaining authorization to do so. Duplicate records and non-records should be destroyed as soon as reasonably possible.

If systemically followed, a retention schedule preserves only official records for the period needed while eliminating all other non-records as soon as they are no longer useful.

The City Clerk will review the records retention schedule at least once every two years to determine if any amendments are needed. The City Clerk will also provide training to all staff that has responsibility for creating and managing records on how to use the schedule.

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RECORDS MANAGEMENT

An effective records management program manages records from cradle to grave. In addition, the program needs to provide guidelines and standards for the creation of records; evaluation of where and how the records should be stored; and current inventories of records whether they are active, inactive or have been destroyed.

Records Inventory
Each department shall create and maintain an inventory of active and inactive records in a format provided by the City Clerk. These records can be of varying media including paper, computer printout, tape, microforms, engineering drawings and plans, computer files, etc.

This inventory is used as a tool in: 1) periodically updating the records retention schedule; 2) identifying records eligible for destruction; 3) evaluating physical and computer storage needs; 4) assessing which records should be stored in an electronic document management system; and 5) responding to request for public records.

Filing System Guidelines
The City Clerk will work with departments to develop filing system guidelines including naming conventions and a filing structure for paper and electronic records.

Active Records – Paper Documents
Active records, in paper format, shall remain in the department unless the volume of a given record is beyond reasonable allocations of office space. Active records may not be transferred to the Records Center without approval of the City Clerk.

Records should be maintained in a manner so that staff is easily able to separate records with different retention periods. Departments are discouraged from keeping duplicate copies of a record and should destroy non-records in accordance with this program.

Active Records - Electronic Documents
Documents born digitally, i.e. produced electronically on software such as Word, Excel, PowerPoint, Access, GIS/ArcView, SQL Server, Navaline, pdf documents, databases, etc., must also be classified as records or non-records. Electronic documents classified as records must be on a common searchable drive such as a department drive. Confidential records should be placed on a common drive with restricted access.

The City’s U drive (citywide shared drive) should be used only for those records that need to be accessed by staff across departments. Staff should consult with the City Clerk and the IT Administrator prior to setting up new folders on the U drive. 89 16
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Isolated, local computer hard drives, such as C drives, are not to be used for any record storage because access would be limited to only the PC user and data could be permanently lost if that PC crashes because these local storage drives are not backed up.

The volume of electronic files and the need for organization-wide accessibility requires that each department develop a file structure and naming convention standards for its electronic records. The City Clerk will work with each department to develop a file plan that meets each department’s needs and allows for ease of transfer to an electronic document management system, if appropriate, and destruction, when applicable.

Laptops, PDAs, Cell Phones and other Non-Network Devices All digital and audio information on these devices related to City business is potentially a public record. The City’s records retention schedule applies to public records stored on these devices and should be managed in the same manner as all public records.

Electronic Mail
The City’s e-mail system is intended as a medium of communication only. Therefore, e-mail should not be used to store or maintain records. E-mail SENT and INBOX volumes should be kept to a minimum to keep the system running at optimum speed and efficiency. Individuals are responsible for management of their e-mail documents.

Proper management involves frequent (ideally at first reading) classification of SENT/INBOX items. This critical step requires the determination as to whether a document is a public record or non-record. Staff should not convert the electronic file to a paper file unless there is a compelling reason to do so. If the e-mail is determined to be a record, it should be moved out of the SENT/INBOX to a common searchable drive such as a departmental drive or citywide common drive. This permits those responsible for complying with the California Public Records Act or subpoenas to search all departmental data from their own computer, without requiring Information Systems to perform a system-wide search. If an e-mail is sent or copied to multiple parties, the primary recipient or responder to the e-mail is responsible for determining if the e- mail needs to be saved and moving the e-mail to a common searchable drive.

If an e-mail is determined to be a copy, draft or other non-record, it may be left in the SENT/INBOX to be deleted automatically in 180 days; or it can be moved to the DELETED folder to be automatically deleted in 30 days.

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Inactive Records – Electronic Documents
Every department, at a minimum of once a year, should review its records inventory to identify those records that are no longer active. If a record is in an electronic format, a determination should be made, based on the length of time the record must be retained and the expectation of how often the record will need to be accessed, whether the record should be stored in an electronic document management system. This decision should be made in consultation with the City Clerk. The City Clerk must approve all records series and the indexing structure for all records entered into the document management system.

The department should also determine if a hard copy of this record exists. Inactive records should not be maintained in both hard copy and electronic format. A determination should be made as to whether the hard copy or the electronic copy is the duplicate record and the duplicate should be destroyed.

If the electronic record is the original record and must be retained for period of time, but it is no longer an active record, it should be moved to an electronic folder on a citywide shared drive set up for future destruction for a date certain. The City Clerk will provide instructions on this process.

Inactive Records – Paper Documents
Every department, at a minimum of once a year, should review its records inventory to identify records which are no longer active. If a record is in hard copy, a determination should be made, based on the length of time the record must be retained and the expectation of how often the record will need to be accessed, whether the record should be moved to the records center or should be scanned into the electronic document management system. This decision should be made in consultation with the City Clerk. The City Clerk must approve all records moved to the Records Center and all records entered into the document management system.

The department should also determine if an electronic copy of this record exists. Inactive records should not be maintained in both hard copy and electronic format. A determination should be made as to whether the hard copy or the electronic copy is the duplicate record and the duplicate should be destroyed.

Records Center – Paper Documents
The City maintains a records center located at City Hall. The records center is managed by the City Clerk’s Office. The City Clerk shall maintain a database of all boxes stored in the records center. This database shall include a description of records within each box, the time period of the records, the destruction date, and the location of the box. If the box is to maintained permanently, that information should be included on the inventory.

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Paper records that are inactive but must be retained either permanently or for a period of time as stated in the City’s records retention schedule should be moved from a department’s active file location to the records center.

Each department is required to prepare a Records Center Storage Request Form and an inventory of records contained within each box in a form prescribed by the City Clerk for transfer of records to the records center. Records will only be accepted into the records center if they have been identified as inactive. All files contained within each box must have the same retention period and the contents must be identified on the Records Center Storage Request Form. Partially filled boxes will not be accepted.

Any request for removal of a box of records from the records center must be submitted to the City Clerk using the Request for Retrieval from Records Center Form. 92 19
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RECORDS DESTRUCTION

Paper Records
At a minimum of once a year, each department will review its file inventory in conjunction with the City’s records retention schedule and identify those records eligible for destruction.

In most cases, paper records that are eligible for destruction, have already been identified as inactive and have been inventoried, boxed and moved to the records center. Each department will provide the City Clerk with a Request for Authorization to Destroy Form and Records Destruction Certificate along with the inventory list for each box eligible for destruction. The City Clerk will provide the form and instructions.

Once the form is completed, the form, along with the records inventory, must be reviewed and approved by the Department Director (records custodian), City Attorney and City Clerk. When the records have been approved for destruction, the City Clerk will make arrangements for the records to be destroyed. Records containing any sensitive or confidential information will be shredded using a reputable records shredding firm.

The Request for Authorization to Destroy Form and Records Destruction Certificate will be retained permanently by the City Clerk. This form is an official record and is confirmation of the City’s legal right to have destroyed the records attached to the form.

Electronic Records
At a minimum of once a year, each department will review its file inventory in conjunction with the City’s records retention schedule and identify those records eligible for destruction.

In most cases, electronic records that are eligible for destruction, have already been identified as inactive and have been moved to the common drive in folders labeled for records destruction - by department and a date certain. Each department will provide the City Clerk with a Request for Authorization to Destroy Form and Records Destruction Certificate along with a detailed inventory list of electronic records eligible for destruction. The City Clerk will provide the form and instructions.

Once the form is completed, the form, along with the records inventory, must be reviewed and approved by the Department Director (records custodian), City Attorney and City Clerk. When the records have been approved for destruction, the City Clerk will make arrangements with the department staff and Information Systems for the electronic records to be deleted from the computer system.

Records stored on a CD, DVD or portable media also follows the same records retention schedule and authorization procedure as for all other records. The destruction method for CDs, DVDS, and floppy discs is demolition by shredding or breaking apart. The destruction method for records on portable media, e.g. zip drives, is erasure and reuse.

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ELECTRONIC DOCUMENT MANAGEMENT SYSTEM

A primary goal of the City’s records management program is to reduce paper documents as much as possible and to better manage documents created and maintained electronically. The most effective means of accomplishing this is to invest in an electronic document management system (EDMS) and to establish policies and procedures for records stored within this system.

Utilizing an EDMS for purposes of storing records that need to be retained for long periods of time and are accessed on a regular basis improves service, efficiency and productivity.

An electronic document management system:
 Improves active records management because of the ability to have large volumes of active records available online and to minimize many time-consuming filing and refilling operations common with paper record systems;
 Allows for simultaneous access to documents and records from multiple locations;  Provides quicker and more reliable retrieval to assist decision-making;  Provides the public with web-based access to public records 24/7;  Requires standards for naming and indexing of records to make retrieval more accurate and effective;
 Increases security of confidential documents compared to paper filing because of electronic systems capabilities to restrict access to sensitive documents and to back up and protect vital records;
 Allows easier disaster recovery because with paper files, once the files are gone, they’re gone for good, while digital systems can easily and economically be backed up in multiple geographical locations;
 Preserves records that are required to be maintained permanently;  Results in centralization of citywide information and forms; and  Reduces records storage costs; and
 Provides for quicker and more efficient response to requests for information from members of the public
At the time of adoption of this policy, the City does not have an electronic document management system that meets the definition of a trusted system per Government Code Section 12168.7.

As finances permit, the City will invest in such a system for all of the reasons articulated above.

Once such a system is in place, the City Clerk, working in consultation with all departments, will identify those records that should be stored in the system and will develop specific procedures that are consistent with all other components of the City’s records management program.

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PUBLIC RECORDS REQUESTS
Public record requests are governed by the Public Records Act, Government Code Sections 6250 - 6270. The code sets forth time limits, fees, records not subject to disclosure, information to redact, etc. The full text of the Code is on file in the City Clerk’s Office and available on line.

The City strictly adheres to all the provisions of the Public Records Act.

Government Code 6152(e) defines a public record as “any writing containing information relating to the conduct of the public’s business prepared, owned, used or retained by any state or local agency regardless of physical form or characteristics.” Disclosure of records involves two (2) fundamental yet competing interests: 1) prevention of secrecy in government and 2) protection of individual privacy.

Inspection of Records
Government Code Section 6253(a) requires that routinely available public records be open to inspection at all times during normal business hours. The law does require requesters to make arrangements in advance for the inspection of voluminous records if staff cannot accommodate the request on the spot.

Inspection of records is permitted only in the presence of City staff. No original records are to leave the possession of the City.

Copies of Records
Government Code Sections 6253(b)(c) require prompt response to record requests, but no later than ten (10) days after receipt of the request. The City may invoke up to a 14 day extension under unusual circumstances. Unusual circumstances include the need to search or collect records from remote storage; review voluminous records; or consult with another agency. The exception is Fair Political Campaign Commission (FPPC) related documents, which must be opened for inspection or copies supplied, within two (2) business days of request.

The City’s policy is to provide the requested information as soon as possible and to develop systems that allow for the efficient search and retrieval of documents. The City’s policy is to also provide documents and information of general interest available through the City’s website so that members of the public have access to this information 24/7.

Guidance to Requester
Most members of the public do not know all the types of records cities keep, nor do they know the official names associated with the records they are seeking. With this in mind the Public Records Act requires public employees to guide requesters in the following ways:
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 Assist the person in identifying records and information that are responsive to the request or to the purpose of the request, if revealed.
 Describe the information technology in which the record exist.  Provide suggestions for overcoming any practical basis for denying access to the records or information sought.

A request for public records cannot compel the City to compile data, gather information, perform research, or otherwise create a record that does not exist or that is not maintained in the normal course of business.

Format of Response
State law specifies that if the records requested exist in electronic form, and the requester asks for them to be transmitted in electronic form, the government agency must comply. Copy fees cannot be charged for documents that already exist in electronic form and are e-mailed to the requester. However, if the documents requested only exist in paper form, the City may charge its copying charge as stated in the City’s Master Fee Schedule for scanning the documents and then e-mailing it to the requester.

In keeping with the City’s “green” policies, all copies should be 2-sided unless there is a compelling reason to use only one (1) side of the paper. To clarify, the City’s copy charge is per page, not per sheet of paper. A two-sided document is two (2) pages.

Procedure for Responding to Requests
All requests for records, whether the request is in person, over the phone, or via e-mail, should be handled in the following manner:

The person receiving the request should determine: 1) does the request need clarification; 2) are the records requested in active status and easily accessible; 3) will there be a need to obtain part or all of the records from staff in another department; 4) will there be the need for legal review or redaction; and 5) how much time it will take to fulfil the request.

If the records requested are in active status, easily accessible by the person receiving the request, and there is no need for internal review of the records, the request should be filled as expediously as possible.

Staff should refer the request to the City Clerk if it is determined that the request will require:
1) coordination of records from more than one (1) department; 2) legal review or redaction; 3) involves a large volume of documents that must either be copied and/or scanned, or 4) a lengthy amount of time to fulfil the request.
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The City Clerk will: 1) track the public records request to ensure compliance with legal timelines; 2) coordinate with the staff that will be responsible for retrieving the documents; 3) insure that the department that is the custodian of the records has obtained any required legal review and/or has performed any required redaction before releasing the records; and 4) correspond with the requester for clarification of the request, response time, and any charges.

Copyrighted or Proprietary Documents
Copyrighted or proprietary documents, such as architectural or engineering plans, literature not published by the City, may never be released to the public without first obtaining written authorization from the original author/designer. In most cases, it is best to refer the requester to the owner of the document to make arrangements directly. The exception to this is a subpoena for records, court order or district attorney investigation, where material is provided without the need to obtain the author’s/designer’s authorization.

Subpoena for Production of Business Records
The City Clerk’s Office receives all subpoenas and related fees, associated with a subpoena for production of records. The department(s) serving as custodian of the records, will inform the City Clerk of the type and volume of records, any need for legal review, redaction, and the time necessary to provide the records.

The City Clerk will contact the attorney who issued the subpoena to discuss the best method of transmitting the records. Depending on the attorney’s needs and the volume of records produced, the department that is custodian of the records will either copy their records and deliver them to the City Clerk’s Office with a page count, or provide the originals to the Clerk’s Office to monitor copying/scanning by a service hired by the attorney. 98 25
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RECORDS MANAGEMENT EDUCATION AND TRAINING
The City Clerk is responsible for initial and ongoing staff training on records management policies and procedures. Training will be provided to all staff that has responsibility for: 1) creation of records; 2) filing and maintenance of records in hard copy and electronic format; and 3) research and retrieval of records.

The City Clerk will meet with new staff as part of an employee orientation to provide an overview of the records retention schedule, the records management program manual and any forms and procedure manuals that the employee may need. The City Clerk will also hold annual training meetings for all employees that have the responsibility for managing records.

The City Clerk will meet with department staff at least once every two years to review: 1) file inventories; 2) departmental retention schedules; and 3) compliance with policies and procedures related to the records management program.
99 D

ISCUSSION AND/OR ACTION

AGENDA ITEM

3. 22-851
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1 STAFF REPORT TO THE CITY COUNCIL
DATE: Regular Meeting of May 14, 2024
TO: Mayor and Members of the City Council
VIA: Dante Hall, City Manager
SUBMITTED BY: Christopher Roke, Parks and Recreation Director Joseph Vasquez, Chief of Police
SUBJECT: Volunteer Recognition
RECOMMENDED ACTION:

Staff recommends the City Council receive an update on Volunteer Recognition in the City of Hercules.

EXECUTIVE SUMMARY:

The City of Hercules has been fortunate to work with many volunteers throughout the city and in many capacities. Staff would like to recognize these volunteers that play a role in the success of the city. The City recognizes that we cannot do what we do without the assistance from so many wonderful people willing to give their time and effort in many ways.

BACKGROUND:

The Hercules Parks and Recreation Department has traditionally benefited from our Senior Membership who will volunteer their time to help with meals, work the front counter, teach classes, and assist with many other programs and events. Earlier this year, we were able to recognize one of these senior volunteers by nominating her for an award through CPRS (California Parks and Recreation Society), for an Outstanding Volunteer. Staff was excited to accompany Dori Smith to the awards ceremony in Albany.

The Parks and Recreation Department also partners with 14 City Recognized Nonprofit groups who often provide help and assistance at a wide variety of programs and activities 22-851
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2 for the community. These groups often participate in annual events like the Community Cleanup Day a nd Tree Lighting. They have also been participating in our Trunk or Treat/PUMPKATAAZ event, as well as events like the re-imagined Rec EGGs-Po/Hydro Hunt.

Other examples of volunteers that help the city, including the Adopt-A-Park/Adopt-A-Trail program. And most recently, the City launched the Team up to Clean up program where residents join in on the first Saturday of each month at a different location to help keep the city looking great.

The Parks and Recreation Department recently helped launch the new Herculean Mile award that City Council has started, by recognizing community members and employees who go above and beyond. The first recipients were recognized at the March 26, Council meeting. Karen and Tony Sanchez received the Co mmunity Award, and Jeanne Krall (known as Jamin’ Jeanne) received the Employee Award.

For decades, the Police Department has leaned heavily on a dedicated group of volunteers for critical tasks that include fleet maintenance, traffic control, press releases, and case preparation for the District Attorney’s Office amongst other daily activities. These generous men and women fill many roles once occupied by other fulltime and parttime employees and devote countless hours of service. Their individ ual sacrifice ensures that our personnel perform their daily responsibilities seamlessly. Every volunteer takes pride in their efforts and makes an unquantifiable impact on our department and the community we serve.

ANALYSIS:

The City of Hercules has benefited from the many partnerships with the 14 City Recognized Nonprofit Groups, the group of dedicated volunteers at the Hercules Police Department and the Hercules Senior Center, as well as those giving their time in the Adopt a Park, the Team up to Clean up, and/or any other program in the city. And as mentioned above, there are countless other members of the community as well as business owners that have substantially contributed to the continued success of the City of Hercules.

FISCAL IMPACT:

The impact of the volunteers in Hercules is immeasurable. On behalf of the City of Hercules, I would like to acknowledge every volunteer that gives time to the city in any one or more of the above-mentioned capacities and extend my sincere thanks and gratitude for all the help.

We value all of you and thank you for all your efforts and support.

ATTACHMENTS:

1. Herculean Mile Award and how to nominate someone for the 2024 Fall Activity Guide

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Herculean Mile - Awards Recognition Program

Criteria and Process

Do you know a community member who deserves to be recognized for their outstanding service to the City of Hercules? There are two (2) categories: City Employee and Member of the Community.

Nominations:

Nominations are now open for the Herculean Mile Awards Recognition Program. Selections will be made up to 3 times per year. Award recipients will be acknowledged in the seasonal Activity Guide that Parks and Recreation develops, and at the December City Council meeting.

Criteria for Recognition: Includes but is not limited to..

Employee Award:
• The nominee must be currently employed by the City of Hercules • The nominee must be viewed as a positive role model in the community • The service rendered must demonstrate a positive impact on the citizens of Hercules

Community Award (Community Member/Business Owner):
• The nominee must be a resident of the City of Hercules • The nominee must provide significant contributions to the community • The service rendered must demonstrate a positive impact on the citizens of Hercules

All Applicants will be reviewed as follows…
• The Hercules Social Committee will review and make recommendations for final approval. • Honorees will be recognized by the Mayor at a City Council meeting and featured in the next seasonal activity guide.

Employees will be recognized at the end of the year service awards gathering.

Nomination Form

Select one category: ❑ Employee Award ❑ Community Award

Select season: ❑ Summer (due by Feb 1) ❑ Fall (due by June 1) ❑ Winter/Spring (due by Oct 1)

Name of Nominee or Organization: ____________________________________________________________

Name and contact info for the person submitting nomination: _________________________________________

Email: _______________________________________________ Phone #: ___________________________

1. Describe the nominee’s service contribution to the community.

2. How did the service of the nominee provide a positive impact for the Hercules community?

3. Please provide examples of nominee going above and beyond, customer service, leadership, innovation, resourcefulness, etc.

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NOTE: When you click the link, there is a series of questions to answer. One of them will give you the nomination dates. These dates are set up to follow the 3 seasonal Activity Guides produced by the Hercules Parks and Recreation Department. These dates are as follows…
• Summer (due by Feb 1)
• Fall (due by June 1)
• Winter/Spring (due by Oct 1)
Submitting nominations by these dates allows
• the committee time to deliberate and make the selection for the winners, • the Parks and Recreation Department time to reach out to the winners to get a statement and photo, and • ultimately get the info into the corresponding guide
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DI

SCUSSION AND/OR ACTION

AGENDA ITEM

4. 22-849
105

STAFF REPORT TO THE CITY COUNCIL
DATE: Regular Meeting of May 14, 2024
TO: Mayor and Members of the City Council
SUBMITTED BY: Dante Hall, City Manager
SUBJECT: Authorize Display of Pride Month Commemorative Flag RECOMMENDED ACTION:

Approve Display of Commemorative Flag for the month of June 2024 – Pride Month BACKGROUND:

Pursuant to the City’s approved Flag Policy, this item is being presented to allow the City Council to consider and approve a request by a member of the Hercules City Council to display the Pride Flag at the Hercules Civic Center during the month of June.

If the Council also approves the display of the Juneteenth Flag from June 14th through June 21st, the Pride Flag will be displayed for the entirety of the month of June except for June 14th through June 21st of 2024.

FISCAL IMPACT:

None as a result of this action.

ATTACHMENTS:

Attachment 1 - Flag Policy – Administrative Policy #16
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DISCUSSION AND/OR ACTION

AGENDA ITEM

5. 22-850

109

Approve the Display of the Juneteenth Commemorative Flag from June 14th through June 21st of 2024.

BACKGROUND:

Officially designated Juneteenth National Independence Day, also known as Jubilee Day and Black Independence Day, Juneteenth has been celebrated on June 19th in various parts of the United States since 1865. In celebration of this historically significant event, in 2022 the City Council approved raising the Juneteenth Flag at the Hercules Civic Center from June 16th through June 23rd of 2023.

Pursuant to the City’s approved Flag Policy, this item is being presented to allow the City Council to consider and approve a request by a member of the Hercules City Council to display the Juneteenth Flag this year at the Hercules Civic Center starting June 14th until June 21st of 2024.

June is also Pride Month, and the Council traditionally approves flying the Pride Flag for the entire month except for the intervening period around Juneteenth, when the Juneteenth Flag was displayed. Pursuant to the City’s Flag Policy, only one commemorative flag can be flown at a time at the designated location at Civic Center.

FISCAL IMPACT:

None as a result of this action.
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ATTACHMENTS:

Attachment 1 - Flag Policy – Administrative Policy #16
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112
113

Hercules City CouncilMay 14, 2024

Hercules City Council
May 14, 2024