San Marino City Council
June 14, 2023

Our general company information, including legal name, address of our sole office location, telephone number, and title information of our two firm principals is provided below:

Hartzog & Crabill, Inc.
17852 E. 17th Street, Suite 101
Tustin, CA 92780
Phone (714) 731-9455
Attn: Mr. Trammell Hartzog, President
Email: [email protected]
Attn: Mr. Gerald J. Stock, PE, TE, Vice President
Email: [email protected]
If selected, Mr. Jerry Stock and I will remain as the firm principals from HCI to oversee the requested engineering services to the City of San Marino. Our Senior Engineer, Mr. Scott Ma, PE, TE, as well as our Associate Engineer, Mr. Michael Vallado, and our Traffic Signal Systems Supervisor, Mr. Greg Cabey, will remain available for any requested day-to-day, on-call traffic engineering services.

HCI is familiar with the City of San Marino’s agreement and insurance requirements. Upon execution of the agreement, HCI confirms that our insurance shall meet or exceed the City’s RFP requirements. HCI is proposing this project as a sole prime consultant, and does not intend on using any sub-consultants, with exception to requested & City-approved traffic count data collection (NDS, Los Angeles), as well as possible design potholing for traffic signal foundations (Bess, Ontario). The attached proposal will remain valid for a period of (90) days from the date of this submittal letter, and may be extended by HCI written authorization upon request by the City.

We encourage City staff to contact our references listed in our proposal, and solicit additional information regarding our firm’s personnel and qualifications. By signing this cover letter of transmittal below, we both attest that all information submitted in the attached proposal is true and correct. On behalf of our entire HCI staff, we sincerely appreciate the opportunity to submit this proposal and being considered to serve your community.

Very truly yours,
HARTZOG & CRABILL, INC.

Trammell Hartzog Gerald J. Stock, PE, TE
President Executive Vice President
City & Traffic Engineering Services
Attach: Proposal
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PROPOSAL FOR

MULTI-YEAR PROFESSIONAL SERVICES
Prepared for:

City of San Marino
Parks and Public Works Department
2200 Huntington Drive
San Marino, CA 91108
Attention:

Ms. Amber Shah, P.E.,
Public Works Director
Presented by:

Hartzog & Crabill, Inc.

Traffic Engineers
17852 E. 17th Street, Suite 101
Tustin, CA 92780
(714) 731-9455
January 23, 2023
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Proposal for Multi-Year Professional Services for the City of San Marino, CA Table of Contents
Section Description Page No.(s)
1 Cover Letter: initial pages
2 Qualifications & Experience of Firm & Key Team Members: 1 - 8 3 References: 8 - 9
4 Project Approach: 9 - 17
5 Conflict of Interest Statement: 18
6 Contract Exceptions: 18
7 Insurance Requirements: 18
8 Cost Proposal and Fee Schedule: (under separate file) 18 Appendix:
 Requested Exceptions to the Agreement
 Insurance Certificate
 Resumes
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Proposal for Multi-Year Professional Services for the City of San Marino, CA

Below and on the following pages, Hartzog & Crabill, Inc. (HCI) has provided our responses to the City’s requirements set forth in PROPOSAL GUIDELINES of the City of San Marino’s RFP (starting on Page 5). We have incorporated the sequential order of the requested format below and on the following pages to facilitate the City’s review.

1. COVER LETTER:

Please see our cover letter of transmittal in the initial pages of this proposal package.

2. QUALIFICATIONS AND EXPERIENCE OF FIRM AND KEY TEAM MEMBERS:

FIRM PROFILE AND BACKGROUND:

Hartzog & Crabill, Inc. (HCI) is a California corporation operating as a private traffic engineering consulting firm, which has been in business since 1993 offering the same types of traffic engineering services under the same name (over 29 years of related experience). The firm’s sole office location is headquartered in Tustin, CA, which provides quick, easy access to the majority of our client cities. Our general firm information, including legal name, address, telephone numbers, and contact information of our two firm owners/principals are provided below:

Hartzog & Crabill, Inc.
17852 E. 17th Street, Suite 101
Tustin, CA 92780
Phone (714) 731-9455
Fax (714) 731-9498
Attn: Mr. Trammell Hartzog, President
Email: [email protected]
And
Attn: Mr. Gerald J. Stock, Executive Vice President
Email: [email protected]
Trammell Hartzog is the president and co-owner (50%) of HCI, and is authorized to commit to contractual terms and conditions resulting from this submittal. Gerald J. Stock, PE, TE, is the executive vice-president and co-owner (50%) of HCI, and is also authorized to commit to contractual terms and conditions resulting from this submittal. If selected, Mr. Jerry Stock will be the firm’s primary point of contact in regards to executing a new agreement with the City of San Marino.

HCI has had no failures or refusals in completing a contract, and has no financial interests or conflicts in other lines of business.

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2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) LOCATION:

The firm’s Tustin office location, near the Santa Ana (I-5) and Costa Mesa (SR-55) Freeways, provides quick and easy access to the majority of our client cities. The office and its employees total twelve (12) individuals who comprise a complete staff of professional engineers and support technicians where all work products are prepared. All design and drafting work is accomplished using state-of-the-art AutoCAD software and personal office computers.

DESCRIPTION OF FIRM:

HCI is a consulting engineering firm specializing in serving local government agencies with a full array of engineering services, including serving several of our client cities as contract City Traffic Engineer, contract City Engineer, and “on-call” City Traffic Engineer. Specific to traffic engineering, traffic signals operations, and transportation planning, HCI performs various traffic services including, but not limited to, the following:

Design of traffic signal and striping plans, specifications, and estimates (PS&E); traffic control plans; review of traffic impact analyses; preparation of warrant analyses for traffic control devices (traffic signals, Stop signs, crosswalks, flashing beacons, RRFBs, etc.); and engineering and traffic surveys for establishing speed limits; on-going remote and local (off-site/on-site) management of local agency traffic signal systems; development and design of traffic signal coordination systems; assist cities with coordination of services completed by their traffic signal maintenance contractor.

HCI also provides construction observation services on behalf of our client Cities relative to the installation of new or upgraded traffic signals and copper/fiber optic interconnect communications in order to verify compliance with approved PS&E.

Since its inception in 1993, HCI has proven itself as a leader in client satisfaction through successful project completion. This is evident in the continued and long-standing relationships we have maintained with our numerous client cities. The successes are attributed to the "hands on" approach that is demonstrated by our two firm principals, Mr. Trammell Hartzog and Mr. Jerry Stock, as well as other staff members.

Mr. Hartzog’s experience covers over (40) years involving a specialization and unmatched expertise in traffic signal design, signal operations, and signal system coordination. Mr. Stock is a registered Civil and Traffic Engineer whose experience covers over (32) years and has been serving the City of Bellflower since 2000 as both contract City Engineer and City Traffic Engineer.

In addition to our technical expertise, a cornerstone of HCI’s success is our work ethic, loyalty to our client cities, completion of assigned tasks on schedule, and ability to effectively communicate with the public, City staff, and elected officials.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) TYPICAL SERVICES:

Working with numerous Southern California cities, HCI has been responsible for directing the activities of Traffic Divisions, providing expertise to City Engineering and Planning staffs, and responding to requests, inquiries and concerns of citizens and City Council members; typical of certain needs identified by the City of San Marino’s RFP for on-call traffic engineering services.

If desired, our overall services available to the City of San Marino include the following:
 Traffic signal design
 Signing and striping design
 Develop and implement traffic signal timing plans
 Develop, design and implement traffic signal coordination systems  Traffic management plans (traffic control plans)
 Warrant analyses for traffic control devices, such as traffic signals, Stop signs, crosswalks  Engineering and Traffic Surveys for establishing speed limits  Review of traffic impact analyses
 Remote and local (off-site/on-site) management of traffic signals  Review all proposed improvements, development, site and traffic management plans to ensure conformance with applicable standards (City, AASHTO, Cal. MUTCD, etc.)  Develop traffic-related conditions of approval for planning and development applications  Identify and prepare applications for public improvement funds/grants  Coordination of activities of our client cities’ traffic signal maintenance contractor  Contract City Traffic Engineering
 All other traffic-related impact reports, surveys and analyses From our office location, HCI also continuously operates eleven (11) agencies’ citywide traffic signal systems. The local agencies where HCI remotely operates and daily monitors the coordination timing for traffic signals are the following cities:
1) Aliso Viejo 5) Laguna Hills 9) Stanton
2) Cerritos 6) Moorpark 10) Tustin
3) Cypress 7) Rancho Santa Margarita 11) Yorba Linda
4) Indian Wells 8) San Juan Capistrano
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Proposal for Multi-Year Professional Services for the City of San Marino, CA

2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) ORGANIZATIONAL CHART:

HCI staff is comprised of (12) engineering professionals and technicians who have the proven ability/expertise to meet the ever-changing, challenging needs of the modern city. As shown above, HCI is providing an organizational chart showing the relationship of the City of San Marino and our consultant team. Our proposed personnel are all headquartered in our Tustin office and will remain during the term of the agreement. HCI is proposing as the prime consultant, with two possible sub-consultants: NDS and Bess (or C Below). National Data & Surveying Services, Inc. (NDS) may be used more frequently for requested traffic count data collection associated with reports, surveys, studies, and investigations. Bess Testlab (or C Below, Chino if preferred) will only be used as-needed/approved for design potholing of traffic signal pole foundations.

Traffic Signal
Monitoring
Trammell Hartzog
Scott Ma, PE, TE
Senior Engineer
Michael Vallado,
Associate Engineer
Greg Cabey, Traffic Signals
Systems Supervisor
Todd Hartzog,   Senior Designer
Bess TestLab, Inc.

C‐Below, Inc.
(potholing subs)
Firm Principal
Trammell Hartzog,
President
Firm Principal Engineer
Jerry Stock, PE, TE,
Executive Vice President
Traffic Signal Design &
Plan‐Check, Signal
Operations/Coordination
Traffic &  Transportation
Studies & Warrant
Reports, Exhibits
Jerry Stock, PE, TE
Scott Ma, PE, TE
Bernie Dennis, TE
Michael Vallado

Dave Martorano,   Senior Designer
NDS, Inc.
(count data sub)
NPDES, Surveying, Map/
Easement/Legal Description,
Landscape Design
Jerry Stock, PE, TE
(under Mr. Stock’s direction)
Lori Wolfe, PE
(NPDES)
CL Surveying
(Surveying Services)
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Proposal for Multi-Year Professional Services for the City of San Marino, CA

2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) Our proposed staffing plan to provide the Category 1: On-Call Traffic Engineering Services as listed in the City’s RFP follow:

STAFFING PLAN

1. ON-CALL TRAFFIC ENGINEERING SERVICES:

Mr. Gerald J. Stock, PE, TE – Civil/Traffic Principal Engineer Mr. Scott Ma, PE, TE – Senior Engineer (Project Manager) Mr. Michael A. Vallado – Associate Engineer (Alternate Project Manager) Mr. Dave Martorano – Senior Designer

2. TRAFFIC SIGNAL OPERATIONS SUPPORT SERVICES:

Mr. Trammell Hartzog, Firm Principal
Mr. Greg Cabey - Traffic Signal Systems Supervisor
Mr. Todd Hartzog – Senior Designer
Mr. Michael Powers - Traffic Signal Systems Specialist
All listed staff members have availability and will remain ready to serve the City of San Marino with requested on-call traffic engineering services. Our staff’s current work assignments and commitments to other projects are not expected to restrict or prohibit availability to San Marino.

Changes in personnel are not expected, but if needed, will be submitted to the City for prior approval. Summary qualifications of our staffing plan follow (certain full resumes attached):

Mr. Gerald J. Stock, PE, TE – Civil & Traffic Principal Engineer Mr. Gerald ‘Jerry’ Stock has been executive vice president of HCI for 22 years. He is a registered professional Civil and Traffic Engineer with more than (32) years of municipal engineering experience. Jerry presently serves the City of Bellflower as contract City Engineer and City Traffic Engineer since November 2000. Prior to Bellflower, he also served the City of Norwalk as City Engineer, as a member of City staff. As such, he has first-hand experience with the day-today challenges, as well as opportunities, for the development of solutions to a variety of traffic/transportation-related issues.

Mr. Trammell Hartzog, Principal – QA/QC Manager
Mr. Trammell ‘Tram’ Hartzog has been president of HCI for over 29 years. He will serve as QA/QC Manager for the City of San Marino in regards to possibly requested traffic signal operations support services. As QA/QC Manager in charge of these traffic services, he will ensure that communication between the City of San Marino and HCI occurs at regular intervals. With over (40) years of overall experience, he is a recognized expert in the area of traffic signal design and operations. Tram has designed numerous traffic signals, timed many traffic signals, and presently provides traffic signal operations services to (11) Southern California cities.

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2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) Mr. Scott Ma, PE, TE – Senior Engineer (Project Manager) Mr. Scott Ma has been a senior engineer with HCI for (14) years. He is currently providing parttime contract City Traffic Engineer services to the Cities of Lake Forest and Hermosa Beach.

Scott will remain available as a main point of contact to serve the City of San Marino and provide On-Call Traffic Engineering Services, as needed. Scott is a licensed Civil and Traffic Engineer registered in the State of California and brings over (21) years of engineering experience. Scott’s experience includes reviewing and conducting a variety of traffic studies including but not limited to, warrant analyses, preparing and reviewing traffic impact analyses reports and recommendations, responding to community requests such as crosswalks, traffic signals, Stop signs, parking matters, and also performing project management that includes the final design preparation and submittal of project plans, specifications, and estimates (PS&E). His experience also includes overseeing numerous aspects of our client cities’ consulting service requirements in regards to review of traffic-related requests, analyses and operational studies, permits, and other daily duties requested.

Mr. Michael A. Vallado – Associate Engineer (Alternate Project Manager) Mr. Michael ‘Mike’ Vallado provides assistance to our two principals and senior engineer in the area of preparation of traffic signal and left-turn phasing warrant analysis reports, traffic signal operations (LOS) and queuing analyses, Stop sign analyses, and related project specifications.

Mike will remain available as a secondary main point of contact to serve the City of San Marino and provide On-Call Traffic Engineering Services, as needed. Mike brings over (24) years of experience specifically related to traffic-engineering and signal design. Five of these years were devoted to running the City of Glendora's Traffic Engineering section, while the past (19) years have been with HCI. His primary responsibilities with HCI include preparing signal analysis reports & recommendations, warrant analyses and evaluations, project specifications, and final review/preparation of PS&E to our client cities.

Mr. Greg Cabey – Traffic Signal Systems Supervisor
Mr. Greg Cabey brings over (31) years of traffic signal experience to the HCI team and may be involved in certain aspects of requested Traffic Signal Operations/Timing Services. Prior to his (19) years at HCI, Greg was a Lead Technician for Peek Traffic for over (12) years. It should be noted, Greg spent much of his time at Peek within this area, as this was one of several areas assigned to him. This experience has allowed him to retain in-depth knowledge on the types of controllers in the area’s traffic signal system. He is certified as an International Municipal Signal Association (IMSA) Level III Traffic Signal Technician. Greg’s extensive field experience with signal systems/timing will aid in the complete success for requested on-call traffic signal operations/timing support services.

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2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) Mr. David Martorano – Senior Designer
Mr. David ‘Dave’ Martorano provides assistance in the area of traffic engineering design, as well as be available to conduct field-reviews for traffic signal equipment and signing/striping-related tasks. Dave has been with HCI for 28 years with overall experience in traffic engineering design.

His responsibilities include project research and full AutoCAD design on all traffic-related projects, including traffic signal, interconnect, signing/striping, and traffic control plans.

Mr. Michael Powers – Traffic Signal Systems Specialist
Mr. Michael Powers has been with the HCI team for over (9) years, and will remain available to assist with certain aspects of requested traffic signal operations/timing support services. Michael brings over (32) years of traffic signal experience, certified as an International Municipal Signal Association (IMSA) Level III Traffic Signal Technician. Prior to HCI, Michael worked for Siemens as a Lead Technician for over (20) years, and is very familiar with the City’s signal system.

NAMES AND QUALIFICATIONS OF SUB-CONSULTANTS:

National Data & Surveying Services (NDS)
As mentioned, HCI anticipates using NDS, headquartered in Los Angeles, as our sub-consultant for obtaining City-requested traffic count data collection. Typically, HCI works with NDS to collect required vehicular traffic and pedestrian data as part of City-requested surveys, studies, and investigations. Founded in 1989, NDS was established to deliver accurate and professional solutions to their client’s traffic, transit and GIS/GPS data collection needs. NDS has over (30) years of successful operations, and an outstanding team of (100) professional full time employees that have established them as the foremost, full service traffic and transit data collection company on the west coast. NDS is certified as a SBE by the State of California. HCI has successfully partnered with NDS on numerous data collection projects over the last (18) years, realizing their competitive pricing on their efficient data collection. Projects that HCI has completed with NDS include data collection for numerous stop sign warrant analyses, traffic signal warrants analyses, left-turn phasing/delay warrant studies, citywide E&T speed limit surveys, citywide ADT flow maps, truck classification counts for TI calculations, traffic signal timing development (free & coordinated timing), Synchro Level-of-Service (LOS) operational/queuing analyses, crosswalk analyses, video surveillance, and parking studies. Upon request by the City, HCI will coordinate and work with NDS to conduct count data collection specific for each task.

National Data & Surveying Services (NDS)
1535 S La Cienega Blvd
Los Angeles, CA 90035
Ph: (323) 782-0090
www.ndsdata.com
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2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) Bess Testlab, Inc.

As mentioned, as part of certain City-approved preliminary traffic signal design work, HCI will use a certified potholing company, such as Bess TestLab, Inc. (Bess), as our sub-consultant. We realize that certain traffic signal pole foundations are larger diameter and deeper per the latest State standards, and contractors may have issues with conflicting underground utilities when digging the foundations. Therefore, as part of the completion of certain preliminary designs, HCI and Bess will identify the actual locations in the field for the proposed larger-size signal pole foundations in the field. Bess will then complete the number of City-approved potholes at the project location.

This potholing task is becoming more necessary during design phase in order to verify that equipment such as new traffic signal pole foundations being designed are accommodated in the sidewalk area, and prevent having to relocate pole placement during construction, or worst-case, prevent having to re-order new traffic signal poles during construction causing delay and extra costs. Bess uses special equipment, skilled personnel, certified safety-sensitive hazmat-trained technicians and supplies required to perform designation and utility location services using dustcontrolled, soil-monitored VOC (volatile organic compounds) sensored, soil extraction methods.

HCI has successfully partnered with Bess (previously known as Saf-r-Dig) for potholing tasks on several design projects over the last seven years, including for the Cities of Bellflower and Indio.

Bess Testlab, Inc.
1508 E. Francis Avenue, Unit A
Ontario, CA 91761
Ph: (909) 510-5535
www.besttestlab.com
It is noted, HCI may also use C Below (Chino, CA) instead of Bess if preferred and requested by the City. HCI can and will provide further information for C Below, at the City’s request.

3. REFERENCES:

COMPARABLE CONTRACTS DURING THE LAST 5 YEARS:

Below is a listing of eight (8) relevant City references where HCI continues our on-going, on-call traffic engineering services for review/verification of our experience:

1. City of Bellflower - City Engineer & City Traffic Engineer Contract Services, Mr. Len Gorecki, Public Works Director, [email protected] (562) 804-1424 (since 2000) Project Manager and Principal in Charge – Mr. Gerald J. Stock, PE, TE

2. City of Cypress - City Traffic Engineering & Signal Operations Services, (since 1994) Mr. Nick Mangkalakiri, PE, Assistant City Engineer, [email protected], (714) 229-6750 Project Manager and Principal in Charge of Signals – Mr. Trammell Hartzog

3. City of Hermosa Beach - On-Call City Traffic Engineer Contract Services (since 2006) Mr. Lucho Rodriguez, Deputy City Engineer, [email protected], (310) 318-0210; Contract City Traffic Engineer – Mr. Scott Ma, PE, TE
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3. REFERENCES: (continued)

4. City of Laguna Hills - City Traffic Engineering & Signal Operations Services Mr. Joe Ames, PE, Public Works Director, [email protected], (949) 707-2655 On-Call Traffic Engineering Services (since 2000)
Project Manager and Principal in Charge of TE Services – Mr. Gerald J. Stock, PE, TE On-Call Traffic Signal Operations Support Services
Project Manager and Principal in Charge of Signals – Mr. Trammell Hartzog

5. City of Lake Forest – City Traffic Engineering Services, (949) 461-3480 Mr. Thomas E. Wheeler, P.E., Director of Public Works, [email protected] As-Needed Professional Engineering Services (since 2014) Project Manager in Charge of Traffic Engineering Services – Mr. Scott Ma, PE, TE

6. City of Tustin - City Traffic Engineering & Signal Operations Services, (714) 573-3263 Mr. Ken Nishikawa, Deputy Director of Public Works, [email protected] As-Needed Professional Engineering Services (since 1994) Project Manager in Charge of Traffic Engineering Services – Mr. Doug Anderson Traffic Signal Operations Support Services / Signal Monitoring Project Manager and Principal in Charge of Signals – Mr. Trammell Hartzog On-Call Traffic Signal, Signing & Striping, & Traffic Control Plan-Checking Services Project Manager in Charge of Plan-Checking Services – Mr. Scott Ma, PE, TE

7. City of Yorba Linda - On-Call City Traffic Engineering Services, (714) 961-7170 Mr. Tony Wang, Traffic Engineering Manager, [email protected] (since 1994) Project Manager and Principal in Charge of Signals – Mr. Trammell Hartzog

8. City of Yucaipa - On-Call Traffic Engineering Services, (909) 797-2489 x240 (since 1994) Mr. Fermin Preciado, Director of Development Services/City Engineer, [email protected] Project Manager for requested on-call traffic engineering services – Mr. Mike Vallado

4. PROJECT APPROACH:

ON-CALL TRANSPORTATION AND TRAFFIC ENGINEERING SERVICES:

HCI understands that the City of San Marino’s intent of this RFP is to contract with a firm to provide a range of engineering services on an on-call/as-needed basis and help facilitate the implementation of the City’s Capital Improvement Program (CIP) and other municipal programs.

As can be seen in our prior Relevant Experience section, HCI has been providing similar on-call traffic engineering services to several Southern California local city agencies for numerous years.

It is noted, HCI has reviewed all tasks identified in the City’s RFP, under SCOPE OF SERVICES, and confirm that they are all included as part of our services that may be provided upon request by the City. There are no other required, additional or optional services to mention, unless requested by the City.

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4. PROJECT APPROACH: (continued)
In careful review of the City’s RFP, we are providing our knowledge, skill sets, qualifications, and experience related to what is being sought in Category 1: On-Call Traffic Engineering Services (as listed below):

1. Design Engineering Services (Traffic Signal, Signal Interconnect Design Plans) HCI has extensive experience in the development of traffic engineering plans, such as new traffic signal, traffic signal modification, and signal interconnect as these are among our firm’s primary service products. Upon request by the City’s contract officer, HCI will generally begin a traffic design by completing a topographic field-review of the intersection/location. More specifically, HCI staff conducts a field review to verify existing equipment and/or document roadway features including curb, gutter, median alignments, sidewalks, driveways, catch basins, curb returns, bus and bicycle routes, signing and striping. HCI also reviews the project roadways and compares the layout drawings against existing field conditions. Potential conflicts between proposed improvements and underground/overhead utilities (other infrastructure) are investigated.

HCI then prepares a base design plan using AutoCAD for the project location. After incorporating all necessary utility data, a preliminary traffic plan is prepared that takes the existing and modified street and intersection geometries into consideration, along with other factors that may influence the design and/or operation of the system. Each plan includes necessary notes/specifications for applicable equipment removal and installation.

The majority of our traffic signal design work is designed in conformance with Sections 86 and 87 of the State of California (Caltrans) Specifications and Standard Plans, latest edition, and is compliant with the City’s most current signal design standards and technical provisions. The traffic plans generally include: General and construction notes, phase diagram, conductor, detector and pole schedules, and any other details necessary for construction.

The plans are typically prepared at 20-scale or 40-scale and plotted on ‘D’ size (24”x36”) full-size sheets with standard City title block. HCI usually provides a 60% and 90%-complete progress submittal of the preliminary traffic plans to the City for design review. Comments received during the City’s review are incorporated in a timely manner into the final 100% plan submittal.

Similarly, HCI has extensive experience in the development of signing and striping plans, signing/striping modification plans, and traffic control plans. For each of these types of plans, HCI includes applicable technical provisions and engineer’s estimates that complement each plan set providing complete PS&E ready for construction bidding on time and within the City’s approved schedule. All plans are prepared under our licensed Traffic and Civil Engineers.

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4. PROJECT APPROACH: (continued)

1. Design Engineering Services (Traffic Signal, Signal Interconnect, & ITS Design Plans) (cont’d) It is important to note, all of our engineering staff assigned to serve the City of San Marino have a thorough knowledge and proficiency in the local agency municipal codes, current State (Caltrans) standard plans and specifications, Highway Design Manual, Highway Capacity Manual, California Manual on Uniform Traffic Control Devices (CA MUTCD), policies and procedures for ADA regulations, traffic signal timing, traffic engineering modeling and methodologies, ITS, Federal/State/County/City funding, traffic standards and methodologies, and the State of California Vehicle Code.

Our team will provide the City with all materials and labor to perform the requested traffic engineering design services and conform to these standards. In addition to our technical expertise, our staff possesses the ability to effectively communicate in oral or written form and have no difficulty speaking before groups. HCI staff will attend City staff, City Council, Planning Commission, and any other extraordinary meetings or events, as needed and requested by City.

HCI staff does have the expertise to complete all traffic engineering services as listed in the City’s RFP, including cooperatively working with various agencies such as Caltrans and Los Angeles County.

2. Plan-Checking Services / Private Development Plan-Check HCI understands that the on-call professional engineering services that may be requested by the City’s contract officer may involve plan-check services for the consultant to provide on behalf of the City, in accordance with current Traffic Engineering and Traffic Operations principles and design requirements. As our firm specializes in providing traffic engineering services to local agencies, HCI staff have reviewed and plan-checked countless traffic plans over the past (29) years for numerous cities. As an approved consultant, upon request HCI will perform plan checks and reviews in accordance with any applicable City Design Manual, Standard Plans, Technical Provisions, Planning and Design Guidelines for Bicycle Facilities, and Transportation Guidelines, Caltrans Highway Design Manual, CA MUTCD, and the Caltrans Standard Plans and Specifications.

HCI’s experience and expertise allows quick and complete site plan review for all types of traffic engineering applications, as well as certain civil applications, to determine conformance to traffic, parking, access, street and pavement, subdivision requirements, meetings with developers or contractors to resolve traffic issues.

Upon request, HCI staff will red-line a plan and/or render and remit a typed plan-check correction/clarification list (2 copies) to the Public Works Department/Engineering Division within (10) working days from notification by the City for a typical development project.

HCI’s traffic plan review check list is comprised of the following:

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4. PROJECT APPROACH: (continued)

2. Plan-Checking Services / Private Development Plan-Check (cont’d)  Date Reviewed
 Action Required
 Reviewed by Engineer
 Project Name & No.
 Professional Engineer’s Approval Signature Block
 Professional Engineer’s Stamp
 North Arrow
 Map Scale
 Street Names
 General Notes
 Standard Plans Effective
 Standard Plan Call-Outs
 Construction Notes
 Utilities with Contact Information
 Right-of-Way
 Driveways
 Sidewalk and Curb Pedestrian Ramps
 Cross-Slope Sections and Profile (if applicable)
 Dimensions
 Sawcuts
 Signing and Striping Design
 Tapers
 Turning Templates
 Sight Distance, Vision Clearance
 Traffic Signal Design
 Traffic Signal Coordination
 Pedestrian Circulation
 Street Lighting
 Conditions of Approval
HCI has the capability and does practice digital plan review. As this method has been requested in order to conserve materials and plan delivery time, HCI staff receives traffic plans in PDF format for plan-check review. Our designers review each plan and provide comments in using the Adobe Acrobat PDF or Nitro PDF programs. These softwares provide the “commenting” features to provide dated comments on the PDF file in red text, strike-outs, leader arrows, and applicable notes. In this way, the comments may be saved and emailed back and forth from/to the City, in a quick, neat manner.

If the City prefers, HCI has the capability to more quickly print plans received by the city on fullscale sheets from our plotter, and have our engineers prepare plan-check comments by hand in red pencil/pen. Upon completion, the sheets are scanned into our network as PDF files using our large-scale color scanner. These files are then emailed to the City/consultant quickly without having to use regular mail or overnight delivery.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)
If requested, our reviews conclude with developing detailed, project-specific Conditions of Approval for the City’s consideration. It is noted that many development-related services such as the review of street improvement or traffic signal plans are project specific and are treated as recoverable project costs. With our internet based tools and 12-person available staff, HCI is very capable of taking on and efficiently managing multiple design/review projects.

3. Other Traffic/Transportation Engineering Services, including Reports & Surveying Warrant Analyses/Reports
Our staff also prepares numerous warrant analysis and traffic operations reports every year for various city agencies, such as traffic signal warrants, left-turn phasing warrants, multi-way stop warrants, operational level-of-service (LOS), queuing analyses, flashing beacon warrants, traffic calming studies, traffic signal master plans, citywide Engineering and Traffic (E&T) surveys for speed limits, etc. Upon City request, HCI staff also completes field reviews for sight distance, order applicable vehicular and pedestrian count data, and quickly gathers, prepares, and analyzes SWITRS collision data (via i-SWITRS website), prepares exhibits, and develops reports for literally hundreds of traffic studies for our client cities.

Upon request by the City’s contract officer, HCI will also provide critical intersection calculations, as we do for several of our client city agencies on a bi-annual basis, for compliance with the region’s Congestion Management Program (CMP) and Highway Performance Monitoring System (HPMS). In regards to the CMP, HCI typically gathers peak-hour turning movement counts for the specified intersections, and applies these traffic volumes, number of lanes for each approach leg, and traffic signal timing to obtain an intersection LOS.

More specifically, HCI utilizes the Intersection Capacity Utilization (ICU) or the Highway Capacity Manual (HCM) methodologies, as appropriate, to complete peak-hour intersection levelof-service (LOS) calculations. Typically, HCI uses the HCM methodology to determine LOS at traffic signalized intersections using the Synchro Traffic Signal software, unless the ICU methodology is specified. HCI then reviews the results, determines applicable deficiencies, and provides a recommendations report to the City for improving LOS to acceptable standards, such as additional lanes, protected left-turns, overlap phases, and signal timing.

Software
HCI uses state-of-the-art licensed AutoCAD software, as well as the Microsoft Office suite of programs, Synchro 11, and Adobe & Nitro PDF programs on our office computers. More specifically, our designers use the AutoCAD software for all of our design plan work, which typically include traffic signal plans (new or modification), signing and striping plans, signal interconnect plans, certain civil plans, and report exhibits. All of our staff’s computers use the Microsoft Office programs (including Excel, Word, Outlook, & Powerpoint, etc.) to complete various reports, memos, specifications, and estimates as part of the requested PS&E design work.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)

3. Other Traffic/Transportation Engineering Services, including Reports & Surveying (cont’d) Software (cont’d)
In regards to Simulation/Modeling, our engineers use the Synchro program, as well as the latest Tru-Traffic time-space coordination timing software, for various timing development and evaluations, modeling and simulations. HCI is very familiar with Synchro, which uses the Highway Capacity Manual (HCM) methodology for corridor timing development.

TRAFFIC SIGNAL OPERATIONS SUPPORT SERVICES:

It is noted, we are including an explanation of our on-going traffic signal monitoring support services for the City’s review. We understand these particular services are not needed or included in the RFP; however, they are provided as part of our experience information for the City’s consideration.

As mentioned, HCI currently manages the traffic signals and signal systems of (11) Southern California cities on a daily basis. Consequently, we have a very good understanding and are infinitely familiar with both the Econolite control equipment as well as the Centracs and Aries Traffic Management System softwares for traffic signal systems management. In regards to coordination timing and separate time-referencing devices, all signal controller time clocks that we manage are constantly updated through our Centracs and Aries Traffic Management softwares, which are always connected to the GPS time via internet.

HCI’s project-specific experience includes extensive knowledge on the local agency’s signal controllers. HCI staff continuously (daily) interfaces with the signal controllers in our client cities which currently use the Econolite ASC/2S, ASC/3, and the latest Cobalt system controllers, the ASC/2M master controllers, and managed by the Centracs and Aries Traffic Signal Management systems.

HCI staff’s “hands-on” traffic signal timing experience comprises all levels of timing applications, including timing input into signal system controllers manually and from our traffic signal management center through our licensed system software, designing and installing special “custom” traffic signal operational circuitry, and maintaining signal interconnect operations.

Our same team members have been working with several City staffs during the past several years in monitoring their City’s systems. In conjunction, HCI staff continues our on-going excellent relationships with most traffic signal, lighting, and signal maintenance contractors (and their technicians) including Econolite (Aegis), Siemens ITS, Crosstown/Computer Services Company (CSC), Bear Electric, St. Francis, as well as with Caltrans and the Counties of Los Angeles, Orange, and Riverside for any shared City/State or City/County intersections.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)
Lastly, throughout the past years, HCI has maintained a good working relationship with Caltrans, as several projects have been implemented that successfully interfaced with freeway interchange traffic signal systems.

APPROACH:

The specific approach to our on-going traffic signal operations and timing management services that HCI provides to our client agencies includes the following:

HCI typically provides a Traffic Signal Systems Specialist for the monitoring support on all the City’s traffic signals. The Specialist sets up the Scheduled Operations on the Centracs or Aries Traffic Management systems specifically for our client City’s systems in order to automatically perform a variety of tasks. Specifically, the Centracs/Aries functions and Specialist’s time spent on these services include performing the following daily sub-tasks:

1. The Scheduled Operations automatically gather and store historical data and real-time information on all the City’s traffic signal operations programmed;

2. The data is reviewed daily to verify that all traffic signals are working properly;

3. Any malfunctions logged are immediately reported to the City’s designated traffic signal maintenance contractor, for dispatch;

4. The historical data is also analyzed to identify traffic volumes and patterns in order to assist in determining if adjustments to signal timing is necessary;

5. Verify if all timing is programmed correctly in each master and local controller.

HCI staff typically reports traffic signal problems and malfunctions to the City’s traffic signal maintenance contractor within (24) hours. HCI staff coordinates all work associated with the City’s contractor and also provides verification to the City of their completed work. HCI staff often assists the City in resolving traffic signal complaints by speaking by phone/email/in person with the resident(s)/City personnel on their specific request/complaint. HCI staff completes the necessary investigation and makes recommendations to the City on identified traffic signal improvements, such as equipment upgrade, more efficient signal phasing, significant timing adjustments, any new coordinated signal control systems, etc.

Upon request, HCI staff may also drive each project arterial during peak-periods in order to verify and fine-tune coordination timing. If necessary and approved by the City, HCI also coordinates/gathers updated traffic counts as part of the investigation.

The above approach has proven to be a valuable service to our client cities, as the on-going scheduled signal management has minimized overall time in troubleshooting, repair, and maintenance company efforts by City staff on their citywide traffic signal systems. In turn, this controlled management service actually saves the City on the amount of time and personnel required to monitor and repair signal related issues.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)
PROJECT CONTROLS:

HCI understands the selected consultant is expected to establish and maintain a close working relationship with City of San Marino staff throughout the duration of the tasks or projects. A tenet of HCI is our belief that when acting on behalf of the City, we serve as staff associates, or as an extension of City staff, in the well-being of the City. As such, we try our very best to always streamline the required traffic signal management tasks, design and plan review process, and also believe we have a commensurate responsibility to the public for high quality performance of our own services, and quality assurance when reviewing others’ plans.

A mentioned, all of our staff that will serve the City of San Marino have a thorough knowledge and proficiency in local agency municipal codes, current State (Caltrans) Standard Plans and Specifications, Highway Design Manual, Highway Capacity Manual, California Manual on Uniform Traffic Control Devices (CA MUTCD), policies and procedures for ADA regulations, traffic signal timing, traffic engineering modeling and methodologies, County/City traffic standards and methodologies, and the State of California Vehicle Code.

Upon request by the City’s contract officer, our team will provide the City with the materials and labor to perform the requested on-call traffic engineering and traffic signal operations support services, and conform to industry standards. In addition to our technical expertise, our staff possesses the ability to effectively communicate in oral or written form and have no difficulty speaking before groups, if requested by the City.

As part of our on-call traffic engineering and on-going signal management services, HCI staff remains available to provide assistance to the City’s contract officer and/or contractors during the construction phases, as applicable, either in person, or via email or phone.

As we specialize in traffic design, HCI prides itself on timely design phase submittals, complete internal plan-checks of our own designs or other consultants’ designs, and consistently providing a quick turn-around for addressing comments. We typically provide 60%, 90% and final submittals on our designs within 4 to 8 weeks, and rarely have significant comments on our own design plans.

Upon review and final approval by the City of the preliminary engineering plans submitted, a final set of the plans, specifications, and construction estimate (PS&E) are typically submitted within a week, including a construction item list with quantity extensions and definitions suitable for bidding. Our typical turn-around for plan-check services is within one to two weeks from receipt.

Similarly, HCI can control costs by providing accurate and timely invoices through internal control measures. HCI prides itself on consistently working with our client City to quickly address requests and staying in budget. HCI’s ability to take a request from the City for a traffic design all the way through completion of construction, including signal timing and operations tasks, ensures greater accuracy, efficiency, and timely results.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)
The City is seeking professional traffic engineering support and expertise in the application of Traffic Engineering principles and practices to enhance the safety and efficient movement of pedestrians, cyclists, and vehicular traffic. HCI understands the specific scope of work for each task/project will be provided from the City in a transmittal letter or email communication along with a meeting, if necessary, to discuss the specific needs of the assignment. Within five (5) business days of receipt of the transmittal, HCI is expected to provide the City with a proposed level of support along with a completion schedule and an estimated cost to perform the task/project for the City to review and approve.

QUALITY ASSURANCE / QUALITY CONTROL (QA/QC):

HCI employs the following QA/QC program that outlines the definition of roles, responsibilities, expectations, review requirements, and quality standards of all services, documents, and procedures in order to ensure a high standard of work:
a) Service Request or Plan Review:

Our service tasks and submitted documents go through three levels of review prior to response:

Initial Peer Review, Project Manager Review, and QA/QC Review. This three-tiered review allows for error mitigation on three separated levels of detail: ground level (signal design and management check, drafting, calculations, and document formatting), project management level (signal design and management decision, and project intent compliance) and quality assurance level (signal design and management confirmation, completeness of document and ensure “biddable” or “implementable” plans). Our service tasks and plan checks look at the 5C’s:
consistent, correct, clear, constructible, and complete. b) Communication:

HCI will stay in constant communication with the City contract officer to ensure we understand the service request and have all necessary milestones in place and that we meet those milestones. As previous clients can attest to, our team will allocate as many engineering and support staff to the project to ensure the schedule is maintained and that the City is satisfied with the delivery of the project. We make it a point to accommodate our client's needs, and we guarantee satisfaction with our ability to deliver. By making ourselves consistently available to the City, we avoid delays and any defects to the final traffic PS&E or any signal services that could occur as a result of miscommunication or misunderstanding.
c) Scheduling:

For the remote possibility there is a delay, our project manager will develop strategies to bring the project back on track using all necessary means at no additional cost to the City. Above all else, clear communication will be the critical item in bringing any schedule slippage back on track. Our staff will actively communicate with the contract officer and affected parties to reschedule or reallocate resources in an effort to expedite all necessary items. Tasks can be reorganized to allow for staggering of work items.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

5. CONFLICT OF INTEREST STATEMENT:

HCI has had no failures or refusals in completing a contract, and has no financial, business, or other relationship interests or conflicts to have an impact on the outcome of this contract.

6. CONTRACT EXCEPTIONS:

We have reviewed the City’s standard agreement. Upon recommendation of our insurance provider, we respectfully request the City’s consideration of the attached red-lined exceptions to certain agreement sections (see Appendix).

7. INSURANCE REQUIREMENTS:

Upon execution of a new agreement, HCI confirms that our insurance shall meet or exceed the City’s RFP requirements. At this time, we have included a copy of our firm’s insurance certificate for the City’s review and consideration.

8. COST PROPOSAL AND FEE SCHEDULE:

As outlined in the City’s RFP, as our services offered are on-call, as-needed traffic engineering services, HCI is providing our Schedule of Hourly Rates (attached in separate file) for compensation of City-requested Category 1: On-Call Traffic Engineering Services.

These rates will be valid through a new minimum 3-year contract. HCI understands there is one option to extend 2 additional years.

PAGE 771 of 1107
Hartzog & Crabill, Inc.

Consulting Traffic Engineers
17852 E. 17th Street, Suite 101,  Tustin, CA 92780  (714) 731-9455

REQUESTED EXCEPTIONS

TO THE AGREEMENT
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Liability: $CONSULT WITH THE CITY’S RISK MANAGER FOR THE AMOUNT APPROPRIATE FOR THIS AGREEMENT per accident for bodily injury and property damage; and (4) Professional Liability: $CONSULT WITH THE CITY’S RISK MANAGER FOR THE AMOUNT APPROPRIATE FOR THIS AGREEMENT per claim/aggregate.

12.3. The insurance policies shall contain the following provisions, or Consultant shall provide endorsements on forms supplied or approved by City to state: (1) coverage shall not be suspended, voided, reduced or canceled by Consultant except after 30 days prior written notice by certified mail, return receipt requested, has been given to City; (2) any failure to comply with reporting or other provisions of the policies, including breaches of warranties, shall not affect coverage provided to City, its directors, officials, or officers; (3) coverage shall be primary insurance as respects City, its directors, officials, officers, employees, agents and volunteers, or if excess, shall stand in an unbroken chain of coverage excess of Consultant’s scheduled underlying coverage and that any insurance or self-insurance maintained by City, its directors, officials, officers, employees, agents and volunteers shall be excess of Consultant’s insurance and shall not be called upon to contribute with it; (4) for general liability insurance, that City, its directors, officials, officers, employees, agents and volunteers shall be covered as additional insureds with respect to the services or operations performed by or on behalf of Consultant, including materials, parts or equipment furnished in connection with such work; and (5) for automobile liability, that City, its directors, officials, officers, employees, agents and volunteers shall be covered as additional insureds with respect to the ownership, operation, maintenance, use, loading or unloading of any auto owned, leased, hired or borrowed by Consultant or for which Consultant is responsible.

12.4. All insurance required by this Section shall contain standard separation of insureds provisions and shall not contain any special limitations on the scope of protection afforded to City, its directors, officials, officers, employees, agents, and volunteers.

12.5. Any deductibles or self-insured retentions shall be declared to and approved by the City Manager. Consultant guarantees that, at the option of the City Manager, either: (1) the insurer shall reduce or eliminate such deductibles or self-insured retentions as respects City, its directors, officials, officers, employees, agents, and volunteers; or (2) Consultant shall procure a bond guaranteeing payment of losses and related investigation costs, claims, and administrative and defense expenses.

12.6. Consultant waives any right to subrogation that any insurer of Consultant may acquire by virtue of payment of any loss under the policies required by this Agreement. Consultant shall obtain any endorsement that may be necessary to affect this waiver of subrogation.

13.0 Indemnification, Hold Harmless, and Duty to Defend

13.1. Indemnity for Design Professional Services. To the maximum extent permitted by law, and to the extent caused by the acts or omissions of Consultant, its employees, or its agents in connection with the performance of design professional services under this Agreement, Consultant shall hold harmless and indemnify City, and PAGE 773 of 1107
8 of 14
its officials, officers, employees, volunteers, and agents serving as independent contractors in the role of City officials (collectively, “Indemnitees”), with respect to any and all claims, demands, causes of action, costs, expenses liability, loss, damage or injury in law or equity, to property or persons, including wrongful death, including without limitation the payment of all consequential damages, attorneys’ fees and other related costs and expenses (collectively, “Claims” hereinafter), including but not limited to Claims relating to death or injury to any person and injury to any property, that arise out of, pertain to, or relate to in whole or in part to the negligence, recklessness, or willful misconduct of Consultant or any of its officers, employees, subcontractors, or agents in the performance of its design professional services under this Agreement. With respect to such Claims, Consultant shall, at its own cost, expense, and risk, defend Indemnitees in any action or actions filed in connection with any Claims with counsel of Indemnitees’ choice, and shall pay and satisfy any judgment, award, or decree that may be rendered against Indemnitees to the extent caused by the acts or omissions of Consultant, its employees, or its agents, as determined by judicial decision or agreement of the Parties.

13.2. Other Indemnities. In connection with any and all claims, demands, damages, liabilities, losses, costs or expenses, including attorneys’ fees and costs of defense (collectively, “Damages” hereinafter) not covered by Subsection 13.1, Consultant shall, to the maximum extent permitted by law, defend, indemnify, and hold Indemnitees free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any acts or omissions of Consultant, its employees, or its agents in connection with the performance of this Agreement, including without limitation the payment of all consequential damages and attorneys’ fees and other related costs and expenses, except for such loss or damage arising from the sole negligence or willful misconduct of City. With respect to any and all such aforesaid suits, actions, or other legal proceedings of every kind that may be brought or instituted against Indemnitees, Consultant shall defend Indemnitees, at Consultant’s own cost, expense, and risk, and shall pay and satisfy any judgment, award, or decree that may be rendered against Indemnitees. Consultant shall reimburse City and its directors, officials, officers, employees, agents and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided.

Consultant’s obligation to indemnify shall not be restricted to insurance proceeds, if any, received by Consultant, City, its directors, officials, officers, employees, agents or volunteers. All duties of Consultant under this Section shall survive termination of this Agreement

13.3. Consultant must obtain executed indemnity agreements with provisions identical to those in Sections 13.1 and 13.2 from each and every subcontractor or any other person or entity involved by, for, with or on behalf of Consultant in the performance of the Services. If Consultant fails to obtain such indemnities, Consultant shall be fully responsible and indemnify, hold harmless, and defend the Indemnitees from and against any and all Claims in law or equity, whether actual, alleged, or threatened, arising or claimed to arise out of, pertaining to, or relating to the acts or omissions of Consultant’s subcontractor, its officers, agents, servants, employees, subcontractors, materialmen, contractors, or their respective officers, agents, servants or employees (or any entity or PAGE 774 of 1107
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conflict in any manner with the performance of the Services. Consultant further covenants that, in performance of this Agreement, no person having any such interest shall be employed by it. Furthermore, Consultant shall avoid the appearance of having any interest, which would conflict in any manner with the performance of the Services.

Consultant shall not accept any employment or representation during the term of this Agreement which is or may likely make Consultant “financially interested” (as provided in California Government Code §§1090 and 87100) in any decision made by City on any matter in connection with which Consultant has been retained.

24.2. Consultant further warrants and maintains that it has not employed or retained any person or entity, other than a bona fide employee working exclusively for Consultant, to solicit or obtain this Agreement. Nor has Consultant paid or agreed to pay any person or entity, other than a bona fide employee working exclusively for Consultant, any fee, commission, gift, percentage, or any other consideration contingent upon the execution of this Agreement. Upon any breach or violation of this warranty, City shall have the right, at its sole and absolute discretion, to terminate this Agreement without further liability, or to deduct from any sums payable to Consultant hereunder the full amount or value of any such fee, commission, percentage or gift.

24.3. Consultant warrants and maintains that it has no knowledge that any officer or employee of City has any interest, whether contractual, noncontractual, financial, proprietary, or otherwise, in this transaction or in the business of Consultant, and that if any such interest comes to the knowledge of Consultant at any time during the term of this Agreement, Consultant shall immediately make a complete, written disclosure of such interest to City, even if such interest would not be deemed a prohibited “conflict of interest” under applicable laws as described in this subsection.

25.0 Attorneys’ Fees
If either party commences any legal, administrative, or other action against the other party arising out of or in connection with this Agreement, the prevailing party in such action shall be entitled to have and recover from the losing party all of its attorneys’ fees and other costs incurred in connection therewith.

26.0 Exhibits
Each exhibit referenced in this Agreement is hereby incorporated into the Agreement as if set forth in full herein. In the event of any material discrepancy between the terms of any exhibit so incorporated and the terms of this Agreement, the terms of this Agreement shall control.

27.0 Corporate Authority

27.1. Each person executing this Agreement on behalf of Consultant warrants that he or she is duly authorized to execute this Agreement on behalf of Consultant and that by his or her execution, Consultant is formally bound to the provisions of this Agreement.

PAGE 775 of 1107
Per recommendation of our Insurance Provider, HCI also respectfully requests to Add the following text to Section 13.0 Indemnification, Hold Harmless, and Duty to Defend, of the City’s agreement.

…including legal counsels’ fees and costs to the extent same are caused in whole or in part by any negligent or wrongful act, error or omission of Consultant, its officers, agents, employees or subconsultants (or any agency or individual that Consultant shall bear the legal liability thereof) in the performance of professional services under this Agreement.

Indemnity for other than professional liability: Other than in the performance of professional services and to the full extent permitted by law, Consultant shall indemnify, protect, defend and hold harmless City, and any and all of its officials, employees, and agents from and against any liability (including liability for claims, suits, actions, arbitration proceedings, administrative proceedings, regulatory proceedings, losses, expenses or costs of any kind, whether actual, alleged or threatened, including legal counsels’ fees and costs, court costs, interest, defense costs, and expert witness fees), where the same arise out of, are a consequence of, or are in any way attributable to, in whole or in part, the performance of this Agreement by Consultant or by any individual or agency for which Consultant is legally liable, including but not limited to officers, agents, employees or subcontractors of Consultant.

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Hartzog & Crabill, Inc.

Consulting Traffic Engineers
17852 E. 17th Street, Suite 101,  Tustin, CA 92780  (714) 731-9455

HCI INSURANCE CERTIFICATE
PAGE 777 of 1107

SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE

THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS.

INSURER(S) AFFORDING COVERAGE
INSURER F :

INSURER E :

INSURER D :

INSURER C :

INSURER B :

INSURER A : NAIC #
NAME: CONTACT
(A/C, No): FAX
E-MAIL ADDRESS:

PRODUCER
(A/C, No, Ext): PHONE

INSURED
COVERAGES CERTIFICATE NUMBER: REVISION NUMBER:

IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed.

If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s).

THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS

CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.

OTHER:
(Per accident)
(Ea accident)
$
$
N / A

SUBR WVDADDL
INSD

THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS

CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. $
$
$
$ PROPERTY DAMAGE
BODILY INJURY (Per accident)
BODILY INJURY (Per person) COMBINED SINGLE LIMIT

AUTOS ONLY

AUTOS ONLY AUTOS NON-OWNED OWNED SCHEDULED

ANY AUTO

AUTOMOBILE LIABILITY

Y / N WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY OFFICER/MEMBER EXCLUDED?
(Mandatory in NH) DESCRIPTION OF OPERATIONS below
If yes, describe under

ANY PROPRIETOR/PARTNER/EXECUTIVE
$
$
$ E.L. DISEASE - POLICY LIMIT E.L. DISEASE - EA EMPLOYEEE.L. EACH ACCIDENT EROTH- STATUTE PER
(MM/DD/YYYY) LIMITS POLICY EXP(MM/DD/YYYY) POLICY EFFLTR TYPE OF INSURANCE POLICY NUMBER INSR
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)

EXCESS LIAB
UMBRELLA LIAB EACH OCCURRENCE $ AGGREGATE $
$
OCCUR
CLAIMS-MADE DED RETENTION $
PRODUCTS - COMP/OP AGG $ GENERAL AGGREGATE $ PERSONAL & ADV INJURY $ MED EXP (Any one person) $
EACH OCCURRENCE $ DAMAGE TO RENTED
PREMISES (Ea occurrence) $ COMMERCIAL GENERAL LIABILITY CLAIMS-MADE OCCUR GEN'L AGGREGATE LIMIT APPLIES PER: POLICY PRO- JECT LOC

CERTIFICATE OF LIABILITY INSURANCE DATE (MM/DD/YYYY)

CANCELLATION

AUTHORIZED REPRESENTATIVE
ACORD 25 (2016/03)
© 1988-2015 ACORD CORPORATION. All rights reserved.

CERTIFICATE HOLDER
The ACORD name and logo are registered marks of ACORD
HIRED

AUTOS ONLY
8/8/2022
AssuredPartners Design Professionals Insurance Services, LLC 3697 Mt. Diablo Blvd Suite 230
Lafayette CA 94549
The Certificate Team [email protected] License#: 6003745 XL Specialty Insurance Company 37885 HART&CR-01 The Travelers Indemnity Company of Connecticut 25682 Hartzog & Crabill, Inc.
17852 E 17th St Ste 101
Tustin CA 92780
Travelers Property Casualty Company of America 25674 563689422 B X 1,000,000 X 1,000,000 X Contractual Liab 10,000 Included 1,000,000 2,000,000 X X Y Y 6802R675237 8/18/2022 8/18/2023
2,000,000
B 1,000,000 X XY Y BA0S476320 8/18/2022 8/18/2023
C Y UB2R682241 8/18/2022 8/18/2023
X
1,000,000 1,000,000 1,000,000
A Professional Liability DPR9997534 8/18/2022 8/18/2023 Per Claim Aggregate Limit
$3,000,000
$4,000,000
General Liability policy excludes claims arising out of the performance of professional services. Professional Liability Policy is E&O Liability. Insured owns no company vehicles; therefore, hired/non-owned auto is the maximum coverage that applies. 30 Day Notice of Cancellation
For Proposal Only
.
. . .

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COMMERCIAL GENERAL LIABILITY
c. Method Of Sharing
If all of the other insurance permits contribution
by equal shares, we will follow this method also.

Under this approach each insurer contributes
equal amounts until it has paid its applicable
limit of insurance or none of the loss remains,
whichever comes first.

If any of the other insurance does not permit
contribution by equal shares, we will contribute
by limits. Under this methoo, each insurer's
share is based on the ratio of its applicable limit
of insurance to the total applicable limits of
insurance of all insurers.
d. Primary And Non-Contributory Insurance If
Required By Written Contract
If you specifically agree in a written contract or
agreement that the insurance afforded to an
insured under this Coverage Part must apply on
a primary basis, or a primary and noncontributory basis. this insurance is primary to other insurance that is available to such insured
which covers such insured as a named insured,
and we will not share with that other insurance,
provided that:
(1) The "bodily injury'' or "property damage" for
which coverage is sought occurs; and
(2) The "personal and advertising injury" for
which coverage is sought is caused by an
offense that is committed;
subsequent to the signing of that contract or
agreement by you.

5. Premium Audit
a. We will compute all premiums for this Coverage
Part in accordance with our rules and rates.
b. Premium shown in this Coverage Part as
advance premium is a deposit premium only. At
the close of each audit perioo we will compute
the earned premium for that period and send
notice to the first Named Insured. The due date
for audit and retrospective premiums is the date
shown as the due date on the bill. If the sum of
the advance and audit premiums paid for the
policy period is greater than the earned
premium, we will return the excess to the first
Named Insured.
c. The first Named Insured must keep records of
the information we need for premium
computation, and send us copies at such times
as we may request.

6. Representations
By accepting this policy, you agree:
a. The statements in the Declarations are
accurate and complete;
b. Those statements are based upon
representations you made to us; and
c. We have issued this policy in reliance upon
your representations.

The unintentional omission of, or unintentional error
in, any information provided by you which we relied
upon in issuing this policy will not prejudice your
rights under this insurance. However, this provision
does not affect our right to collect additional
premium or to exercise our rights of cancellation or
nonrenewal in accordance with applicable insurance
laws or regulations.

7. Separation Of Insureds
Except with respect to the Limits of Insurance, and
any rights or duties specifically assigned in this
Coverage Part to the first Named Insured, this
insurance applies:
a. As if each Named Insured were the only
Named Insured; and
b. Separately to each insured against whom claim
is made or "suit" is brought.

8. Transfer Of Rights Of Recovery Against Others
To Us
If the insured has rights to recover all or part of any payment we have made under this Coverage Part,
those rights are transferred to us. The insured must
do nothing after loss to impair them. At our request,
the insured will bring "suit" or transfer those rights
to us and help us enforce them.

9. When We Do Not Renew
If we decide not to renew this Coverage Part, we will
mail or deliver to the first Named Insured shown in
the Declarations written notice of the nonrenewal
not less than 30 days before the expiration date.

If notice is mailed, proof of mailing will be sufficient proof of notice.

SECTION V - DEFINITIONS

1. "Advertisement" means a notice that is broadcast or
published to the general public or specific market
segments about your goods, products or services
for the purpose of attracting customers or
supporters. For the purposes of this definition:
a. Notices that are published include material
placed on the Internet or on similar electronic
means of communication; and
b. Regarding websites, only that part of a website
that is about your goods, prooucts or services
for the purposes of attracting customers or
supporters is considered an advertisement.

Includes copyrighted material of Insurance Services Office, Inc. with its permission.

Policy #
6802R675237
PAGE 781 of 1107

COMMERCIAL GENERAL LIABILITY
occupational therapist or occupational that is available to any of your "employees" therapy assistant, physical therapist or for "bodily injury" that arises out of providing speech-language pathologist; or or failing to provide "incidental medical services" to any person to the extent not (b) First aid or "Good Samaritan services" subject to Paragraph 2.a.(1) of Section II – by any of your "employees" or "volunteer Who Is An Insured. workers", other than an employed or volunteer doctor. Any such "employees" K. MEDICAL PAYMENTS – INCREASED LIMIT or "volunteer workers" providing or failing The following replaces Paragraph 7. of to provide first aid or "Good Samaritan SECTION III – LIMITS OF INSURANCE: services" during their work hours for you will be deemed to be acting within the 7. Subject to Paragraph 5. above, the Medical scope of their employment by you or Expense Limit is the most we will pay under performing duties related to the conduct Coverage C for all medical expenses of your business. because of "bodily injury" sustained by any

3. The following replaces the last sentence of one person, and will be the higher of:

Paragraph 5. of SECTION III – LIMITS OF a. $10,000; or
INSURANCE:
b. The amount shown in the Declarations of For the purposes of determining the this Coverage Part for Medical Expense
applicable Each Occurrence Limit, all related
Limit. acts or omissions committed in providing or
failing to provide "incidental medical L. AMENDMENT OF EXCESS INSURANCE services", first aid or "Good Samaritan CONDITION – PROFESSIONAL LIABILITY services" to any one person will be deemed The following is added to Paragraph 4.b., to be one "occurrence".

Excess Insurance, of SECTION IV –

4. The following exclusion is added to COMMERCIAL GENERAL LIABILITY Paragraph 2., Exclusions, of SECTION I – CONDITIONS:

COVERAGES – COVERAGE A – BODILY
This insurance is excess over any of the other

INJURY AND PROPERTY DAMAGE
insurance, whether primary, excess, contingent LIABILITY:
or on any other basis, that is Professional Sale Of Pharmaceuticals Liability or similar coverage, to the extent the
"Bodily injury" or "property damage" arising loss is not subject to the professional services out of the violation of a penal statute or exclusion of Coverage A or Coverage B. ordinance relating to the sale of M. BLANKET WAIVER OF SUBROGATION – pharmaceuticals committed by, or with the WHEN REQUIRED BY WRITTEN CONTRACT knowledge or consent of the insured. OR AGREEMENT

5. The following is added to the DEFINITIONS
Section: The following is added to Paragraph 8., Transfer Of Rights Of Recovery Against Others To Us, "Incidental medical services" means: of SECTION IV – COMMERCIAL GENERAL a. Medical, surgical, dental, laboratory, x- LIABILITY CONDITIONS:
ray or nursing service or treatment,
If the insured has agreed in a written contract or advice or instruction, or the related agreement to waive that insured's right of
furnishing of food or beverages; or
recovery against any person or organization, we b. The furnishing or dispensing of drugs or waive our right of recovery against such person medical, dental, or surgical supplies or or organization, but only for payments we make appliances. because of:

6. The following is added to Paragraph 4.b., a. "Bodily injury" or "property damage" that Excess Insurance, of SECTION IV – occurs; or COMMERCIAL GENERAL LIABILITY
CONDITIONS: b. "Personal and advertising injury" caused by an offense that is committed; This insurance is excess over any valid and collectible other insurance, whether primary, subsequent to the signing of that contract or excess, contingent or on any other basis, agreement.

CG D3 79 02 19 ú 2017 The Travelers Indemnity Company. All rights reserved. Page 5 of 6 Includes copyrighted material of Insurance Services Office, Inc. with its permission.

Policy #
6802R675237
PAGE 782 of 1107

ANY PERSON OR ORGANIZATION THAT

YOU ARE REQUIRED TO INCLUDE AS

ADDITIONAL INSURED ON THE COVERAGE

FORM IN A WRITTEN CONTRACT OR

AGREEMENT THAT IS SIGNED AND

EXECUTED BY YOU BEFORE THE BODILY

INJURY OR PROPERTY DAMAGE

OCCURS AND THAT IS IN EFFECT
DURING THE POLICY PERIOD.

COMMERCIAL AUTO
POLICY NUMBER:

THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.

DESIGNATED INSURED FOR

COVERED AUTOS LIABILITY COVERAGE
This endorsement modifies insurance provided under the following:

AUTO DEALERS COVERAGE FORM

BUSINESS AUTO COVERAGE FORM

MOTOR CARRIER COVERAGE FORM
With respect to coverage provided by this endorsement, the provisions of the Coverage Form apply unless modified by this endorsement.

This endorsement identifies person(s) or organization(s) who are "insureds" for Covered Autos Liability Coverage under the Who Is An Insured provision of the Coverage Form. This endorsement does not alter coverage provided in the Coverage Form.

SCHEDULE
Name Of Person(s) Or Organization(s):

Information required to complete this Schedule, if not shown above, will be shown in the Declarations.

Each person or organization shown in the Schedule is ered Autos Liability Coverage in the Business Auto an "insured" for Covered Autos Liability Coverage, but and Motor Carrier Coverage Forms and Paragraph only to the extent that person or organization qualifies D.2. of Section I Covered Autos Coverages of the as an "insured" under the Who Is An Insured provi- Auto Dealers Coverage Form. sion contained in Paragraph A.1. of Section II CovCA 20 48 10 13 Insurance Services Office, Inc., 2011 Page 1 of 1 BA0S476320
PAGE 783 of 1107

COMMERCIAL AUTO
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.

BLANKET WAIVER OF SUBROGATION
This endorsement modifies insurance provided under the following:

AUTO DEALERS COVERAGE FORM

BUSINESS AUTO COVERAGE FORM

MOTOR CARRIER COVERAGE FORM
The following replaces Paragraph A.5., Transfer of required of you by a written contract executed Rights Of Recovery Against Others To Us, of the prior to any "accident" or "loss", provided that the CONDITIONS Section: "accident" or "loss" arises out of the operations

5. Transfer Of Rights Of Recovery Against Oth- contemplated by such contract. The waiver apers To Us plies only to the person or organization desigWe waive nated in such contract. any right of recovery we may have against any person or organization to the extent
CA T3 40 02 15 © 2015 The Travelers Indemnity Company. All rights reserved. Page 1 of 1 Includes copyrighted material of Insurance Services Office, Inc. with its permission.

Policy #
BA0S476320
PAGE 784 of 1107

WORKERS COMPENSATION
AND

EMPLOYERS LIABILITY POLICY
ENDORSEMENT WC 99 03 76 ( A)
POLICY NUMBER:

WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS

ENDORSEMENT CALIFORNIA
(BLANKET WAIVER)
We have the right to recover our payments from anyone liable for an injury covered by this policy. We will not enforce our right against the person or organization named in the Schedule.

The additional premium for this endorsement shall be % of the California workers' compensation premium.

Schedule
Person or Organization Job Description
This endorsement changes the policy to which it is attached and is effective on the date issued unless otherwise stated.
(The information below is required only when this endorsement is issued subsequent to preparation of the policy.)
Insurance Company Countersigned by
DATE OF ISSUE: Page 1 of 1
Any Person or organization for which the insured has agreed by written contract executed prior to loss to furnish this waiver.

UB2R682241 Travelers Property Casualty Company of America 8/8/2022 PAGE 785 of 1107
Hartzog & Crabill, Inc.

Consulting Traffic Engineers
17852 E. 17th Street, Suite 101,  Tustin, CA 92780  (714) 731-9455

RESUMES
PAGE 786 of 1107
Trammell Hartzog
President
RESUME
Years of Experience: 40
Education:

Associate of Arts - Mechanical Drafting,
Fullerton College, California, 1965
Traffic Signal Circuitry I & II,
Belmont Adult School, Los Angeles,
California, 1971
Computer Programming Courses,
Saddleback College, Mission Viejo,
California, 1984
Professional Affiliations:

Member, Orange County Traffic
Engineering Council (OCTEC)
Orange County Transportation
Commission Round Table
Traffic Signal Association (TSA),
Los Angeles, Orange, Riverside, and San
Bernardino Counties
With over (40) years of experience, Mr. Trammell ‘Tram’ Hartzog is a recognized expert in Traffic Signal Operations and in the design preparation of construction plans, specifications, and cost estimates (PS&E) of traffic signal systems. Tram has been retained by numerous cities to prepare plans for individual intersections, systems of signalized intersections, and also responsible for operation of those signals citywide.

Tram frequently assists client cities with reviewing numerous OCTA TSSP corridor projects under development by other consultants.

Tram’s past responsibilities in this regard involve the Cities of Aliso Viejo, Laguna Hills, Laguna Niguel, and Rancho Santa Margarita. In these communities, his services were retained to develop Master Plan System coordination timing plans for (8) arterial roadways consisting of (101) signalized intersections. His assignments have also included implementation of a 120+ intersection traffic signal management system for the City of Tustin.

Tram’s areas of expertise are signal design and signal operations, including the development, implementation, and calibration of coordination timing.

Other areas of expertise include the design of signal interconnect, and signing & striping plans, which also include the preparation of PS&E.

RELEVANT EXPERIENCE:

Traffic Signal Operations Management (11 Cities, CA) On-Going – Mr. Hartzog provides traffic signal timing and operation services for the Cities of Aliso Viejo, Cerritos, Cypress, Indian Wells, Laguna Hills, Moorpark, Rancho Santa Margarita, San Juan Capistrano, Stanton, Tustin, and Yorba Linda. These services include daily reviewing/comparison of signal timing to verify if all traffic signals are in good working order. Any malfunctions logged are quickly reported to the City’s designated agency or traffic signal maintenance contractor for dispatch. Historical data is also analyzed to identify traffic volumes and patterns to assist in determining if an adjustment to signal timing is necessary. Mr. Hartzog also verifies if timing is programmed correctly in each master and controller. This on-going monitoring of signal timing for these city agencies combine for a total over (600) signalized intersections.

Ball Road-Taft Avenue Traffic Signal Synchronization Project (OCTA, Various Orange County Agencies) 2019. This TSSP project involved coordinating (38) intersections within Cities of Anaheim, Orange, and Caltrans.

Kraemer Avenue/Glassell Street/Grand Avenue Traffic Signal Synchronization Project (OCTA, Various Orange County Agencies) 2018. This TSSP project involved coordinating (61) intersections within Cities of Brea, Placentia, Yorba Linda, Santa Ana, and Caltrans.

Del Obispo Street Traffic Signal Synchronization Project (OCTA, Cities of San Juan Capistrano & Dana Point) 2016. This TSSP project involved coordinating (16) intersections along a 3.6 mile segment.

Paseo de Valencia Traffic Signal Synchronization Project (OCTA, Led by City of Laguna Hills) 2015. This TSSP project involved providing traffic signal coordination timing for (12) intersections along 3.3 miles.

PAGE 787 of 1107
Gerald J. Stock, PE, TE
Executive Vice-President
RESUME
Years of Experience: 30
Education:
1989 BSCE, Civil Engineering,
University of Colorado, Denver
1978 BS, Geology,
California State University, Long Beach
Professional Registrations &
Certifications:

Registered Civil Engineer–California
No. 52822
Registered Traffic Engineer–California
No. 2049
Chi Epsilon – 1989
Professional Affiliations:

American Public Works Association
American Society of Civil Engineers
Mr. Stock is Executive Vice President with the consulting firm of Hartzog & Crabill, Inc. (HCI) in charge of city and traffic engineering services. He provides consulting to public agencies from both a technical and organizational perspective. Mr. Stock’s background includes a broad array of municipal projects from project conception through completion. He has directed city staffs in both long-term capital project planning as well as the day-to-day activities associated with managing a municipal engineering department.

Mr. Stock’s experience includes over (30) years of project management, capital improvement planning, design, and contract administration. He is well-versed in both the technical and the political challenges of municipal engineering activities.

Mr. Stock has recently completed Engineering and Traffic surveys for the Cities of San Juan Capistrano, South Gate, Indian Wells, Laguna Niguel, and San Gabriel, and in prior years in Bellflower, Hermosa Beach, Laguna Hills, Monrovia, Monterey Park, Moorpark, Villa Park, and Yucaipa. In every case, the project was completed on time and on budget.

Administration:

Since 2000, Mr. Stock has served the City of Bellflower as contract City Engineer and City Traffic Engineer. Mr. Stock also serves the City of Hermosa Beach as on-call Traffic Engineer. Prior to joining HCI, Mr.

Stock was employed by the City of Norwalk as their in-house City Engineer. Mr. Stock represents the Engineering/Public Works Department before the Public Safety and Planning Commissions, as well as the City Council for his client cities.

Mr. Stock has directed City staffs and consultants regarding the administration of client city’s Congestion Management Program, NPDES activities, grant applications and grant administration, underground utility districts, and pipeline/utility franchises.

Transportation:

Most recently, Mr. Stock oversaw the design and construction of the widening of Bellflower Boulevard, between Artesia Boulevard and the SR91 Freeway ramps, using Measure R funds via the SR-91/I-605 Freeway/I405 Freeway Technical Advisory Committee.

Mr. Stock prepared intersection widening plans in the City of Laguna Hills, as well as completed the Engineering and Traffic Surveys for Speed Limits in the Cities of Laguna Hills, Laguna Niguel, San Juan Capistrano, and Yorba Linda.

The City of Bellflower selected Mr. Stock to represent the City on the technical advisory committee (TAC) of the SR-91/I-605 Needs Assessment Major Corridor Study. As vice-chair of the TAC, Mr. Stock’s role is to ensure that the City’s interests are protected during the planning and development of major improvements along the SR-91and I-605 Freeways in Bellflower.

PAGE 788 of 1107
Scott Q. Ma, PE, TE
Senior Engineer
RESUME
Years of Experience: 20
Education:
2002 BSCE, Civil Engineering,
University of California, Berkeley
Professional Registrations &
Certifications:

Registered Civil Engineer–California
No. 70812
Registered Traffic Engineer–California
No. 2519
Professional Affiliations:

Institute of Transportation Engineers
Member, Orange County Traffic
Engineering Council (OCTEC)
Mr. Scott Ma is a Senior Engineer with the traffic engineering consulting firm of Hartzog & Crabill, Inc (HCI). Mr. Ma is a registered Civil and Traffic Engineer with the State of California, and has over (20) years of engineering experience. Mr. Ma has a wide breadth of experience in the field of traffic engineering and transportation planning.

Traffic Engineering
Mr. Ma’s responsibilities are to provide project management and design expertise for various traffic-related projects. Mr. Ma’s experience includes the preparation of Plans, Specifications and Estimates (PS&E) for numerous projects throughout Southern California. These include traffic signal plans, traffic control plans, road improvement plans, and signing and striping plans.

Mr. Ma has experience in signal operations and the development, implementation and calibration of coordination timing plans. Mr. Ma has also conducted Engineering and Traffic Surveys (E&TS), traffic signal warrant studies, multiway stop warrant studies, and traffic index (TI) calculations.

Transportation Planning
Mr. Ma has prepared numerous traffic impact studies, queuing studies, and shared parking studies for development projects. Mr. Ma has also participated and provided his traffic knowledge in the development of General Plans/Mobility Plans, Bicycle Master Plans, and Safe Route to School Plans.

Municipal Engineering
Mr. Ma is currently serving the Cities of Lake Forest and Hermosa Beach as consulting Traffic Engineer. He previously served as consulting Traffic Engineer for the City of South Gate. In his role, he has assisted city staff in the development of long-term Capital Improvement Programs (CIPs) as well as the day-to-day activities such as traffic-related requests from residents. Mr. Ma has applied his traffic expertise to provide plan check services, process Encroachment Permits, implement permit parking programs and review private development plans.

Prior Experience:

AECOM 2004-2008
Transportation Engineer
 Prepared Traffic Impact Studies
 Prepared Shared Parking Studies
 Conducted traffic signal warrant analysis
 Conducted truck turning analyses
 Conducted queuing studies
 Prepared Signing and Striping Plans
 Prepared Civil Improvement Plans
 Prepared construction costs estimates
PAGE 789 of 1107
Michael A. Vallado
Associate Engineer
RESUME
Years of Experience: 22
Education:

BSCE – Civil Engineering, 1997
California State University, CA
Professional Affiliations:

City Traffic Engineers (CTE)
Member, Orange County Traffic
Engineering Council (OCTEC)
Traffic Signal Association (TSA) for
Los Angeles, Orange, Riverside, and San
Bernardino Counties
Mr. Vallado brings over (22) years of civil engineering experience specifically related to traffic engineering and signal design.

Five (5) of these years were devoted to managing the City of Glendora’s Traffic Engineering section, while the last (17) years have been with Hartzog & Crabill, Inc. (HCI).

Mr. Vallado’s responsibilities with HCI include conducting trafficengineering warrant studies, developing traffic Level-of-Service (LOS) operational analysis reports and providing recommendations, preparing specifications, and project management of final preparation of project plans, specifications and estimates (PS&E) to client cities.

Mr. Vallado has also assisted with the construction management of several traffic signal construction projects for various client cities.

PRIOR EXPERIENCE:

City of Glendora, Public Works Department, Glendora, CA 1999-2003 Civil Engineering Assistant-Traffic
 Maintained the operations of forty (40) traffic signals in the city.  Administered the entire process of the Traffic Safety Committee, including preparing the Agenda, gathering data for initial staff recommendations, notifying all affected residents, reserving Council Chambers, transcribing minutes from the meeting for City Council approval, and implementing all approved changes by issuing work orders.
 Designed and prepared plans, specifications, and estimates for new traffic signals, signal upgrades, and signing/striping projects.  Managed the duties of a Traffic Engineering Aide to assist in all aspects of the Traffic Engineering Division.
 Developed and implemented a new Preferential Parking District for residents in the vicinity of Glendora High School.
 Inspected sight-distance requests regarding traffic issues.  Oversaw the speed hump design and installation project on Ada Ave between Cullen Ave and Glenwood Ave.
 Reviewed traffic control plans for all different types of project developments.

Scienscope International, Inc., Walnut, CA 1998-1999
Product Manager
 Developed and produced specifications and owner’s manuals for all optical engineering products manufactured/sold.
 Answered technical information from company distributors and customers regarding manufactured products.
 Attended product trade shows in various cities and states to display/promote optical products and meet with clients.  Assisted with marketing/advertising of all products in company Internet website, magazines, registers and suppliers handbooks.  Translated catalog information into Spanish for customer base in Mexico and South America.

PAGE 790 of 1107
Greg Cabey
Traffic Signal Systems
Supervisor
Years of Experience: 31
Education:

Associate of Arts–Technical Electronics,
Fullerton College, California, 1981
Professional Affiliations:

Treasurer,
Traffic Signal Association (TSA)
Orange County Chapter
Member, International Municipal Signal
Association (IMSA)
Certified as a Traffic Signal Inspector and
Level III Traffic Signal Technician
RESUME
Mr. Greg Cabey brings over (31) years of traffic signal experience to the Hartzog & Crabill, Inc. (HCI) project team specializing in signal communications systems, timing development, implementation and finetuning of coordination timing.

Greg frequently assists client cities with reviewing numerous OCTA TSSP corridor projects under development by other consultants. The Imperial Highway and Los Alisos Boulevard TSSP projects are two current examples of projects where Greg is assisting our client cities with review of another consultants’ timing development as well as providing construction support.

Prior to the last (19) years working with HCI, Greg was a Signal Maintenance Lead-man for Peek Traffic for over (12) years. Greg’s extensive field experience with signal systems and all types of signal controller functions will aid in the success of any traffic signal coordination-type project.

RELEVANT EXPERIENCE:

Traffic Signal Operations Management (9 Cities, CA) On-Going – Greg provides assistance to Mr. Trammell Hartzog in regards to traffic signal timing and operations monitoring services for the Cities of Cerritos, Cypress, Indian Wells, Moorpark, Rancho Santa Margarita, San Juan Capistrano, Stanton, Tustin, and Yorba Linda. His responsibilities include daily reviewing and comparing of timing to verify if all traffic signals are in good working order. Any malfunctions logged are quickly reported to the City’s designated agency or traffic signal maintenance contractor for dispatch. Greg also analyzes historical data in order to identify traffic volumes and patterns to assist in determining if an adjustment to signal timing is necessary. Greg verifies if timing is programmed correctly in each master and controller. His on-going monitoring and maintenance services of signal timing for these city agencies combine to approximately (500) signalized intersections.

Ball Road-Taft Avenue Traffic Signal Synchronization Project (OCTA, Various Orange County Agencies) 2019. This TSSP project involved coordinating (38) intersections within Cities of Anaheim, Orange, and Caltrans.

Kraemer Avenue/Glassell Street/Grand Avenue Traffic Signal Synchronization Project (OCTA, Various Orange County Agencies) 2018. This TSSP project involved coordinating (61) intersections within Cities of Brea, Placentia, Yorba Linda, Santa Ana, and Caltrans.

Del Obispo Street Traffic Signal Synchronization Project (OCTA, Cities of San Juan Capistrano & Dana Point) 2016. This TSSP project involved coordinating (16) intersections along a 3.6 mile segment.

Paseo de Valencia Traffic Signal Synchronization Project (OCTA, Led by City of Laguna Hills) 2015. This TSSP project involved providing traffic signal coordination timing for (12) intersections along 3.3 miles.

PAGE 791 of 1107
1 of 14

PROFESSIONAL SERVICES AGREEMENT
between
The City of San Marino
2200 Huntington Drive
San Marino, CA 91108
&
HARTZOG & CRABILL , INC.
17852 E. 17TH STREET, SUITE 101
TUSTIN, CA 92780
This Professional Service Agreement (“the Agreement”) is made as of June 14, 2023 (the “Effective Date”), by and between HARTZOG & CRABILL, INC. (“Consultant”), a California corporation, and the City of San Marino (“City”), a California municipal corporation, (collectively, “the Parties”).

PAGE 792 of 1107

RECITALS
A. City desires certain professional services as specified in this Agreement.

B. Consultant represents that it is qualified and able to provide City with such services.

NOW THEREFORE, in consideration of the Parties’ performance of the promises, covenants, and conditions stated herein, the Parties hereto agree as follows:

AGREEMENT

1.0 Scope of Services

1.1. Consultant shall provide those services (“Services”) set forth in the attached Exhibit A.

1.2. Consultant shall perform all Services under this Agreement in accordance with the standard of care generally exercised by like professionals under similar circumstances and in a manner reasonably satisfactory to City.

1.3. In performing this Agreement, Consultant shall comply with all applicable provisions of federal, state, and local laws, ordinances, codes, and regulations.

1.4. Consultant shall not be compensated for any work performed unless it is specified in Exhibit A or City authorizes such work in advance and in writing. Any work so authorized by City shall become part of the Services for purposes of this Agreement.

2.0 Term
The term of this Agreement shall commence as of the Effective Date and shall continue through June 30, 2026 unless sooner terminated as provided in Section 5.0 of this Agreement. City may exercise up to two (2) 1-year extensions contingent on an annual appropriation of budget by the City Council and Consultant’s satisfactory performance.

3.0 Consultant’s Compensation
City will pay Consultant in accordance with the fee schedule set forth in Exhibit B but in no event will the City pay more than $75,000 total or more than $25,000 per fiscal year (period between July 1 and June 30). Any additional work authorized by the City pursuant to Section 1.4 will be compensated in accordance with the fee schedule set forth in Exhibit B, unless otherwise approved by City in writing.

Pursuant to Section 02.06.05 of the San Marino City Code, this Agreement shall not be effective unless previously approved by the City Council if it is for professional services greater than thirty thousand dollars ($30,000.00). 2 of 14
PAGE 793 of 1107
3 of 14

4.0 Method of Payment

4.1. Consultant shall submit to City monthly invoices for all services rendered pursuant to this Agreement. Such invoices shall be submitted within 15 days of the end of the month during which the services were rendered and shall describe in detail the services rendered during the period, the days worked, number of hours worked, the hourly rates charged, and the services performed for each day in the period. City will pay Consultant all undisputed charges within 30 days of receiving Consultant’s invoice. City will not withhold any applicable federal or state payroll and other required taxes, or other required or authorized deductions from payments made to Consultant.

4.2. Upon 24-hour notice from City, Consultant shall allow City or City’s agents or representatives to inspect at Consultant’s offices during reasonable business hours all records, invoices, time cards, cost control sheets and other records maintained by Consultant in connection with this Agreement. City’s rights under this Section 4.2 shall survive for two years following the expiration or earlier termination of this Agreement.

5.0 Termination

5.1. City may terminate this Agreement at any time, at will, for any reason or no reason, after giving written notice to Consultant at least five (5) calendar days before the termination is to be effective.

5.2. Consultant may terminate this Agreement for cause in the event City fails to cure a default under this Agreement within thirty (30) days after Consultant has given City notice of such default.

5.3. Upon termination of this Agreement, Consultant shall cease all work under this Agreement and deliver to City all materials, reports, documents, notes or other written materials compiled through the last working day this Agreement is in effect. City shall pay Consultant for all services satisfactorily rendered through the last working day this Agreement is in effect; provided that in no event, including but not limited to termination, shall Consultant be entitled to receive more than the maximum compensation set forth in Section 3. Neither party shall have any other claim against the other party by reason of termination pursuant to this Section 5.0.

6.0 Reports, Information and Work Product

6.1. Consultant shall deliver to City: (1) any reports on the status of the Services upon City’s request and in such time and in such form as City may require; and (2) all material furnished to Consultant by City upon City’s request and/or upon the expiration or termination of this Agreement.

6.2. Unless the Parties agree in writing, all draft and final reports, documents, and other written material, and any and all images, ideas, concepts, designs including without limitation any website designs, source code, object code, electronic data and files, and/or other media whatsoever created or developed by Consultant in the performance of this Agreement (collectively, “Work Product”) shall be considered to be “works made PAGE 794 of 1107
4 of 14
for hire” for the benefit of City. All Work Product and any and all intellectual property rights arising from their creation, including, but not limited to, all copyrights and other proprietary rights, shall be and remain the property of City without restriction or limitation upon their use, duplication or dissemination by City upon final payment being made.

Consultant shall not obtain or attempt to obtain copyright protection as to any of the Work Product. Consultant hereby assigns to City all rights of ownership to the Work Product, including but not limited to any and all related intellectual property and proprietary rights that are not otherwise vested in the City pursuant to this paragraph.

6.3. Consultant warrants and represents that it has secured all necessary licenses, consents or approvals necessary to the production of the Work Product, and that upon final payment, City shall have full legal title to the Work Product, and full legal authority and the right to use and reproduce the Work Product for any purpose.

Consultant shall defend, indemnify, and hold City, and its elected officials, officers, employees, servants, attorneys, designated volunteers, and agents serving as independent contractors in the role of city officials, harmless from any loss, claim, or liability in any way related to a claim that any use by the City of any of the Work Product violates federal, state, or local laws, or any contractual provisions, or any rights or laws relating to trade names, licenses, franchises, copyrights, patents, or other means of protecting intellectual property rights, and/or interests in products, ideas, or inventions.

Consultant shall bear all costs arising from the use of patented, copyrighted, trade secret, or trademarked documents, materials, equipment, devices, or processes in connection with its provision of the Work Product produced under this Agreement. If any use by city of any of the Work Product or other deliverables is held to constitute an infringement and the use of any of the same is enjoined, Consultant, at its expense, shall: (a) secure for City the right to continue using such Work Product and/or other deliverables by suspension of any injunction, or by procuring a license or licenses for City; or (b) modify the Work Product and other deliverables so that they become non-infringing while remaining in compliance with the requirements of this Agreement.

6.4. Consultant’s obligations under this Section 6.0 shall survive the expiration or termination of this Agreement.

7.0 Party Representatives

7.1. City’s representative for purposes of this Agreement is the City Manager or the person designated in writing by the City Manager. The City Manager’s designee may exercise the authority of the City Manager provided in this Agreement excepting approval of any expenditure that would exceed a total compensation allowed under the Agreement.

7.2. Gerald Stock is Consultant’s representative for purposes of this Agreement.

8.0 Notices

8.1. All notices permitted or required under this Agreement shall be deemed made when personally delivered or when mailed 48 hours after deposit in the United PAGE 795 of 1107
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States Mail, first class postage prepaid and addressed to the party at the following addresses:

To City: City of San Marino
2200 Huntington Drive
San Marino, California 91108
Attn: City Manager
To Consultant: HARTZOG & CRABILL, INC.
17852 E. 17th Street, Suite 101
Tustin, CA 92780
Attn: Gerald Stock

8.2. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service.

9.0 Independent Consultant

9.1. Consultant is an independent contractor and not an employee of City. All services provided pursuant to this Agreement shall be performed by Consultant or under its supervision. Consultant will determine the means, methods, and details of performing the services. Any additional personnel performing services under this Agreement on behalf of Consultant shall also not be employees of City and shall at all times be under Consultant’s exclusive direction and control. Consultant shall pay all wages, salaries, and other amounts due such personnel in connection with their performance of services under this Agreement and as required by law. Consultant shall be responsible for all reports and obligations respecting such additional personnel, including, but not limited to:
social security taxes, income tax withholding, unemployment insurance, disability insurance, and workers’ compensation insurance.

9.2. Consultant shall indemnify and hold harmless City and its elected officials, officers, employees, servants, designated volunteers, and agents serving as independent contractors in the role of City officials, from any and all liability, damages, claims, costs, and expenses of any nature to the extent arising from Consultant’s personnel practices.

City shall have the right to offset against the amount of any fees due to Consultant under this Agreement any amount due to City from Consultant as a result of Consultant’s failure to promptly pay to City any reimbursement or indemnification arising under this Section.

All duties of Consultant under this Section 9.2 shall survive termination of this Agreement.

9.3. In the event that Consultant provides any of the Services by or through any employee or any person whose work under this Agreement becomes cause for any payment or contribution required by law, including but not limited to the California Public Employees' Pension Reform Act (PEPRA), to the Public Employee Retirement System, Consultant shall be solely responsible for all such payments or contributions. Consultant shall indemnify and hold harmless City and its elected officials, officers, employees, servants, designated volunteers, and agents serving as independent contractors in the role of City officials, from any and all liability, damages, claims, costs, and expenses of PAGE 796 of 1107
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any nature to the extent arising from Consultant’s failure to make any such payment or contribution. City shall have the right to offset against the amount of any fees due to Consultant under this Agreement any amount due to City from Consultant as a result of Consultant’s failure to promptly pay to City any reimbursement or indemnification arising under this Section. All duties of Consultant under this Section 9.3 shall survive termination of this Agreement.

10.0 Subcontractors
Unless otherwise specified in Exhibit A, no portion of this Agreement shall be subcontracted without the prior written approval of the City Manager. Consultant is fully responsible to City for the performance of any and all subcontractors, if any.

11.0 Assignment
Consultant shall not assign or transfer any interest in this Agreement whether by assignment or novation, without the prior written consent of City Manager. Any purported assignment without such consent shall be void and without effect.

12.0 Insurance

12.1. Consultant shall not commence work under this Agreement until it has provided evidence satisfactory to City that Consultant has secured all insurance required under this Section. Consultant shall furnish City with original certificates of insurance and endorsements, including but not limited to additional insured endorsements, effecting coverage required by this Agreement on forms satisfactory to City. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf, and shall be on forms provided by City, if requested.

All certificates and endorsements shall be received and approved by City before work commences. City reserves the right to require complete, certified copies of all required insurance policies, at any time.

12.2. Consultant shall, at its expense, procure and maintain for the duration of the Agreement, insurance against claims for injuries to persons or damages to property that may arise from or in connection with the performance of this Agreement. Insurance is to be placed with insurers licensed to do business in California with a current A.M. Best’s rating no less than A:VIII unless otherwise approved in writing by City. Coverage shall be at least as broad as the latest version of the following: (1) General Liability: Insurance Services Office Commercial General Liability Coverage form (CG 0001); (2) Workers’ Compensation: Consultant shall maintain Workers’ Compensation insurance as required by the State of California and Employer’s Liability insurance; (3) Automobile Liability:

Insurance Services Office Business Auto Coverage form number CA 0001, code 1 (any auto); and, (4) Professional Liability: Insurance Services Office Professional Liability Coverage form RHIC 6101. Consultant shall maintain limits no less than: (1) General Liability: $1,000,000 per occurrence for bodily injury, personal injury and property damage and if Commercial General Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this PAGE 797 of 1107
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Agreement/location or the general aggregate limit shall be twice the required occurrence limit; (2) Workers’ Compensation: Consultant shall maintain Workers’ Compensation insurance as required by the State of California and Employer’s Liability insurance with limits of at least $1,000,000) per occurrence; (3) Automobile Liability: $1,000,000 per accident for bodily injury and property damage; and (4) Professional Liability: $1,000,000 per claim/aggregate.

12.3. The insurance policies shall contain the following provisions, or Consultant shall provide endorsements on forms supplied or approved by City to state: (1) coverage shall not be suspended, voided, reduced or canceled by Consultant except after 30 days prior written notice by First Class US mail has been given to City; (2) any failure to comply with reporting or other provisions of the policies, including breaches of warranties, shall not affect coverage provided to City, its directors, officials, or officers; (3) coverage shall be primary insurance as respects City, its directors, officials, officers, employees, and volunteers, or if excess, shall stand in an unbroken chain of coverage excess of Consultant’s scheduled underlying coverage and that any insurance or self-insurance maintained by City, its directors, officials, officers, employees, and volunteers shall be excess of Consultant’s insurance and shall not be called upon to contribute with it; (4) for general liability insurance, that City, its directors, officials, officers, employees, and volunteers shall be covered as additional insureds with respect to the services or operations performed by or on behalf of Consultant, including materials, parts or equipment furnished in connection with such work; and (5) for automobile liability, that City, its directors, officials, officers, employees, agents and volunteers shall be covered as additional insureds with respect to the ownership, operation, maintenance, use, loading or unloading of any auto owned, leased, hired or borrowed by Consultant or for which Consultant is responsible.

12.4. All insurance required by this Section shall contain standard separation of insureds provisions and shall not contain any special limitations on the scope of protection afforded to City, its directors, officials, officers, employees, and volunteers.

12.5. Any deductibles or self-insured retentions shall be declared to and approved by the City Manager. Consultant agrees that, at the option of the City Manager, either:
(1) the insurer shall reduce or eliminate such deductibles or self-insured retentions as respects City, its directors, officials, officers, employees, and volunteers; or (2) Consultant shall procure a bond guaranteeing payment of losses and related investigation costs, claims, and administrative and defense expenses.

12.6. Consultant waives any right to subrogation that any insurer of Consultant may acquire by virtue of payment of any loss under the policies required by this Agreement. Consultant shall obtain any endorsement that may be necessary to affect this waiver of subrogation.

13.0 Indemnification, Hold Harmless, and Duty to Defend

13.1. Indemnity for Design Professional Services. To the maximum extent permitted by law, and to the extent caused by the acts or omissions of Consultant or its PAGE 798 of 1107
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employees in connection with the performance of design professional services under this Agreement, Consultant shall hold harmless and indemnify City, and its officials, officers, and employees serving as independent contractors in the role of City officials (collectively, “Indemnitees”), with respect to claims, demands, causes of action, costs, expenses liability, loss, damage or injury in law or equity, to property or persons, including wrongful death, the payment of all consequential damages, reasonable attorneys’ fees and other related costs and expenses (collectively, “Claims” hereinafter), including but not limited to Claims relating to death or injury to person and injury to property, that arise out of, pertain to, or relate to in whole or in part to the negligence, recklessness, or willful misconduct of Consultant or any of its officers, employees, or subcontractors, in the performance of its design professional services under this Agreement. With respect to such Claims, Consultant shall, at its own cost, expense, and risk, defend Indemnitees in action or actions field in connection with Claims with counsel of Indemnitees’ choice, and shall pay and satisfy judgment, award, or decree that may be rendered against Indemnitees to the extent cause by the acts or omissions of Consultant or its employees, as determined by judicial decision or agreement of the parties.

13.2. Other Indemnities. In connection with claims, demands, damages, liabilities, losses, costs or expenses, including reasonable attorneys’ fees and costs of defense (collectively, “Damages” hereinafter) not covered by Subsection 13.1, Consultant agrees to the maximum extent permitted by law, defend, indemnify, and hold Indemnitees free and harmless from claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in law or equity, to property or persons, including wrongful death, in manner arising out of or incident to acts or omissions of Consultant or its employees, in connection with the performance of this Agreement, including the payment of consequential damages and attorneys’ fees and other related costs and expenses, except for such loss or damage arising from the sole negligence or willful misconduct of City.

With respect to such aforesaid suits, actions, or other legal proceedings of every kind that may be brought or instituted against Indemnitees, Consultant shall defend Indemnitees, at Consultant’s own cost, expense, and risk, and shall pay and satisfy judgment, award, or decree that may be rendered against Indemnitees. Consultant shall reimburse City and its directors, officials, officers, and/or employees, for legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Consultant’s obligation to indemnify shall not be restricted to insurance proceeds, if any, received by Consultant, City, its directors, officials, officers, or employees. All duties of Consultant under this Section shall survive termination of this Agreement

13.3. Consultant must obtain executed indemnity agreements with provisions identical to those in Sections 13.1 and 13.2 from each subcontractor or other person or entity involved by, for, with or on behalf of Consultant in the performance of the Services.

If Consultant fails to obtain such indemnities, Consultant shall be fully responsible and indemnify, hold harmless, and defend the Indemnitees from and against Claims in law or equity, whether actual, alleged, or threatened, arising or claimed to arise out of, pertaining to, or relating to the acts or omissions of Consultant’s subcontractor, its officers, employees, subcontractors, materialmen, contractors, or their respective officers, or employees (or entity or individual that Consultant’s subcontractor shall bear the legal PAGE 799 of 1107
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liability thereof) in the performance of this Agreement, except for Claims arising from the negligence or willful misconduct of the Indemnitees, as determined by final arbitration or court decision or by the agreement of the Parties.

14.0 Equal Opportunity
Consultant shall not discriminate against any subcontractor, employee, or applicant for employment because of race, religion, color, national origin, handicap, ancestry, sex, sexual orientation, or age. Such non-discrimination includes, but is not limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff, or termination.

15.0 Labor Certification

15.1. By its signature hereunder, Consultant certifies it is aware of the provisions of Section 3700 of the California Labor Code that require every employer to be insured against liability for Workers’ Compensation or to undertake self-insurance in accordance with the provisions of that Code. Consultant shall provide evidence of such coverage before commencing the performance of the Services.

15.2. Consultant certifies that in the performance of this Services, Consultant shall not, in any manner, employ any person or contract with any person so that any Services so performed by such person would be subject to the workers’ compensation laws of the State of California unless and until Consultant gives City a certificate of consent to self-insure, or a certificate of Workers' Compensation Insurance Coverage.

15.3. In the event Consultant hires a subcontractor who has employees to perform the Services or any part thereof, then Consultant shall either require the subcontractor to obtain Workers’ Compensation Insurance Coverage, or must obtain Workers’ Compensation Insurance Coverage for the subcontractor’s employees.

15.4. Any Workers’ Compensation Insurance Coverage required by or for this Agreement shall be endorsed with a waiver of subrogation in favor of City for all work performed by Consultant, its employees, its agents, and its subcontractors.

16.0 Entire Agreement
This Agreement contains the entire agreement of the parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings, or agreements. This Agreement may only be modified by a writing signed by both parties.

17.0 Severability
The invalidity in whole or in part of any provisions of this Agreement shall not void or affect the validity of the other provisions of this Agreement.

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18.0 Governing Law
This Agreement shall be governed by and construed in accordance with the laws of the State of California.

19.0 No Third Party Rights
No third party shall be deemed to have any rights hereunder against either party as a result of this Agreement.

20.0 Waiver
No waiver of any default shall constitute a waiver of any other default or breach, whether of the same or other covenant or condition. No waiver, benefit, privilege, or service voluntarily given or performed by a party shall give the other party any contractual rights by custom, estoppel, or otherwise.

21.0 Headings
Headings used in this Agreement are for reference purposes only and shall not be deemed a part of this Agreement.

22.0 Force Majeure
Consultant shall not be liable for any failure to perform any obligation under this Agreement if Consultant presents that City in its sole judgment deems acceptable that such failure was due to strikes, lockouts, labor disputes, embargoes, acts of God, governmental restrictions, governmental regulations, governmental controls, judicial orders, enemy or hostile governmental action, civil commotion, fire or other casualty, or other causes beyond Consultant’s reasonable control and not due to any act by Consultant.

23.0 Final Payment Acceptance Constitutes Release
Consultant’s acceptance of City’s final payment under this Agreement shall operate as and be a release of City from all claims and liabilities for compensation to Consultant for the Services or anything done or furnished relating thereto. Neither City’s payment to Consultant nor approval of payment constitute, nor be deemed, a release of the responsibility and liability of Consultant, its employees, sub-contractors and agents for the accuracy and competency of the information provided and/or work performed; nor shall such or payment or approval be deemed to be an assumption of such responsibility or liability by City for any defect or error in the work prepared by Consultant, its employees, subcontractors and agents.

24.0 Prohibited Interests; Conflict of Interest

24.1. Consultant covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which may be affected by the Services, or which would PAGE 801 of 1107
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conflict in any manner with the performance of the Services. Consultant further covenants that, in performance of this Agreement, no person having any such interest shall be employed by it. Furthermore, Consultant shall avoid the appearance of having any interest, which would conflict in any manner with the performance of the Services.

Consultant shall not accept any employment or representation during the term of this Agreement which is or may likely make Consultant “financially interested” (as provided in California Government Code §§1090 and 87100) in any decision made by City on any matter in connection with which Consultant has been retained.

24.2. Consultant further maintains that it has not employed or retained any person or entity, other than a bona fide employee working exclusively for Consultant, to solicit or obtain this Agreement. Nor has Consultant paid or agreed to pay any person or entity, other than a bona fide employee working exclusively for Consultant, any fee, commission, gift, percentage, or any other consideration contingent upon the execution of this Agreement. Upon any breach or violation, City shall have the right, at its sole and absolute discretion, to terminate this Agreement without further liability, or to deduct from any sums payable to Consultant hereunder the full amount or value of any such fee, commission, percentage or gift.

24.3. Consultant maintains that it has no knowledge that any officer or employee of City has any interest, whether contractual, noncontractual, financial, proprietary, or otherwise, in this transaction or in the business of Consultant, and that if any such interest comes to the knowledge of Consultant at any time during the term of this Agreement, Consultant shall immediately make a complete, written disclosure of such interest to City, even if such interest would not be deemed a prohibited “conflict of interest” under applicable laws as described in this subsection.

25.0 Attorneys’ Fees
If either party commences any legal, administrative, or other action against the other party arising out of or in connection with this Agreement, the prevailing party in such action shall be entitled to have and recover from the losing party all of its attorneys’ fees and other costs incurred in connection therewith.

26.0 Exhibits
Each exhibit referenced in this Agreement is hereby incorporated into the Agreement as if set forth in full herein. In the event of any material discrepancy between the terms of any exhibit so incorporated and the terms of this Agreement, the terms of this Agreement shall control.

27.0 Corporate Authority

27.1. Each person executing this Agreement on behalf of Consultant warrants that he or she is duly authorized to execute this Agreement on behalf of Consultant and that by his or her execution, Consultant is formally bound to the provisions of this Agreement.

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27.2. Consultant certifies it is aware of the requirements of Sections 313 of the California Corporations Code. If Consultant is a corporate entity, it shall either: (a) provide City written proof that each person executing this Agreement on Consultant’s behalf is duly authorized to bind Consultant; or (b) provide two signatories to this Agreement, of whom the first must be Consultant’s chairman of the board, president, or a vice president and the second who must be Consultant’s secretary, an assistant secretary, its chief financial officer, or an assistant treasurer..

IN WITNESS WHEREOF, the Parties hereto, through their respective authorized representatives have executed this Agreement as of the Effective Date.

CITY OF SAN MARINO
By:_________________________
Mario Rueda,
Acting City Manager
Attest:

By:_________________________
City Clerk
Approved as to Form:

By:_________________________
Joe Montes
City Attorney

CONSULTANT
By:_____________________________ (Sign)
Name:__________________________ (Print)
Title: __________________________ (Print)
By:_____________________________ (Sign)
Name:__________________________ (Print)
Title: __________________________ (Print)
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Exhibit A
Scope of Services
Scope of Services found on following page
PAGE 804 of 1107
Proposal for Multi-Year Professional Services for the City of San Marino, CA

2. QUALIFICATIONS & EXPERIENCE OF FIRM & KEY TEAM MEMBERS: (cont’d) TYPICAL SERVICES:

Working with numerous Southern California cities, HCI has been responsible for directing the activities of Traffic Divisions, providing expertise to City Engineering and Planning staffs, and responding to requests, inquiries and concerns of citizens and City Council members; typical of certain needs identified by the City of San Marino’s RFP for on-call traffic engineering services.

If desired, our overall services available to the City of San Marino include the following:
 Traffic signal design
 Signing and striping design
 Develop and implement traffic signal timing plans
 Develop, design and implement traffic signal coordination systems  Traffic management plans (traffic control plans)
 Warrant analyses for traffic control devices, such as traffic signals, Stop signs, crosswalks  Engineering and Traffic Surveys for establishing speed limits  Review of traffic impact analyses
 Remote and local (off-site/on-site) management of traffic signals  Review all proposed improvements, development, site and traffic management plans to ensure conformance with applicable standards (City, AASHTO, Cal. MUTCD, etc.)  Develop traffic-related conditions of approval for planning and development applications  Identify and prepare applications for public improvement funds/grants  Coordination of activities of our client cities’ traffic signal maintenance contractor  Contract City Traffic Engineering
 All other traffic-related impact reports, surveys and analyses From our office location, HCI also continuously operates eleven (11) agencies’ citywide traffic signal systems. The local agencies where HCI remotely operates and daily monitors the coordination timing for traffic signals are the following cities:
1) Aliso Viejo 5) Laguna Hills 9) Stanton
2) Cerritos 6) Moorpark 10) Tustin
3) Cypress 7) Rancho Santa Margarita 11) Yorba Linda
4) Indian Wells 8) San Juan Capistrano
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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)
In careful review of the City’s RFP, we are providing our knowledge, skill sets, qualifications, and experience related to what is being sought in Category 1: On-Call Traffic Engineering Services (as listed below):

1. Design Engineering Services (Traffic Signal, Signal Interconnect Design Plans) HCI has extensive experience in the development of traffic engineering plans, such as new traffic signal, traffic signal modification, and signal interconnect as these are among our firm’s primary service products. Upon request by the City’s contract officer, HCI will generally begin a traffic design by completing a topographic field-review of the intersection/location. More specifically, HCI staff conducts a field review to verify existing equipment and/or document roadway features including curb, gutter, median alignments, sidewalks, driveways, catch basins, curb returns, bus and bicycle routes, signing and striping. HCI also reviews the project roadways and compares the layout drawings against existing field conditions. Potential conflicts between proposed improvements and underground/overhead utilities (other infrastructure) are investigated.

HCI then prepares a base design plan using AutoCAD for the project location. After incorporating all necessary utility data, a preliminary traffic plan is prepared that takes the existing and modified street and intersection geometries into consideration, along with other factors that may influence the design and/or operation of the system. Each plan includes necessary notes/specifications for applicable equipment removal and installation.

The majority of our traffic signal design work is designed in conformance with Sections 86 and 87 of the State of California (Caltrans) Specifications and Standard Plans, latest edition, and is compliant with the City’s most current signal design standards and technical provisions. The traffic plans generally include: General and construction notes, phase diagram, conductor, detector and pole schedules, and any other details necessary for construction.

The plans are typically prepared at 20-scale or 40-scale and plotted on ‘D’ size (24”x36”) full-size sheets with standard City title block. HCI usually provides a 60% and 90%-complete progress submittal of the preliminary traffic plans to the City for design review. Comments received during the City’s review are incorporated in a timely manner into the final 100% plan submittal.

Similarly, HCI has extensive experience in the development of signing and striping plans, signing/striping modification plans, and traffic control plans. For each of these types of plans, HCI includes applicable technical provisions and engineer’s estimates that complement each plan set providing complete PS&E ready for construction bidding on time and within the City’s approved schedule. All plans are prepared under our licensed Traffic and Civil Engineers.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)

1. Design Engineering Services (Traffic Signal, Signal Interconnect, & ITS Design Plans) (cont’d) It is important to note, all of our engineering staff assigned to serve the City of San Marino have a thorough knowledge and proficiency in the local agency municipal codes, current State (Caltrans) standard plans and specifications, Highway Design Manual, Highway Capacity Manual, California Manual on Uniform Traffic Control Devices (CA MUTCD), policies and procedures for ADA regulations, traffic signal timing, traffic engineering modeling and methodologies, ITS, Federal/State/County/City funding, traffic standards and methodologies, and the State of California Vehicle Code.

Our team will provide the City with all materials and labor to perform the requested traffic engineering design services and conform to these standards. In addition to our technical expertise, our staff possesses the ability to effectively communicate in oral or written form and have no difficulty speaking before groups. HCI staff will attend City staff, City Council, Planning Commission, and any other extraordinary meetings or events, as needed and requested by City.

HCI staff does have the expertise to complete all traffic engineering services as listed in the City’s RFP, including cooperatively working with various agencies such as Caltrans and Los Angeles County.

2. Plan-Checking Services / Private Development Plan-Check HCI understands that the on-call professional engineering services that may be requested by the City’s contract officer may involve plan-check services for the consultant to provide on behalf of the City, in accordance with current Traffic Engineering and Traffic Operations principles and design requirements. As our firm specializes in providing traffic engineering services to local agencies, HCI staff have reviewed and plan-checked countless traffic plans over the past (29) years for numerous cities. As an approved consultant, upon request HCI will perform plan checks and reviews in accordance with any applicable City Design Manual, Standard Plans, Technical Provisions, Planning and Design Guidelines for Bicycle Facilities, and Transportation Guidelines, Caltrans Highway Design Manual, CA MUTCD, and the Caltrans Standard Plans and Specifications.

HCI’s experience and expertise allows quick and complete site plan review for all types of traffic engineering applications, as well as certain civil applications, to determine conformance to traffic, parking, access, street and pavement, subdivision requirements, meetings with developers or contractors to resolve traffic issues.

Upon request, HCI staff will red-line a plan and/or render and remit a typed plan-check correction/clarification list (2 copies) to the Public Works Department/Engineering Division within (10) working days from notification by the City for a typical development project.

HCI’s traffic plan review check list is comprised of the following:

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)
If requested, our reviews conclude with developing detailed, project-specific Conditions of Approval for the City’s consideration. It is noted that many development-related services such as the review of street improvement or traffic signal plans are project specific and are treated as recoverable project costs. With our internet based tools and 12-person available staff, HCI is very capable of taking on and efficiently managing multiple design/review projects.

3. Other Traffic/Transportation Engineering Services, including Reports & Surveying Warrant Analyses/Reports
Our staff also prepares numerous warrant analysis and traffic operations reports every year for various city agencies, such as traffic signal warrants, left-turn phasing warrants, multi-way stop warrants, operational level-of-service (LOS), queuing analyses, flashing beacon warrants, traffic calming studies, traffic signal master plans, citywide Engineering and Traffic (E&T) surveys for speed limits, etc. Upon City request, HCI staff also completes field reviews for sight distance, order applicable vehicular and pedestrian count data, and quickly gathers, prepares, and analyzes SWITRS collision data (via i-SWITRS website), prepares exhibits, and develops reports for literally hundreds of traffic studies for our client cities.

Upon request by the City’s contract officer, HCI will also provide critical intersection calculations, as we do for several of our client city agencies on a bi-annual basis, for compliance with the region’s Congestion Management Program (CMP) and Highway Performance Monitoring System (HPMS). In regards to the CMP, HCI typically gathers peak-hour turning movement counts for the specified intersections, and applies these traffic volumes, number of lanes for each approach leg, and traffic signal timing to obtain an intersection LOS.

More specifically, HCI utilizes the Intersection Capacity Utilization (ICU) or the Highway Capacity Manual (HCM) methodologies, as appropriate, to complete peak-hour intersection levelof-service (LOS) calculations. Typically, HCI uses the HCM methodology to determine LOS at traffic signalized intersections using the Synchro Traffic Signal software, unless the ICU methodology is specified. HCI then reviews the results, determines applicable deficiencies, and provides a recommendations report to the City for improving LOS to acceptable standards, such as additional lanes, protected left-turns, overlap phases, and signal timing.

Software
HCI uses state-of-the-art licensed AutoCAD software, as well as the Microsoft Office suite of programs, Synchro 11, and Adobe & Nitro PDF programs on our office computers. More specifically, our designers use the AutoCAD software for all of our design plan work, which typically include traffic signal plans (new or modification), signing and striping plans, signal interconnect plans, certain civil plans, and report exhibits. All of our staff’s computers use the Microsoft Office programs (including Excel, Word, Outlook, & Powerpoint, etc.) to complete various reports, memos, specifications, and estimates as part of the requested PS&E design work.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)

3. Other Traffic/Transportation Engineering Services, including Reports & Surveying (cont’d) Software (cont’d)
In regards to Simulation/Modeling, our engineers use the Synchro program, as well as the latest Tru-Traffic time-space coordination timing software, for various timing development and evaluations, modeling and simulations. HCI is very familiar with Synchro, which uses the Highway Capacity Manual (HCM) methodology for corridor timing development.

TRAFFIC SIGNAL OPERATIONS SUPPORT SERVICES:

It is noted, we are including an explanation of our on-going traffic signal monitoring support services for the City’s review. We understand these particular services are not needed or included in the RFP; however, they are provided as part of our experience information for the City’s consideration.

As mentioned, HCI currently manages the traffic signals and signal systems of (11) Southern California cities on a daily basis. Consequently, we have a very good understanding and are infinitely familiar with both the Econolite control equipment as well as the Centracs and Aries Traffic Management System softwares for traffic signal systems management. In regards to coordination timing and separate time-referencing devices, all signal controller time clocks that we manage are constantly updated through our Centracs and Aries Traffic Management softwares, which are always connected to the GPS time via internet.

HCI’s project-specific experience includes extensive knowledge on the local agency’s signal controllers. HCI staff continuously (daily) interfaces with the signal controllers in our client cities which currently use the Econolite ASC/2S, ASC/3, and the latest Cobalt system controllers, the ASC/2M master controllers, and managed by the Centracs and Aries Traffic Signal Management systems.

HCI staff’s “hands-on” traffic signal timing experience comprises all levels of timing applications, including timing input into signal system controllers manually and from our traffic signal management center through our licensed system software, designing and installing special “custom” traffic signal operational circuitry, and maintaining signal interconnect operations.

Our same team members have been working with several City staffs during the past several years in monitoring their City’s systems. In conjunction, HCI staff continues our on-going excellent relationships with most traffic signal, lighting, and signal maintenance contractors (and their technicians) including Econolite (Aegis), Siemens ITS, Crosstown/Computer Services Company (CSC), Bear Electric, St. Francis, as well as with Caltrans and the Counties of Los Angeles, Orange, and Riverside for any shared City/State or City/County intersections.

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Proposal for Multi-Year Professional Services for the City of San Marino, CA

4. PROJECT APPROACH: (continued)
Lastly, throughout the past years, HCI has maintained a good working relationship with Caltrans, as several projects have been implemented that successfully interfaced with freeway interchange traffic signal systems.

APPROACH:

The specific approach to our on-going traffic signal operations and timing management services that HCI provides to our client agencies includes the following:

HCI typically provides a Traffic Signal Systems Specialist for the monitoring support on all the City’s traffic signals. The Specialist sets up the Scheduled Operations on the Centracs or Aries Traffic Management systems specifically for our client City’s systems in order to automatically perform a variety of tasks. Specifically, the Centracs/Aries functions and Specialist’s time spent on these services include performing the following daily sub-tasks:

1. The Scheduled Operations automatically gather and store historical data and real-time information on all the City’s traffic signal operations programmed;

2. The data is reviewed daily to verify that all traffic signals are working properly;

3. Any malfunctions logged are immediately reported to the City’s designated traffic signal maintenance contractor, for dispatch;

4. The historical data is also analyzed to identify traffic volumes and patterns in order to assist in determining if adjustments to signal timing is necessary;

5. Verify if all timing is programmed correctly in each master and local controller.

HCI staff typically reports traffic signal problems and malfunctions to the City’s traffic signal maintenance contractor within (24) hours. HCI staff coordinates all work associated with the City’s contractor and also provides verification to the City of their completed work. HCI staff often assists the City in resolving traffic signal complaints by speaking by phone/email/in person with the resident(s)/City personnel on their specific request/complaint. HCI staff completes the necessary investigation and makes recommendations to the City on identified traffic signal improvements, such as equipment upgrade, more efficient signal phasing, significant timing adjustments, any new coordinated signal control systems, etc.

Upon request, HCI staff may also drive each project arterial during peak-periods in order to verify and fine-tune coordination timing. If necessary and approved by the City, HCI also coordinates/gathers updated traffic counts as part of the investigation.

The above approach has proven to be a valuable service to our client cities, as the on-going scheduled signal management has minimized overall time in troubleshooting, repair, and maintenance company efforts by City staff on their citywide traffic signal systems. In turn, this controlled management service actually saves the City on the amount of time and personnel required to monitor and repair signal related issues.

PAGE 810 of 1107
14 of 14
Exhibit B
Fee Schedule
Fee Schedule found on the following page
PAGE 811 of 1107
Hartzog & Crabill
Consulting Engineers
17852 E. 17th Street, Suite 101,  Tustin, CA 92780  (714) 731-9455 Schedule of Hourly Rates
Classification Hourly Rates
Expert Witness / Deposition....................................................................................... $290 Litigation Consultation............................................................................................... $260 Two-Person Survey Crew........................................................................................... $260 Litigation Field Evaluation......................................................................................... $235 Principal Consultant......................(Tram Hartzog & Jerry Stock, PE, TE)........... $180 Project Manager.......................................................................................................... $170 Registered Land Surveyor........................................................................................... $165 Senior Engineer……(Scott Ma, PE, TE, Bernie Dennis, TE, & Doug Anderson). $155 Storm Water Permit Compliance Engineer................................................................. $155 Associate Engineer.........................(Michael Vallado)................................................ $150 Construction Manager................................................................................................. $140 Traffic Signal System Supervisor…(Greg Cabey)...................................................... $140 Mural Artist.................................................................................................................. $140 Senior Designer..............................(Todd Hartzog & Dave Martorano)................... $135 Traffic Signal Systems Specialist...(Dave Pickrell & Michael Powers)..................... $130 Assistant Engineer........................................................................................................ $125 Draftsperson.................................................................................................................. $105 Technician..................................................................................................................... $ 90 Word Processor............................................................................................................. $ 75 Clerical.......................................................................................................................... $ 60 * Traffic Counts (Cost, plus 15%)............................................................................ $ * Note: Out of pocket expenses (blueprinting, reproduction, printing and delivery service) will be invoiced at Cost. These other direct costs are included in the not-to-exceed values for the aforementioned scope of services. A 15% fee for administration, coordination and handling will be added to subcontracted services. This Schedule of Hourly Rates is effective as of July 1, 2022. Rates may be adjusted after that date to compensate for increases of inflationary trends.

Mileage shall be per current IRS rate. Rate can be found at the following link:
https://www.irs.gov/newsroom/irs-issues-standard-mileage-rates-for-2023-business-useincreases-3-cents-per-mile..

PAGE 812 of 1107
TO: Mayor and City Council
FROM: Mario Rueda, Acting City Manager
BY: Christina Baker, City Clerk
DATE: June 14, 2023
SUBJECT: CONSIDERATION OF ORDINANCE NO. O-23-1403 (1ST

READING) AMENDING MUNICIPAL CODE SECTION

02.14.02 REMOVING LANGUAGE PERTAINING TO PUBLIC
SAFETY COMMISSION ABSENCES AND RESOLUTION NO.

R-23-16 ESTABLISHING ADVISORY BODY ATTENDANCE

STANDARDS

STRATEGIC PLAN CRITICAL SUCCESS FACTORS
Efficient, Responsive, and Effective City Services
Fiscally Responsible and Transparent City Government

BACKGROUND
The City Council relies on a number of citizen boards and commissions to serve as advisory bodies to the Council. The San Marino Municipal Code establishes the high-level requirements of each of the advisory bodies, and City Council adopted resolutions establish the more detailed aspects of the advisory bodies (i.e. meeting dates and times).

DISCUSSION
The San Marino Municipal Code only addresses absences for members of the Public Safety Commission. Currently, members of the Public Safety Commission are permitted no more than two excused absences per fiscal year with no unexcused absences allowed. The Advisory Body Members Handbook addresses attendance for all other advisory body members and states three unexcused absences in one calendar year may be grounds for removal.

Steve Talt, Mayor
Steven W. Huang, DDS, Vice Mayor
Tony Chou, Council Member
Calvin Lo, Council Member
Gretchen Shepherd Romey, Council Member
PAGE 813 of 1107
Ordinance No. O-23-1403 (Attachment 1) would remove the specific mention of Public Safety Commission absences from the municipal code, aligning it with the other Advisory Body code sections. Resolution No. R-23-16 (Attachment 2) would establish consistent attendance standards for all advisory body members. The resolution would create a standard of advisory body members who miss twenty-five percent (25%) or more of regularly scheduled meetings in a twelve (12) month period without prior notification to the Chair and staff liaison will be subject to removal by City Council action.

Staff is recommending the twenty-five percent (25%) standard due to all of the City’s advisory bodies not having the same number of regular meetings and allowing for canceled regular meetings to be considered.

An absence is considered unexcused when the advisory body member does not report their absence to the Chair and staff liaison at least 72 hours prior to the meeting. This will allow the Chair and staff liaison sufficient time to address the absence since many of the City’s advisory body meetings take place on Mondays.

Resolution No. R-23-16 will be brought back for approval with the second reading and adoption of Ordinance No. O-23-1403, if Council chooses to introduce the ordinance for first reading at tonight’s meeting.

FISCAL IMPACT & PROCUREMENT REVIEW
None.

LEGAL REVIEW
The City Attorney's office has reviewed and approved as to form.

RECOMMENDATION
Staff recommends the Council introduce for first reading Ordinance No. O-23- 1403. If Council concurs with staff’s recommendation, an appropriate motion would be:
“I move to waive full reading and introduce for first reading by title only Ordinance No. O-23-1403, an Ordinance of the City Council of the City of San Marino, California Amending Municipal Code Section 02.14.02 Removing Language Pertaining to Public Safety Commission Absences.” PAGE 814 of 1107

ATTACHMENTS

1. Ordinance No. O-23-1403 (Draft)

2. Resolution No. R-23-16 (Draft)
PAGE 815 of 1107
1 ORDINANCE NO. O-23-1403

AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SAN

MARINO, CALIFORNIA AMENDING MUNICIPAL CODE SECTION

02.14.02 REMOVING LANGUAGE PERTAINING TO PUBLIC

SAFETY COMMISSION ABSENCES

THE CITY COUNCIL OF THE CITY OF SAN MARINO DOES ORDAIN AS FOLLOWS:

SECTION 1. RECITALS
WHEREAS, the San Marino Municipal Code does not address absences for all City boards and commissions; and
WHEREAS, a council approved resolution will be used to address all board and commission absences.

SECTION 2. Section 02.14.02 (Appointment and Term) of the San Marino Municipal Code is amended as follows:

02.14.02 Appointment and Term
Members of the Public Safety Commission shall be appointed by the Mayor with the approval of the Council.

Members of the Commission shall serve terms of four (4) years, with terms commencing June 1 of the year of appointment; except, that of the Commissioners first appointed, two (2) members shall serve terms of two (2) years and three (3) members shall serve terms of four (4) years. Thereafter, all Commissioners shall serve a term of four (4) years and until a successor has been appointed.

The City Council may remove any member of the Commission at any time. Vacancies shall be filled by appointment for the unexpired portion of the remaining time in the same manner as the original appointment.

No Commissioner may serve more than two (2) consecutive terms; however, after waiting a period of at least two (2) years following the end of the second term, a Commissioner may be reappointed to not more than two (2) additional consecutive terms.

PAGE 816 of 1107
No member serving on the Public Safety Commission shall be permitted more than two (2) excused absences per fiscal year. No unexcused absences are allowed.

SECTION 3. The City Clerk shall certify the adoption of this ordinance and shall cause this ordinance to be published by title and summary.

SECTION 4. This ordinance shall take effect 30 days following publication by title and summary.

PASSED, APPROVED, AND ADOPTED this 12th day of July, 2023. ________________________

STEVE TALT, MAYOR
ATTEST:
__________________________________

CHRISTINA BAKER, CITY CLERK
APPROVED AS TO FORM:
____________________________

JOSEPH MONTES

CITY ATTORNEY
PAGE 817 of 1107

STATE OF CALIFORNIA )
COUNTY OF LOS ANGELES ) ss

CITY OF SAN MARINO )
I HEREBY CERTIFY that the foregoing City of San Marino Ordinance No. O-23-1403 was introduced and read by title at a Regular Meeting of the San Marino City Council held on the 14th day of June, 2023, and was adopted on second reading at a meeting of the City Council held on the 30th day of June, 2023 by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
____________________________

CHRISTINA BAKER

CITY CLERK
PAGE 818 of 1107
RESOLUTION NO. R-23-16

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN

MARINO, ESTABLISHING ADVISORY BODY ATTENDANCE

STANDARDS
WHEREAS, the City’s advisory bodies are established in order to provide advice and recommendations to the City Council; and
WHEREAS, attendance by advisory body members is crucial for establishing quorum and conducting successful meetings; and
WHEREAS, there is currently no official policy in place regarding attendance for all advisory body members.

THEREFORE, BE IT RESOLVED by the City Council of the City of San Marino, California, as follows:

SECTION 1. The City Council hereby declares that any advisory body member who has missed twenty-five percent (25%) or more of regularly scheduled meetings in a twelve (12) month period without notifying the advisory body Chair and staff liaison will be subject to removal from the advisory body, upon action of the City Council. An absence is considered unexcused when the advisory body member does not report their absence to the Chair and staff liaison at least 72 hours prior to the meeting. Where applying a 25% calculation creates other than a whole number, normal number rounding to the nearest whole number will be used.

SECTION 2. Effective Date: This Resolution shall become effective immediately upon adoption.

PASSED, APPROVED AND ADOPTED, at a meeting of the City Council of the City of San Marino, California, on this 12th day of July, 2023.

STEVE TALT, MAYOR

ATTEST:

CHRISTINA BAKER, CITY CLERK
PAGE 819 of 1107
CITY OF SAN MARINO RESOLUTION NO. R-23-16

STATE OF CALIFORNIA )
COUNTY OF LOS ANGELES ) ss.

CITY OF SAN MARINO )
I, Christina Baker, City Clerk of the City of San Marino, California, hereby certify that Resolution No R-23-15 was adopted by the City Council of the City of San Marino at a regular meeting held on the 12th day of July, 2023, and that the same was adopted by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
________________________________

CHRISTINA BAKER, CITY CLERK

CITY OF SAN MARINO
PAGE 820 of 1107
TO: Mayor and City Council
FROM: Mario Rueda, Acting City Manager
BY: Christina Baker, City Clerk
DATE: June 14, 2023
SUBJECT: ADOPTION OF RESOLUTION NO. R-23-19 APPROVING AN

UPDATE TO THE CITYWIDE RECORDS MANAGEMENT

POLICY AND RECORDS RETENTION SCHEDULE

STRATEGIC PLAN CRITICAL SUCCESS FACTORS
Efficient, Responsive, and Effective City Services
Fiscally Responsible and Transparent City Government

BACKGROUND
At the March 8, 2017 City Council meeting, the City Council adopted Resolution No. R-17-05 (Attachment 1) establishing for the first time a citywide Records Management Policy, Electronic Communications Policy, and Records Retention Schedule. The policy defined what a record is, established various record classifications, and ensured retention periods that met regulatory and operational requirements. The resolution also established the process for destroying records.

DISCUSSION
Sound record management dictates that policies and schedules should be periodically reviewed. The current Records Management Policy, Electronic Communications Policy, and Records Retention Schedule have been in place for over six years which has given staff the opportunity to not only implement but also evaluate the current policies and schedule.

At this time, staff is recommending changes to the Records Retention Schedule (Attachment 2), the Records Management Policy (Attachment 3), and the records destruction process. The Electronic Communications Policy Steve Talt, Mayor
Steven W. Huang, DDS, Vice Mayor
Tony Chou, Council Member
Calvin Lo, Council Member
Gretchen Shepherd Romey, Council Member
PAGE 821 of 1107
will be incorporated into the personnel rules and regulations and will be brought back to Council at a later date after conferring with the employee associations.

Most of the changes to the Records Retention Schedule were housekeeping items like fixing grammar mistakes, updating department/record names, and clarifying descriptions and examples. There were three changes however that went beyond basic housekeeping.
• First, the retention period for Record No. 034 “Insurance Coverage” was changed to permanent based on a recommendation from the City Attorney. Proof of insurance coverage is often required far beyond the life of the asset.
• Second, Agendas and agenda packets were moved from Record No. 65 “Public Meetings – Administration” to Record No. 66 “Public Meetings of Legislative Bodies” which makes agendas and agenda packets permanent records. Saving these records permanently provides the public, Council, and staff additional context when looking back at City Council decisions.
• Finally, a new column labeled “Destroy Paper after Imaged?” denotes which records must be kept in paper copy even after the record has been imaged and stored digitally.

The Records Management Policy was updated to fit with the City’s current branding guidelines, and includes one major change. The policy would now allow for electronic versions of documents to be kept as the official record instead of as solely duplicates of official records. This change to the Policy is what lead to the new “Destroy Paper after Imaged?” column on the Records Retention Schedule. This column on the schedule dictates which official records are not applicable to be kept as electronic copies. Many of the City’s administrative functions have moved to digital platforms and this change allows those records to stay digital and also gives staff the ability to keep additional official records electronically.

Resolution No. R-23-19 (Attachment 4) not only adopts the Records Retention Schedule and the Records Management Policy, but also establishes the requirements for destroying records. The current destruction policy requires the records go to City Council on the consent calendar. This created a backlog in destroying records and lead to records not being destroyed for the last five years. Industry standards have also shifted since the adoption of the current policy. Staff conducted a survey of other local California governments to see if cities require City Council approval to destroy records. Forty-five cities responded to the survey and eighty-nine percent (89%) of those cities stated they do not require Council approval to destroy records. Resolution No. R-23- PAGE 822 of 1107
19 allows for the destruction of records per the City Council approved Records Retention Schedule, and with approval by the Department Head, City Attorney, and City Clerk. These positions signing off on the destruction of records is also in line with current industry practices. Attachments 5 and 6 are the forms staff would use to obtain approval to destroy official records and imaged paper records.

FISCAL IMPACT & PROCUREMENT REVIEW
None.

LEGAL REVIEW
The City Attorney's office has reviewed and approved Resolution No. R-23-19 and the associated exhibits.

RECOMMENDATION
Staff recommends the Council adopt Resolution No. R-23-19. If the City Council concurs with staff’s recommendation, an appropriate motion would be:
“I move to adopt Resolution No. R-23-19, a Resolution of the San Marino City Council Updating the Records Management Policy and the Records Retention Schedule.”

ATTACHMENTS

1. Resolution No. R-17-05

2. Records Retention Schedule (Redlined)

3. Records Management Policy (Redlined)

4. Resolution No. R-23-19 (Draft)

5. Disposition of Records Form

6. Disposition of Imaged Paper Records Form
PAGE 823 of 1107
RESOLUTION NO. R-17-05

A RESOLUTION OF THE SAN MARINO CITY COUNCIL

ADOPTING A POLICY REGARDING ELECTRONIC

COMMUNICATIONS, A RECORDS AND INFORMATION

MANAGEMENT POLICY, AND A RETENTION SCHEDULE
WHEREAS, the retention of numerous obsolete records is unnecessary for the effective and efficient operation of City government; and WHEREAS, Government Code Section 34090 provides a rule for the minimum retention of any City record that has served its purpose and is no longer required; and WHEREAS, this Resolution is intended to adopt a Records and Information Management Policy, Electronic Communications Policy and a Retention Schedule that facilitate the appropriate and efficient management and retention of City records in accordance with Government Code Section 34090.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN MARINO HEREBY RESOLVES AS FOLLOWS:

SECTION 1. Retention Schedule.

A. The Retention Schedule attached hereto as Exhibit A and incorporated herein by this reference, is hereby adopted.

B. City Records, both paper and electronic, shall be retained for the defined period of time listed for each record series in the column entitled "Retention" on Exhibit A and shall not be destroyed until approved for destruction in accordance with this Resolution.

C. Non-Records need not be retained in any form; provided, however, that any Non-Records that are subject to a Legal Hold shall be retained and shall not be destroyed until notice is provided by the City Attorney for the City of San Marino that such Non-Records no longer need be retained.

SECTION 2. Approval of Destruction of City Records.

A. At the expiration of the Retention period set forth for each record series listed on Exhibit A, such expired City Records are authorized to be destroyed as provided by the applicable California codes and regulations upon the written request of the City Clerk and consent in writing of the applicable Department Head and the City Attorney to such destruction, and inclusion on the consent calendar for presentation to the City Council for acknowledgement.

PAGE 824 of 1107
B. Notwithstanding the foregoing, City Records that are subject to a Legal Hold shall be retained and are not authorized for destruction until notice is provided by the City Attorney that such City Records subject to a Legal Hold no longer need be retained.

C. All City Records approved for destruction shall be destroyed in a secure manner.

SECTION 3. Destruction of Records Mandated by Law. If state or federal law mandates that a City Record must be destroyed within a certain period of time or by a specified date, the City Clerk, with the written consent of the City Attorney, is hereby authorized to destroy such City Records as required by state or federal law, notwithstanding that the Retention and Destruction Schedule specifies a longer Retention period.

SECTION 4. Destruction of Duplicates. Pursuant to Government Code Section 34090.7, the City Council hereby authorizes destruction of duplicates of City Records if such duplicates are no longer required, provided that the original is retained in accordance with the Records Retention Schedule and Destruction Schedule.

SECTION 5. Records Retention Pon The Records and Information Management Policy that is attached hereto as Exhibit "B" and incorporated herein by this reference is hereby adopted by the City Council.

SECTION 6. The Policy Regarding Electronic Communications that is attached hereto as Exhibit "C" and incorporated herein by th.is reference is hereby adopted by the City Council.

SECTION 7. Supersession. Any provision of a previously adopted City Council resolution or City policy that conflicts with the terms of this Resolution or the attachments is superseded and shall be of no further force or effect.

SECTION 8. Certification. The City Clerk shall certify to the passage and adoption of this Resolution and shall enter it in the book of original resolutions.

SECTION 9. Effective Date. This Resolution shall be in full force and effective immediately upon its passage and adoption.

PASSED, APPROVED AND ADOPTED this 8th day of March, 2017.

BY:

RICHARD WARD, VICE-MAYOR
PAGE 825 of 1107
APPROVED AS TO FORM:

STATE OF CALIFORNIA )
COUNTY OF LOS ANGELES ) ss.

CITY OF SAN MARINO )
I HEREBY CERTIFY that the foregoing Resolution No. R-17-05 was duly adopted by the City Council of the City of San Marino at a Regular Meeting held on the 9th day of March 2017, by the following vote:

AYES: HUANG, TAL T, YUNG, WARD
NOES: NONE
ABSTAIN: NONE
ABSENT: SUN
PAGE 826 of 1107
Exhibit A
Records Retention and Destruction Schedule
for the City of San Marino
PAGE 827 of 1107
Record No. Business Process
001 All Departments
002 All Departments
003 All Departments
004 All Departments
3/912017
City of San Marino
Retention Schedule

ACRONYMS
/!£ = W!lfle ll,clive
U = Ufe (af _.,.,,., - )
Cl = C!~mplelM>ll CV= C<.uTcnl Yea!' D = ~ FR=ran.al ~-·- U\_: l:sniilallononAali>n Record Category Name
Agreements, Contracts and Leases •
Equipment, Goods and Services
Asset Management, Maintenance
Business Continuity Records
Community Activities, Media and Public
Relations
MA_,. Maturi1~ MAINT Maint n- Records PR = Pemianent Su~ T=Telmlnatlon V =Yea< Record category Description
EDc:lr".rt:fil'glft1[Ulf"ICS,.C~WiiitS.f!!i~~~wxiatCQrntracl. such as an agreement, franchise, purchase order, or lease) and associated ancillary documents, between the City and other parties pertaining to goods and services This category exdudes real property
Example Records
Addendums
Amendments
Attachments I Exhibits
Bids, Awards (Accepted)
Certificates of Insurance
Change Orders
Disclosures
Exhibits
Facility Users Agreement (application, General Liability insurance certificate)
F~·AgtH"1~tl.lSoidWi$1L R~l
Leases
Letters of Intent
License Agreements, Licenses
Memoranda of Agreement (MOAs)
Memoranda of Understanding (MOUs)
Price Lists
Proof of Insurance Certificates
Pun:hna ~n
Quotations
ReceMng Reports
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Requisitions
Scorecards
Specifications
statements of Work (SOW)
Warranties
~°" '~ !O 1.1'\to l'J\ltl~! I~ maintenance of City assets, including California Bureau of AutomotiVe Repair (BAR) Smog Records equipment, fleet vehicles, re.ill ;l(l:IP*\r And~' il!!l5ets California Highway Patrol Biennial Inspection Terminal (BIT) Records
Damage to City Property
Equipment Accident Reports
Equipment Certifications
Fuel Records
Horticulture
Irrigation in parks and right-of-ways
Landscaping
Maintenance and Repair Work Orders (internal, public requests) Maintenance Reports (buildings, parks, streets, sidewalks) Motor Vehicle Records and Reports
Playground Equipment
Playground Inspections
Registrations, Operating Permits
Rental (Portable Stage)
Service Calls
Sewer Maintenance
Sidewalks
Streetlights
Street Sweeping
streets
Traffic Signals
Tree Program /Tree Requests
Vehicles/Fleet
Al aocumentanon for aea11ng wrtn preparnon for ana responses to emergencies, Business Connnuny Plans disasters and/or system failures Disaster Recovery Plan Dril Records
Documentation associated with COmrr"tl.lrit)l'IM"4 outl~U.Ch ~~ ~a.1u1 .. ~~andpressrelationsmaterials
Emergency Contact Lists, Employee Lists, Roster of Workers Emergency Evacuation Procedures
Emergency Operations Center
Emergency Preparedness
Emergency Response
Evacuation Plans
Fire Prevention Plan
Telephone Trees
Brochures
FAQs
Mailers
Media Packets, Releases, Kits
P.esslO!s
Public I Media Inquiries
Public Information I Outreach I Education
Publications Produced by the City (Community Newsletter, Recreation Guide)
Publicity Files
Social Media Documentation
Retention
AC+10Y
u•+4y
S+2Y
AC+4Y
Legal Citations
CA· CCP 337 - (LA4Y)
CA - CCP 343 - (LA4Y)
CA - GOV 34090 • (2Y)
US - 26 CFR 31 6001-1 • (CU+4Y)
US - 29 CFR 516 5 - (3Y)
CA - CCP 337 - (LA4Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31 6501 - (CU+3Y)
US - 26 CFR 301 6501 - (CU+3Y)
CA - GOV 34090 - {2Y)
CA - CCP 337 - (LA4Y)
CA- GOV 34090 - (2Y)
Comments
• LI = Life of Asset (NOTE: Life of asset is not
affected by life of real property on which it is
located)
Page1 of15
PAGE 828 of 1107
Record No. Business Process
005 All Departments
006 All Departments
007 All Departments
008 All Departments
009 All Departments
010 AU Departments
011 AU Departments
31912017
City of San Marino
Retention Schedule

ACRONYMS
AC "' Whlle Active
u • U•e (of pl09<am. os!et)
~ A\Jdil
M ~ Monlh
CL "' ~se/Gomplell on CU = OOrrenl Year ~ Day FR'"' Fl!U>I Re.solujlon LA "' Uroifallon on Action ll!A , M•lul\1)1 MAJNT "' l\llalnl•lo Reccr6s PR r Pennanenl $ <: Supeisellflll T • T&lmloalioo Y e Year Record Category Name
Complaints, Internal Investigations
Department Administration
Record Category Description
Oocu:m;e~n of complaints received, formal inquiries, and investigations, ~ thooe by lr.!t(llll AJt'.im., involving City employees (excludes officer shootings), whether sustained or not sustained
Example Records
eaten Complaints
~talActlORS
lntemllll
~
lnvestigations
logs, Wol'ifppperJ
l~ rAeportt,. Flndingt. Notes, letters
Security Incidents (response files, reports)
Security lnvestig<ltions
General internal administrative records of City departments, including: Compiamt Logs, SeMCe Issues - Documentation of department acti'vities City Generated Routine Studies I Reports - Routine reports generated by the City Department Administrative Documents (calendars, committees, - Information captured on a log or a list goals, objectives, meeting agendas, meeting minutes, meeting - Correspondence, memos, note5 and emails that do not requife acknowledgment tapeslreconing, plans) and do not pertain to another category Employee Communication Letters (announcements, n8'N - Department projects programs. notices)
Fonn letters
In-House Committees/ Employee Committees
Lists (department contacts, telephone lirectories, mailing) logs (case number, daiiy DR#, subpoenas received)
Project Fies (reporting, studies)
Publication and logo Permissions/Releases
Safety Committee
Supplies Management
Surveys I Questionnaires (traffic counts, speed surveys) Travel and IHnereries
Volunteer Programs
Working Files, Workpapers
Historical Documents, Events, Memorabilia, llccordlal"M.1 1nr«tnr.10r1 aocumenong the n1storyand significant m~estones of CrtySeal Collections, Artifacts lM Qty• d-41:em*'9d by the City Manager or City Clerk City Generated Hlstorieal Studies I Reports City Incorporation
Meetings • Audio Records
Organization Charts
Policies, Procedures and Plans
Historic Districts
Historical Events, Artifacts, Architecture, Designations, Projects Historical Parks, Faciities
Picture CoNedklns
Registered Logos
AU<io and Video ReoordlngS of City Counci, Comm1SS1ons, C(y Committees, and Aui:io Recordings their governing boards
Documems mat llepict che aepamnenta1 ana reponmg scruccure of tne Crty government.

Al administrative documentation ot City polcies and procedures OrgCnarts
Organization Tree&
Reporting Structure
Adm1msmmve Po oes
Directives
General Orders
Guidelines
Fi'le-Year Plans
Handbooks
Policies
Procedure Manuals
Procedures
Program /Initiative Plans
Standards
Treatment Plains
Procurement - Agreements and Conlract Not Reco:cts .WS ln h:um~ cra.wdot If\ m• pttpariw:ion. of purchasing or Bids, Awards (Unaccepted, Rejected) Awarded ~ of goods and services, but 'Mitre the purehn e order, contract, or Exhibits ~~M "°9 not awarded Price lists
Quotations
Requisitions
Requests for Information (RFI)
Requests ror Proposal (RFP)
Requests for Quote (RFQ)
Scorecards
Specifications
Retention
FR+6Y
AC+2Y
PR
1r
S+2Y
AC+10Y
AC+2Y
Legal Citations
CA· EVID 1045-(AC+5Y)
CA-GOV12946 .. (2Y;T+2Y)
CA. .. GOV 34090 .. (2Y)
CA- PEN 801 5 .. (4Y)
CA · PEN 832 5(b) • (5Y)
CA • VEH 25'7 -(3Y)
US · 26 USC 6531 - (LA6Y)
CA - GOV 34090 - (2Y)
CA · GOV 34090 -(2Y)
US- 24 CFR 91 Subpart C - (MAINT)
CA-GOV54953 S(bJ-(300)
CA· GOV 34090 - (2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31 6501 - (CU+3Y)
US- 29 CFR 1602 14 - (FR+1Y)
US-29CFR 1627 3-(T+1Y)
US -29 USC 1059-(T+1Y)
US - 45 CFR 164 530 (j) -(CU+6Y)
CA - GOV 34090 - (2Y)
Comtnents
Recoro10gs include:
- City Council of the City of San Marino
- Planning Commission
- Design Review Committee
- Trame Commission
- Library Board of Trustees
- Recreation Commission
• 1 year after the date on which the official minutes
are adopted
Page2of15
PAGE 829 of 1107
City of San Marino
Retention Schedule

ACRONYMS
AC= While Active AU= Audit CL= Close/Completion CU= Current Year 0 = Day FR= Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA= Maturity MAINT = Maintain Records PR= Permanent S = Superseded T = Termination Y = Year Rocon:I No. Business Process Record Category Name Record Category Description Example Records 012 All Departments Recorcss. Information Management Documenlabon of the compliance wilh Records and Information Management c.tdlcrJll of Destruction 013 AiJ Departments
014 All Oepartmenls
015
016 City Cieri<
017 Elections
018 Elections
019 Elections
020 Elections
021 Eiea10os
022 Elections
023 EledfOn5
31912017
stiippi"l! and Receiving
Vendor, Supplier Files
Public Records Requests
Statements of Economic Interest
Election Records - Administrative Files
Election Records - El.oded Ma,.oral or City
Councilmembors
Election Records - Historical
Election Records - Nomination Documents
pol:cy and P'ocedures Qcc:uinllM Hold Notices, Updates
ll'lfCM Records Storage lnformabon
lA!:t or Stored I Destroyed Records
RtcOl'dl r.WAO to the shipping and f'C~ng OI' prod\.11:3 Rll!COJl'.ft Transfers (to storage, to other depts)
BcilofL.40'ina
FroO'l! B,_. Mrand'~ Transfer Logs
W"1f*
Reooros and informahon 01 suppliers and vendors lo all City organizations created Contracto1s - Veooo1 Llst or retained in the purchasing or acqu1sibon of goods and services Vendor Packets Vendor Applications, Profiles
Records requesteCI oy the public, required for provision to Lhe public, and related CoOecuon l ists lnqumes Formal Public Reco rds Requests
lnquines
Maddy Act ~ts
fonnt m~ by~bwthtctto KIOOCfl1iC .,~ ol c,,.,., employees, Form 700 dK'led or appointed officials, or consultants Form 801
Form 802
Form 806
Documenlation of the administration of City electmns Correspondence Non-municipal election files
Precmcl'Ei {maps. worl<ers)
Research Notes
RttcorOS .ll'YJ ln'lomlts:lon tN:.ed ~ ~ ting or campaign and election c.r.~ ~fes NonmunlOn Psoora documentation by candidates fo r mayor or city council, who are elected to City Campaign Statements offices
Records anc 1nforma11on associatea wrth e!ecbons that have lasting value for Ceruficates of Ele<:Mn historical purposes Certification of Election Results
Election Summary
Resolubons (calling the election, canvassing)
Sample Bal ots
Records and information related to the fding of nomination papers and petitions in Candidate Statements (for sample ballot) lieu ol lilmg fee Nommabon Papers
Petitions 1n Lieu of Filing Fee
Signatures m Lieu of Filing Fee Petitions
Supplemental Nomination Papers
Election Records - Performance of Election RteetlS and mformabon related to tne fi~ng and performance of City elections Absentee Voters 1app11cat1ons, 1cent1tlcat1on envelopes, roster of applications)
Assessment Districts - Proposition 21 e Proceedings
ASS1Sled Voters Lists
Ballot Cards
Ballot Measures (Arguments Fer f Against, Full Text, Rebuttals, lmparbal Oprn1on)
Ballot Receipts
Ballots (after election, after recount, voted by mail,
unused/surrendered vote by mail. pro\llSional, voted. damaged, spoiled, canceled)
Challenged Voters Lists
Election Results
Fair Polibcal Practices Comm1ss1on Files
Inspector Receipts for Ballots
Petitions
Prea ncl Officer Appointments
Proposibon 2 18 (assessment ballot proceeding, p1operty related fees)
Sealed Ballot Containers
TalJy Sheets
Voter 1dentiftcation envelopes (provisional, voted by mail) Voter Index Copies (used as the Voting Record at Pol ~ng Places) Election Records - Unsuccessful Candidates Records and 1ntormation related to th e filin g of campaign and election dccumentabon by candidates not elected
Campaign DrsclOsures, Nomination Papers
Lobbyists and Election Campaigns Records and intormabon related to the fi~ng of campaig n and election Disclosures documentallon by lobbyists, pohllcal action committees {PACs), other committee5, Expenditures and those not required 10 r•e onginal wrth C1ly Clerk Form 400 Series R~ations
Reports (lobbyist acbvrties)
Retention Legal Citations
AC+10Y CA - CCP315-(LA10Y)
2Y
2Y
CL+2Y
AC•+7Y
2Y
PR
PR
P+4Y
BM
AC+SY
AC+7Y
CA· CCP 337 - (l.MY)
CA. CCP 337 15 • (LA10Y)
CA • GOV 34090 - (2Y)
US. 26 CFR 31 6001-1 - (CU+4Y)
LIS • 26 CFR 301 6501 - (CU+3Y)
US · 40 CFR 70 6 - (CL +SY)
US - 40 CFR 122 2 1(p)- (JY)
US· 40CFR 12241(1) - (JY)
CA - GOV 34090 - (2Y)
CA - GOV 34090 - (2Y)
CA - GOV 34090 • (2Y)
CA- GOV 81009 (4Y, 7Y)
CA- GOV 34090 - (2Y)
CA- GOV8i009(b) -(PR)
CA· GOV 34090 - (2V)
CA - ELEC 17100(a)-(T+4Y)
CA· Et.EC rnoo -lffM)
CA- ELEC 17302 - (6M)
CA - ELEC 17304 - (6M)
CA- ELEC 17306 - (6M)
CA- ELEC 17400 -(SM)
CA - ELEC i7503 - (6M)
CA - ELEC 17505 - (6M)
CA- GOV B1009-(5Y)
CA - GC 61009(b) -(SY)
CA · GOV 81009(c)- (7Y)
US - 11 CFR 102 9 (3Y)
US - 11 CFR 10414 (JY)
= Comments
• Remains active until individual leaves City
employment or office is terminated
• T - Termination of term of office

PAGE 830 of 1107
I
I
Record No.
024
025
026
027
319/2017
Business Process
Finance
Finance
Finance
Finance
C~y of San Marino
Retention ~he<lulo
Q!Rlf• (,; jl(Ogfarn. asset) ~

ACRONYMS
CU = Cunei'!I '(e,ar
Record Category Name
AccounlS Paya~le Md R..-.ervable
Audits (Internal, External)
Bank Account Information
Debt, Investments
Record category Description
RtcOCOJ and information related to the accounting of monies paid by the City ~ payment for financial obligation
Example Records
Aging Reports
Business License Fees
C~1'siw!g
C-MEmOio'(M~ R'KIQnt,. R.e,mbur..ml!n~
Form \099 Roconll ana Fenn W·9 Records
lnvolcn and Vouchers
P~ Package, Receipts
l'""YCnh Data
Pvl"1-'!>C.O:-RocP~ca:d Sips, Statements
RMl>nd>
s.1es •'ld U.. r., .. PIKI "Tuition Reimbursements
VOO!d Checks
Ceh Records (cash count reports, cash flow book information, cllh disbursement, cash register receipts, cash receipts) Cbe:lC Listing
Ftes and Taxes
Paey c.sh Data
TaxRevenue
Pl.tbk~ Tax
RR--Ptc- Rece;pts
UDlitytJl« TaxRevenue
Records and information related to~~ 1ndllong ~~ IDd Annual Audit Reports documenting operational, compliance, or ftrtucal information creates:J as a part of Audit F~es. Plans an aucit. Audit, Auditors Reports
AudaA.udit Workpapera
General Purpose RnanclaJ Audits, Sinde Aucits
Improvement Plans
Investigations, Workpapers
Management Responses
Observations
Petty Cash Audits
Recommendations
Remediation Plans I Results
Responses
Records and information related to banking authorities, activities, transacbons and Bank Account Adm1mstrab0n correspondence This category includes reconciations Bank statements Checkli, Canceled
Check Copies
~ecords and information relating to analysis of City financing and investment activities
Check Registers, Journals
Corrections I Returns I Adjustments
Deposit Permits, Deposits
Er«Uonic. Ban)driQ Tr.1M«tiOM
Recondations
Signature Cards
Transfet"S
Treasurer Receipts
Credit Gard Merchant Activity Statements
Amorttzation Schedules
Certificates of Deposit (CDs)
Certificates of Participation
Direct Investments
Due Diligence
Exempted Securities
Financial Investment Planning
Investment Loans to Other Agencies
Investment Performance Repot1ing
Investment Reporting
Loans (debt state loans, water (Alsmn & lmola))
Local Agency Investment Fund (LAIF)
Long Term Debt
Money Manager Statements
Payment History/Schedules
Performance Bonds, Letters of Credit
Portfolio Management, Quarterty Reviews
Revl!flue Bonds (housing, city mortgage)
Returns Management
Security Instruments
Stock I Equity I Debt: Issuance, Repurchase Records
Trust Accounts
Retention
AU•+7Y
AU•+7Y
AU-+7Y
M•+10Y
Legal Citations
CA - GOV 3'0090 - (2Y)
US- 26 CFR 31 6001 - (CU+4Y)
CA - GOV 34090 - (2Y)
US - 26 USC 6531 - (LA6Y)
CA- GOV 34090 - (2Y)
CA - CCP 336 - (LASY)
CA · CCP 337 - (LMY)
CA- CCP 337 5 (LA10Y)
CA· GOV 3'0090 - (2Y)
US- 26 CFR 31 6001 (CU+4Y)
US- 26 CFR 301 6501 (CU+3)
Comments
• Closure of audit
•Closure or audit
• Closure of audit

PAGE 831 of 1107
Record No.
028
029
030
031
032
033
3/9/2017
Business l?rocess
Finance
Finance
Finance
Finance
Finance
Finance
-----------------------------
City of San Marino
Retention Schedule

ACRONYMS
AC = While Active AU = Aud~ CL = Close/Completion CU = Current Year 0 = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA= Maturity MAJNT = Mainlain Records PR= Permanent S =Superseded T =Termination Y =Year Record Category Name
Employee Benefit Files
Record Category Description
Emp)oyoe election (selection), enrollment or termination forms and related ei:mnmn~tt, including transmissions to carriers of additions, changes, claims Gl)d" deletions (includes employee medical records subject to HIPAA leqi.Jll"8rMll!l:tj
Example Records
A.ctutmsl-~for 9t~itRC!M1VeS 1~ ~tb'\Q~
Btnall1JI Files. Contract Copies, Enrollments, Appeals
Designations
CMl'ornil Student Aid Commission (CSAC)
Etec-.1n1urance Av.bent)' (EIAJ
OU'.h Clli""- lb E""tm Ooo.ill'let".JI
~Claims
~COll·S!>oonGAmt>Lnl>•
Efnf:ioyrnqnt Al.lit.~ Terminations, Confirmations , Status Ci\1~ Coverage Changes
·~e,,,_
ln6ndulf Rtf!C'tmtn: kc:OU1)t. (RbJ. 401 k Histories
lh.lrtalninee~ L«ltel'IJEot Medcal Sifting Statements
Pension Plan Appl1cat:ons, Claims
P E R S Information
Premium Information
Required Benefits Reporting
R~f'fMttl1lOillll/RO"..ftman1
Supplemental Forms
Financial Reporting - Annual, Official, Periodic tssued and official penodrc financial reports, whether required by regulabons or Annu.11 Repel'! or Financ1aTTransacuons To State Finanaal. Strategic Planning
Fixed Asset Financial Transactions
General Ledger. Journal Entries, Budgel
Adjustments
Grants and External Funding Sources
generated to track financial transactions and achievements by the City. Annual State Controller F1l1ngs Recoros an<J 1nformanon relalng to tnancial planning
R:eoo.rdl and mformanon relateo to !he ownersn1p, transter, acquisition, disposition, capital leased, or improvement offuced assets (Personal Property, Real Property", and Equipment) owned by or used by the City Audited Financial Statements/CAFR Workpapers
US Equal Employment Opportunity Commission (EEOC) Reports PERS Reports
Payroll Repo~ (HRA, RMT, ICMA 457 accounts, Nationwide, deferred compensation)
Quarterly Investment Report
Revenue/Expenditures Reports
Self Insurance Reports
State Controller's Report
Treasurer's Report
Workers Compensation Reports
Busmess Plans
Financial Plans
Forecasts
AcqulSltlons
Amortizafon
Asset Retirement Records
Dispos1bons
Capital Asset Records
Capital lmprovemen~
Depreciation Schedules
Equipment Rental/Usage Reports
Fixed Asset Reports
Fixed Asset Ledger
Fixed/Capital Asset Accounting
Possessory Interest
Sales
Vl&lat!onWorfl\.tion
Records and informaton relaled to lhe lransfer of charges between accounts and Account LedgefS summaries of account inlormaton, mdudng year end summaries of general Sub-Ledgers ledger transactions Budgel Adjustments
Balance Sheets
Documents tne application, evaluabon, awarding, adm1n1stratlon, momtonng, reporting , and status of grants and other funding sources tn which a local government entity 1s the recipient, granter, a~ocator, or administrator Includes - Commu nity Development Block Gran t (CDBG)
- Combined Federal , State. Local Grants
- Enterprise Funds (waler. waste, housing)
- Federal Grants
- Local Grants
- Southern CA Association of Govern men ls
-Stale Grants
- Transportation Agency Funding
Cash Journal Entnes
Chart of Accounts
Downloads f Data Exports
Expenditure Reports
General Ledger
Journal Entnes and Backup Documentabon
Revenue
Summary Reports
Trial Balance
Year -End I Account Detail History Report
App~cations (including project proposals)
,Audrts
Awa rd Notificabon
Grant Administration
Grant Funding
Grant Evaluations
Program Rules, Regulations, Procedures
Property Taxes Funding
~e ports to Funding Agencies
Retention
CL+sv·
AU•+7Y
4Y
L1·+1ov
AU•+7Y
CL•+SY
Legal Citations
-CA - 22 CCR 1095-2 -(CU+4Y)
CA- GOV 12946- (2Y, T+2Y)
.!:A - GOV 34090 - (2Y)
us· -26 CFR 301 6501 - (CU+3Y)
US - 29 CFR 516 6 -(2Y)
VS - 29 CFR 825 500- (3Y)
US - 29 USC 1 027 - (6Y)
US-29 USC 1059-(T+1Y)
US - 29 USC 1113 -(LA6Y)
US - 29 USC 1451 - (LA6Y)
US - 29 CFR 4007 10 - (6Y)
CA - GOV 34090 - (2Y)
US- 26 CFR 1 1461-2- (CU+1Y)
CA - GOV l4090 - (2Y)
CA- CCP 337 15 • (LA10Y)
CA - GOV 34090 • (2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 3 1 6001 (CU+4Y)
CA • GOV-34090 - (2Y)
US - 2 CFR 200 333- (CL+3Y)
Comments
•Closure of audit
• L1 = Life of Asset (NOTE: Life of asset IS not
affected by lire of real property on which it is
located)
• Cfosure of aucfil
· Unsuccessful applications are retained CU+2Y.

Page5of15
PAGE 832 of 1107
I
Record No.
034
035
036
037
038
039
040
041
042
IJ43
31912017
Business Process
F1nance
Finance
Finance
Fire
Fire
Fire
Fire
Fire
Fire
Human Resources
Record Category Name
Insurance Coverage
Payroll
Unclaimed Funds
Arson Investigations
Fire Equipment
Fire Prevention Inspections
Fire Prevention Programs
Incident Reports
Station Activity Records
City of San Marino
Retention Sc:hocfule

ACRONYMS
AC = While Aclive AU = Audtt CL = aose/Complelion CU = Current Year 0 = Oay FR= Final Resolution LA= Limitation on Action LI = L~e (of program, asset) M = Month MA = Maturity MAJNT = Maintain ReCO<dS PR= Permanent S =Superseded T =Termination Y =Year Record Category Description
R=rO. ~ "10 Q!)f•gen•<>lc....,egoo;ialollpioper.y_..,.
~':)'. triduding r~wbmluion int0rm1~. --.flM'l'OflOtlt,, & 'broJ;-er COrtlll$00CtotnC!t Example Records
Binding Information
Binders
Broker Correspondence
California Jomt Powers Insurance Authority (CJPIA)
Certificates of Insurance
Completed Appl1ca~ons
Flood lnsurence
lnsurancePol1c1es
Insurance Quotes
Insurance Submissions
Liability Insurance
Renewal Strategy
Records and inlormabon related to the accounting of payroll earnings, deductions, Attendance Records, Correcbons and tsSUance This also includes records and informanon rellecbng atl eamings and benefits paid to each employee, inciuding
- Name, address, SSN
- Tota! amount and date of payments
- Penod of service covered for each
-Withholding
-Tax collected
Records and informabon associated wrth arson investigations Benefit Payments
Deducton Regislers, Reports
Deferred Compensation
Employee Deduction Authorizations, Check Information, Extra Help Report?;
Employee Master Lists. Addresses
Extra Help Reports
Flell Spending Participant Reports
Garnishment Orders. Receipts
P ER S Reporting
Payroll Checks, Coprcs, Stub Reports
Payroll Certifications, Controls
Payroll Deduction AuthoriZa~ons, Garnishments I Liens
Payroll Earnings Regis1ers
Payroll Tax Returns
Posting Tickets
Processing Reports, Reports to Government Agencies
Salary Schedules
State f Federal I Quarterly Payroll Tax Filings
T1mekeep1ng Records (T1mecards, Time Sheets, Basic lime and Earnings Cards)
Unemployment Tax Remrttance
W-2
W-4
Wage Rate Tables
Work Schedules
Uncashed Checks
Unclaimed Fund's
Evidence F~es
Investigations
Records and informabon associated wnn fire protection and emergency response Apparatus ana Maintenance Recoras equipment Certification Binder
Equipment Checks
Fire Breaks
Rec'.:Dldli WKlinf~n ~td\\Ch insoecDOf'S or ccmmtf'Olt ond r~fa cillties
Inventories (apparatus, equipment, fixture)
Spnnklers
Co!nlN•Oll Fael<y ,, ...

Residenbal Files
Records and info rmation assooated wrth department programs to protecl the City fire Education from fires and emergency rncidents.

Records and 1nformatton associated wnh aepartrnem responses to fires ana ~lftCl'Ottllil, including medical emergencies Al emergeocy responses fflr'M. sel"Vlce calls, HazMat, medical, etc) are maintained in the FireRMS system Emergency Medical Services Forms
r;:mer9ency Services
False Alarm Reports
Incident Reports
lnvestigabon Reports
Mandated Reporting Child Abuse, Elder Abuse
Patient Care Reports (PCRs)·
~ecorda rand .inf ~ aell10d Ind mantllnecl by N ~t tot OCtv104'I Captain Log Books It 0... fire station Station Logs
Retention
u·+sv
AU•+7y
10Y
PR
L1•+2Y
u·
2Y
cL•+1ov
10Y
Legal Citations
CA· 22 CCR 3267-2- (MAINT}
CA.· CCP 337 - (LA5Y)
CA.· GOV 34090 - (2Y)
CA· 2 CCR 570 5-(SY)
CA- 2 CCR 571(b)(1)(E)-(SY)
CA- 22 CCR 1085-2 (c) - (CU+4Y)
CA- GOV 12946- (2Y; T +2Y)
CA - LAB 226a (3)
CA - LAB 1174 - (3Y)
CA- LAB 1197 5- (l.A2Y, LA3Y)
CA-UIC 1132-(LA3Y)
US- 26 CFR 31 6001 (CU+4)
US- 29 CFR 516 5 -(3Y)
US-.29CFR5166-(2Y)
US- 29 CFR 1620 32-(2Y)
US- 29 CFR 1627 3-(3Y)
CA-CCP 1513-(3Y)
CA - GOV 34090 - (2Y)
US - Uniform Undaimed Property Act
(1995), Section 3 - (10Y)
CA - CCP 340 5 (LA3Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 (P)
CA - PEN 600 (LA6Y)
CA- 6 CCR 3203(b)(1)- (1Y)
CA · GOV 34090 - (2Y)
US- 29 CFR 1910 157 (Life of
extinguisher)
CA- GOV 34090- (2Y)
CA - GOV 34090 - (2Y}
CA-13 CCR 11007 (3Y)
CA- 22 CCR 100170 (MAINT)
CA-22 CCR 100171 (MAINT)
CA- CCP 340 5 (LA3Y)
CA - GOV 34090 - (2Y)
CA-HSC11191 (3Y)
US - 42 CFR 1001 952 - (SY)
US - 45 CFR 164 530 - (CU+6Y)
CA - GOV 34090 - (2'{)
Background Checks - Personnel Not Hired All documeotabon related to baekgrouno checks for Appl:cants and unpaid volunteers that were not hired
AC+2Y CA- GOV i2946 - {2Y; i +ZV)
CA - GOV 34090 - (2Y)
Comments
• Ula or policy
• Closure of audit
• LI = Lire of Equipment
• LI • Life of Building
• PC Rs for minors must be retained for CL+ 7Y or
until the minor reaches the Age of Majority Status
(1 BY), whichever is longer
NOTE: Background checks for personnel hiree1 are
part of the personnel file.

PAGE 833 of 1107
City of San Marino
Retention Schedule

ACRONYMS
AC= While Active AU= Atldil CL= Close/Completion CU= Current Year D = Day FR = Final Resolulion LA = Um~ation on Action LI = L~e (of program, assel) M = Month MA= Maturity MAJNT = Maintain Records PR= Permanenl s ==Superseded T = Te.tmination V =Year ~c rd No. Business Process Record Category Name
044 Human Resources Benefit Plans
045 Human Resources
046 Human Resources
047 Human Resources
048 Human Resources
049 Human Resources
050 Human Resources
31912017
Employee Medical Records
Employee Training
Employee Training Materials, Courses,
Scheduling
Labor Relations
Labor Relations Grievances
Personnel Files - Employees
Record Category Description
Plans established to provide employee benefits and associated administrative documents
Documents pertaining to medkat records of City employees, mcluomg exposure to hazardous substances, drug screens, and workers' compensahon (includes employee records subiect to HIPAA reQulrements)
Example Records
~ fi~, PerformanceEmployee Assistance Program
(EN')
CoaAA Rates, Records, Histories
E~BenefitPlans
Group lnsurancl! Cost Data
PERS Actuanal Reports
RlfllntO Health Insurance
RWwntllt System
Su~ Plan Descriptions
Drug Screening
Employee Hazardous Chemical Eitposure
Employee Med:cal F~e
8cposure Monitoring
Firearms and Field Exposure
Hazardou$ Exposure
Material Data Safety Sheets (MSOS)
Pef$onnel Files - Medical
Radiation Exposure Records
ToXJc Substance Exposure Records
Worker Compensation
Al documents related to general and specialized technical educa~on and training Attendance taken by paid employees and unpaid volunteers, including: Canine Deployment Training - Base Stabon Forms Cerbfication Records
- Fire Extinguisher Compliance Tra1n1ng
- First Aid/CPR Courses/Seminars (Taken by Employees - includes Safety Training ) - Safety Ethics Training
Oocumentanon regarding trie content of courses ana sc'neaules for tra1mng offe1ed to employees
Oocumentabon related to the negobatiOns between labor unions for co ec ~v e bargaining purposes
Documentatton related to labor grievances fired und"er current conecove bargaining agreements
M documents related to paid employees lfun and pan-ome), inducing but not limited lo
-hiring
- promotion
- demoOon
- transfer
- layoff I recall I out-placement
· termmabon I discharge I resignabon
· °"' rzn I otntf tetrrt1 °' comcen...don
Firearm and Field Training
Individual Educahon, Development
SWAT Training
Training Buletins
Anenoance Usrs
Employee OevelOpment
P tMfttlllOn M~
PowerPoint Slide Deck$
Safety Training
Testing
Confidential Memos
Costing
Ground Rules
Handouts
Information Requests
M~ft'W:IOIJI. l!\Jorm..,.

Notes
Proposals-City
Proposals- Union
Gnevance FileS1Comm1ssion Hearing
Gnevance!Hearing Logs
Union Grievances
Appllcations, Applicant Reference Venficafions
Awards, Rewards, Commendations, Certificates
Background Checks, Investigations . candidates hired
ComplamlS
Disciplinary Achons
Drivers liccnse Data - Class 8
Employee Acknow1edgements, Executed Policy Receipts
Employee Licenses and Permits
Ethics Certificates
Exrt ln1erviews
Individual EmplOyee Agreements, Contracts (copies)
Individual Education, Development, Training Records
lnvestig:ations•
Job orrer Letters
Leave of Absen ce Doeumenlat1on, FMLA (compensation,
complaints/d1sputes, requests, parental leave forms, paid/unpaid leave)
OathsofOrfice
Performance Evaluations, Reviews
Performance Improvement Plans {P\Ps)
Personnel Actio n Forms (PAFs)
Recognition
Supervisor's Files
Retention Legal Citations
Ll•+sv us . 29 USC 1027 . (6Y)
T•30Y
T•5Y
S•6Y
AC•SY
FR•10Y
T•5Y
US · 29 USC 10S9 .. (T + 1Y)
us. 29 use 11 n . (LA6Y)
US- 29 USC 14S1 -(LA6Y)
US· 29 CFR 4007 10 - (6Y)
US· 29 CFR 4041 S- (Ll"+6Y)
CA- 0 CCR 14300 33- (5Y)
CA· B CCR 3204 - (T +30Y}
CA- 19 CCR 2760 9 -(SY}
CA - CCP 338 - (LA3Y)
CA - CCP 338 1 · (LASY)
CA-GOV12946- (2Y, T+2Y)
CA - GOV 34090 - (2Y)
CA- 29 CFR 1904 33 - (CU+SY)
US - 29 CFR 1910 95 -(2Y)
US - 29 CFR 1910 1020- (30Y)
US - 40 CFR 60 81 -(SY)
CA-8 CCR 3203 fCU+1)
CA · GOV 53235 2b - (SY)
tJ S - 29 CFR 1602 14 -(FR+1Y)
US 29 CFR 1602 31 -(T+2Y)
CA · GOV 12946 - (2Y, T+2Y)
CA · LAB 3076 3 - (SY)
US- 29 CFR 1602 14 - (FR+1Y)
US - 4S CFR 164 S30 (j) - (CU+6Y)
CA-CC1'337"- tlA4Y)
CA- GOV 12946- (2Y; T+2Y)
CA - LAB 54 10 - (LASY)
US - 26 CFR 31 6001-1 -(CU+4Y)
CA - CCP 337 - (LA4Y)
CA- GOV 12946- (2Y; T+2Y)
US - 26 CFR 31 6001-1 - CU+4Y)
CA - 2 CCR 11013 (FR+2}
CA- BCCR 14300 33 (SY)
CA· GOV 12946- (2Y; T+2Y)
CA- L.A8 3076 3 -(SY)
US- 26 CFR 301 6501 - (CU•3Y)
US- 29 CFR 1602 14 -(FR+1Y)
US- 29 CFR 1602 31 -(T+2Y)
US-29CFR 16273- {T+1Y)
US- 29 USC 10S9- (T+1Y)
US- 41 CFR 60-112 (a)-{2Y)
US-41 CFR60-74180-(2Y)
Comments
• LI ... Ure of ptan or Systam

PAGE 834 of 1107
Re.cord No. Business Process
051 Human Resources
052 Human Resources
053 Human Resources
054 Human Resources
055 Human Resources
Record category Name
Personnel Files - Volunteers and Unpaid
Interns
Regulatory Reporting for Human Resources
Salary, Compensation
Staffing
Worl< AulhorizllUons and SYpporting
Documentation
056 lnfonnation Technology Application, System Development and Maintenance
31912017
City of San Marino
Retention Schedule
Resotvt>0n LA ~ m~a!ion on
s ~ SUperse<!6d ~ i"'"1ina!lon V. ~til
Record category Description
Al documents related to unpaid volunteers and interns, including but not Wmited ...
- selection/hiring
- assignments
-transfer
- termination I discharge I resignation
Offlcial non-finanaal Human Resource& reports ISSUed tJy City organizatrons to comply INith regulatory requirements
Documentation of job classification compen!Kltion
Recoro1,ffldW0tm610n tS11odto r«N¢rn"'1Of01ollil'~Pf.l"IOM fOf bo1n ~ and unpaid position with the City, whether ful time or temporary, including:
- aP!Jlications and r~ated records of candidates interviewed but not hired or accepted
- applications recef./ed but not acted upon
Empb)'mOn: °'l)=-."'y \'On6::MIOn formto COIUtecl fa r KtlllS cim~ -.d su~ doea~ regarding immigration status
Tec11nica1 aocumentaDOn retatea to oeveiopment of Crty recnnology processes, applications, or systems, as 'Nel as conversions, changes or modifications to G.'lmM.O~otaya:.e:ma.
~
Example Records
A;:ipknRtftrtnot Verifications
A:Nacdl, R(IWO(dl. Commendations, Certilicates
e6i:icQIOUACS Ctwdlt.,. Investigations - candidates accepted Clldm VO\lf!T.oer Program
Co<!tpiim~
°""""'""--
Vo!uft--~EJ»wtedPolcyRO<O<DC>
~idulf _ Education, t>re-mo~i, Trating stecorm ... _ Qa!hs ofOffice PedorrnancfJ Evaluations, Reviews
Ptt.'ormance Improvement Plans (PIPs)
P~ Action Forms (PAFs)
R5"...,....,..fle
EEOC Repons
Labor Reports
OSHA 300 Reports
Classification studies
Compensation ~ans, Planning, Analysis
Oetennlnstions of Cost of Living Adjustments
Job Descriptions
Job Classification Evaluations
Salary Range History
Salary Surveys
Applications, cvs, Resumes (ReJected, unso11C11:ed)
Applicant Tracking Records (Hired, Rejected)
Background Checks, Investigations - candidates not hired/accepted Civil Service Examination Results and Rankings
Drug Testing, Pre-Hire Screening - candidates not hifed/accepted Interview Notes
Job Descriptions
Job Postings, Announcements
Job Rec:tAIOOft Rcoueta
Job Specifications
Miscellaneous Hiring Process Notes
Position lnfonnation
Recruitment of Commission/Committee Candidates
Tt1111-oor1ry ari11tm Sta~
Test Results (Non·hlres)
Test and Examination Materials
Unpaid Interns (Rejected)
Volunteers (Rej4teted)
1-9 Documents and copies of associated clocuments (Kay) Immigration Supporting Documen1ation
Audit Records of Run Completions
Backups (Security, S~em)
Business, Functional Requirements
Change Requests
Data Element Attribute Reports
Data MigraOOn Documentation
Database Dictionary I Schema
End User OoctJmentation, User Manuals
Hardware Connguratlons
Joint Dispatch Center
Netwonc Circuits Inventories
Network/Equipment Control Support Documentation (Service Histories, Site Visit Reports, Trouble Reports)
Program Listings
Source Code
Support Documentation (Logical & Physical Architectural Diagrams, Specifications, Systems Support Materials)
System Documentation (Codebooks, Record Layouts, Reference Guides, Specifications)
System Test Fjes
System, Application Maintenance Documentation
(Hardware/O~ng System Requirements, Monitoring Logs,
Operating Manuals)
Telecommunications System (Telephones, Phones)
Retention
T+5Y
5Y
S+3Y
AC+3Y
T+3Y
LI'
Legal Citations
CA-2 CCR 11013 (FR+2)
CA- B CCR 14300 33 (CU+S)
CA-GOV12946- (2Y;T+2Y)
US - 26 CFR 301 6501 - (CU+3Y)
US - 29 CFR 1602 14 - (FR+1Y)
US- 29 CFR 1602 31 -(T+2Y)
US-29 CFR 1627 3-(T+1Y)
US-29 USC 1059-(T+1Y)
CA - GOV 34090 - {2V)
US - 29 CFR 405 9 - (SY)
US· 29 CFR 1602 14- (FR+1Y)
US - 29 CFR 1602 30 - (3Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 301 6501 - (CU+3Y)
CA· GOV 12946- (2Y; T+2YJ
CA- GOV 34090 - (2Y)
US-29CFR160231 (T+2Y)
US- 29 CFR 1627 3b1 (1)
US-20 CFR 655 7t50-(T+1Y)
US- B CFR 274a 2-(3Y, orT+1Y)
CA - GOV 34090 - (2Y)
Comments
•LI= Life of Application, System or Process

PAGE 835 of 1107
~eeorti No.
057
059
060
061
062
319/2017
AC-<' IM>lle Active AV • Audit
City of San Marino
Retention Schedule
ACRONYMS CL = CJo5elQ>mplgtion CO "' Cun'ent Yoar 0 = Doy FR ~f.nat Re"sol•JI- LA = Umitatiotl on Action U = Lile tor prog<am. asset) M ~ Moot!> 11!A = Man.rity a.IAJNT: Moinlain Record• PR =Pe""""""t S =Suparseded ~o<mlna!JOn v~ve"' Business Process Record category Name
Information Technology Technology Access and Security
Legal Claims Against the City
Legal Internal Legal Advice and Opinions
Legal Legal Representation Communications
Legal Licenses, Permits
Legal Litigation and Third Party Claims
Record category Description
Records and tecllniea1 documentation of internal controls and system security Includes data I information security breaches, notifleatlons, and SUpl)Orting documentation
Records deta1~ng da1ms lodged against the City
Example Records
AMulll ~base &Sytlom Socumy A:eviews
Al.IOtTrlllfla
<Mrnouod~
b""°"--C...~ ... Computor U10:Q< F ...

Drn• 8rexft NOllea:tlont
DIMI fU~ Rej)ON/Rtlp)l'lses
ODitasds, ~ed O•&Jmmiww.

Hardeopy Publication, Printouts of Report Data
Privileged Area Access Requefls
Security Access Request Forms
Special Access App<ova1s
Usage Reports (Summary, System)
User Access Records (Passwords, Security Logs, User Accounts, Log-in F~es. Data Entry Logs, Accounts)
User Incident, Response F~es
Acciaentllnctaent Reports
Actt.Jarlal Reports
Annual Au<it of Open Claims
-
Claims By/Against the City
Closing Letters
Damage Estimate Reports
Supporting Documentation
Insurance Claims, Appraisals, Reports
Investigations
Memoranda containing legal advice prepared by City Attorney's Office (CAO) Memos attorneys for City departments O~nions
Wntten commumcations 'Nil:h third parties, induding attorneys for other parties Letters which are not retained in a larger project or ltigation file Written Communications Documentation of licenses and permits other than those authorizing building or A!ft.rm Permrts the development or property, and other authorizaHon$ issued in the City Alcohok Beverage Permits Annual Licenses
Applications
Sicycle Licenses
Block Parties
Business Licenses (applications, fees, financial history, reports) Cande Permits
Concealed Weapon Permits (guns, etc )
Extended Parking
FCC Licenses
F~ming Permits
Home Business Licenses
Home Occupation Permits (HOP)
Massage Establishments
Massage Technicians
Notices
Speaal Events
Special Licenses (pesticides. applicMors, painting)
StrfftPermits
Taxis (cabs, drivers)
Tent Permits
Transportation Permits (ov~ize, overweight)
Records generated for or related to any case or action before a judicial, arbitral, or Claimi administrative omcer or body Complaints
Court Orders
CJ;scove<y
ExhJudgments
Pleadings
Related Correspondence
Releases
Settlement Agreements
Subpoenas
Third Party Claims
Retention
CL+3Y
FR+10Y
S+10Y
CL+5Y
AC+4Y
Legal Citations
CA • GOV 34090 · (2Y)
CA • CIV 1798 27 · {3Y)
CA· CCP 337 • (LA5Y)
CA - GOV 3'090 - (2Y)
CA • GOV 34090 · (2Y)
CA· GOV 34090 · (2Y)
CA - CCP 337 (LA<Y)
CA· GOV 34090 · (2Y)
FR+11Y <:A -2 CCR11013 -1FR+2Yi
CA· 8 CCR 10102 • (5Y; Cl+1Y)
CA· 8 CCR 101031 - (5Y)
CA· 22 CCR 1085--2- (CU+4Y)
CA- LAB 5410 ·(LA5Y)
CA - RTC 7154 - (LA5Y)
CA - RTC 19384 - (LA4Y)
CA· RTC 19704 · (LA6Y)
CA· UIC 1132-(LA3Y)
CA- CCP 315 · (LA10Y)
CA- CeP 33715 • (LA10Y)
US - 26 CFR 31 6001 (CU+4Y)
US· 26 CFR 301 6501 • (3Y)
US - 26 CFR 301 6532-1 - (LA2Y)
US - 26 CFR 301 6532-2 - (LA5Y)
US· 26 CFR 301 6532-3 (a) - (LA9
Months)
us . 26 use 6531 - (LASY)
us - 26 use 6532 - (LA2Y)
US - 29 USC 255 - (LA2Y)
us - 29 use 626 (d) - (LA300DI
us - 35 use 286 • (6Y)
US-42 use 2000e-5 (e). (lA1SOD)
us - 42 use 2000e-5 (f) - (LA 1 BOD)
Comments
Licenses and permits are issued by multiple
departments, including:
-Pclice
- Planning and Building
-Fire

PAGE 836 of 1107
Record No. Business Process
063 l<!gal
064 Legislative
065 Legislalive
066 Legislative
067 Legislative
068 Library
069 Library
319/2017
City of San Marino
Retention ScheduleACRONYMS AC• W~<le Aali\le
LI " Ufe (ol program, asset)
AU = Audil
M = Monlh
CL = Clo5e1Compjehon C:u • Clment Year D = OW FR "' frnal R&solullon LA • Umltallon on Actlon Record Category Name
Waivers of Liability
Appointments lo Boards, Commissions and
Commitlees
Public Meetings - Administration
Public Meetings of Legislalive Bodies
Public Notices
Library Records
Passport Acceptance
MA : Malunty MAINT ~ Mwolarn Record•· PR"' Permanen1 S = Supel'$t!ded T = Termfnallon Y =-Year Record Category Description Example Records
Oocumerunon ot ~ w-.r torrm complm:o •Ml "iJ'ntd by~· W*"'P of Uabiity ~no cky prograim eno actMtft, ndu6ng lnOW! wbr.lltted i,,. p1tmtit1 O/' guardians or l'f'linor cnidrO'l
Staff records related to appointments made by authorized elected officialS to Appllcal:lons (Appointed, unsuccessful) councils, committees, boards, and commissions Interview Notes Letters of Appointment
Letters of Recommendation
Oaths of Office
Resumes
Submitted Documents
Records and information associated with prepar21tion for, and administration of, Agendas public meetings of legislative bodies Agenda Packets
Records of al actions taken by City legislative bodies, including Council, Commission, Board, CouncH Task Force and Committees, taken during public meetings
Agenda Summary Reports
Commendations
Council Packets
Notices
F>etitionsto Council
Proclamations
Summary of Actions, Stacement of Actions (SOAs)
Supplemental Communications
Transcnptions of audio and video recordngs of meetings
Appeals to Crty Counc•
City Charter
City Codes
City-wide Plans/Programs Adopted
Meeting Minutes, Notices, Transcripts
Minute Books & Index
Municipal Code
Ordinances
Poicy Resolutions
Resolutions
RecordS documenting compflance WJtn lavvs requinng puhflc nonce of government iCt.ffidavits of Posting activities Subjects include assessments, elections, land use changes, public ll.ll'ldcNrtiil al' Pu~.,....,,a:I Nol!eot. meetings and hearings, sale of property, and others PubHc Hearing Notices R ecords and information related to the City's ~b rary programs and services Acqurslbons ArtGalery
Bon"OV<!f\.011nR.-oon11
Classes
Catalog of Holdings
~ccessioning
Facility Rentals
Gifts/Donations
Inter-Library Loans
Library Board of Trustees
Material Challenge Records
Statistical Reports (circulation, compvter usage)
Volunteer5
Records and information related to services pertorm«d by the City's l brary system Passport Acceptance rransmrttats ln support of federal passport programs
Retention
10Y
T+2Y
2Y
PR
4Y
Lr"+2Y
2Y
t:egal Citations
CA · 22 CCR 101221 -(CL+3Y)
CA · CCP 337 (LA4Y)
CA.· GOV 34090 • (2Y)
CA - GOV 34090 - (2Y)
CA- GOV 34090 - \2Y)
CA- CCP 315-(LA10Y)
CA - CCP 321 - (LASY)
CA • CCP 336 • {LASY)
CA· CCP 336a • (LA6Y)
CA - CCP 337 - (LA4Y)
CA- CCP 337 5 - (LA10Y)
CA· GOV 34090 • (2Y)
CA- GOV 60201 -(PR)
CA· CCP 343 - (LA4Y)
CA. GOV 34090 - (2Y)
CA • GC 34090 • (2Y)
CA· GOV 34090 • (2Y)
US· State Dept 2011-2012 Passport
Guide(2Y)
Comments
Includes:
- City Council
- Design Review Committee
-Library Board ofTruslees
- Planning Commission
- Recreation Commission
- Traffic Advisory Commission
" LI = life of holding

PAGE 837 of 1107
Record ~ No. Business Process
070 Planning and Building
071 Planning and Building
072 Planning and Building
073 Planning and Building
074 Pianning and Building
31912017
City of San Marino
R11:t11:nticn Schedule_
ACR0NVMS
AC = WMe Ac;we AU =Aud<t Cl. = ClosefC<>mplei- CU : C<Jrrenl Ye:oi 0 " Day FR =f"inalReselutiC<I U 3 I.A~ (ol p<;<!!jram. a""" M =Month MA ,, Ma!u y MAJNT = Maint.,;n Reooros pg...-p<tfl'l'll)elll ~ Record category Name Record Category Description Example Records Agreements, Contracts and Leases - Real Executed agreements, contracts, leases between the City and other parties Property and lnfraslructure pertaining to real estate, facilities and City Infrastructure -..,,,_ Atl.KNr.let'lll lExhlbits
Elida, Awards (Accepted)
C•rl1fleahlt of Insurance
ChangeOt-
~~-.. °""""''
~ .. lmpr~ Agreements
Lettorloflntent
Ueonle~ Licenses
Memo(lmd:a of Agreement (MOAs)
Mtm0t1/'llSI Qf Undemanding (MOUs)
Ped-Bonds "-Lists Proof Of lr4Uflne:• Certificates
Propeny ms-~Conni:=:s
Puttha$e Orders
a.-
Receiving Reports
Rut~t.-.os..~
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFC)
Requisitions
Schedules
Scorecards
Specifications
Statements of Work (SOW)
Surety Bonds (bid bonds, payment bonds, performance bonds, --w- 1 Bulkfing Codes, Building Permits, Appeals Recoras ana 1nformat10n aocumentlng the bulldmg seMCeS pr0vtded by the City Appeats and Oecistons regulating private property Buiding and Fire Code Board of Appeals Buiking Cod~
Bulding lmpections
BuJding Permits (issued, active, expired, history)
Buiding Plans - Comm&reial & Residential
Certificates of Compiance
Certificate5 of Occupancy
Disability Access Board of Appeals
Fni'nllllc>onPlllm
Notices of Noncompliance
Planning Review Case Files (notices, neighbor letters. plans, blueprints)
Building, Property Management Recoras and information regarding ct'le structure or Crty buildings As-Built Blueprints Construction Records
Electrical Wiring Schematics
Floor Plans
Property Inventory
Encroachments Recoros documenung encroacnments upon C-.y property, or by the City on me Encroachment Permrts, Certrftcates property of others
Maintenance Inspection Reports Reports of inspections of maintenance performed on Cly faciities and Equipment 1nspecoons intrasbucture including· Facilitylnspec:tions
- Buldings lrM!ntmy of City Trees -Part. Logs
. Streets Playground Equipment
- Sidewalks Repo!1s
-Sewers Sewers (including videos)
-Streetlights Sidewalks
- Trees Streetlights
s•-
Trees
LA % Limitation on Ad.on
I= 1'etmiNIDOn Y= Yea1
Retention Legal Citations Comments
u•+1ov CA - CCP 315-(LA10Y) ~ LI~ Lile of . F;;tdiity Of fnrl".iStructuf'll Asset CA - CCP 337 1 - (LA4Y) CA · CCP 33715-(LA10Y)
CA • GOV 34090 • (2Y)
US - 26 CFR 31 6001 (CU+4Y)
US - 29 CFR 516 5 - (3Y)
US - 40 CFR 70 6 - (CL +SY)
US -40 CFR 12221(p) -(3Y)
llS -40 CFR 122410! -(3Y)
PR CA - CBC 107 5- (1800J
CA - CCP 337 1 • (LA4Y)
CA- CCP 33715-(LA10Y)
CA· GOV 34090 - (2)
CA· HSC 19850 - (LI)
u•+1ov CA - CCP 3371 - (l.A4Yj • u • Ufe of Buflding
CA- CCP 33715 - (LA10Y)
CA - HSC 19850 - (LI)
PR CA - CCP 337 1 - (LA4Y)
CA - CCP 337 15 - (LA10Y}
SY CA- CCP 337 • (LA5Y)
CA· GOV 34<>90·12Y)
Page11 of15
PAGE 838 of 1107
Rncord No.
07S
076
077
07B
31912017
Business Process
Ptanning and Building
Record category Name
Plannlng and Zoning Services
Planning and Building Real Estate Transactions
Planning and Building Real Property Maps
Planning and Building Recorded Documents - Liens
City of San Marino
Rcttention Schedule

ACRONYMS
AC- - Whilo Active AU ~ Au<ih CL = CloSB/CompletlOll CU - Ciimml Year D = Cay FR = Roal Resol~lt0n LA = Llmilalioo oo Aetl<lll &.I ~ LWo (Of pl"!lram • .S.e~ M : ont~ MA = MalJJrily MAINT = Maintain R-~· PR = Pel'INlnenl s = Super:.<lded T • Termlnalion v " Year Record category Description
Records and information pertaining to the activities of tlie planning division, including zoning
Example Records
~neutu,111 Preserve
App>•
a.ow Market Rate Units I Affordable Housing
Ddgl) Review
OM!br,meonl Regulations
DowW.owr'I Parking Requirements
EnWonmen\81 Impact Reports (EIR), Notice of Determination, C.:~ Exemptions, etc
rMr~ RevirNS
Aood Zone Oet:ermln!Jtlons
Gtrne* Plan (~afoefr.t:r'I arnCIOod('tlet1;ll..grOW'Jt~I .,,tnt,. noise tltment) Lind U!e Permits, Stvck's
L.-ape M:a¢1( Plans
PiaNMd -~ Unit Oevdopment (PUO)
Plans(Specil'lc)
PublicUs4!!:

Resolutions
Rezoning
Sign Permits
SOI Reports
Summary of Actions
v ........

W MiOf
Z°""11
Zonirig Text and Map Amendments
-of,
R
grant
ecords
lease
deeds
and
of,
,
or
owned
1nrorm1J110n.rNt4'G
improvement
by or used
of rHI
by
co
the
V'le
property,
Cit)'
~
infrastructure
acqu1smon,
and
a1sposmon,
facilities including
tt"'*°IK ~
~
Buildings
Final maps and geograpn1ca1 informaoon pena1n1ng to City properues Records or liens recorded on behalf of the City
Capital lmprovemenlS
Community Development Block Grant (CDBG) Property
-
Deeds of Trust Oisposilions
Housing Authority Owned Properties
Land
Mor.~
Interest
P,-T...-(DDA, DA, Etc )
R91rt or w.,. sVOI"""°" "*'""""" Aena1 Photos
Assessment Districts
Assessor Parcel Maps
Building Site Determination
Drainage
Improvement Plans, Drawings
Land Survey Maps
Lot Line Adjustments
Lot Numbels
Major SUbdii.'islons (SO)
Minor Subdivisions (MS)
Pa~Mergers
Pa .....

Parks
Plals
Record Maps
Record of Survey MaP6
Redevelopment
Sphere or Influence
SlrMl't.A.O:lttUFla
Tentative Maps
Vellums
Liens
Retention
PR
PR
PR
Legal Citations
C\- CCP 337 1 - (L..MY)
CA · CCP 337 15-(LA10Y)
CA- GOV 34090 - (2Y)
CA · HSC 19050 - (LI)
CA -WAT10631-(5Y)
CA- CCP 33715-(LA10Y)
CA- GOV 34090 • (2Y)
CA- CCP 33715 • (LA10Y)
CA - GOV 34090d • (2Y)
CA - HSC 19050 - (LI)
AC+1 OY CA- GOV 34090 - (2Y)
om ma: ~

PAGE 839 of 1107
City of San Marino
Retention Schedule

ACRONYMS
AC = VVhile Active AU = Audit CL = Close/Completion CU = Current Year 0 = Day FR= Final Resolution LA= Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR= Permanent S =Superseded T =Termination Y =Year Record No. Business Process Record Category Name Record Category Description Example Records Records and information pertaining to those original key documents recorded on ~3 beha!foftheCity ~Records
079 Planning and Building ReeorcJc<I Documents - Vital
060
081
082
083
084
OBS
087
31912017
Planning and Building Security, Access Operations
Police Administrative Reporting
Police Body-Worn Camera Recordings -
Access/Deletion Logs
Police
Police
Police
Police
Body-Worn Camera Recordings - Evidentiary
Body-Worn Camera Recordings - Routine,
Non-Evidentiary
Gase Files • Dead Bodies
Case Files - Felonies, Exduding Murder
Ctr..ifico•o """"""°"" f Correction
Corl~ lrom the City (Deeds, Easements,
~-j
to the City (~ Easements, Dedications)
ONda
~ .. E_.,."'9
GumiOeeds
~Offers lo Dedii;ate
~.w.,
vR~ and information regarding physical access controls and protection for Access Controls City buildings and facil1~es P.ccess Reports
Badge Lists
Oa1tyAcllV1ty Logs
Faci11ty Key Lists
key Cards
Transaction Logs
Reports received and/or generated in the routine course of law enforcement Actrvrty Reports <1cbv1tles and not associated wrth ;:i case number Crime St<itisbcs Incident Logs
Published Reports
R1de-AJong Program Records
Uniform Cnme Reporting
Records or logs or access and deletion of data from peace officer body-worn Body Cam Taser Cam
Recordings from peace officer body-worn cameras that contain evidenti;:iry data o1 Sooy Cam a cnme or potential cnme Taser Cam
Routine recordings from peace officer body-worn cameras lhat do not contain Sooy Cam evidentlary data of a cnme or potential cnme Taser Cam
Records and cnme reports associated with investigations of dead bod1es, whether Reports by natural causes or found Statements
Records and cnme reports assoaated 'Nitti felony vrolations of laws, excluding Case F~es r'IOO'".it:i091MCOC1¢11~ Reports
Police Case Files • Felony Murder/Homicide. Capital Records and cnme reports associated with capital lelonyviolations of laws, ease Flies Police
Police
Offenses, Child Abuse, Elder Abuse. and mdudmg homicide, chi d abuse, elder abuse, embezzlement or public funds, or Reports Violations of Public Trust lalsific<illon of public documents Case Files - Juvenile
Case Files - Misdemeanors, Infractions
Case Files
"Reports
R:ecoras and crime repons o1 misdemeanors and inlract1ons, 1ncludrng parking Case Fifes and other citations Reports
Retention Legal Citations
PR CA· GOV 34090 - {2Y)
2Y
AC+2Y
PR
soo·
CL"+2Y
CA· GOV 34090 - (2Y)
CA· CCP 339 - (LA2Y)
CA • GOV 34 090 - (2Y)
CA- PEN 832 18 (bJ(S)(E)- (PR)
CA· PEN 832 18 {b)(S)(B) -(2Y)
CA· PEN 632 16 (b)IS)(A) (600)
CA ·GOV 34090 - (2Y)
CA· PEN 799-(PR)
CL"+10Y CA·CCP339-(lA2Y)
PR
Longer of:

MAJ"+BY (or)
SEAL""+SY
AC•+4Y
CA· GOV 34ogo . (2Y)
CA· PEN 7gg · (MA/Nn
CA· PEN 851 8-{SEAL&DESTROY)
CA- PEN 851 90 -(MAINT)
CA· CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
CA· PEN 187-199 -(MAINT)
CA· PEN 290 - {MAINT)
CA· PEN 799 - (PR)
CA· WIC 602-(PR)
CA-WIC 300 (age 18 or as directed by
court)
CA· WIC 781(age 18 or as directed by
court)
CA· WIC 826(age 10 or as direcled by
court)
CA • CCP 339 - (LA2Y)
CA· PEN 802- (1Y; 2Y: 3Y: 4Y)
CA· GOV 34090 - (2Y)
CA· VEH 2547 -(2Y, 3Y}
Comments
- Excepbon: If recordings are evidence in any
criminal prosecution, claims tiled, potential claims or any pending litigation. they shall be preserved in
accordance with the requirements associated with
the crime, claim or litigation
• Case remains open until body has been identified
and cause of death determined. If determination is
made that the death was a homicide, records are
recategorized as "Felony Murder/Homicide" case
files (see "Police - Case Files - Felony
Murder/Homicide, Capital Offenses, Child Abuse,
Elder Abuse, and Violations of Public Trust" below).
·Provided lhere are not outstanding warrants.
deaths, and ii is not classified under PC §600 and
290 and HSC §11650; Stalute of limitafons is 2
years; Destroy juvenile marijuana after age 18; HSC
§11361.5; GC §34090, PC §602, PC §187, BOO et seq.
"Closed is defined as case has been adjudicated, all
appeals exhausted or all time served
No fimllabon on commencement or action; PEN
§261 , 286, 288, 288a, 288.5, 289, 289,5, and 799
"MAJ =Age of Majority Status (18Y);
··seAL = Date Records Sealed
Statute of limitations runs up to age of majority + 8
years; Sealing for juveniles and Wards of the Court
retained for 5 years; CP §340 1; GC §34090; W1C
§7B1(d); WIC §625(a)&(b); WlC §7B1(a).
• Provided there are no outstanding warrants,
deaths, and ii is not classified under PC §800 & 290
and H&S §11850; Statute of Limitations is 2 years:

Destroy juvenile marijuana after age 18
PAGE 840 of 1107
Record No_ Business Process
090 Pollce
091 Police
092 Police
093 Police
094 Police
095 Police
098 Police
097 Police
096 Police
099 Police
100 Police
101 Police
102 Public Works
103 Public Works
319/2017
City of San Marino
Retention Schedule
ACRONYMS AC= Whik3 Active AU= Audtt CL= Cfose/Complelion CU= Current Year 0 = Day FR = Final Resolution LA = limitation on Action LI = Life (of program, asset) M = Month MA= Maturrty MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year Record Category Name
Case Files - Missing Person s and Runaways
Case Files - Officer Involved Shootings
Case Files - Sealing of Adu ll Records
Case Files - Stolen Property
Case Files - Traffic Collisions - Fatal
Code Compliance and Enfo rcement
Criminal Registrations - Dru gs, Gangs
Criminal Registrations - Sex Offenders,
Arsonists
Dispatch Records
Routine D ispatch Telephone and Radio
Communications Records
Seized or Unclaimed Prope rty Records
Video Recordings - Routine
Hazardous Waste, Monitoring and
Remediation
Operational Maps
Record Category Description _ Example Records
R~dl and cnme reports associated with mrssmg persons and runaways Case F~e'li Reports
f:ecords and crime reportsassoc1ated with criminal cases aeaTing wi1h orf1cer Involved shootings
Records of court orders lo seal the records or adults
Records and crime reports associated with stolen property Records and cnme reports associated 'Mth traffic colhsions involving fatalibes Records and information documenting compliance with Cdy codes. including violations
Records for those requ1rea to register as drug or r;iang violence orfena·ers Records for those required to register as sex offenders or arsonists Rooorim or ~ca 10 .niCfVdO ~ :.M data ot a l, i;on1:11n:. Qfc:"~ k>cation of call. name of unit sent to scene, and other related informabon Roubne daily recorcfmg or tetephone communications and a!I radio communications relahng to the operations of the department Records documenting tracKmg and management of physical property seized by the Police department, or collected by the Police department but unclaimed, and not assigned to a case number or considered as evidence in a criminal mvest19at1on
Case Files
Reports
Case Files
Reports
Case Files
Reports
Case fles
Reports
Appeals
Citations
Inspections / Enforcement (Busmess, Residential)
lnvesbgations
Notices of Violation
Photographs
Vehicle Abatement (abandoned vehicles)
Viola~ons
Weed Abatement
Iii i 1 Emergency Caft Logs
Arrest Logs
Dispatch Activity Log
Radio Dispatcher Logs
Watch Commander Logs
Audio Telephone Recordings
Audio Radio Reco rdings
91 1 Call Recordings
Recordings of routine video monitoring, but excluding those from peace officer Building Security Recordings body-worn cameras, to include time and date or video, location of video and other In-Car Video related informatJon
Planning, momtonng and conU\geneylt met"geo<;y ad>Ol'I plans for hazardous .... .rcto. penq and tpl fftOOl'IH, t'IOl\U'll and eJ1posure eme1genc1es, not1ficallons and response; environmental actron plans and supporting documentation; hazardous communications plans. including labeling, MSDS co ntrols , training programs and procedures
Informal maps and geographical information perta1n1ng to City operaLions and Emergency Response Programs
Employee Hazardous Chemical 81posure
Hazardous Material lncidenl Reports
..W:11rdocn Su~~ Mitnlf*D
Hazardous Waste
Matenal Safety Data Sheets (MSDS}
Proposition 65 Monitoring
Site Mi~ga~on
Toxic: Substance Inventory
Sewer TV Surveys
Street Sweeping
Tree Trimming
rrashPick-u.o
Retention
Ac•+2Y
FR+25Y
3y•
AC•+3y
PR
AC·+3y
SY
LI·
2r
1000·
AC+2Y
1v·
AC+30Y
S+4Y
Legal Citations
CA· GOV 34090-(2Y)
CA - GOV 34090 - (2Y)
CA- PEN 851 8-(SEAL+3Y)
CA - PEN 851 90 - (MAINT)
CA - CCP 338 - (LA3Y)
CA - GOV 34090 - (2Y)
CA - GOV 34090 - (2Y)
CA- GOV 34090 - (2Y)
~A - HSC 11594(a) - (SY)
CA-PEN 18632-(SY)
Comments
• Case remain$ oc:we unbl soNtd
"From the date the records were sealed
• Case remains open until solved
• Case rem ams active unfil alr tsSues have been
satisfactorily resolved and closed.

CA. GOV 34090 - {2Y) • Ufo of the offondorOC' araonBt CA - PEN 290(b) - (Life of Offender) CA- PEN 4571(0)(2) - (life of Arsonist)
CA · GOV 3<1090 - (2Y)
CA - GOV 34090 6 - (Routine Audie
1000)
CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
• Exceplion: Record'ings used as eVldence m a
criminal prosecution or claim filed or litigation or
potential claims and litigation shall be preserved ror
100 days after conclusion of the court action
• Exception: If recordings are evidence in any
criminal prosecution, ctaims filed, potential claims or any pending litigation, they shall be preserved for
100 days after the conclusion of the court action
CA - GOV 34090 6 - (Routine Video 1Y) ' Exception: IF recordings are eviaence in any criminal prosecution, claims filed, potential claims or any pending litigation, they shall be preserved for
100 days after the conclusion of the court action.

CA - CCP 330 1 - (LA5?)
CA- 8 CCR 3204d-(CL+30Y)
US - 29 CFR 1910 1020-(CL+30Y)
US - 49 CFR 172 201 - (3Y)
CA- CCP 337 1 -(LA4Y)
CA - GOV 34090 - (2Y)

PAGE 841 of 1107
Record No. Business Process
104 Public Worl<s
105 Public Works
ros Public Works
107 Recreation
108 RecreatJOn
319/2017
AC : Wlllli>Ae!lll• AU o Audll
City of San Marino
Rete11Uon Sc~ula
A€RON MS
CL ~GIO$e <Zomp eUon GU • CUrre.•l Year D " Day FR : Flnal Re5oMlon LA = Umifalion on Action LI : I.II• (OJ PrOQram . . ... n M " Moniti MA • Molortfy MA!NT: Moinlain Records PR : Pemianonl s ·: Superseded T ~Tttm>ioa lOll Y .: Year Record category Name
Public Worl<s capital Project Files
Trarrieand Tmnspon.aUori PtaM11\ll
Traffic Control and Improvement
Recreation Facilities
RecreaOon Programs
Reconl category Description
Records and information related to the administnstion, analysis, design, development, planning, construction and maintenance of pubic works, Capital Improvement (CIP) and engineering projects for City facilities and infrastructure Reccn:h md l'lklmutlOO ottnlfk ~p anc:1 ~non~
including studies and surveys
Examp~ Records
A<-9ull:Pll1'&
c:.r.-.
~o1c.--°'"°""""""'' "'" Payrolls
Chart~ Orders

00.uios
Coi><wc:Don
Oolly 1_ ..

OtYdopm«nl Fee Book
OJ•~ Permits
E I R . Notice of Determination categorical Exemptions
E.~tlll Impact Statemitnts
Fett {faciity, impact, traffic, weter system)
f~ Inspections, Notebooks
A'ltllln.Ol'O"~lAam.

GeoloQIC Studies
Glodit'lg Permits
Certificates
Mr..tri*T~g Reports
Noooool Com.,._ Pho=sJPid\Jlet.
l'Yogt ... Meetings
ProJoa Schedules
""tile Notices Reill Estate Appraisals
Rdoell!lor.

RAI & Responses
Soil Reports
~no Walls
S:andM<f Plans
S."Udes Ind Surveys
Silb<m:l>I&
~"'10 UtiSpeed Surveys
Street/Highway Studies/Surveys
Traffic Counts
Traffic Management Plans
Transportation Planning
Records and information related to the City's efforts to manage and improve tra1"fic 8rcycles and circulation. Enforcement
Records and information documenting arrangements for using the City's recreational facitties and services.

Highway Conidors
Impact Studies
Signals
Signs
Temporary Street Closures
F~R9fl1•tVM ~ penMa,. reservation books,
insurance certificates, usera, reoortsl
Rc."COl'ci5 and information documenting the City's parks and recreational programs Appllcabons and l«v'Ces, 11'11:"~'ig Background Checks (aduls in confact wi.h ChiJdren) ·C .... C...ond""'School Ck>sses
• Faciity Rentals Contractor Tnnecards
• Events Emergency Forms
.. Registration documents Immunization Forms
· Proposals for Classes tncident/Accident Reports (wtren a claim is not filed) · Volunteers Plug-n-Play {for regislration payments)
- Sports and Fitness programs Program/Event Evaluations - Summer Camp and Camp Lacey Recreation Programs
Registration Fonns
Schedules
Special Events
Transportation Forms (SS'fect classes, day care, camp, e119nt) Withdrawal Forms
Retention
PR
SY
2Y
AC+4Y
AC+SY
Legal Citations
CA· CCP 337 1 - (LA4Y)
CA- CCP33715- (l.A10Y)
CA- 14 CCR 15095-(Reasonable)
CA - GOV 34090 - (2Y)
CA- HSC 19850 - (LI)
US - •O CFR 122 21(p) • (3Y)
US -40CFR 12241U)-(3Y)
CA - GOV 34090 - (2Y)
CA· GOV 3'090 · (2Y)
CA· CCP 337 • (lMY)
CA· CCP 338 · (LAJY)
CA· GOV 3'090 • (2Y)
CA· GOV 3'090 - (2Y)
CA-22CCR 101221-(Cl+JY)
Comments
inc1u0n lh• ro11ow1ng.
· 8ic:yclo / -onTllli!ll PalllS
· Bridges and C.Hie
• Pa!lclng (resXJon,.,I, non-<11$1do1uinQ • Slleol> ("'1png, llghts,culbs,_guno,._ medio.,., l>ll"•men• ma fngs. lllffio l<11•odo)
• Sid ..... 1"5
• SigM Signals
Page15of15
PAGE 842 of 1107
Exhibit 8
City of San Marino
Records Management Policy
PAGE 843 of 1107
City of San Marino
Records Management Policy
POLICY
The Purpose of this Policy is to define the requirements that will be followed for managing the records of the City of San Marino (the "City") in compliance with federal, state, and local requirements.

SCOPE
This policy applies to City employees, elected and appointed City officials, temporary workers, volunteers, and contractors of the City who are acting on behalf of the City and who have access to, use of, or are involved in the creation, maintenance or storage of the City's records ("Public Officers").

This Policy governs all records created or received by the City in the course of its business, including, but not limited to: (a) paper documents, forms, reports, manuals, correspondence and files; (b) computer received and generated records and electronic communications; and (c) records and information in other formats such as microfilm, videos, audio recordings, photographs, etc.

DEFINITIONS
For purposes of this Policy and compliance with the Retention Schedule the following definitions shall apply:

A. "City Record": Anything that constitutes an objective lasting indication of a writing, event or other information, regardless of physical form or characteristics (including, but not limited to, any record, document, instrument, book, paper, map, exhibit, magnetic or paper tape, photographic film, photographic print, optical media, electronically transmitted mail (e-mail), facsimile, or electronic file), which is in the custody of a Public Officer and is kept either: (1) because a law requires it to be kept, or (2) because it is necessary or convenient to the discharge of the Public Officer's duties and was made or retained for the purpose of preserving its informational content for future reference.

B. "Non-Record": Anything that constitutes an objective lasting indication of a writing, event or other information that does not fall under the definition of a City Record, including but not limited to: (1) magazines or publications not produced by the City; (2) library or museum material intended solely for reference or exhibition; (3) transitory writings, including working papers, appointment logs, notes, calculations or preliminary drafts, or interagency or intraagency memoranda, that are not retained by the City in the ordinary course of business even if they contain information relating to the conduct of the City's business; (4) unofficial copies of documents kept only for convenience or reference; and (5) documents that do not contain information relating to the conduct of the City's business.

C. "Legal Hold": The duty of the City to preserve and not destroy any records that are potentially relevant to any of the following in which the City may be involved: a reasonably anticipated claim or litigation; an ongoing claim or litigation; a pending employee grievance; a pending regulatory or governmental investigation; a pending subpoena; a pending Public Records Act request, a pending audit, or similar legal matter. Any records subject to a Legal Hold must be preserved in all forms in which the record exists, including both paper and electronic formats.
- 1 -
I
1 PAGE 844 of 1107
City of San Marino
Records Management Policy
Notification of a Legal Hold will normally originate from either the City Attorney or the City Clerk. However, if a Public Officer receives communication regarding a Legal Hold from another source, the Public Officer will forward that communication to the City Attorney and City Clerk and preserve the relevant records until the City Attorney or City Clerk provide further instructions.

NOTE: Legal holds may apply to a user's electronic communications and information on City electronic devices, as well as City-related electronic communications and information on the user's personally-owned or business electronic devices.

D. "Personally-owned electronic device": An electronic device that is owned, leased, licensed or borrowed by the user, and the user does not receive a stipend or reimbursement from the City for the user's City business use of the device.

E. "Public Officers": City employees, elected and appointed City officials, temporary workers, volunteers, and contractors of the City who are acting on behalf of the City.

POLICY STATEMENT
A. Ownership
Records created or received by the City in the course or conduct of the City's business are the exclusive property of the City.

B. Authenticity
The City is committed to creating and maintaining complete, accurate, and trustworthy records that document its business activities. Deliberately creating false or misleading records or information regarding the City's activities is strictly prohibited.

Records should not contain language that is misleading, incomplete, inaccurate, or fraudulent.

C. Classification
Records will be created, stored and managed with the appropriate classification that enables the efficient access and secure protection of the information.

D. Retention
Records are to be retained in accordance with the approved Retention Schedule and shall only be deleted or disposed of in compliance with the City Council's Resolution, this policy, and the Retention Schedule.

Records not included in the Retention Schedule shall not be destroyed without the City Council's approval by resolution and the City Attorney's written consent.

E. Storage
Records that are no longer considered active may be transferred to designated offsite storage to fulfill the City's retention requirements.
- 2 - PAGE 845 of 1107
City of San Marino
Records Management Policy
Records that are owned by the City should not be transferred to or stored on any personal devices.

F. Availability
Records must be available for future business, litigation, and investigations as necessary, regardless of storage location.

Records shall be made available to the public in accordance with the California Public Records Act, Government Code § 6250-6276.48.

G. Exiting Officials, Employees and Contractors
When an employee or a contractor separates from the City, the supervisor or manager of that employee or contractor is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting employee or contractor.

When an elected or appointed official separates from the City, the City Clerk is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting official.

H. Suspending Retention Requirements
Records that are subject to a Legal Hold are to be retained and preserved until further notice from the City Attorney, regardless of the retention period set forth in the Retention Schedule.

Records subject to a Legal Hold that are no longer required for business purposes may be transferred to offsite storage for preservation in coordination with the City Attorney.

I. Records Protection
Disaster recovery backup media are exact copies of an operating system, including associated application and data created for the sole purpose of recovering data in the event of a disaster and are not subject to the requirements of the Retention Schedule. Backups serve as a level of protection for electronic systems and the data that is stored on those systems.

J. Historical Information
Historical artifacts, documents, events, memorabilia and collections, as defined on the Retention Schedule, are valuable in documenting the City's history and providing information for researchers. Historical Records are to be permanently preserved so as to assure their ongoing availability and access.

POLICY REVIEW
This Policy and the Retention Schedule may be amended or modified from time to time by the City Council, as deemed necessary to account for changes in legal, regulatory or operational requirements. However, the City Clerk, with concurrence of the City Manager, may make nonsubstantive changes to the Retention Schedule (such as corrections to typographical errors or formats and additions or modifications to examples) that do not impact retention periods. - 3 - PAGE 846 of 1107
Exhibit C
City of San Marino
Policy Regarding Electronic Communications
PAGE 847 of 1107
City of San Marino
Policy Regarding Electronic Communications
Section 1.

Section 2.

Section 3.

Section 4.

PURPOSE
The purpose of this policy is to establish rules and requirements for the acceptable use of Electronic Communication created by staff and officials of the City of San Marino ("City") such as email, text messaging, pager messages, and any other electronic communications.

APPLICABILITY
This policy shall apply to all Public Officers, as defined below, who use electronic devices or City electronic communication services to receive or create electronic communication on behalf of the City.

GENERAL
The City provides computers and other electronic devices, Internet access, Email, voice mail and other electronic communications and information services to facilitate conducting City business. This access carries certain responsibilities and obligations as to what constitutes acceptable use of City-owned electronic devices and services. City electronic devices, and City electronic communications services and information, are business tools that will be used in accordance with City policies and current law, including the California Public Records Act and state law records retention mandates (Gov't. Code § 34090 et seq.). Respectful and professionally written electronic communications provide an efficient and effective means of communications.

This policy explains the requirements for using City electronic devices and services and specifies what actions are prohibited. The use of City electronic devices and services to access, create, store, send or receive electronic communications and information must be in compliance with applicable statutes, regulations, and City policies. Thus, users are expected to use common sense and good judgment to avoid any communication or use that is disrespectful, offensive, illegal or contrary to City policy and to maintain a work environment free from unlawful discrimination and harassment. Questions regarding what constitutes acceptable use should be directed to the City Manager's Office.

DEFINITIONS
The following definitions apply to this policy:
"Blogging": The process of writing or updating a "blog," which is an online, usercreated journal (short for "web log"). "City electronic devices": Any and all electronic devices owned, leased, rented, licensed, paid for, acquired or operated by the City. In the event the City reimburses or pays for a user's telephone or data plan for an electronic device, such electronic device is a "City electronic device" for purposes of this policy. "Electronic device": Any electronic device that is capable of creating, processing, accessing, storing or transmitting electronic communications and information, -1-
PAGE 848 of 1107
City of San Marino
Policy Regarding Electronic Communications
whether now in existence or created in the future, including computers, servers, information systems, smart phones, mobile devices, electronic tablets, cell phones, text pagers, phone systems, photocopiers, facsimile machines, and other peripherals, regardless of whether the equipment is integrated into a system or network. For purposes of this definition, electronic devices also include the software used to run such equipment, as well as storage devices and other media (such as, computer servers, hard drives, flash drives, external hard drives, floppy disks, compact disks, etc.).
"Electronic communications": Any and all communications that are electronically created, processed, stored, accessed, copied, printed, received or transmitted, including without limitation, electronic mail, text use, social media, and any other type of communication using electronic devices, whether now in existence or created in the future.
"Electronic communications and information": Any and all electronic communications, as well as any and all information or data that is electronically created, processed, stored, accessed, copied, printed, received or transmitted, including without limitation, word processing documents, spreadsheets, databases, data about computer or Internet use, metadata and any other type of data files or electronic information, whether now in existence or created in the future.
"Electronic communication services": Any and all City-authorized technological tools for receiving or transmitting City information and conducting City business. "Include," "Including," "for example," or "such as": A non-exhaustive example, and shall be read as "including without limitation."
"Legal Hold": The duty of the City to preserve and not destroy any records that are potentially relevant to any of the following in which the City may be involved:
a reasonably anticipated claim or litigation; an ongoing claim or litigation; a pending employee grievance; a pending regulatory or governmental investigation; a pending subpoena; a pending Public Records Act request, a pending audit, or similar legal matter. Any records subject to a Legal Hold must be preserved in all forms in which the record exists, including both paper and electronic formats.

Notification of a Legal Hold will normally originate from either the City Attorney or the City Clerk. However, if a Public Officer receives communication regarding a Legal Hold from another source, the Public Officer will forward that communication to the City Attorney and City Clerk and preserve the relevant records until the City Attorney or City Clerk provide further instructions.

NOTE: Legal holds may apply to a user's electronic communications and information on City electronic devices, as well as City-related electronic communications and information on the user's personally-owned or business electronic devices.
-2-
PAGE 849 of 1107
City of San Marino
Policy Regarding Electronic Communications
Section 7.
b. City policies and procedures are in force regardless of the technology or tool that is used. Users must comply with all City policies and procedures when using City electronic devices and communication services, and unless expressly indicated
otherwise, these policies and procedures apply to the use of personally-owned electronic devices when used on City premises or while conducting City business from any location.
c. Some delivery methods for electronic communications and networks impose legal restrictions regarding the nature of messages allowed. Users are expected to comply with all such regulations.

PROHIBITED USES OF CITY ELECTRONIC DEVICES OR COMMUNICATION

SERVICES FOR ELECTRONIC COMMUNICATION
When representing the City or using City electronic devices or communication services, user's electronic communications must adhere to a high standard of professional conduct. Any unlawful, unethical or inappropriate use of City electronic devices or communication services while creating electronic communication and information is prohibited. While it is not possible to provide an exhaustive list of every type of inappropriate use, the following activities are illustrative of the acts that are specifically restricted when using or accessing City electronic devices or communication services, when using personally-owned electronic devices when on City premises, or when using personally-owned electronic devices to conduct City business from any location.

1. Prohibited electronic communications - Public Officers are prohibited from sending electronic communications that disrupt or threaten to disrupt the efficient operation of City business or administration.

Messages prohibited in this section include:
a. Messages which are pornographic or obscene.
b. Messages in conflict with the City's Sexual Harassment Policy or any other policy prohibiting discrimination, including harassment, on the basis of race, color, religion, sex, national origin, ancestry, age, physical disability, mental disability, medical condition, political affiliation, veteran status, marital status, sexual orientation or any other status protected by local, state or federal law. c. Messages that use racial, religious or ethnic slurs. d. Messages intended to harass or annoy.
e. Messages for campaigning or political purposes (only applies when using a City electronic device or City E-mail address). f. Messages that contain threats that implicate personal safety. -5- PAGE 850 of 1107
City of San Marino
Policy Regarding Electronic Communications
g. Messages that may harm the integrity of a City electronic device, including, without limitation, forwarding virus-infected electronic communications and information with knowledge or reckless indifference to the risk of harm.
h. Messages that solicit or proselytize others for non-City related commercial ventures, religious or political causes, outside organizations or other non-City related activities (only applies to electronic communications and information that is created or sent using City electronic devices or City E-mail addresses). i. Messages that constitute spam, chain letters, or pyramid schemes.
j. Messages that intentionally misrepresent one's identity for improper or illegal acts.
k. Messages that use forged e-mail header information.

2. No unlawful use - Public Officers shall not create or receive electronic communication that engages in any activity that is illegal under local, state, federal or international law, that violates individual rights, creates potential liability for the City, or violates City policy, including:
a. Theft or unauthorized copying of electronic communications and information, including electronic files and data.
b. The installation or distribution of unlicensed or "pirated" software on City electronic devices.
c. Acts of terrorism .
d. Identity theft.
e. Unauthorized interception or monitoring of electronic communications.

3. Confidential data - Public Officers shall not use electronic communications to transmit confidential data to unauthorized individuals within or outside of the City.

4. Large file downloads, e-mail attachments and file sharing - City electronic communication systems were not designed to transfer large files and, as such, electronic communications should not contain attachments that exceed the file size limits defined by City policy.

5. No campaigning or political use_ - Public Officers shall not use City electronic devices or communication services for campaigning or other political purposes. State law prohibits using government funds and resources for political purposes.
-6-
PAGE 851 of 1107
City of San Marino
Policy Regarding Electronic Communications
Section 8.

Section 9.

USE OF INTERNET - WEB BROWSING
The Internet is a network of interconnected computers over which the City has very little control. The user should recognize this when using City electronic devices to access the Internet, and understand that it is a public domain and he or she can come into contact with information, even inadvertently, that he or she may find offensive, sexually explicit or inappropriate. The user must use the Internet at his or her own risk, and in accordance with all other provisions of this Policy. The City is specifically not responsible for any information that the user views, reads or downloads from the Internet.

All provisions of this policy apply when a user accesses the Internet using City electronic devices.

RETENTION OF ELECTRONIC COMMUNICATION

1. E-mail messages and other electronic communications and information (including attachments) that are intended to be retained in the ordinary course of the City's business are recognized as official records that need protection/retention in accordance with California law and the City's Records and Information Management Policy.

2. Electronic communication that is a record shall be retained in the appropriate repository and manner as directed by the City Clerk. NonRecord electronic communications and information that are not to be retained and which serve no useful purpose to the City should be promptly deleted from the user's E-mail.

3. Legal Holds. The duty of the City to preserve and not destroy any records that are potentially relevant to any of the following in which the City may be involved: a reasonably anticipated claim or litigation; an ongoing claim or litigation; a pending employee grievance; a pending regulatory or governmental investigation; a pending subpoena; a pending Public Records Act request, a pending audit, or similar legal matter. Any records subject to a Legal Hold must be preserved in all forms in which the record exists, including both paper and electronic formats. NOTE: Notification of a Legal Hold will normally originate from either the City Attorney or the City Clerk. However, if a Public Officer receives communication regarding a Legal Hold from another source, the Public Officer will forward that communication to the City Attorney and City Clerk and preserve the relevant records until the City Attorney or City Clerk provide further instructions.

4. Destruction of E-mail and Electronic Records. Unless retention in electronic format is otherwise required by law, the Retention Schedule, or a Legal Hold, the City Council, pursuant to Government Code Section 34090.7, hereby authorizes destruction of e-mail and electronic records as duplicates, provided that printed copies are retained as follows:
-7-
PAGE 852 of 1107
City of San Marino
Policy Regarding Electronic Communications
a. In lieu of retaining an e-mail in electronic format, an e-mail printed on paper may be retained as the original City Record in accordance with its appropriate retention schedule so long as the printed e-mail includes the identity of the sender and recipient, the date and time of the e-mail, and any attachments. If a printed email is retained as the original City Record, the electronic version is deemed to be a duplicate and may be destroyed after the e-mail is printed, without further approval by the City Council or City Attorney, provided, however, that any such e-mail in electronic format that is subject to a Legal Hold shall not be destroyed until notice is provided by the City Attorney that such electronic record no longer need be retained.
b. In lieu of retaining any letter, memorandum or report in electronic format, the final version of a letter, memorandum or report printed on paper may be retained as the original City Record. If a printed letter, memorandum or report is retained as the original City Record, the electronic version is deemed to be a duplicate and may be destroyed after the original is printed, without further approval by the City Council or City Attorney, provided, however, that any such electronic record that is subject to a Legal Hold shall not be destroyed until notice is provided by the City Attorney that such electronic record no longer need be retained.
c. The authorization to destroy duplicates provided by this Section shall not permit the destruction of those electronic files that are routinely used, edited and updated by the City on an on-going basis, such as a financial accounting database.

Section 10. SPECIAL CONSIDERATIONS FOR ELECTED AND APPOINTED OFFICIALS

1. The City may provide City Council members, Planning Commissioners, and other members of legislative bodies with access to City electronic devices to enable them to review agenda packets electronically, to electronically communicate regarding City business, and to otherwise facilitate their duties as City officials. For the same reason, E-mail addresses are also provided to such City officials. Elected and appointed officials should use their City-assigned E-mail address for electronic communications regarding City business.

2. Any provision of this policy applicable to a "user" or "users" is applicable to elected and appointed officials. As set forth in this Policy, such officials have no privacy interest in electronic communications and information created, stored, sent, or received using City electronic devices or City E-mail addresses.

3. Elected and appointed officials shall take appropriate steps to protect the confidentiality of electronic communications and information they create, store, send, or receive, including privileged attorney-client -8-
PAGE 853 of 1107
City of San Marino
Policy Regarding Electronic Communications
communications, closed session records, and other confidential information received or sent via electronic communications.

4. Elected and appointed officials shall use City electronic devices during public meetings only for review of agenda packets. To avoid an appearance of impropriety, such officials shall not use City electronic devices, or personally-owned electronic devices, to send or receive electronic communications, or access the Internet, during public meetings unless such official publicly announces the content of the communication or reason for the Internet access.

5. As indicated above, City electronic devices and City E-mail addresses shall not be used for campaigning or other political purposes. State law prohibits using government funds and resources for political purposes.

6. Elected and appointed officials should avoid using his or her employer's electronic devices to send, receive or store City electronic communications and information.

7. Members of a legislative body should be cognizant of the Brown Act's prohibitions against serial meetings when using electronic communications. The Brown Act prohibits "serial meetings" between a majority of the members of a legislative body, which includes using Email "to discuss, deliberate or take action on any item of business that is within the subject matter jurisdiction of the legislative body." Gov't Code § 54952.2(b)(1 ). This includes electronic communications between a majority of the members of a legislative body during a meeting that are not immediately publicly available.

Section 11. QUESTIONS ABOUT THIS POLICY
Public Officers shall direct questions regarding this Policy and the City's Records Retention Policy to his/her supervisor, department director, the City Clerk or the City Attorney.
-9- PAGE 854 of 1107
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments
001 All Departments Agreements, Contracts and Leases -
Equipment, Goods and Services
Executed agreements, contracts, leases (which includes any type of contract, such as an agreement, franchise, purchase order, or lease) and associated ancillary documents, between the City and other parties pertaining to goods and services.

This category excludes real property.

Addendums
Amendments
Attachments / Exhibits
Bids, Awards (Accepted)
Certificates of Insurance
Change Orders
Disclosures
Exhibits
Facility Users Agreement (application, General Liability insurance certificate)
Franchise Agreements (Solid Waste, Recycling)
Leases
Letters of Intent
License Agreements, Licenses
Memoranda of Agreement (MOAs)
Memoranda of Understanding (MOUs)
Price Lists
Proof of Insurance Certificates
Purchases Documentation
Quotations
Receiving Reports
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Requisitions
Scorecards
Specifications
Statements of Work (SOW)
Warranties
AC+10Y CA - CCP 337 - (LA4Y)
CA - CCP 343 - (LA4Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
US - 29 CFR 516.5 - (3Y)
002 All Departments Asset Management, Maintenance Records related to the management and maintenance of City assets, including equipment, fleet vehicles, real property and infrastructure assets.

California Bureau of Automotive Repair (BAR) Smog Records California Highway Patrol Biennial Inspection Terminal (BIT) Records
Damage to City Property
Equipment Accident Reports
Equipment Certifications
Fuel Records
Horticulture
Irrigation in parks and right-of-ways
Landscaping
Maintenance and Repair Work Orders (internal, public requests ) Maintenance Reports (buildings, parks, streets, sidewalks ) Motor Vehicle Records and Reports
Playground Equipment
Playground Inspections
Registrations, Operating Permits
Rental (Portable Stage)
Service Calls
Sewer Maintenance
Sidewalks
Streetlights
Street Sweeping
Streets
Traffic Signals
Tree Program / Tree Requests
Vehicles/ Fleet
LI*+4Y CA - CCP 337 - (LA4Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6501 - (CU+3Y)
US - 26 CFR 301.6501 - (CU+3Y)
* LI = Life of Asset (NOTE: Life of asset is not
affected by life of real property on which it is
located.)
003 All Departments Business Continuity Records All documentation for dealing with preparation prepartion for and responses to emergencies, disasters and/or system failures.

Business Continuity Plans
Disaster Recovery Plan
Drill Records
Emergency Contact Lists, Employee Lists, Roster of Workers Emergency Evacuation Procedures
Emergency Operations Center
Emergency Preparedness
Emergency Response
Evacuation Plans
Fire Prevention Plan
Telephone Trees
S+2Y CA - GOV 34090 - (2Y)
004 All Departments Community Activities, Media and Public Relations
Documentation associated with community and outreach activities/events including external communications, advertising and press relations materials.

Brochures
FAQs
Mailers
Media Packets, Releases, Kits
Press Kits
Public / Media Inquiries
Public Information / Outreach / Education
Publications Produced by the City (Community Newsletter, Recreation Guide )
Publicity Files
Social Media posts, comments, private messages etc.

Documentation
AC+4Y CA - CCP 337 - (LA4Y)
CA - GOV 34090 - (2Y)

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 6/1/2023 Page 1 of 14
PAGE 855 of 1107
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 005 All Departments Complaints, Internal Investigations Documentation of complaints received, formal inquiries, and investigations, including those by Internal Affairs, involving City employees (excludes officer involved shootings), whether sustained or not sustained.

Citizen Complaints
Departmental Actions
Internal Investigations
Investigation Logs, Workpapers
Investigator Reports, Findings, Notes, Letters
Security Incidents (response files, reports)
Security Investigations
FR+6Y CA - EVID 1045 - (AC+5Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (5Y)
CA - VEH 2547 - (3Y)
US - 26 USC 6531 - (LA6Y)
006 All Departments Department Administration General internal administrative records of City departments, including:
- Documentation of department activities
- Routine reports generated by the City
- Information captured on a log or a list
- Correspondence, memos, notes and emails that do not require acknowledgment and do not pertain to another category
- Department projects
Complaint Logs, Service Issues
City Generated Routine Studies / Reports
Department Administrative Documents (calendars, committees, goals, objectives, meeting agendas, meeting minutes, meeting tapes/recording, plans)
Employee Communication Letters (announcements, new programs, notices)
Form Letters
In-House Committees / Employee Committees
Lists (department contacts, telephone directories, mailing) Logs (case number, daily DR#, subpoenas received)
Project Files (reporting, studies)
Publication and Logo Permissions/Releases
Safety Committee
Supplies Management
Surveys / Questionnaires (traffic counts, speed surveys) Travel and Itineraries
Volunteer Programs
Working Files, Workpapers
AC+2Y CA - GOV 34090 - (2Y)
007 All Departments Historical Documents, Events, Memorabilia, Collections, Artifacts
Records and information documenting the history and significant milestones of the City as determined by the City Manager or City Clerk
City Seal
City Generated Historical Studies / Reports
City Incorporation
Historic Districts
Historical Events, Artifacts, Architecture, Designations, Projects Historical Parks, Facilities
Picture Collections
Registered Logos
PR CA - GOV 34090 - (2Y)
US - 24 CFR 91 Subpart C - (MAINT)
No
008 All Departments Meetings - Audio Records Audio and Video Recordings of City Council, Commissions, City Committees, and their governing boards for the purpose of writing minutes Audio Recordings 1Y* CA - GOV 54953.5(b) - (30D) Recordings include:
- City Council of the City of San Marino
- Planning Commission
- Design Review Committee
- Traffic Commission Public Safety Commission
- Library Board of Trustees
- Recreation Commission
* 1 year after the date on which the official minutes
are adopted
009 All Departments Organization Charts Documents that depict the departmental and reporting structure of the City government.

Org Charts
Organization Trees
Reporting Structure
S+2Y CA - GOV 34090 - (2Y)
010 All Departments Policies, Procedures and Plans All administrative documentation of City policies and procedures. Administrative Policies Directives
General Orders
Guidelines
Five-Year Plans
Handbooks
Policies
Procedure Manuals
Procedures
Program / Initiative Plans
Standards
Treatment Plans
AC+10Y CA - GOV 34090 - (2Y)
US - 26 CFR 31.6501 - (CU+3Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
US - 45 CFR 164.530 (j) - (CU+6Y)
011 All Departments Procurement - Agreements and Contract Not Awarded
Records and information created or retained in the preparation of purchasing or acquisition of goods and services, but where the purchase order, contract, or agreement was not awarded.

Bids, Awards (Unaccepted, Rejected)
Exhibits
Price Lists
Quotations
Requisitions
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Scorecards
Specifications
AC+2Y CA - GOV 34090 - (2Y)
012 All Departments Records, Information Management Documentation of the compliance with Records and Information Management policy and procedures.

Certificates of Destruction
Document Hold Notices, Updates
Inactive Records Storage Information
Lists of Stored / Destroyed Records
Records Transfers (to storage, to other depts.)
AC+10Y CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 40 CFR 70.6 - (CL+5Y)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 013 All Departments Shipping and Receiving Records related to the shipping and receiving of products. Bills of Lading Freight Bills
Manifests, Transfer Logs
Waybills
2Y CA - GOV 34090 - (2Y)
014 All Departments Vendor, Supplier Files Records and information of suppliers and vendors to all City organizations created or retained in the purchasing or acquisition of goods and services.

Contractors - Vendor List
Vendor Packets
Vendor Applications, Profiles
2Y CA - GOV 34090 - (2Y)
015 City Clerk Public Records Requests Records requested by the public, required for provision to the public, and related inquiries.

Collection Lists
Formal Public Records Requests
Inquiries
Maddy Act Lists
CL+2Y CA - GOV 34090 - (2Y)
016 City Clerk Fair Political Practices Commission (FPPC) Forms Statements of Economic Interest
Forms mandated by state law related to economic interests of certain employees, elected or appointed officials, or consultants.

Form 700
Form 801
Form 802
Form 806
AC*+7Y CA - GOV 34090 - (2Y)
CA - GOV 81009 (4Y, 7Y)
* Remains active until individual leaves City
employment or office is terminated
017 Elections Election Records - Administrative Files Documentation of the administration of City elections. Correspondence Non-municipal election files
Precincts (maps, workers )
Research Notes
2Y CA - GOV 34090 - (2Y)
018 Elections Election Records - Elected Mayoral or City Councilmembers
Records and information related to the filing of campaign and election documentation by candidates for mayor or city council, who are elected to City offices.

Campaign Disclosures, Nomination Papers
Campaign Statements
PR CA - GOV 81009(b) - (PR)
019 Elections Election Records - Historical Records and information associated with elections that have lasting value for historical purposes.

Certificates of Election
Certification of Election Results
Election Summary
Resolutions (calling the election, canvassing)
Sample Ballots
PR CA - GOV 34090 - (2Y) No
020 Elections Election Records - Nomination Documents Records and information related to the filing of nomination papers and petitions in lieu of filing fee.

Candidate Statements (for sample ballot)
Nomination Papers
Petitions in Lieu of Filing Fee
Signatures in Lieu of Filing Fee Petitions
Supplemental Nomination Papers
T*+4Y CA - ELEC 17100(a) - (T+4Y) * T = Termination of term of office 021 Elections Election Records - Performance of Election Records and information related to the filing and performance of City elections. Absentee Voters (applications, identification envelopes, roster of applications)
Assessment Districts - Proposition 218 Proceedings
Assisted Voters Lists
Ballot Cards
Ballot Measures (Arguments For / Against, Full Text, Rebuttals, Impartial Opinion)
Ballot Receipts
Ballots (after election, after recount, voted by mail,
unused/surrendered vote by mail, provisional, voted, damaged, spoiled, canceled)
Challenged Voters Lists
Election Results
Fair Political Practices Commission Files
Inspector Receipts for Ballots
Petitions
Precinct Officer Appointments
Proposition 218 (assessment ballot proceeding, property related fees)
Sealed Ballot Containers
Tally Sheets
Voter identification envelopes (provisional, voted by mail) Voter Index Copies (used as the Voting Record at Polling Places) 8M CA - ELEC 17200 - (8M)
CA - ELEC 17302 - (6M)
CA - ELEC 17304 - (6M)
CA - ELEC 17306 - (6M)
CA - ELEC 17400 - (8M)
CA - ELEC 17503 - (6M)
CA - ELEC 17505 - (6M)
022 Elections Election Records - Unsuccessful Candidates Records and information related to the filing of campaign and election documentation by candidates not elected.

Campaign Disclosures, Nomination Papers AC+5Y CA - GOV 81009 - (5Y) 023 Elections Lobbyists and Election Campaigns Records and information related to the filing of campaign and election documentation by lobbyists, political action committees (PACs), other committees, and those not required to file original with City Clerk.

Disclosures
Expenditures
Form 400 Series
Registrations
Reports (lobbyist activities)
AC+7Y CA - GC 81009(b) - (5Y)
CA - GOV 81009(c) - (7Y)
US - 11 CFR 102.9 (3Y)
US - 11 CFR 104.14 (3Y)
6/1/2023 Page 3 of 14
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 024 Finance Accounts Payable and Receivable Records and information related to the accounting of monies paid by or received by the City including payment for financial obligation.

Aging Reports
Business License Fees
Check Listing
Credit Memos
Employee Expense Reports, Reimbursements
Form 1099 Records and Form W-9 Records
Invoices and Vouchers
Payables Package, Receipts
Petty Cash Data
Purchasing Card Expense Reconciliation/Allocations
Purchasing Card Slips, Statements
Refunds
Sales and Use Taxes Paid
Tuition Reimbursements
Voided Checks
Cash Records (cash count reports, cash flow book information, cash disbursement, cash register receipts, cash receipts)
Check Listing
Fees and Taxes
Petty Cash Data
Property Tax Revenue
Public Safety Tax
Receivables Package, Receipts
Reconciliations
Utility User Tax Revenue
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 - (CU+4Y)
* Closure of audit
025 Finance Audits (Internal, External) Records and information related to auditing activities, including reviewing and documenting operational, compliance, or financial information created as a part of an audit.

Annual Audit Reports
Audit Files, Plans
Audit, Auditors Reports
Audit Schedules
Audit Workpapers
General Purpose Financial Audits, Single Audits
Improvement Plans
Investigations, Workpapers
Management Responses
Observations
Petty Cash Audits
Recommendations
Remediation Plans / Results
Responses
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 USC 6531 - (LA6Y)
* Closure of audit
026 Finance Bank Account Information Records and information related to banking authorities, activities, transactions and correspondence. This category includes reconciliations.

Bank Account Administration
Bank Statements
Checks, Canceled
Check Copies
Check Registers, Journals
Corrections / Returns / Adjustments
Deposit Permits, Deposits
Electronic Banking Transactions
Reconciliations
Signature Cards
Transfers
Treasurer Receipts
Credit Card Merchant Activity Statements
AU*+7Y CA - GOV 34090 - (2Y) * Closure of audit
027 Finance Debt, Investments Records and information relating to analysis of City financing and investment activities.

Amortization Schedules
Certificates of Deposit (CDs)
Certificates of Participation
Direct Investments
Due Diligence
Exempted Securities
Financial Investment Planning
Investment Loans to Other Agencies
Investment Performance Reporting
Ivestment Policies
Investment Reporting
Loans (debt state loans, water (Alston & Imola))
Local Agency Investment Fund (LAIF)
Long Term Debt
Money Manager Statements
Payment History/Schedules
Performance Bonds, Letters of Credit
Portfolio Management, Quarterly Reviews
Revenue Bonds (housing, city mortgage)
Returns Management
Security Instruments
Stock / Equity / Debt Issuance, Repurchase Records
Trust Accounts
M*+10Y CA - CCP 336 - (LA5Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.5 (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 (CU+4Y)
US - 26 CFR 301.6501 (CU+3)
* Maturity includes cancellation and redemption
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 028 Finance Employee Benefit Files Employee election (selection), enrollment or termination forms and related correspondence, including transmissions to carriers of additions, changes, claims and deletions (includes employee medical records subject to HIPAA requirements).

Actuarial Analysis for Benefit Reserves and Accounting Appeals Benefits Files, Contract Copies, Enrollments, Appeals
Beneficiary Designations
California Student Aid Commission (CSAC)
Excess Insurance Authority (EIA)
Death Claims, Life Event Documents
Disability Claims
Employee Cost-Sharing Amounts
Employment Authorizations, Terminations, Confirmations, Status Changes, Coverage Changes
Flexible Spending Enrollment
Individual Retirement Accounts (IRAs), 401k Histories
Life Insurance Notification Letters/EOI
Medical Billing Statements
Pension Plan Applications, Claims
P.E.R.S. Information
Premium Information
Required Benefits Reporting
Retirement Loans / Retirement
Supplemental Forms
CL+6Y* CA - 22 CCR 1085-2 - (CU+4Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 825.500 - (3Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
US - 29 CFR 4007.10 - (6Y)
029 Finance Financial Reporting - Annual, Official, Periodic Issued and official periodic financial reports, whether required by regulations or generated to track financial transactions and achievements by the City.

Annual Report of Financial Transactions To State
Annual State Controller Filings
Audited Financial Statements/ACFR CAFR Workpapers
U.S. Equal Employment Opportunity Commission (EEOC) Reports PERS Reports
Payroll Reports (HRA, RMT, ICMA 457 accounts, Nationwide TIAACREF, deferred compensation) Quarterly Investment Report
Revenue/Expenditures Reports
Self Insurance Reports
State Controller's Report
Treasurer's Report
Workers Compensation Reports
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 CFR 1.1461-2 - (CU+1Y)
* Closure of audit
030 Finance Financial, Strategic Planning Records and information relating to financial planning. Business Plans Financial Plans
Forecasts
4Y CA - GOV 34090 - (2Y)
031 Finance Fixed Asset Financial Transactions Records and information related to the ownership, transfer, acquisition, disposition, capital leased, or improvement of fixed assets (Personal Property, Real Property*, and Equipment) owned by or used by the City.

Acquisitions
Amortization
Asset Retirement Records
Dispositions
Capital Asset Records
Capital Improvements
Depreciation Schedules
Equipment Rental/Usage Reports
Fixed Asset Reports
Fixed Asset Ledger
Fixed/Capital Asset Accounting
Possessory Interest
Sales
Valuation Information
LI*+10Y CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
* LI = Life of Asset (NOTE: Life of asset is not
affected by life of real property on which it is
located.)
032 Finance General Ledger, Journal Entries, Budget
Adjustments
Records and information related to the transfer of charges between accounts and summaries of account information, including year end summaries of general ledger transactions.

Account Ledgers
Sub-Ledgers
Budget Adjustments
Balance Sheets
Cash Journal Entries
Chart of Accounts
Downloads / Data Exports
Expenditure Reports
General Ledger
Journal Entries and Backup Documentation
Revenue
Summary Reports
Trial Balance
Year -End / Account Detail History Report
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 (CU+4Y)
* Closure of audit
033 Finance Grants and External Funding Sources Documents the application, evaluation, awarding, administration, monitoring, reporting, and status of grants and other funding sources in which a local government entity is the recipient, grantor, allocator, or administrator. Includes:
- Community Development Block Grant (CDBG)
- Combined Federal, State, Local Grants
- Enterprise Funds (water, waste, housing)
- Federal Grants
- Local Grants
- Southern CA Association of Governments
- State Grants
- Transportation Agency Funding
Applications (including project proposals)
Audits
Award Notification
Grant Administration
Grant Funding
Grant Evaluations
Program Rules, Regulations, Procedures
Property Taxes Funding
Reports to Funding Agencies
CL*+5Y CA - GOV 34090 - (2Y)
US - 2 CFR 200.333 - (CL+3Y)
* Unsuccessful applications are retained CU+2Y.
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 034 Finance Insurance Coverage Records detailing the City's general coverage against property damage and liability, including renewal submission information, insurance quotes, & broker correspondence.

Binding Information
Binders
Broker Correspondence
California Joint Powers Insurance Authority (CJPIA)
Certificates of Insurance
Completed Applications
Flood Insurance
Insurance Policies
Insurance Quotes
Insurance Submissions
Liability Insurance
Renewal Strategy
LI*+6Y PR CA - 22 CCR 3267-2 - (MAINT)
CA - CCP 337 - (LA5Y)
CA - GOV 34090 - (2Y)
* Life of policy
035 Finance Payroll Records and information related to the accounting of payroll earnings, deductions, and issuance. This also includes records and information reflecting all earnings and benefits paid to each employee, including:
- Name, address, SSN
- Total amount and date of payments
- Period of service covered for each
- Withholding
- Tax collected
Affordable Care Act Reports
Attendance Records, Corrections
Benefit Payments
Deduction Registers, Reports
Deferred Compensation
Employee Deduction Authorizations, Check Information, Extra Help Reports
Employee Master Lists, Addresses
Extra Help Reports
Flex Spending Participant Reports
Garnishment Orders, Receipts
PARS/P.E.R.S. Reporting
Payroll Checks, Copies, Stub Reports
Payroll Certifications, Controls
Payroll Deduction Authorizations, Garnishments / Liens
Payroll Earnings Registers
Payroll Tax Returns
Posting Tickets
Processing Reports, Reports to Government Agencies
Salary Schedules
State / Federal / Quarterly Payroll Tax Filings
Timekeeping Records (Timecards, Time Sheets, Basic Time and Earnings Cards)
Unemployment Tax Remittance
W-2
W-4
Wage Rate Tables
Work Schedules
AU*+7Y CA - 2 CCR 570.5 - (5Y)
CA - 2 CCR 571(b)(1)(E) - (5Y)
CA - 22 CCR 1085-2 (c) - (CU+4Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 226a (3)
CA - LAB 1174 - (3Y)
CA - LAB 1197.5 - (LA2Y, LA3Y)
CA - UIC 1132 - (LA3Y)
US - 26 CFR 31.6001 (CU+4)
US - 29 CFR 516.5 - (3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1620.32 - (2Y)
US - 29 CFR 1627.3 - (3Y)
* Closure of audit
036 Finance Unclaimed Funds Records and information pertaining to periodic publication of outstanding checks that are 3 years or older. After the City goes through its due diligence of trying to find the rightful owner, Finance returns any unclaimed funds to the City.

Uncashed Checks
Unclaimed Funds
10Y CA - CCP 1513 - (3Y)
CA - GOV 34090 - (2Y)
US - Uniform Unclaimed Property Act
(1995), Section 3 - (10Y)
037 Fire Arson Investigations Records and information associated with arson investigations. Evidence Files Investigations
PR CA - CCP 340.5 (LA3Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 (P)
CA - PEN 800 (LA6Y)
038 Fire Fire Equipment Records and information associated with fire protection and emergency response equipment.

Apparatus and Maintenance Records
Certification Binder
Equipment Checks
Fire Breaks
Inventories (apparatus, equipment, fixture)
Sprinklers
LI*+2Y CA - 8 CCR 3203(b)(1) - (1Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1910.157 (Life of
extinguisher)
* LI = Life of Equipment
039 Fire Fire Prevention Inspections Records and information associated with inspections of commercial and residential facilities.

Commercial Facility Files
Residential Files
LI* CA - GOV 34090 - (2Y) * LI = Life of Building
040 Fire Fire Prevention Programs Records and information associated with department programs to protect the City from fires and emergency incidents.

Fire Education 2Y CA - GOV 34090 - (2Y)
041 Fire Incident Reports Records and information associated with department responses to fires and emergency incidents, including medical emergencies. All emergency responses (fires, service calls, HazMat, medical, etc.) are maintained in the FireRMS system.

Emergency Medical Services Forms
Emergency Services
False Alarm Reports
Incident Reports
Investigation Reports
Mandated Reporting: Child Abuse, Elder Abuse
Patient Care Reports (PCRs)*
CL*+10Y CA - 13 CCR 1100.7 (3Y)
CA - 22 CCR 100170 (MAINT)
CA - 22 CCR 100171 (MAINT)
CA - CCP 340.5 (LA3Y)
CA - GOV 34090 - (2Y)
CA - HSC 11191 (3Y)
US - 42 CFR 1001.952 - (5Y)
US - 45 CFR 164.530 - (CU+6Y)
* PCRs for minors must be retained for CL+7Y or
until the minor reaches the Age of Majority Status
(18Y), whichever is longer.
042 Fire Station Activity Records Records and information created and maintained by the department for activities at the fire station.

Captain Log Books
Station Logs
10Y CA - GOV 34090 - (2Y)
043 Human Resources Background Checks - Personnel Not Hired All documentation related to background checks for Applicants and unpaid volunteers that were not hired.

AC+2Y CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
NOTE: Background checks for personnel hired are
part of the personnel file.
044 Human Resources Benefit Plans Plans established to provide employee benefits and associated administrative documents.

Carrier Reporting, PerformanceEmployee Assistance Program (EAP)
COBRA Rates, Records, Histories
Employee Benefit Plans
Group Insurance Cost Data
PERS Actuarial Reports
Retiree Health Insurance
Retirement System
Summary Plan Descriptions
LI*+6Y US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
US - 29 CFR 4007.10 - (6Y)
US - 29 CFR 4041.5 - (LI*+6Y)
* LI = Life of Plan or System
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 045 Human Resources Employee Medical Records Documents pertaining to medical records of City employees, including exposure to hazardous substances, drug screens, and workers' compensation (includes employee records subject to HIPAA requirements).

Drug Screening
Employee Hazardous Chemical Exposure
Employee Medical File
Exposure Monitoring
Firearms and Field Exposure
Hazardous Exposure
Material Data Safety Sheets (MSDS)
Personnel Files - Medical
Radiation Exposure Records
Toxic Substance Exposure Records
Worker Compensation
T+30Y CA - 8 CCR 14300.33 - (5Y)
CA - 8 CCR 3204 - (T+30Y)
CA - 19 CCR 2760.9 - (5Y)
CA - CCP 338 - (LA3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
CA - 29 CFR 1904.33 - (CU+5Y)
US - 29 CFR 1910.95 - (2Y)
US - 29 CFR 1910.1020 - (30Y)
US - 40 CFR 68.81 - (5Y)
046 Human Resources Employee Training All documents related to general and specialized technical education and training taken by paid employees and unpaid volunteers, including:
- Base Station Forms
- Fire Extinguisher
- First Aid/CPR
- Safety
Attendance
Canine Deployment Training
Certification Records
Compliance Training
Courses/Seminars (Taken by Employees - includes Safety Training) Ethics Training
Firearm and Field Training
Individual Education, Development
SWAT Training
Training Bulletins
T+5Y CA - 8 CCR 3203 (CU+1)
CA - GOV 53235.2b - (5Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.31 - (T+2Y)
047 Human Resources Employee Training Materials, Courses, Scheduling
Documentation regarding the content of courses and schedules for training offered to employees.

Attendance Lists
Employee Development
Presentation Materials
PowerPoint Slide Decks
Safety Training
Testing
S+6Y CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 3076.3 - (5Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 45 CFR 164.530 (j) - (CU+6Y)
048 Human Resources Labor Relations Documentation related to the negotiations between labor unions for collective bargaining purposes.

Confidential Memos
Costing
Ground Rules
Handouts
Information Requests
Miscellaneous Information
Notes
Proposals - City
Proposals - Union
AC+5Y CA - CCP 337 - (LA4Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 5410 - (LA5Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
049 Human Resources Labor Relations Grievances Documentation related to labor grievances filed under current collective bargaining agreements.

Grievance Files/Commission Hearing
Grievance/Hearing Logs
Union Grievances
FR+10Y CA - CCP 337 - (LA4Y)
CA - GOV 12946 - (2Y; T+2Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
050 Human Resources Personnel Files - Employees All documents related to paid employees (full and part-time), including but not limited to:
- hiring
- promotion
- demotion
- transfer
- layoff / recall / out-placement
- termination / discharge / resignation
- pay rates / other terms of compensation
Applications, Applicant Reference Verifications
Awards, Rewards, Commendations, Certificates
Background Checks, Investigations - candidates hired
Complaints
Disciplinary Actions
Drivers License Data - Class B
Employee Acknowledgements, Executed Policy Receipts
Employee Licenses and Permits
Ethics Certificates
Exit Interviews
Individual Employee Agreements, Contracts (copies)
Individual Education, Development, Training Records
Investigations*
Job Offer Letters
Leave of Absence Documentation, FMLA (compensation,
complaints/disputes, requests, parental leave forms, paid/unpaid leave)
Oaths of Office
Performance Evaluations, Reviews
Performance Improvement Plans (PIPs)
Personnel Action Forms (PAFs)
Recognition
Supervisor's Files
T+5Y CA - 2 CCR 11013 (FR+2)
CA - 8 CCR 14300.33 (5Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 3076.3 - (5Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.31 - (T+2Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
US - 41 CFR 60-1.12 (a) - (2Y)
US - 41 CFR 60-741.80 - (2Y)
051 Human Resources Personnel Files - Volunteers and Unpaid Interns
All documents related to unpaid volunteers and interns, including but not limited to:
- selection/hiring
- assignments
- transfer
- termination / discharge / resignation
Applications, Applicant Reference Verifications
Awards, Rewards, Commendations, Certificates
Background Checks, Investigations - candidates accepted Cadet Volunteer Program
Complaints
Disciplinary Actions
Volunteer Acknowledgements, Executed Policy Receipts
Individual Education, Development, Training Records
Investigations
Oaths of Office
Performance Evaluations, Reviews
Performance Improvement Plans (PIPs)
Personnel Action Forms (PAFs)
Recognition
Supervisor's Files
T+5Y CA - 2 CCR 11013 (FR+2)
CA - 8 CCR 14300.33 (CU+5)
CA - GOV 12946 - (2Y; T+2Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.31 - (T+2Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
052 Human Resources Regulatory Reporting for Human Resources Official non-financial Human Resources reports issued by City organizations to comply with regulatory requirements.

EEOC Reports
Labor Reports
OSHA 300 Reports
5Y CA - GOV 34090 - (2Y)
US - 29 CFR 405.9 - (5Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.30 - (3Y)
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 053 Human Resources Salary, Compensation Documentation of job classification compensation. Classification Studies Compensation Plans, Planning, Analysis
Determinations of Cost of Living Adjustments
Job Descriptions
Job Classification Evaluations
Salary Range History
Salary Surveys
S+3Y CA - GOV 34090 - (2Y)
US - 26 CFR 301.6501 - (CU+3Y)
054 Human Resources Staffing Records and information related to recruitment of qualified persons for both paid and unpaid position with the City,whether full time or temporary, including:
- applications and related records of candidates interviewed but not hired or accepted
- applications received but not acted upon.

Applications, CVs, Resumes (Rejected, Unsolicited)
Applicant Tracking Records (Hired, Rejected)
Background Checks, Investigations - candidates not hired/accepted Civil Service Examination Results and Rankings
Drug Testing, Pre-Hire Screening - candidates not hired/accepted Interview Notes
Job Descriptions
Job Postings, Announcements
Job Requisition Requests
Job Specifications
Miscellaneous Hiring Process Notes
Position Information
Recruitment of Commission/Committee Candidates
Temporary Intern Staffing
Test Results (Non-hires)
Test and Examination Materials
Unpaid Interns (Rejected)
Volunteers (Rejected)
AC+3Y CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1602.31 (T+2Y)
US - 29 CFR 1627.3b1 (1)
055 Human Resources Work Authorizations and Supporting
Documentation
Employment eligibility verification forms collected for active employees and supporting documentation regarding immigration status.

I-9 Documents and copies of associated documents (Kay)
Immigration Supporting Documentation
T+3Y US - 20 CFR 655.760 - (T+1Y)
US - 8 CFR 274a.2 - (3Y, or T+1Y)
056 Information Technology Application, System Development and Maintenance
Technical documentation related to development of City technology processes, applications, or systems, as well as conversions, changes or modifications to existing applications or systems.

Audit Records of Run Completions
Backups (Security, System)
Business, Functional Requirements
Change Requests
Data Element Attribute Reports
Data Migration Documentation
Database Dictionary / Schema
End User Documentation, User Manuals
Hardware Configurations
Joint Dispatch Center
Network Circuits Inventories
Network/Equipment Control Support Documentation (Service Histories, Site Visit Reports, Trouble Reports)
Program Listings
Source Code
Support Documentation (Logical & Physical Architectural Diagrams, Specifications, Systems Support Materials)
System Documentation (Codebooks, Record Layouts, Reference Guides, Specifications)
System Test Files
System, Application Maintenance Documentation
(Hardware/Operating System Requirements, Monitoring Logs, Operating Manuals)
Telecommunications System (Telephones, Phones)
LI* CA - GOV 34090 - (2Y) * LI = Life of Application, System or Process 057 Information Technology Technology Access and Security Records and technical documentation of internal controls and system security.

Includes data / information security breaches, notifications, and supporting documentation.

Annual Database & System Security Reviews
Audit Trail Files
Automated Logs
Change Management Case Files
Computer Usage Files
Data Breach Notifications
Data Breach Reports/Responses
Data Sets, Extracted Data Summaries
Hardcopy Publication, Printouts of Report Data
Privileged Area Access Requests
Security Access Request Forms
Special Access Approvals
Usage Reports (Summary, System)
User Access Records (Passwords, Security Logs, User Accounts, Log-in Files, Data Entry Logs, Accounts)
User Incident, Response Files
CL+3Y CA - GOV 34090 - (2Y)
CA - CIV 1798.27 - (3Y)
058 Legal Claims Against the City Records detailing claims lodged against the City. Accident/Incident Reports Actuarial Reports
Annual Audit of Open Claims
Appraisals
Claims By/Against the City
Closing Letters
Damage Estimate Reports
Supporting Documentation
Insurance Claims, Appraisals, Reports
Investigations
FR+10Y* CA - CCP 337 - (LA5Y)
CA - GOV 34090 - (2Y)
*Or until claimant reaches age 18 whichever is later
059 Legal Internal Legal Advice and Opinions Memoranda containing legal advice prepared by City Attorney's Office (CAO) attorneys for City departments.

Memos
Opinions
S+10Y CA - GOV 34090 - (2Y)
060 Legal Legal Representation Communications Written communications with third parties, including attorneys for other parties which are not retained in a larger project or litigation file.

Letters
Written Communications
CL+5Y CA - GOV 34090 - (2Y)
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 061 Legal Licenses, Permits Documentation of licenses and permits other than those authorizing building or the development of property, and other authorizations issued in the City.

Alarm Permits
Alcoholic Beverage Permits
Annual Licenses
Applications
Bicycle Licenses
Block Parties
Business Licenses (applications, fees, financial history, reports) Candle Permits
Concealed Weapon Permits (guns, etc.)
Extended Parking
FCC Licenses
Filming Permits
Home Business Licenses
Home Occupation Permits (HOP)
Massage Establishments
Massage Technicians
Notices
Special Events
Special Licenses (pesticides, applicators, painting )
Street Permits
Taxis (cabs, drivers)
Tent Permits
Transportation Permits (oversize, overweight)
AC+4Y CA - CCP 337 (LA4Y)
CA - GOV 34090 - (2Y)
Licenses and permits are issued by multiple
departments, including:
- Police
- Community Development Planning and Building
- Fire
062 Legal Litigation and Third Party Claims Records generated for or related to any case or action before a judicial, arbitral, or administrative officer or body.

Claims
Complaints
Court Orders
Discovery
Exhibits
Judgments
Pleadings
Related Correspondence
Releases
Settlement Agreements
Subpoenas
Third Party Claims
FR+11Y CA - 2 CCR 11013 - (FR+2Y)
CA - 8 CCR 10102 - (5Y; CL+1Y)
CA - 8 CCR 10103.1 - (5Y)
CA - 22 CCR 1085-2 - (CU+4Y)
CA - LAB 5410 - (LA5Y)
CA - RTC 7154 - (LA5Y)
CA - RTC 19384 - (LA4Y)
CA - RTC 19704 - (LA6Y)
CA - UIC 1132 - (LA3Y)
CA - CCP 315 - (LA10Y)
CA - CCP 337.15 - (LA10Y)
US - 26 CFR 31.6001 (CU+4Y)
US - 26 CFR 301.6501 - (3Y)
US - 26 CFR 301.6532-1 - (LA2Y)
US - 26 CFR 301.6532-2 - (LA5Y)
US - 26 CFR 301.6532-3 (a) - (LA9
Months)
US - 26 USC 6531 - (LA6Y)
US - 26 USC 6532 - (LA2Y)
US - 29 USC 255 - (LA2Y)
US - 29 USC 626 (d) - (LA300D)
US - 35 USC 286 - (6Y)
US - 42 USC 2000e-5 (e) - (LA180D)
US - 42 USC 2000e-5 (f) - (LA180D)
063 Legal Waivers of Liability Documentation of liability waiver forms completed and signed by individuals participating in City programs and activities, including those submitted by parents or guardians of minor children.

Waivers of Liability 10Y CA - 22 CCR 101221 - (CL+3Y)
CA - CCP 337 (LA4Y)
CA - GOV 34090 - (2Y)
064 Legislative Appointments to Boards, Commissions and Committees
Staff records related to appointments made by authorized elected officials to councils, committees, boards, and commissions.

Applications (Appointed, Unsuccessful)
Interview Notes
Letters of Appointment
Letters of Recommendation
Oaths of Office
Resumes
Submitted Documents
T+2Y CA - GOV 34090 - (2Y)
065 Legislative Public Meetings - Administration Records and information associated with preparation for, and administration of, public meetings of legislative bodies.

Agendas
Agenda Packets
Agenda Summary Reports
Commendations
Council Packets
Notices
Petitions to Council
Proclamations
Summary of Actions, Statement of Actions (SOAs)
Supplemental Communications
Transcriptions of audio and video recordings of meetings Video recordings of meetings
2Y CA - GOV 34090 - (2Y)
066 Legislative Public Meetings of Legislative Bodies Records of all actions taken by City legislative bodies, including Council, Commission, Board, Council Task Force and Committees, taken during public meetings.

Appeals to City Council
City Charter
City Codes
City-wide Plans/Programs Adopted
Meeting Minutes, Notices, Transcripts
Minute Books & Index
Municipal Code
Ordinances
Policy Resolutions
Resolutions
Agendas
Agenda Packets
PR CA - CCP 315 - (LA10Y)
CA - CCP 321 - (LA5Y)
CA - CCP 336 - (LA5Y)
CA - CCP 336a - (LA6Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.5 - (LA10Y)
CA - GOV 34090 - (2Y)
CA - GOV 60201 - (PR)
No Includes:
- City Council
- Design Review Committee
- Library Board of Trustees
- Planning Commission
- Recreation Commission
- Traffic Advisory Commission Public Safety
Commission
067 Legislative Public Notices Records documenting compliance with laws requiring public notice of government activities. Subjects include assessments, elections, land use changes, public meetings and hearings, sale of property, and others.

Affidavits of Posting
Affidavits of Publication/Legal Notices
Public Hearing Notices
4Y CA - CCP 343 - (LA4Y)
CA - GOV 34090 - (2Y)
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 068 Library Library Records Records and information related to the City's library programs and services. Acquisitions Art Gallery
Borrow/Loan Records
Classes
Catalog of Holdings
De-accessioning
Facility Rentals
Gifts / Donations
Inter-Library Loans
Library Board of Trustees
Material Challenge Records
Statistical Reports (circulation, computer usage )
Volunteers
LI*+2Y CA - GC 34090 - (2Y) * LI = life of holding
069 Library Passport Acceptance Records and information related to services performed by the City's library system in support of federal passport programs.

Passport Acceptance Transmittals 2Y CA - GOV 34090 - (2Y) US - State Dept 2011-2012 Passport Guide
(2Y)
070 Planning and Building
Community
Development
Agreements, Contracts and Leases - Real
Property and Infrastructure
Executed agreements, contracts, leases between the City and other parties pertaining to real estate, facilities and City infrastructure.

Addendums
Amendments
Attachments / Exhibits
Bids, Awards (Accepted)
Certificates of Insurance
Change Orders
Delivery Records
Disclosures
Exhibits
Improvement Agreements
Letters of Intent
License Agreements, Licenses
Memoranda of Agreement (MOAs)
Memoranda of Understanding (MOUs)
Performance Bonds
Price Lists
Proof of Insurance Certificates
Property Improvement Contracts
Purchase Orders
Quotations
Receiving Reports
Real Estate Leases, Attachments
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Requisitions
Schedules
Scorecards
Specifications
Statements of Work (SOW)
Surety Bonds (bid bonds, payment bonds, performance bonds, ancillary bonds)
Warranties
LI*+10Y CA - CCP 315 - (LA10Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 (CU+4Y)
US - 29 CFR 516.5 - (3Y)
US - 40 CFR 70.6 - (CL+5Y)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
* LI = Life of Building, Facility or Infrastructure Asset 071 Planning and Building
Community
Development
Building Codes, Building Permits, Appeals and
Decisions
Records and information documenting the building services provided by the City regulating private property.

Appeals
Building and Fire Code Board of Appeals
Building Codes
Building Inspections
Building Permits (issued, active, expired, history)
Building Plans - Commercial & Residential
Certificates of Compliance
Certificates of Occupancy
Disability Access Board of Appeals
Fire Protection Plans
Notices of Noncompliance
Planning Review Case Files (notices, neighbor letters, plans, blueprints )
PR CA - CBC 107.5 - (180D)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2)
CA - HSC 19850 - (LI)
072 Planning and Building
Community
Development
Building, Property Management Records and information regarding the structure of City buildings. As-Built Blueprints Construction Records
Electrical Wiring Schematics
Floor Plans
Property Inventory
LI*+10Y CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - HSC 19850 - (LI)
* LI = Life of Building
073 Planning and Building
Community
Development
Encroachments Records documenting encroachments upon City property, or by the City on the property of others.

Encroachment Permits, Certificates PR CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y)
074 Planning and Building
Community
Development
Maintenance Inspection Reports Reports of inspections of maintenance performed on City facilities and infrastructure including:
- Buildings
- Park
- Streets
- Sidewalks
- Sewers
- Streetlights
- Trees
Equipment Inspections
Facility Inspections
Inventory of City Trees
Logs
Playground Equipment
Reports
Sewers (including videos)
Sidewalks
Streetlights
Streets
Trees
5Y CA - CCP 337 - (LA5Y)
CA - GOV 34090 - (2Y)
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 075 Planning and Building
Community
Development
Planning and Zoning Services Records and information pertaining to the activities of the planning division, including zoning.

Agricultural Preserve
Appeals
Below Market Rate Units / Affordable Housing
Design Review
Development Regulations
Downtown Parking Requirements
Environmental Impact Reports (EIR), Notice of Determination, Categorical Exemptions, etc.

Environmental Reviews
Flood Zone Determinations
General Plan (housing element, amendments, growth management element, noise element)
Land Use Permits, Studies
Landscape
Master Plans
Parking Calculations
Planned Unit Development (PUD)
Plans (Specific)
Public Use
Resolutions
Rezoning
Sign Permits
Soil Reports
Summary of Actions
Variances
Water
Zoning
Zoning Text and Map Amendments
PR CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)
CA - WAT 10631 - (5Y)
076 Planning and Building
Community
Development
Real Estate Transactions Records and information related to the ownership, acquisition, disposition, transfer of, lease of, or improvement of real property, infrastructure and facilities including grant deeds, owned by or used by the City.

Acquisitions
Attachments
Buildings
Capital Improvements
Community Development Block Grant (CDBG) Property Acquisitions Deeds of Trust
Dispositions
Housing Authority Owned Properties
Land
Mortgages
Possessory Interest
Property Transaction (DDA, DA, Etc.)
Right of Way
Sales
Valuation Information
PR CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
No
077 Planning and Building
Community
Development
Real Property Maps Final maps and geographical information pertaining to City properties. Aerial Photos Assessment Districts
Assessor Parcel Maps
Building Site Determination
Drainage
Improvement Plans, Drawings
Land Survey Maps
Lot Line Adjustments
Lot Numbers
Major Subdivisions (SD)
Minor Subdivisions (MS)
Parcel Mergers
Parcels
Parks
Plats
Record Maps
Record of Survey Maps
Redevelopment
Sphere of Influence
Street Address Files
Tentative Maps
Vellums
PR CA - CCP 337.15 - (LA10Y)
CA - GOV 34090d - (2Y)
CA - HSC 19850 - (LI)
No
078 Planning and Building
Community
Development
Recorded Documents - Liens Records of liens recorded on behalf of the City. Liens AC+10Y CA - GOV 34090 - (2Y) 079 Planning and Building
Community
Development
Recorded Documents - Vital Records and information pertaining to those original key documents recorded on behalf of the City.

Abandonments
Address Records
Annexations
Certificate of Correction
Conveyances from the City (Deeds, Easements,
Abandonments/Vacations)
Conveyances to the City (Deeds, Easements, Dedications) Deeds
Detachments
Easements
Grant Deeds
Irrevocable Offers to Dedicate
Rights-of-Way
Vacations
PR CA - GOV 34090 - (2Y) No
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 080 Planning and Building
Community
Development
Security, Access Operations Records and information regarding physical access controls and protection for City buildings and facilities.

Access Controls
Access Reports
Badge Lists
Daily Activity Logs
Facility Key Lists
Key Cards
Transaction Logs
2Y CA - GOV 34090 - (2Y)
081 Police Administrative Reporting Reports received and/or generated in the routine course of law enforcement activities and not associated with a case number.

Activity Reports
Crime Statistics
Incident Logs
Published Reports
Ride-Along Program Records
Uniform Crime Reporting
Housewatch Applications
Live Scan Applications
Parking Citations
Traffic Citations
Training Requests
AC+2Y CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
082 Police Body-Worn Camera Recordings -
Access/Deletion Logs
Records or logs of access and deletion of data from peace officer body-worn cameras.

Body Cam
Taser Cam
PR CA - PEN 832.18 (b)(5)(E) - (PR)
083 Police Body-Worn Camera Recordings - Evidentiary Recordings from peace officer body-worn cameras that contain evidentiary data of a crime or potential crime.

Body Cam
Taser Cam
2Y* CA - PEN 832.18 (b)(5)(B) - (2Y) * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims
or any pending litigation, they shall be preserved in
accordance with the requirements associated with
the crime, claim or litigation.
084 Police Body-Worn Camera Recordings - Routine,
Non-Evidentiary
Routine recordings from peace officer body-worn cameras that do not contain evidentiary data of a crime or potential crime.

Body Cam
Taser Cam
60D* CA - PEN 832.18 (b)(5)(A) - (60D)
085 Police Case Files - Dead Bodies Records and crime reports associated with investigations of dead bodies, whether by natural causes or found.

Reports
Statements
CL*+2Y CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
* Case remains open until body has been identified
and cause of death determined. If determination is
made that the death was a homicide, records are
recategorized as "Felony Murder/Homicide" case
files (see "Police - Case Files - Felony
Murder/Homicide, Capital Offenses, Child Abuse,
Elder Abuse, and Violations of Public Trust" below).
086 Police Case Files - Felonies, Excluding Murder Records and crime reports associated with felony violations of laws, excluding homicide and capital violations.

Case Files
Reports
CL*+10Y CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (MAINT)
CA - PEN 851.8 - (SEAL&DESTROY)
CA - PEN 851.90 - (MAINT)
*Provided there are not outstanding warrants,
deaths, and it is not classified under PC §800 and
290 and HSC §11850; Statute of limitations is 2
years; Destroy juvenile marijuana after age 18; HSC
§11361.5; GC §34090, PC §802, PC §187, 800 et
seq.
* Closed is defined as case has been adjudicated,
all appeals exhausted or all time served.
087 Police Case Files - Felony Murder/Homicide, Capital Offenses, Child Abuse, Elder Abuse, and
Violations of Public Trust
Records and crime reports associated with capital felony violations of laws, including homicide, child abuse, elder abuse, embezzlement of public funds, or falsification of public documents.

Case Files
Reports
PR CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 187-199 - (MAINT)
CA - PEN 290 - (MAINT)
CA - PEN 799 - (PR)
CA - WIC 602 - (PR)
No limitation on commencement of action; PEN
§261 , 286, 288, 288a, 288.5, 289, 289.5, and 799.
088 Police Case Files - Juvenile Records and crime reports associated with criminal cases dealing with juveniles. Case Files Reports
Longer of:

MAJ*+8Y (or)
SEAL**+5Y
CA - WIC 300 (age 18 or as directed by
court)
CA - WIC 781 (age 18 or as directed by
court)
CA - WIC 826 (age 18 or as directed by
court)
*MAJ = Age of Majority Status (18Y);
**SEAL = Date Records Sealed
Statute of limitations runs up to age of majority + 8
years; Sealing for juveniles and Wards of the Court
retained for 5 years; CP §340.1; GC §34090; WIC
§781(d); WIC §826(a)&(b); WIC §781(a).
089 Police Case Files - Misdemeanors, Infractions Records and crime reports of misdemeanors and infractions, including parking and other citations.

Case Files
Reports
AC*+4Y CA - CCP 339 - (LA2Y)
CA - PEN 802 - (1Y; 2Y; 3Y; 4Y)
CA - GOV 34090 - (2Y)
CA - VEH 2547 - (2Y; 3Y)
* Provided there are no outstanding warrants,
deaths, and it is not classified under PC §800 & 290
and H&S §11850; Statute of Limitations is 2 years;
Destroy juvenile marijuana after age 18.
090 Police Case Files - Missing Persons and Runaways Records and crime reports associated with missing persons and runaways. Case Files Reports
AC*+2Y CA - GOV 34090 - (2Y) * Case remains active until solved 091 Police Case Files - Officer Involved Shootings Records and crime reportsassociated with criminal cases dealing with officer involved shootings.

Case Files
Reports
FR+25Y CA - GOV 34090 - (2Y)
092 Police Case Files - Sealing of Adult Records Records of court orders to seal the records of adults. Case Files Reports
3Y* CA - PEN 851.8 - (SEAL+3Y)
CA - PEN 851.90 - (MAINT)
*From the date the records were sealed
093 Police Case Files - Stolen Property Records and crime reports associated with stolen property. Case Files Reports
AC*+3Y CA - CCP 338 - (LA3Y) * Case remains open until solved 094 Police Case Files - Traffic Collisions - Fatal Records and crime reports associated with traffic collisions involving fatalities. Case Files Reports
PR CA - GOV 34090 - (2Y)
6/1/2023 Page 12 of 14
PAGE 866 of 1107
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 095 Police Community
Development
Code Compliance and Enforcement Records and information documenting compliance with City codes, including violations.

Appeals
Citations
Inspections / Enforcement (Business, Residential)
Investigations
Notices of Violation
Photographs
Vehicle Abatement (abandoned vehicles)
Violations
Weed Abatement
AC*+3Y CA - GOV 34090 - (2Y) * Case remains active until all issues have been satisfactorily resolved and closed.
096 Police Criminal Registrations - Drugs, Gangs Records for those required to register as drug or gang violence offenders. 5Y CA - GOV 34090 - (2Y) CA - HSC 11594(a) - (5Y)
CA - PEN 186.32 - (5Y)
097 Police Criminal Registrations - Sex Offenders,
Arsonists
Records for those required to register as sex offenders or arsonists. LI* CA - GOV 34090 - (2Y) CA - PEN 290(b) - (Life of Offender)
CA - PEN 457.1(b)(2) - (Life of Arsonist)
* Life of the offender or arsonist
098 Police Dispatch Records Records of emergency calls to include time and date of call, contents of call, location of call, name of unit sent to scene, and other related information. 911 Emergency Call Logs
Arrest Logs
Dispatch Activity Log
Radio Dispatcher Logs
Watch Commander Logs
2Y* CA - GOV 34090 - (2Y) * Exception: Recordings used as evidence in a criminal prosecution or claim filed or litigation or
potential claims and litigation shall be preserved for
100 days after conclusion of the court action.
099 Police Routine Dispatch Telephone and Radio
Communications Records
Routine daily recording of telephone communications and all radio communications relating to the operations of the department
Audio Telephone Recordings
Audio Radio Recordings
911 Call Recordings
100D* CA - GOV 34090.6 - (Routine Audio: 100D) * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims
or any pending litigation, they shall be preserved for
100 days after the conclusion of the court action.
100 Police Seized or Unclaimed Property Records Records documenting tracking and management of physical property seized by the Police department, or collected by the Police department but unclaimed, and not assigned to a case number or considered as evidence in a criminal investigation.

AC+2Y CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
101 Police Video Recordings - Routine Recordings of routine video monitoring, but excluding those from peace officer bodyworn cameras, to include time and date of video, location of video and other related information.

Building Security Recordings
In-Car Video
1Y* CA - GOV 34090.6 - (Routine Video: 1Y) * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims
or any pending litigation, they shall be preserved for
100 days after the conclusion of the court action.
102 Public Works Hazardous Waste, Monitoring and
Remediation
Planning, monitoring and contingency/emergency action plans for hazardous waste, emergency and spill response, natural and exposure emergencies, notifications and response; environmental action plans and supporting documentation; hazardous communications plans, including labeling, MSDS controls, training programs and procedures.

Emergency Response Programs
Employee Hazardous Chemical Exposure
Hazardous Material Incident Reports
Hazardous Substances Shipping Manifests
Hazardous Waste
Material Safety Data Sheets (MSDS)
Proposition 65 Monitoring
Site Mitigation
Toxic Substance Inventory
AC+30Y CA - CCP 338.1 - (LA5Y)
CA - 8 CCR 3204d - (CL+30Y)
US - 29 CFR 1910.1020 - (CL+30Y)
US - 49 CFR 172.201 - (3Y)
103 Public Works Operational Maps Informal maps and geographical information pertaining to City operations and services.

Sewer TV Surveys
Street Sweeping
Tree Trimming
Trash Pick-up
S+4Y CA - CCP 337.1 - (LA4Y)
CA - GOV 34090 - (2Y)
104 Public Works Public Works Capital Project Files Records and information related to the administration, analysis, design, development, planning, construction and maintenance of public works, Capital Improvement (CIP) and engineering projects for City facilities and infrastructure.

As-Built Plans
Calculations
Certificates of Compliance/Notice of Non-Compliance
Certified Payrolls
Change Orders
Closures
Construction
Daily Inspections
Development Fee Book
Drainage Permits
E.I.R., Notice of Determination, Categorical Exemptions Environmental Impact Statements
Fees (facility, impact, traffic, water system)
Field Inspections, Notebooks
Final Improvement Plans
Geologic Studies
Grading Permits
Insurance Certificates
Materials Testing Reports
Notice of Completion
Photos/Pictures
Progress Meetings
Project Schedules
Public Notices
Real Estate Appraisals
Relocations
RFIs & Responses
Soils Reports
Sound Walls
Standard Plans
Studies and Surveys
Submittals
Underground Utilities
PR CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - 14 CCR 15095 - (Reasonable)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
Includes the following:
- Bicycle / Pedestrian Trails / Paths
- Bridges and Creeks
- Parking (residential, non-residential)
- Streets (striping, lights, curbs, gutters, medians,
pavement markings, traffic legends)
- Sidewalks
- Signs, Signals
6/1/2023 Page 13 of 14
PAGE 867 of 1107
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 105 Public Works Traffic and Transportation Planning Records and information of traffic engineering and transportation planning activities, including studies and surveys.

Speed Surveys
Street/Highway Studies/Surveys
Traffic Counts
Traffic Management Plans
Transportation Planning
5Y CA - GOV 34090 - (2Y)
106 Public Works Traffic Control and Improvement Records and information related to the City's efforts to manage and improve traffic and circulation.

Bicycles
Enforcement
Highway Corridors
Impact Studies
Signals
Signs
Temporary Street Closures
2Y CA - GOV 34090 - (2Y)
107 Recreation Recreation Facilities Records and information documenting arrangements for using the City's recreational facilities and services.

Facility Rentals (use applications, permits, reservation books, insurance certificates, users, reports)
AC+4Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 34090 - (2Y)
108 Recreation Recreation Programs Records and information documenting the City's parks and recreational programs and services, including:
- Child Care and PreSchool
- Facility Rentals
- Events
- Registration documents
- Proposals for Classes
- Volunteers
- Sports and Fitness programs
- Summer Camp and Camp Lacey
Applications
Background Checks (adults in contact with children )
Classes
Contractor Timecards
Emergency Forms
Immunization Forms
Incident/Accident Reports (when a claim is not filed )
Plug-n-Play (for registration payments )
Program/Event Evaluations
Recreation Programs
Registration Forms
Schedules
Special Events
Transportation Forms (select classes, day care, camp, event ) Withdrawal Forms
AC+5Y CA - GOV 34090 - (2Y)
CA - 22 CCR 101221 - (CL+3Y)
6/1/2023 Page 14 of 14
PAGE 868 of 1107
City of San Marino
Records Management Policy
- 1 -
POLICY
The Purpose of this Policy is to define the requirements that will be followed for managing the records of the City of San Marino (the “City”) in compliance with federal, state, and local requirements.

SCOPE
This policy applies to City employees, elected and appointed City officials, temporary workers, volunteers, and contractors of the City who are acting on behalf of the City and who have access to, use of, or are involved in the creation, maintenance or storage of the City’s records (“Public Officers”).

This Policy governs all records created or received by the City in the course of its business, including, but not limited to: (a) paper documents, forms, reports, manuals, correspondence and files; (b) computer received and generated records and electronic communications; and (c) records and information in other formats such as microfilm, videos, audio recordings, photographs, etc.

DEFINITIONS
For purposes of this Policy and compliance with the Retention Schedule the following definitions shall apply:

A. “City Record”: Anything that constitutes an objective lasting indication of a writing, event or other information, regardless of physical form or characteristics (including, but not limited to, any record, document, instrument, book, paper, map, exhibit, magnetic or paper tape, photographic film, photographic print, optical media, electronically transmitted mail (e-mail), facsimile, or electronic file), which is in the custody of a Public Officer and is kept either: (1) because a law requires it to be kept, or (2) because it is necessary or convenient to the discharge of the Public Officer's duties and was made or retained for the purpose of preserving its informational content for future reference.

B. “Non-Record”: Anything that constitutes an objective lasting indication of a writing, event or other information that does not fall under the definition of a City Record, including but not limited to: (1) magazines or publications not produced by the City; (2) library or museum material intended solely for reference or exhibition; (3) transitory writings, including working papers, appointment logs, notes, calculations or preliminary drafts, or interagency or intra-agency memoranda, that are not retained by the City in the ordinary course of business even if they contain information relating to the conduct of the City’s business; (4) unofficial copies (duplicates) of documents kept only for convenience or reference; and (5) documents that do not contain information relating to the conduct of the City’s business.

Pursuant to Government Code Section 34090.7, the City Council authorizes the destruction of duplicate records provided that either a paper or electronic copy of the document is saved as the official city record. The authorization to destroy duplicates PAGE 869 of 1107
City of San Marino
Records Management Policy
- 2 -
provided by this section shall not permit the destruction of those electronic files that are routinely used, edited, and updated by the City on an on-going basis, such as a financial accounting database.

C. “Legal Hold”: The duty of the City to preserve and not destroy any records that are potentially relevant to any of the following in which the City may be involved: a reasonably anticipated claim or litigation; an ongoing claim or litigation; a pending employee grievance; a pending regulatory or governmental investigation; a pending subpoena; a pending Public Records Act request, a pending audit, or similar legal matter. Any records subject to a Legal Hold must be preserved in all forms in which the record exists, including both paper and electronic formats.

Notification of a Legal Hold will normally originate from either the City Attorney or the City Clerk. However, if a Public Officer receives communication regarding a Legal Hold from another source, the Public Officer will forward that communication to the City Attorney and City Clerk and preserve the relevant records until the City Attorney or City Clerk provide further instructions.

NOTE: Legal holds may apply to a user’s electronic communications and information on City electronic devices, as well as City-related electronic communications and information on the user’s personally-owned or business electronic devices.

D. “Personally-owned electronic device:” An electronic device that is owned, leased, licensed or borrowed by the user, and the user does not receive a stipend or reimbursement from the City for the user’s City business use of the device.

E. “Public Officers:” City employees, elected and appointed City officials, temporary workers, volunteers, and contractors of the City who are acting on behalf of the City.

POLICY STATEMENT
A. Ownership: Records created or received by the City in the course or conduct of the City’s business are the exclusive property of the City.

B. Authenticity: The City is committed to creating and maintaining complete, accurate, and trustworthy records that document its business activities. Deliberately creating false or misleading records or information regarding the City’s activities is strictly prohibited.

Records should not contain language that is misleading, incomplete, inaccurate, or fraudulent.

C. Classification: Records will be created, stored and managed with the appropriate classification that enables the efficient access and secure protection of the information.

D. Retention: Records are to be retained in accordance with the approved Retention Schedule and shall only be deleted or disposed of in compliance with the City Council’s Resolution, this policy, and the Retention Schedule.

PAGE 870 of 1107
City of San Marino
Records Management Policy
- 3 -
Records not included in the Retention Schedule shall not be destroyed without the City Council’s approval by resolution and the City Attorney’s written consent.

E. Storage: Records that are no longer considered active may be transferred to designated offsite storage to fulfill the City’s retention requirements.

Records that are owned by the City should not be transferred to or stored on any personal devices.

F. Availability: Records must be available for future business, litigation, and investigations as necessary, regardless of storage location.

Records shall be made available to the public in accordance with the California Public Records Act, Government Code § 6250-6276.48.

G. Exiting Officials, Employees and Contractors: When an employee or a contractor separates from the City, the supervisor or manager of that employee or contractor is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting employee or contractor.

When an elected or appointed official separates from the City, the City Clerk is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting official.

H. Suspending Retention Requirements: Records that are subject to a Legal Hold are to be retained and preserved until further notice from the City Attorney, regardless of the retention period set forth in the Retention Schedule.

Records subject to a Legal Hold that are no longer required for business purposes may be transferred to offsite storage for preservation in coordination with the City Attorney.

I. Records Protection: Disaster recovery backup media are exact copies of an operating system, including associated application and data created for the sole purpose of recovering data in the event of a disaster and are not subject to the requirements of the Retention Schedule. Backups serve as a level of protection for electronic systems and the data that is stored on those systems.

J. Historical Information: Historical artifacts, documents, events, memorabilia and collections, as defined on the Retention Schedule, are valuable in documenting the City’s history and providing information for researchers. Historical Records are to be permanently preserved so as to assure their ongoing availability and access.

POLICY REVIEW
This Policy and the Retention Schedule may be amended or modified from time to time by the City Council, as deemed necessary to account for changes in legal, regulatory, or operational PAGE 871 of 1107
City of San Marino
Records Management Policy
- 4 -
requirements. However, the City Clerk, with concurrence of the City Manager, may make nonsubstantive changes to the Retention Schedule (such as corrections to typographical errors or formats and additions or modifications to examples) that do not impact retention periods.

PAGE 872 of 1107
Draft
RESOLUTION NO. R-23-19

A RESOLUTION OF THE SAN MARINO CITY COUNCIL

UPDATING THE RECORDS MANAGEMENT POLICY AND

THE RECORDS RETENTION SCHEDULE
WHEREAS, the retention of numerous obsolete records is unnecessary for the effective and efficient operation of City government; and
WHEREAS, Government Code Section 34090 provides a rule for the minimum retention of any City record that has served its purpose and is no longer required; and WHEREAS, this Resolution is intended to update the existing Records Management Policy and Retention Schedule that facilitate the appropriate and efficient management and retention of City records in accordance with Government Code Section 34090.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN MARINO HEREBY RESOLVES AS FOLLOWS:

SECTION 1. Retention Schedule.

A. The Retention Schedule attached hereto as Exhibit A and incorporated herein by this reference, is hereby adopted.

B. City Records, both paper and electronic, shall be retained for the defined period of time listed for each record series in the column entitled “Retention” on Exhibit A and shall not be destroyed until approved for destruction in accordance with this Resolution.

C. Non-Records need not be retained in any form; provided, however, that any Non-Records that are subject to a Legal Hold shall be retained and shall not be destroyed until notice is provided by the City Attorney for the City of San Marino that such Non-Records no longer need be retained.

SECTION 2. Approval of Destruction of City Records.

A. At the expiration of the Retention period set forth for each record series listed on Exhibit A, such expired City Records are authorized to be destroyed as provided by the applicable California codes and regulations upon approval in writing of the applicable Department Head, the City Clerk, and the City Attorney to such destruction.

B. Notwithstanding the foregoing, City Records that are subject to a Legal Hold shall be retained and are not authorized for destruction until notice is provided by the City Attorney that such City Records subject to a Legal Hold no longer need be retained.

C. All City Records approved for destruction shall be destroyed in a secure manner.

PAGE 873 of 1107
Draft
SECTION 3. Destruction of Records Mandated by Law. If state or federal law mandates that a City Record must be destroyed within a certain period of time or by a specified date, the City Clerk, with the written consent of the City Attorney, is hereby authorized to destroy such City Records as required by state or federal law, notwithstanding that the Retention Schedule specifies a longer retention period.

SECTION 4. Destruction of Duplicates. Pursuant to Government Code Section 34090.7, the City Council hereby authorizes destruction of duplicates of City Records if such duplicates are no longer required, provided that an official copy is retained in accordance with the Records Retention Schedule.

SECTION 5. Records Retention Policy. The Records Management Policy that is attached hereto as Exhibit “B” and incorporated herein by this reference is hereby adopted by the City Council.

SECTION 6. Supersession. Any provision of a previously adopted City Council resolution or City policy that conflicts with the terms of this Resolution or the attachments is superseded and shall be of no further force or effect.

SECTION 7. Certification. The City Clerk shall certify to the passage and adoption of this Resolution and shall enter it in the book of original resolutions.

SECTION 8. Effective Date. This Resolution shall be in full force and effective immediately upon its passage and adoption.

PASSED, APPROVED AND ADOPTED this 14th day of June, 2023.

BY:
_________________________________

STEVE TALT
MAYOR
ATTEST:
__________________________________

CHRISTINA BAKER

CITY CLERK
PAGE 874 of 1107
Draft
APPROVED AS TO FORM:
_________________________________

JOSEPH MONTES

CITY ATTORNEY

STATE OF CALIFORNIA )
COUNTY OF LOS ANGELES ) ss.

CITY OF SAN MARINO )
I HEREBY CERTIFY that the foregoing Resolution No. R-23-19 was duly adopted by the City Council of the City of San Marino at a Regular Meeting held on the 14th day of June, 2023, by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
___________________________________

CHRISTINA BAKER

CITY CLERK
PAGE 875 of 1107
Draft
Exhibit A
Records Retention and Destruction Schedule
for the City of San Marino
PAGE 876 of 1107
Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments
001 All Departments Agreements, Contracts and Leases -
Equipment, Goods and Services
Executed agreements, contracts, leases (which includes any type of contract, such as an agreement, franchise, purchase order, or lease) and associated ancillary documents, between the City and other parties pertaining to goods and services.

This category excludes real property.

Addendums
Amendments
Attachments / Exhibits
Bids, Awards (Accepted)
Certificates of Insurance
Change Orders
Disclosures
Exhibits
Facility Users Agreement (application, General Liability insurance certificate)
Franchise Agreements (Solid Waste, Recycling)
Leases
Letters of Intent
License Agreements, Licenses
Memoranda of Agreement (MOAs)
Memoranda of Understanding (MOUs)
Price Lists
Proof of Insurance Certificates
Purchases Documentation
Quotations
Receiving Reports
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Requisitions
Scorecards
Specifications
Statements of Work (SOW)
Warranties
AC+10Y CA - CCP 337 - (LA4Y)
CA - CCP 343 - (LA4Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
US - 29 CFR 516.5 - (3Y)
002 All Departments Asset Management, Maintenance Records related to the management and maintenance of City assets, including equipment, fleet vehicles, real property and infrastructure assets.

California Bureau of Automotive Repair (BAR) Smog Records California Highway Patrol Biennial Inspection Terminal (BIT) Records
Damage to City Property
Equipment Accident Reports
Equipment Certifications
Fuel Records
Horticulture
Irrigation in parks and right-of-ways
Landscaping
Maintenance and Repair Work Orders (internal, public requests ) Maintenance Reports (buildings, parks, streets, sidewalks ) Motor Vehicle Records and Reports
Playground Equipment
Playground Inspections
Registrations, Operating Permits
Rental (Portable Stage)
Service Calls
Sewer Maintenance
Sidewalks
Streetlights
Street Sweeping
Streets
Traffic Signals
Tree Program / Tree Requests
Vehicles/ Fleet
LI*+4Y CA - CCP 337 - (LA4Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6501 - (CU+3Y)
US - 26 CFR 301.6501 - (CU+3Y)
* LI = Life of Asset (NOTE: Life of asset is not
affected by life of real property on which it is
located.)
003 All Departments Business Continuity Records All documentation for dealing with preparation for and responses to emergencies, disasters and/or system failures.

Business Continuity Plans
Disaster Recovery Plan
Drill Records
Emergency Contact Lists, Employee Lists, Roster of Workers Emergency Evacuation Procedures
Emergency Operations Center
Emergency Preparedness
Emergency Response
Evacuation Plans
Fire Prevention Plan
Telephone Trees
S+2Y CA - GOV 34090 - (2Y)
004 All Departments Community Activities, Media and Public Relations
Documentation associated with community and outreach activities/events including external communications, advertising and press relations materials.

Brochures
FAQs
Mailers
Media Packets, Releases, Kits
Press Kits
Public / Media Inquiries
Public Information / Outreach / Education
Publications Produced by the City (Community Newsletter, Recreation Guide )
Publicity Files
Social Media posts, comments, private messages etc.

AC+4Y CA - CCP 337 - (LA4Y)
CA - GOV 34090 - (2Y)
005 All Departments Complaints, Internal Investigations Documentation of complaints received, formal inquiries, and investigations, including those by Internal Affairs, involving City employees (excludes officer involved shootings), whether sustained or not sustained.

Citizen Complaints
Departmental Actions
Internal Investigations
Investigation Logs, Workpapers
Investigator Reports, Findings, Notes, Letters
Security Incidents (response files, reports)
Security Investigations
FR+6Y CA - EVID 1045 - (AC+5Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (5Y)
CA - VEH 2547 - (3Y)
US - 26 USC 6531 - (LA6Y)

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 5/23/2023 Page 1 of 14 PAGE 877 of 1107
Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 006 All Departments Department Administration General internal administrative records of City departments, including:
- Documentation of department activities
- Routine reports generated by the City
- Information captured on a log or a list
- Correspondence, memos, notes and emails that do not require acknowledgment and do not pertain to another category
- Department projects
Complaint Logs, Service Issues
City Generated Routine Studies / Reports
Department Administrative Documents (calendars, committees, goals, objectives, meeting agendas, meeting minutes, meeting tapes/recording, plans)
Employee Communication Letters (announcements, new programs, notices)
Form Letters
In-House Committees / Employee Committees
Lists (department contacts, telephone directories, mailing) Logs (case number, daily DR#, subpoenas received)
Project Files (reporting, studies)
Publication and Logo Permissions/Releases
Safety Committee
Supplies Management
Surveys / Questionnaires (traffic counts, speed surveys) Travel and Itineraries
Volunteer Programs
Working Files, Workpapers
AC+2Y CA - GOV 34090 - (2Y)
007 All Departments Historical Documents, Events, Memorabilia, Collections, Artifacts
Records and information documenting the history and significant milestones of the City as determined by the City Manager or City Clerk
City Seal
City Generated Historical Studies / Reports
City Incorporation
Historic Districts
Historical Events, Artifacts, Architecture, Designations, Projects Historical Parks, Facilities
Picture Collections
Registered Logos
PR CA - GOV 34090 - (2Y)
US - 24 CFR 91 Subpart C - (MAINT)
No
008 All Departments Meetings - Audio Records Audio Recordings of City Council, Commissions, City Committees, and their governing boards for the purpose of writing minutes
Audio Recordings 1Y* CA - GOV 54953.5(b) - (30D) Recordings include:
- City Council of the City of San Marino
- Planning Commission
- Design Review Committee
- Public Safety Commission
- Library Board of Trustees
- Recreation Commission
* 1 year after the date on which the official minutes
are adopted
009 All Departments Organization Charts Documents that depict the departmental and reporting structure of the City government.

Org Charts
Organization Trees
Reporting Structure
S+2Y CA - GOV 34090 - (2Y)
010 All Departments Policies, Procedures and Plans All administrative documentation of City policies and procedures. Administrative Policies Directives
General Orders
Guidelines
Five-Year Plans
Handbooks
Policies
Procedure Manuals
Procedures
Program / Initiative Plans
Standards
Treatment Plans
AC+10Y CA - GOV 34090 - (2Y)
US - 26 CFR 31.6501 - (CU+3Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
US - 45 CFR 164.530 (j) - (CU+6Y)
011 All Departments Procurement - Agreements and Contract Not Awarded
Records and information created or retained in the preparation of purchasing or acquisition of goods and services, but where the purchase order, contract, or agreement was not awarded.

Bids, Awards (Unaccepted, Rejected)
Exhibits
Price Lists
Quotations
Requisitions
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Scorecards
Specifications
AC+2Y CA - GOV 34090 - (2Y)
012 All Departments Records, Information Management Documentation of the compliance with Records and Information Management policy and procedures.

Certificates of Destruction
Document Hold Notices, Updates
Inactive Records Storage Information
Lists of Stored / Destroyed Records
Records Transfers (to storage, to other depts.)
AC+10Y CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 40 CFR 70.6 - (CL+5Y)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
013 All Departments Shipping and Receiving Records related to the shipping and receiving of products. Bills of Lading Freight Bills
Manifests, Transfer Logs
Waybills
2Y CA - GOV 34090 - (2Y)
014 All Departments Vendor, Supplier Files Records and information of suppliers and vendors to all City organizations created or retained in the purchasing or acquisition of goods and services.

Contractors - Vendor List
Vendor Packets
Vendor Applications, Profiles
2Y CA - GOV 34090 - (2Y)
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 015 City Clerk Public Records Requests Records requested by the public, required for provision to the public, and related inquiries.

Collection Lists
Formal Public Records Requests
Inquiries
Maddy Act Lists
CL+2Y CA - GOV 34090 - (2Y)
016 City Clerk Fair Political Practices Commission (FPPC) Forms
Forms mandated by state law related to economic interests of certain employees, elected or appointed officials, or consultants.

Form 700
Form 801
Form 802
Form 806
AC*+7Y CA - GOV 34090 - (2Y)
CA - GOV 81009 (4Y, 7Y)
* Remains active until individual leaves City
employment or office is terminated
017 Elections Election Records - Administrative Files Documentation of the administration of City elections. Correspondence Non-municipal election files
Precincts (maps, workers )
Research Notes
2Y CA - GOV 34090 - (2Y)
018 Elections Election Records - Elected Mayoral or City Councilmembers
Records and information related to the filing of campaign and election documentation by candidates for mayor or city council, who are elected to City offices.

Campaign Disclosures, Nomination Papers
Campaign Statements
PR CA - GOV 81009(b) - (PR)
019 Elections Election Records - Historical Records and information associated with elections that have lasting value for historical purposes.

Certificates of Election
Certification of Election Results
Election Summary
Resolutions (calling the election, canvassing)
Sample Ballots
PR CA - GOV 34090 - (2Y) No
020 Elections Election Records - Nomination Documents Records and information related to the filing of nomination papers and petitions in lieu of filing fee.

Candidate Statements (for sample ballot)
Nomination Papers
Petitions in Lieu of Filing Fee
Signatures in Lieu of Filing Fee Petitions
Supplemental Nomination Papers
T*+4Y CA - ELEC 17100(a) - (T+4Y) * T = Termination of term of office 021 Elections Election Records - Performance of Election Records and information related to the filing and performance of City elections. Absentee Voters (applications, identification envelopes, roster of applications)
Assessment Districts - Proposition 218 Proceedings
Assisted Voters Lists
Ballot Cards
Ballot Measures (Arguments For / Against, Full Text, Rebuttals, Impartial Opinion)
Ballot Receipts
Ballots (after election, after recount, voted by mail,
unused/surrendered vote by mail, provisional, voted, damaged, spoiled, canceled)
Challenged Voters Lists
Election Results
Fair Political Practices Commission Files
Inspector Receipts for Ballots
Petitions
Precinct Officer Appointments
Proposition 218 (assessment ballot proceeding, property related fees)
Sealed Ballot Containers
Tally Sheets
Voter identification envelopes (provisional, voted by mail) Voter Index Copies (used as the Voting Record at Polling Places) 8M CA - ELEC 17200 - (8M)
CA - ELEC 17302 - (6M)
CA - ELEC 17304 - (6M)
CA - ELEC 17306 - (6M)
CA - ELEC 17400 - (8M)
CA - ELEC 17503 - (6M)
CA - ELEC 17505 - (6M)
022 Elections Election Records - Unsuccessful Candidates Records and information related to the filing of campaign and election documentation by candidates not elected.

Campaign Disclosures, Nomination Papers AC+5Y CA - GOV 81009 - (5Y) 023 Elections Lobbyists and Election Campaigns Records and information related to the filing of campaign and election documentation by lobbyists, political action committees (PACs), other committees, and those not required to file original with City Clerk.

Disclosures
Expenditures
Form 400 Series
Registrations
Reports (lobbyist activities)
AC+7Y CA - GC 81009(b) - (5Y)
CA - GOV 81009(c) - (7Y)
US - 11 CFR 102.9 (3Y)
US - 11 CFR 104.14 (3Y)
024 Finance Accounts Payable and Receivable Records and information related to the accounting of monies paid by or received by the City including payment for financial obligation.

Aging Reports
Business License Fees
Check Listing
Credit Memos
Employee Expense Reports, Reimbursements
Form 1099 Records and Form W-9 Records
Invoices and Vouchers
Payables Package, Receipts
Petty Cash Data
Purchasing Card Expense Reconciliation/Allocations
Purchasing Card Slips, Statements
Refunds
Sales and Use Taxes Paid
Tuition Reimbursements
Voided Checks
Cash Records (cash count reports, cash flow book information, cash disbursement, cash register receipts, cash receipts)
Check Listing
Fees and Taxes
Petty Cash Data
Property Tax Revenue
Public Safety Tax
Receivables Package, Receipts
Reconciliations
Utility User Tax Revenue
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 - (CU+4Y)
* Closure of audit
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 025 Finance Audits (Internal, External) Records and information related to auditing activities, including reviewing and documenting operational, compliance, or financial information created as a part of an audit.

Annual Audit Reports
Audit Files, Plans
Audit, Auditors Reports
Audit Schedules
Audit Workpapers
General Purpose Financial Audits, Single Audits
Improvement Plans
Investigations, Workpapers
Management Responses
Observations
Petty Cash Audits
Recommendations
Remediation Plans / Results
Responses
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 USC 6531 - (LA6Y)
* Closure of audit
026 Finance Bank Account Information Records and information related to banking authorities, activities, transactions and correspondence. This category includes reconciliations.

Bank Account Administration
Bank Statements
Checks, Canceled
Check Copies
Check Registers, Journals
Corrections / Returns / Adjustments
Deposit Permits, Deposits
Electronic Banking Transactions
Reconciliations
Signature Cards
Transfers
Treasurer Receipts
Credit Card Merchant Activity Statements
AU*+7Y CA - GOV 34090 - (2Y) * Closure of audit
027 Finance Debt, Investments Records and information relating to analysis of City financing and investment activities.

Amortization Schedules
Certificates of Deposit (CDs)
Certificates of Participation
Direct Investments
Due Diligence
Exempted Securities
Financial Investment Planning
Investment Loans to Other Agencies
Investment Performance Reporting
Ivestment Policies
Investment Reporting
Loans (debt state loans, water (Alston & Imola))
Local Agency Investment Fund (LAIF)
Long Term Debt
Money Manager Statements
Payment History/Schedules
Performance Bonds, Letters of Credit
Portfolio Management, Quarterly Reviews
Revenue Bonds (housing, city mortgage)
Returns Management
Security Instruments
Stock / Equity / Debt Issuance, Repurchase Records
Trust Accounts
M*+10Y CA - CCP 336 - (LA5Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.5 (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 (CU+4Y)
US - 26 CFR 301.6501 (CU+3)
* Maturity includes cancellation and redemption
028 Finance Employee Benefit Files Employee election (selection), enrollment or termination forms and related correspondence, including transmissions to carriers of additions, changes, claims and deletions (includes employee medical records subject to HIPAA requirements).

Actuarial Analysis for Benefit Reserves and Accounting Appeals Benefits Files, Contract Copies, Enrollments, Appeals
Beneficiary Designations
California Student Aid Commission (CSAC)
Excess Insurance Authority (EIA)
Death Claims, Life Event Documents
Disability Claims
Employee Cost-Sharing Amounts
Employment Authorizations, Terminations, Confirmations, Status Changes, Coverage Changes
Flexible Spending Enrollment
Individual Retirement Accounts (IRAs), 401k Histories
Life Insurance Notification Letters/EOI
Medical Billing Statements
Pension Plan Applications, Claims
P.E.R.S. Information
Premium Information
Required Benefits Reporting
Retirement Loans / Retirement
Supplemental Forms
CL+6Y* CA - 22 CCR 1085-2 - (CU+4Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 825.500 - (3Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
US - 29 CFR 4007.10 - (6Y)
029 Finance Financial Reporting - Annual, Official, Periodic Issued and official periodic financial reports, whether required by regulations or generated to track financial transactions and achievements by the City.

Annual Report of Financial Transactions To State
Annual State Controller Filings
Audited Financial Statements/ACFR Workpapers
U.S. Equal Employment Opportunity Commission (EEOC) Reports PERS Reports
Payroll Reports (HRA, RMT, ICMA 457 accounts, TIAA-CREF, deferred compensation)
Quarterly Investment Report
Revenue/Expenditures Reports
Self Insurance Reports
State Controller's Report
Treasurer's Report
Workers Compensation Reports
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 CFR 1.1461-2 - (CU+1Y)
* Closure of audit
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Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 030 Finance Financial, Strategic Planning Records and information relating to financial planning. Business Plans Financial Plans
Forecasts
4Y CA - GOV 34090 - (2Y)
031 Finance Fixed Asset Financial Transactions Records and information related to the ownership, transfer, acquisition, disposition, capital leased, or improvement of fixed assets (Personal Property, Real Property*, and Equipment) owned by or used by the City.

Acquisitions
Amortization
Asset Retirement Records
Dispositions
Capital Asset Records
Capital Improvements
Depreciation Schedules
Equipment Rental/Usage Reports
Fixed Asset Reports
Fixed Asset Ledger
Fixed/Capital Asset Accounting
Possessory Interest
Sales
Valuation Information
LI*+10Y CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
* LI = Life of Asset (NOTE: Life of asset is not
affected by life of real property on which it is
located.)
032 Finance General Ledger, Journal Entries, Budget
Adjustments
Records and information related to the transfer of charges between accounts and summaries of account information, including year end summaries of general ledger transactions.

Account Ledgers
Sub-Ledgers
Budget Adjustments
Balance Sheets
Cash Journal Entries
Chart of Accounts
Downloads / Data Exports
Expenditure Reports
General Ledger
Journal Entries and Backup Documentation
Revenue
Summary Reports
Trial Balance
Year -End / Account Detail History Report
AU*+7Y CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 (CU+4Y)
* Closure of audit
033 Finance Grants and External Funding Sources Documents the application, evaluation, awarding, administration, monitoring, reporting, and status of grants and other funding sources in which a local government entity is the recipient, grantor, allocator, or administrator. Includes:
- Community Development Block Grant (CDBG)
- Combined Federal, State, Local Grants
- Enterprise Funds (water, waste, housing)
- Federal Grants
- Local Grants
- Southern CA Association of Governments
- State Grants
- Transportation Agency Funding
Applications (including project proposals)
Audits
Award Notification
Grant Administration
Grant Funding
Grant Evaluations
Program Rules, Regulations, Procedures
Property Taxes Funding
Reports to Funding Agencies
CL*+5Y CA - GOV 34090 - (2Y)
US - 2 CFR 200.333 - (CL+3Y)
* Unsuccessful applications are retained CU+2Y.
034 Finance Insurance Coverage Records detailing the City's general coverage against property damage and liability, including renewal submission information, insurance quotes, & broker correspondence.

Binding Information
Binders
Broker Correspondence
California Joint Powers Insurance Authority (CJPIA)
Certificates of Insurance
Completed Applications
Flood Insurance
Insurance Policies
Insurance Quotes
Insurance Submissions
Liability Insurance
Renewal Strategy
PR CA - 22 CCR 3267-2 - (MAINT)
CA - CCP 337 - (LA5Y)
CA - GOV 34090 - (2Y)
* Life of policy
035 Finance Payroll Records and information related to the accounting of payroll earnings, deductions, and issuance. This also includes records and information reflecting all earnings and benefits paid to each employee, including:
- Name, address, SSN
- Total amount and date of payments
- Period of service covered for each
- Withholding
- Tax collected
Affordable Care Act Reports
Attendance Records, Corrections
Benefit Payments
Deduction Registers, Reports
Deferred Compensation
Employee Deduction Authorizations, Check Information, Extra Help Reports
Employee Master Lists, Addresses
Extra Help Reports
Flex Spending Participant Reports
Garnishment Orders, Receipts
PARS/P.E.R.S. Reporting
Payroll Checks, Copies, Stub Reports
Payroll Certifications, Controls
Payroll Deduction Authorizations, Garnishments / Liens
Payroll Earnings Registers
Payroll Tax Returns
Posting Tickets
Processing Reports, Reports to Government Agencies
Salary Schedules
State / Federal / Quarterly Payroll Tax Filings
Timekeeping Records (Timecards, Time Sheets, Basic Time and Earnings Cards)
Unemployment Tax Remittance
W-2
W-4
Wage Rate Tables
Work Schedules
AU*+7Y CA - 2 CCR 570.5 - (5Y)
CA - 2 CCR 571(b)(1)(E) - (5Y)
CA - 22 CCR 1085-2 (c) - (CU+4Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 226a (3)
CA - LAB 1174 - (3Y)
CA - LAB 1197.5 - (LA2Y, LA3Y)
CA - UIC 1132 - (LA3Y)
US - 26 CFR 31.6001 (CU+4)
US - 29 CFR 516.5 - (3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1620.32 - (2Y)
US - 29 CFR 1627.3 - (3Y)
* Closure of audit
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Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 036 Finance Unclaimed Funds Records and information pertaining to periodic publication of outstanding checks that are 3 years or older. After the City goes through its due diligence of trying to find the rightful owner, Finance returns any unclaimed funds to the City.

Uncashed Checks
Unclaimed Funds
10Y CA - CCP 1513 - (3Y)
CA - GOV 34090 - (2Y)
US - Uniform Unclaimed Property Act
(1995), Section 3 - (10Y)
037 Fire Arson Investigations Records and information associated with arson investigations. Evidence Files Investigations
PR CA - CCP 340.5 (LA3Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 (P)
CA - PEN 800 (LA6Y)
038 Fire Fire Equipment Records and information associated with fire protection and emergency response equipment.

Apparatus and Maintenance Records
Certification Binder
Equipment Checks
Fire Breaks
Inventories (apparatus, equipment, fixture)
Sprinklers
LI*+2Y CA - 8 CCR 3203(b)(1) - (1Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1910.157 (Life of
extinguisher)
* LI = Life of Equipment
039 Fire Fire Prevention Inspections Records and information associated with inspections of commercial and residential facilities.

Commercial Facility Files
Residential Files
LI* CA - GOV 34090 - (2Y) * LI = Life of Building
040 Fire Fire Prevention Programs Records and information associated with department programs to protect the City from fires and emergency incidents.

Fire Education 2Y CA - GOV 34090 - (2Y)
041 Fire Incident Reports Records and information associated with department responses to fires and emergency incidents, including medical emergencies. All emergency responses (fires, service calls, HazMat, medical, etc.) are maintained in the FireRMS system.

Emergency Medical Services Forms
Emergency Services
False Alarm Reports
Incident Reports
Investigation Reports
Mandated Reporting: Child Abuse, Elder Abuse
Patient Care Reports (PCRs)*
CL*+10Y CA - 13 CCR 1100.7 (3Y)
CA - 22 CCR 100170 (MAINT)
CA - 22 CCR 100171 (MAINT)
CA - CCP 340.5 (LA3Y)
CA - GOV 34090 - (2Y)
CA - HSC 11191 (3Y)
US - 42 CFR 1001.952 - (5Y)
US - 45 CFR 164.530 - (CU+6Y)
* PCRs for minors must be retained for CL+7Y or
until the minor reaches the Age of Majority Status
(18Y), whichever is longer.
042 Fire Station Activity Records Records and information created and maintained by the department for activities at the fire station.

Captain Log Books
Station Logs
10Y CA - GOV 34090 - (2Y)
043 Human Resources Background Checks - Personnel Not Hired All documentation related to background checks for Applicants and unpaid volunteers that were not hired.

AC+2Y CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
NOTE: Background checks for personnel hired are
part of the personnel file.
044 Human Resources Benefit Plans Plans established to provide employee benefits and associated administrative documents.

Carrier Reporting, PerformanceEmployee Assistance Program (EAP)
COBRA Rates, Records, Histories
Employee Benefit Plans
Group Insurance Cost Data
PERS Actuarial Reports
Retiree Health Insurance
Retirement System
Summary Plan Descriptions
LI*+6Y US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
US - 29 CFR 4007.10 - (6Y)
US - 29 CFR 4041.5 - (LI*+6Y)
* LI = Life of Plan or System
045 Human Resources Employee Medical Records Documents pertaining to medical records of City employees, including exposure to hazardous substances, drug screens, and workers' compensation (includes employee records subject to HIPAA requirements).

Drug Screening
Employee Hazardous Chemical Exposure
Employee Medical File
Exposure Monitoring
Firearms and Field Exposure
Hazardous Exposure
Material Data Safety Sheets (MSDS)
Personnel Files - Medical
Radiation Exposure Records
Toxic Substance Exposure Records
Worker Compensation
T+30Y CA - 8 CCR 14300.33 - (5Y)
CA - 8 CCR 3204 - (T+30Y)
CA - 19 CCR 2760.9 - (5Y)
CA - CCP 338 - (LA3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
CA - 29 CFR 1904.33 - (CU+5Y)
US - 29 CFR 1910.95 - (2Y)
US - 29 CFR 1910.1020 - (30Y)
US - 40 CFR 68.81 - (5Y)
046 Human Resources Employee Training All documents related to general and specialized technical education and training taken by paid employees and unpaid volunteers, including:
- Base Station Forms
- Fire Extinguisher
- First Aid/CPR
- Safety
Attendance
Canine Deployment Training
Certification Records
Compliance Training
Courses/Seminars (Taken by Employees - includes Safety Training) Ethics Training
Firearm and Field Training
Individual Education, Development
SWAT Training
Training Bulletins
T+5Y CA - 8 CCR 3203 (CU+1)
CA - GOV 53235.2b - (5Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.31 - (T+2Y)
047 Human Resources Employee Training Materials, Courses, Scheduling
Documentation regarding the content of courses and schedules for training offered to employees.

Attendance Lists
Employee Development
Presentation Materials
PowerPoint Slide Decks
Safety Training
Testing
S+6Y CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 3076.3 - (5Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 45 CFR 164.530 (j) - (CU+6Y)
048 Human Resources Labor Relations Documentation related to the negotiations between labor unions for collective bargaining purposes.

Confidential Memos
Costing
Ground Rules
Handouts
Information Requests
Miscellaneous Information
Notes
Proposals - City
Proposals - Union
AC+5Y CA - CCP 337 - (LA4Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 5410 - (LA5Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
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Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 049 Human Resources Labor Relations Grievances Documentation related to labor grievances filed under current collective bargaining agreements.

Grievance Files/Commission Hearing
Grievance/Hearing Logs
Union Grievances
FR+10Y CA - CCP 337 - (LA4Y)
CA - GOV 12946 - (2Y; T+2Y)
US - 26 CFR 31.6001-1 - (CU+4Y)
050 Human Resources Personnel Files - Employees All documents related to paid employees (full and part-time), including but not limited to:
- hiring
- promotion
- demotion
- transfer
- layoff / recall / out-placement
- termination / discharge / resignation
- pay rates / other terms of compensation
Applications, Applicant Reference Verifications
Awards, Rewards, Commendations, Certificates
Background Checks, Investigations - candidates hired
Complaints
Disciplinary Actions
Drivers License Data - Class B
Employee Acknowledgements, Executed Policy Receipts
Employee Licenses and Permits
Ethics Certificates
Exit Interviews
Individual Employee Agreements, Contracts (copies)
Individual Education, Development, Training Records
Investigations*
Job Offer Letters
Leave of Absence Documentation, FMLA (compensation,
complaints/disputes, requests, parental leave forms, paid/unpaid leave)
Oaths of Office
Performance Evaluations, Reviews
Performance Improvement Plans (PIPs)
Personnel Action Forms (PAFs)
Recognition
Supervisor's Files
T+5Y CA - 2 CCR 11013 (FR+2)
CA - 8 CCR 14300.33 (5Y)
CA - GOV 12946 - (2Y; T+2Y)
CA - LAB 3076.3 - (5Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.31 - (T+2Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
US - 41 CFR 60-1.12 (a) - (2Y)
US - 41 CFR 60-741.80 - (2Y)
051 Human Resources Personnel Files - Volunteers and Unpaid Interns
All documents related to unpaid volunteers and interns, including but not limited to:
- selection/hiring
- assignments
- transfer
- termination / discharge / resignation
Applications, Applicant Reference Verifications
Awards, Rewards, Commendations, Certificates
Background Checks, Investigations - candidates accepted Cadet Volunteer Program
Complaints
Disciplinary Actions
Volunteer Acknowledgements, Executed Policy Receipts
Individual Education, Development, Training Records
Investigations
Oaths of Office
Performance Evaluations, Reviews
Performance Improvement Plans (PIPs)
Personnel Action Forms (PAFs)
Recognition
Supervisor's Files
T+5Y CA - 2 CCR 11013 (FR+2)
CA - 8 CCR 14300.33 (CU+5)
CA - GOV 12946 - (2Y; T+2Y)
US - 26 CFR 301.6501 - (CU+3Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.31 - (T+2Y)
US - 29 CFR 1627.3 - (T+1Y)
US - 29 USC 1059 - (T+1Y)
052 Human Resources Regulatory Reporting for Human Resources Official non-financial Human Resources reports issued by City organizations to comply with regulatory requirements.

EEOC Reports
Labor Reports
OSHA 300 Reports
5Y CA - GOV 34090 - (2Y)
US - 29 CFR 405.9 - (5Y)
US - 29 CFR 1602.14 - (FR+1Y)
US - 29 CFR 1602.30 - (3Y)
053 Human Resources Salary, Compensation Documentation of job classification compensation. Classification Studies Compensation Plans, Planning, Analysis
Determinations of Cost of Living Adjustments
Job Descriptions
Job Classification Evaluations
Salary Range History
Salary Surveys
S+3Y CA - GOV 34090 - (2Y)
US - 26 CFR 301.6501 - (CU+3Y)
054 Human Resources Staffing Records and information related to recruitment of qualified persons for both paid and unpaid position with the City,whether full time or temporary, including:
- applications and related records of candidates interviewed but not hired or accepted
- applications received but not acted upon.

Applications, CVs, Resumes (Rejected, Unsolicited)
Applicant Tracking Records (Hired, Rejected)
Background Checks, Investigations - candidates not hired/accepted Civil Service Examination Results and Rankings
Drug Testing, Pre-Hire Screening - candidates not hired/accepted Interview Notes
Job Descriptions
Job Postings, Announcements
Job Requisition Requests
Job Specifications
Miscellaneous Hiring Process Notes
Position Information
Recruitment of Commission/Committee Candidates
Temporary Intern Staffing
Test Results (Non-hires)
Test and Examination Materials
Unpaid Interns (Rejected)
Volunteers (Rejected)
AC+3Y CA - GOV 12946 - (2Y; T+2Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1602.31 (T+2Y)
US - 29 CFR 1627.3b1 (1)
055 Human Resources Work Authorizations and Supporting
Documentation
Employment eligibility verification forms collected for active employees and supporting documentation regarding immigration status.

I-9 Documents and copies of associated documents (Kay)
Immigration Supporting Documentation
T+3Y US - 20 CFR 655.760 - (T+1Y)
US - 8 CFR 274a.2 - (3Y, or T+1Y)
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Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 056 Information Technology Application, System Development and Maintenance
Technical documentation related to development of City technology processes, applications, or systems, as well as conversions, changes or modifications to existing applications or systems.

Audit Records of Run Completions
Backups (Security, System)
Business, Functional Requirements
Change Requests
Data Element Attribute Reports
Data Migration Documentation
Database Dictionary / Schema
End User Documentation, User Manuals
Hardware Configurations
Joint Dispatch Center
Network Circuits Inventories
Network/Equipment Control Support Documentation (Service Histories, Site Visit Reports, Trouble Reports)
Program Listings
Source Code
Support Documentation (Logical & Physical Architectural Diagrams, Specifications, Systems Support Materials)
System Documentation (Codebooks, Record Layouts, Reference Guides, Specifications)
System Test Files
System, Application Maintenance Documentation
(Hardware/Operating System Requirements, Monitoring Logs, Operating Manuals)
Telecommunications System (Telephones, Phones)
LI* CA - GOV 34090 - (2Y) * LI = Life of Application, System or Process 057 Information Technology Technology Access and Security Records and technical documentation of internal controls and system security.

Includes data / information security breaches, notifications, and supporting documentation.

Annual Database & System Security Reviews
Audit Trail Files
Automated Logs
Change Management Case Files
Computer Usage Files
Data Breach Notifications
Data Breach Reports/Responses
Data Sets, Extracted Data Summaries
Hardcopy Publication, Printouts of Report Data
Privileged Area Access Requests
Security Access Request Forms
Special Access Approvals
Usage Reports (Summary, System)
User Access Records (Passwords, Security Logs, User Accounts, Log-in Files, Data Entry Logs, Accounts)
User Incident, Response Files
CL+3Y CA - GOV 34090 - (2Y)
CA - CIV 1798.27 - (3Y)
058 Legal Claims Against the City Records detailing claims lodged against the City. Accident/Incident Reports Actuarial Reports
Annual Audit of Open Claims
Appraisals
Claims By/Against the City
Closing Letters
Damage Estimate Reports
Supporting Documentation
Insurance Claims, Appraisals, Reports
Investigations
FR+10Y CA - CCP 337 - (LA5Y)
CA - GOV 34090 - (2Y)
059 Legal Internal Legal Advice and Opinions Memoranda containing legal advice prepared by City Attorney's Office (CAO) attorneys for City departments.

Memos
Opinions
S+10Y CA - GOV 34090 - (2Y)
060 Legal Legal Representation Communications Written communications with third parties, including attorneys for other parties which are not retained in a larger project or litigation file.

Letters
Written Communications
CL+5Y CA - GOV 34090 - (2Y)
061 Legal Licenses, Permits Documentation of licenses and permits other than those authorizing building or the development of property, and other authorizations issued in the City.

Alarm Permits
Alcoholic Beverage Permits
Annual Licenses
Applications
Bicycle Licenses
Block Parties
Business Licenses (applications, fees, financial history, reports) Candle Permits
Concealed Weapon Permits (guns, etc.)
Extended Parking
FCC Licenses
Filming Permits
Home Business Licenses
Home Occupation Permits (HOP)
Massage Establishments
Massage Technicians
Notices
Special Events
Special Licenses (pesticides, applicators, painting )
Street Permits
Taxis (cabs, drivers)
Tent Permits
Transportation Permits (oversize, overweight)
AC+4Y CA - CCP 337 (LA4Y)
CA - GOV 34090 - (2Y)
Licenses and permits are issued by multiple
departments, including:
- Police
- Community Development
- Fire
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City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 062 Legal Litigation and Third Party Claims Records generated for or related to any case or action before a judicial, arbitral, or administrative officer or body.

Claims
Complaints
Court Orders
Discovery
Exhibits
Judgments
Pleadings
Related Correspondence
Releases
Settlement Agreements
Subpoenas
Third Party Claims
FR+11Y CA - 2 CCR 11013 - (FR+2Y)
CA - 8 CCR 10102 - (5Y; CL+1Y)
CA - 8 CCR 10103.1 - (5Y)
CA - 22 CCR 1085-2 - (CU+4Y)
CA - LAB 5410 - (LA5Y)
CA - RTC 7154 - (LA5Y)
CA - RTC 19384 - (LA4Y)
CA - RTC 19704 - (LA6Y)
CA - UIC 1132 - (LA3Y)
CA - CCP 315 - (LA10Y)
CA - CCP 337.15 - (LA10Y)
US - 26 CFR 31.6001 (CU+4Y)
US - 26 CFR 301.6501 - (3Y)
US - 26 CFR 301.6532-1 - (LA2Y)
US - 26 CFR 301.6532-2 - (LA5Y)
US - 26 CFR 301.6532-3 (a) - (LA9
Months)
US - 26 USC 6531 - (LA6Y)
US - 26 USC 6532 - (LA2Y)
US - 29 USC 255 - (LA2Y)
US - 29 USC 626 (d) - (LA300D)
US - 35 USC 286 - (6Y)
US - 42 USC 2000e-5 (e) - (LA180D)
US - 42 USC 2000e-5 (f) - (LA180D)
063 Legal Waivers of Liability Documentation of liability waiver forms completed and signed by individuals participating in City programs and activities, including those submitted by parents or guardians of minor children.

Waivers of Liability 10Y CA - 22 CCR 101221 - (CL+3Y)
CA - CCP 337 (LA4Y)
CA - GOV 34090 - (2Y)
064 Legislative Appointments to Boards, Commissions and Committees
Staff records related to appointments made by authorized elected officials to councils, committees, boards, and commissions.

Applications (Appointed, Unsuccessful)
Interview Notes
Letters of Appointment
Letters of Recommendation
Oaths of Office
Resumes
Submitted Documents
T+2Y CA - GOV 34090 - (2Y)
065 Legislative Public Meetings - Administration Records and information associated with preparation for, and administration of, public meetings of legislative bodies.

Commendations
Petitions to Council
Proclamations
Summary of Actions, Statement of Actions (SOAs)
Supplemental Communications
Transcriptions of audio and video recordings of meetings Video recordings of meetings
2Y CA - GOV 34090 - (2Y)
066 Legislative Public Meetings of Legislative Bodies Records of all actions taken by City legislative bodies, including Council, Commission, Board, Council Task Force and Committees, taken during public meetings.

Appeals to City Council
City Charter
City Codes
City-wide Plans/Programs Adopted
Meeting Minutes, Notices, Transcripts
Minute Books & Index
Municipal Code
Ordinances
Policy Resolutions
Resolutions
Agendas
Agenda Packets
PR CA - CCP 315 - (LA10Y)
CA - CCP 321 - (LA5Y)
CA - CCP 336 - (LA5Y)
CA - CCP 336a - (LA6Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.5 - (LA10Y)
CA - GOV 34090 - (2Y)
CA - GOV 60201 - (PR)
No Includes:
- City Council
- Design Review Committee
- Library Board of Trustees
- Planning Commission
- Recreation Commission
- Public Safety Commission
067 Legislative Public Notices Records documenting compliance with laws requiring public notice of government activities. Subjects include assessments, elections, land use changes, public meetings and hearings, sale of property, and others.

Affidavits of Posting
Affidavits of Publication/Legal Notices
Public Hearing Notices
4Y CA - CCP 343 - (LA4Y)
CA - GOV 34090 - (2Y)
068 Library Library Records Records and information related to the City's library programs and services. Acquisitions Art Gallery
Borrow/Loan Records
Classes
Catalog of Holdings
De-accessioning
Facility Rentals
Gifts / Donations
Inter-Library Loans
Library Board of Trustees
Material Challenge Records
Statistical Reports (circulation, computer usage )
Volunteers
LI*+2Y CA - GC 34090 - (2Y) * LI = life of holding
069 Library Passport Acceptance Records and information related to services performed by the City's library system in support of federal passport programs.

Passport Acceptance Transmittals 2Y CA - GOV 34090 - (2Y) US - State Dept 2011-2012 Passport Guide
(2Y)
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Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 070 Community
Development
Agreements, Contracts and Leases - Real
Property and Infrastructure
Executed agreements, contracts, leases between the City and other parties pertaining to real estate, facilities and City infrastructure.

Addendums
Amendments
Attachments / Exhibits
Bids, Awards (Accepted)
Certificates of Insurance
Change Orders
Delivery Records
Disclosures
Exhibits
Improvement Agreements
Letters of Intent
License Agreements, Licenses
Memoranda of Agreement (MOAs)
Memoranda of Understanding (MOUs)
Performance Bonds
Price Lists
Proof of Insurance Certificates
Property Improvement Contracts
Purchase Orders
Quotations
Receiving Reports
Real Estate Leases, Attachments
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Requisitions
Schedules
Scorecards
Specifications
Statements of Work (SOW)
Surety Bonds (bid bonds, payment bonds, performance bonds, ancillary bonds)
Warranties
LI*+10Y CA - CCP 315 - (LA10Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001 (CU+4Y)
US - 29 CFR 516.5 - (3Y)
US - 40 CFR 70.6 - (CL+5Y)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
* LI = Life of Building, Facility or Infrastructure Asset 071 Community
Development
Building Codes, Building Permits, Appeals and
Decisions
Records and information documenting the building services provided by the City regulating private property.

Appeals
Building and Fire Code Board of Appeals
Building Codes
Building Inspections
Building Permits (issued, active, expired, history)
Building Plans - Commercial & Residential
Certificates of Compliance
Certificates of Occupancy
Disability Access Board of Appeals
Fire Protection Plans
Notices of Noncompliance
Planning Review Case Files (notices, neighbor letters, plans, blueprints )
PR CA - CBC 107.5 - (180D)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2)
CA - HSC 19850 - (LI)
072 Community
Development
Building, Property Management Records and information regarding the structure of City buildings. As-Built Blueprints Construction Records
Electrical Wiring Schematics
Floor Plans
Property Inventory
LI*+10Y CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - HSC 19850 - (LI)
* LI = Life of Building
073 Community
Development
Encroachments Records documenting encroachments upon City property, or by the City on the property of others.

Encroachment Permits, Certificates PR CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y)
074 Community
Development
Maintenance Inspection Reports Reports of inspections of maintenance performed on City facilities and infrastructure including:
- Buildings
- Park
- Streets
- Sidewalks
- Sewers
- Streetlights
- Trees
Equipment Inspections
Facility Inspections
Inventory of City Trees
Logs
Playground Equipment
Reports
Sewers (including videos)
Sidewalks
Streetlights
Streets
Trees
5Y CA - CCP 337 - (LA5Y)
CA - GOV 34090 - (2Y)
5/23/2023 Page 10 of 14 PAGE 886 of 1107
Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 075 Community
Development
Planning and Zoning Services Records and information pertaining to the activities of the planning division, including zoning.

Agricultural Preserve
Appeals
Below Market Rate Units / Affordable Housing
Design Review
Development Regulations
Downtown Parking Requirements
Environmental Impact Reports (EIR), Notice of Determination, Categorical Exemptions, etc.

Environmental Reviews
Flood Zone Determinations
General Plan (housing element, amendments, growth management element, noise element)
Land Use Permits, Studies
Landscape
Master Plans
Parking Calculations
Planned Unit Development (PUD)
Plans (Specific)
Public Use
Resolutions
Rezoning
Sign Permits
Soil Reports
Summary of Actions
Variances
Water
Zoning
Zoning Text and Map Amendments
PR CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)
CA - WAT 10631 - (5Y)
076 Community
Development
Real Estate Transactions Records and information related to the ownership, acquisition, disposition, transfer of, lease of, or improvement of real property, infrastructure and facilities including grant deeds, owned by or used by the City.

Acquisitions
Attachments
Buildings
Capital Improvements
Community Development Block Grant (CDBG) Property Acquisitions Deeds of Trust
Dispositions
Housing Authority Owned Properties
Land
Mortgages
Possessory Interest
Property Transaction (DDA, DA, Etc.)
Right of Way
Sales
Valuation Information
PR CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
No
077 Community
Development
Real Property Maps Final maps and geographical information pertaining to City properties. Aerial Photos Assessment Districts
Assessor Parcel Maps
Building Site Determination
Drainage
Improvement Plans, Drawings
Land Survey Maps
Lot Line Adjustments
Lot Numbers
Major Subdivisions (SD)
Minor Subdivisions (MS)
Parcel Mergers
Parcels
Parks
Plats
Record Maps
Record of Survey Maps
Redevelopment
Sphere of Influence
Street Address Files
Tentative Maps
Vellums
PR CA - CCP 337.15 - (LA10Y)
CA - GOV 34090d - (2Y)
CA - HSC 19850 - (LI)
No
078 Community
Development
Recorded Documents - Liens Records of liens recorded on behalf of the City. Liens AC+10Y CA - GOV 34090 - (2Y) 079 Community
Development
Recorded Documents - Vital Records and information pertaining to those original key documents recorded on behalf of the City.

Abandonments
Address Records
Annexations
Certificate of Correction
Conveyances from the City (Deeds, Easements,
Abandonments/Vacations)
Conveyances to the City (Deeds, Easements, Dedications) Deeds
Detachments
Easements
Grant Deeds
Irrevocable Offers to Dedicate
Rights-of-Way
Vacations
PR CA - GOV 34090 - (2Y) No
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Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 080 Community
Development
Security, Access Operations Records and information regarding physical access controls and protection for City buildings and facilities.

Access Controls
Access Reports
Badge Lists
Daily Activity Logs
Facility Key Lists
Key Cards
Transaction Logs
2Y CA - GOV 34090 - (2Y)
081 Police Administrative Reporting Reports received and/or generated in the routine course of law enforcement activities and not associated with a case number.

Activity Reports
Crime Statistics
Incident Logs
Published Reports
Ride-Along Program Records
Uniform Crime Reporting
Housewatch Applications
Live Scan Applications
Parking Citations
Traffic Citations
Training Requests
AC+2Y CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
082 Police Body-Worn Camera Recordings -
Access/Deletion Logs
Records or logs of access and deletion of data from peace officer body-worn cameras.

Body Cam
Taser Cam
PR CA - PEN 832.18 (b)(5)(E) - (PR)
083 Police Body-Worn Camera Recordings - Evidentiary Recordings from peace officer body-worn cameras that contain evidentiary data of a crime or potential crime.

Body Cam
Taser Cam
2Y* CA - PEN 832.18 (b)(5)(B) - (2Y) * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims
or any pending litigation, they shall be preserved in
accordance with the requirements associated with
the crime, claim or litigation.
084 Police Body-Worn Camera Recordings - Routine,
Non-Evidentiary
Routine recordings from peace officer body-worn cameras that do not contain evidentiary data of a crime or potential crime.

Body Cam
Taser Cam
60D* CA - PEN 832.18 (b)(5)(A) - (60D)
085 Police Case Files - Dead Bodies Records and crime reports associated with investigations of dead bodies, whether by natural causes or found.

Reports
Statements
CL*+2Y CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
* Case remains open until body has been identified
and cause of death determined. If determination is
made that the death was a homicide, records are
recategorized as "Felony Murder/Homicide" case
files (see "Police - Case Files - Felony
Murder/Homicide, Capital Offenses, Child Abuse,
Elder Abuse, and Violations of Public Trust" below).
086 Police Case Files - Felonies, Excluding Murder Records and crime reports associated with felony violations of laws, excluding homicide and capital violations.

Case Files
Reports
CL*+10Y CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (MAINT)
CA - PEN 851.8 - (SEAL&DESTROY)
CA - PEN 851.90 - (MAINT)
*Provided there are not outstanding warrants,
deaths, and it is not classified under PC §800 and
290 and HSC §11850; Statute of limitations is 2
years; Destroy juvenile marijuana after age 18; HSC
§11361.5; GC §34090, PC §802, PC §187, 800 et
seq.
* Closed is defined as case has been adjudicated,
all appeals exhausted or all time served.
087 Police Case Files - Felony Murder/Homicide, Capital Offenses, Child Abuse, Elder Abuse, and
Violations of Public Trust
Records and crime reports associated with capital felony violations of laws, including homicide, child abuse, elder abuse, embezzlement of public funds, or falsification of public documents.

Case Files
Reports
PR CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 187-199 - (MAINT)
CA - PEN 290 - (MAINT)
CA - PEN 799 - (PR)
CA - WIC 602 - (PR)
No limitation on commencement of action; PEN
§261 , 286, 288, 288a, 288.5, 289, 289.5, and 799.
088 Police Case Files - Juvenile Records and crime reports associated with criminal cases dealing with juveniles. Case Files Reports
Longer of:

MAJ*+8Y (or)
SEAL**+5Y
CA - WIC 300 (age 18 or as directed by
court)
CA - WIC 781 (age 18 or as directed by
court)
CA - WIC 826 (age 18 or as directed by
court)
*MAJ = Age of Majority Status (18Y);
**SEAL = Date Records Sealed
Statute of limitations runs up to age of majority + 8
years; Sealing for juveniles and Wards of the Court
retained for 5 years; CP §340.1; GC §34090; WIC
§781(d); WIC §826(a)&(b); WIC §781(a).
089 Police Case Files - Misdemeanors, Infractions Records and crime reports of misdemeanors and infractions, including parking and other citations.

Case Files
Reports
AC*+4Y CA - CCP 339 - (LA2Y)
CA - PEN 802 - (1Y; 2Y; 3Y; 4Y)
CA - GOV 34090 - (2Y)
CA - VEH 2547 - (2Y; 3Y)
* Provided there are no outstanding warrants,
deaths, and it is not classified under PC §800 & 290
and H&S §11850; Statute of Limitations is 2 years;
Destroy juvenile marijuana after age 18.
090 Police Case Files - Missing Persons and Runaways Records and crime reports associated with missing persons and runaways. Case Files Reports
AC*+2Y CA - GOV 34090 - (2Y) * Case remains active until solved 091 Police Case Files - Officer Involved Shootings Records and crime reportsassociated with criminal cases dealing with officer involved shootings.

Case Files
Reports
FR+25Y CA - GOV 34090 - (2Y)
092 Police Case Files - Sealing of Adult Records Records of court orders to seal the records of adults. Case Files Reports
3Y* CA - PEN 851.8 - (SEAL+3Y)
CA - PEN 851.90 - (MAINT)
*From the date the records were sealed
093 Police Case Files - Stolen Property Records and crime reports associated with stolen property. Case Files Reports
AC*+3Y CA - CCP 338 - (LA3Y) * Case remains open until solved 094 Police Case Files - Traffic Collisions - Fatal Records and crime reports associated with traffic collisions involving fatalities. Case Files Reports
PR CA - GOV 34090 - (2Y)
5/23/2023 Page 12 of 14 PAGE 888 of 1107
Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 095 Community
Development
Code Compliance and Enforcement Records and information documenting compliance with City codes, including violations.

Appeals
Citations
Inspections / Enforcement (Business, Residential)
Investigations
Notices of Violation
Photographs
Vehicle Abatement (abandoned vehicles)
Violations
Weed Abatement
AC*+3Y CA - GOV 34090 - (2Y) * Case remains active until all issues have been satisfactorily resolved and closed.
096 Police Criminal Registrations - Drugs, Gangs Records for those required to register as drug or gang violence offenders. 5Y CA - GOV 34090 - (2Y) CA - HSC 11594(a) - (5Y)
CA - PEN 186.32 - (5Y)
097 Police Criminal Registrations - Sex Offenders,
Arsonists
Records for those required to register as sex offenders or arsonists. LI* CA - GOV 34090 - (2Y) CA - PEN 290(b) - (Life of Offender)
CA - PEN 457.1(b)(2) - (Life of Arsonist)
* Life of the offender or arsonist
098 Police Dispatch Records Records of emergency calls to include time and date of call, contents of call, location of call, name of unit sent to scene, and other related information. 911 Emergency Call Logs
Arrest Logs
Dispatch Activity Log
Radio Dispatcher Logs
Watch Commander Logs
2Y* CA - GOV 34090 - (2Y) * Exception: Recordings used as evidence in a criminal prosecution or claim filed or litigation or
potential claims and litigation shall be preserved for
100 days after conclusion of the court action.
099 Police Routine Dispatch Telephone and Radio
Communications Records
Routine daily recording of telephone communications and all radio communications relating to the operations of the department
Audio Telephone Recordings
Audio Radio Recordings
911 Call Recordings
100D* CA - GOV 34090.6 - (Routine Audio: 100D) * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims
or any pending litigation, they shall be preserved for
100 days after the conclusion of the court action.
100 Police Seized or Unclaimed Property Records Records documenting tracking and management of physical property seized by the Police department, or collected by the Police department but unclaimed, and not assigned to a case number or considered as evidence in a criminal investigation.

AC+2Y CA - CCP 339 - (LA2Y)
CA - GOV 34090 - (2Y)
101 Police Video Recordings - Routine Recordings of routine video monitoring, but excluding those from peace officer bodyworn cameras, to include time and date of video, location of video and other related information.

Building Security Recordings
In-Car Video
1Y* CA - GOV 34090.6 - (Routine Video: 1Y) * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims
or any pending litigation, they shall be preserved for
100 days after the conclusion of the court action.
102 Public Works Hazardous Waste, Monitoring and
Remediation
Planning, monitoring and contingency/emergency action plans for hazardous waste, emergency and spill response, natural and exposure emergencies, notifications and response; environmental action plans and supporting documentation; hazardous communications plans, including labeling, MSDS controls, training programs and procedures.

Emergency Response Programs
Employee Hazardous Chemical Exposure
Hazardous Material Incident Reports
Hazardous Substances Shipping Manifests
Hazardous Waste
Material Safety Data Sheets (MSDS)
Proposition 65 Monitoring
Site Mitigation
Toxic Substance Inventory
AC+30Y CA - CCP 338.1 - (LA5Y)
CA - 8 CCR 3204d - (CL+30Y)
US - 29 CFR 1910.1020 - (CL+30Y)
US - 49 CFR 172.201 - (3Y)
103 Public Works Operational Maps Informal maps and geographical information pertaining to City operations and services.

Sewer TV Surveys
Street Sweeping
Tree Trimming
Trash Pick-up
S+4Y CA - CCP 337.1 - (LA4Y)
CA - GOV 34090 - (2Y)
104 Public Works Public Works Capital Project Files Records and information related to the administration, analysis, design, development, planning, construction and maintenance of public works, Capital Improvement (CIP) and engineering projects for City facilities and infrastructure.

As-Built Plans
Calculations
Certificates of Compliance/Notice of Non-Compliance
Certified Payrolls
Change Orders
Closures
Construction
Daily Inspections
Development Fee Book
Drainage Permits
E.I.R., Notice of Determination, Categorical Exemptions Environmental Impact Statements
Fees (facility, impact, traffic, water system)
Field Inspections, Notebooks
Final Improvement Plans
Geologic Studies
Grading Permits
Insurance Certificates
Materials Testing Reports
Notice of Completion
Photos/Pictures
Progress Meetings
Project Schedules
Public Notices
Real Estate Appraisals
Relocations
RFIs & Responses
Soils Reports
Sound Walls
Standard Plans
Studies and Surveys
Submittals
Underground Utilities
PR CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - 14 CCR 15095 - (Reasonable)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
Includes the following:
- Bicycle / Pedestrian Trails / Paths
- Bridges and Creeks
- Parking (residential, non-residential)
- Streets (striping, lights, curbs, gutters, medians,
pavement markings, traffic legends)
- Sidewalks
- Signs, Signals
5/23/2023 Page 13 of 14 PAGE 889 of 1107
Draft
City of San Marino
Retention Schedule
Record No. Business Process Record Category Name Record Category Description Example Records Retention Legal Citations Destroy Paper after
Imaged? Comments

ACRONYMS
AC = While Active AU = Audit CL = Close/Completion CU = Current Year D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 105 Public Works Traffic and Transportation Planning Records and information of traffic engineering and transportation planning activities, including studies and surveys.

Speed Surveys
Street/Highway Studies/Surveys
Traffic Counts
Traffic Management Plans
Transportation Planning
5Y CA - GOV 34090 - (2Y)
106 Public Works Traffic Control and Improvement Records and information related to the City's efforts to manage and improve traffic and circulation.

Bicycles
Enforcement
Highway Corridors
Impact Studies
Signals
Signs
Temporary Street Closures
2Y CA - GOV 34090 - (2Y)
107 Recreation Recreation Facilities Records and information documenting arrangements for using the City's recreational facilities and services.

Facility Rentals (use applications, permits, reservation books, insurance certificates, users, reports)
AC+4Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 34090 - (2Y)
108 Recreation Recreation Programs Records and information documenting the City's parks and recreational programs and services, including:
- Child Care and PreSchool
- Facility Rentals
- Events
- Registration documents
- Proposals for Classes
- Volunteers
- Sports and Fitness programs
- Summer Camp and Camp Lacey
Applications
Background Checks (adults in contact with children )
Classes
Contractor Timecards
Emergency Forms
Immunization Forms
Incident/Accident Reports (when a claim is not filed )
Plug-n-Play (for registration payments )
Program/Event Evaluations
Recreation Programs
Registration Forms
Schedules
Special Events
Transportation Forms (select classes, day care, camp, event) Withdrawal Forms
AC+5Y CA - GOV 34090 - (2Y)
CA - 22 CCR 101221 - (CL+3Y)
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Exhibit B
City of San Marino
Records Management Policy
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Records Management Policy
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POLICY
The Purpose of this Policy is to define the requirements that will be followed for managing the records of the City of San Marino (the “City”) in compliance with federal, state, and local requirements.

SCOPE
This policy applies to City employees, elected and appointed City officials, temporary workers, volunteers, and contractors of the City who are acting on behalf of the City and who have access to, use of, or are involved in the creation, maintenance or storage of the City’s records (“Public Officers”).

This Policy governs all records created or received by the City in the course of its business, including, but not limited to: (a) paper documents, forms, reports, manuals, correspondence and files; (b) computer received and generated records and electronic communications; and (c) records and information in other formats such as microfilm, videos, audio recordings, photographs, etc.

DEFINITIONS
For purposes of this Policy and compliance with the Retention Schedule the following definitions shall apply:

A. “City Record”: Anything that constitutes an objective lasting indication of a writing, event or other information, regardless of physical form or characteristics (including, but not limited to, any record, document, instrument, book, paper, map, exhibit, magnetic or paper tape, photographic film, photographic print, optical media, electronically transmitted mail (e-mail), facsimile, or electronic file), which is in the custody of a Public Officer and is kept either: (1) because a law requires it to be kept, or (2) because it is necessary or convenient to the discharge of the Public Officer's duties and was made or retained for the purpose of preserving its informational content for future reference.

B. “Non-Record”: Anything that constitutes an objective lasting indication of a writing, event or other information that does not fall under the definition of a City Record, including but not limited to: (1) magazines or publications not produced by the City; (2) library or museum material intended solely for reference or exhibition; (3) transitory writings, including working papers, appointment logs, notes, calculations or preliminary drafts, or interagency or intra-agency memoranda, that are not retained by the City in the ordinary course of business even if they contain information relating to the conduct of the City’s business; (4) unofficial copies (duplicates) of documents kept only for convenience or reference; and (5) documents that do not contain information relating to the conduct of the City’s business.

Pursuant to Government Code Section 34090.7, the City Council authorizes the destruction of duplicate records provided that either a paper or electronic copy of the document is saved as the official city record. The authorization to destroy duplicates PAGE 892 of 1107
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Records Management Policy
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provided by this section shall not permit the destruction of those electronic files that are routinely used, edited, and updated by the City on an on-going basis, such as a financial accounting database.

C. “Legal Hold”: The duty of the City to preserve and not destroy any records that are potentially relevant to any of the following in which the City may be involved: a reasonably anticipated claim or litigation; an ongoing claim or litigation; a pending employee grievance; a pending regulatory or governmental investigation; a pending subpoena; a pending Public Records Act request, a pending audit, or similar legal matter. Any records subject to a Legal Hold must be preserved in all forms in which the record exists, including both paper and electronic formats.

Notification of a Legal Hold will normally originate from either the City Attorney or the City Clerk. However, if a Public Officer receives communication regarding a Legal Hold from another source, the Public Officer will forward that communication to the City Attorney and City Clerk and preserve the relevant records until the City Attorney or City Clerk provide further instructions.

NOTE: Legal holds may apply to a user’s electronic communications and information on City electronic devices, as well as City-related electronic communications and information on the user’s personally-owned or business electronic devices.

D. “Personally-owned electronic device:” An electronic device that is owned, leased, licensed or borrowed by the user, and the user does not receive a stipend or reimbursement from the City for the user’s City business use of the device.

E. “Public Officers:” City employees, elected and appointed City officials, temporary workers, volunteers, and contractors of the City who are acting on behalf of the City.

POLICY STATEMENT
A. Ownership: Records created or received by the City in the course or conduct of the City’s business are the exclusive property of the City.

B. Authenticity: The City is committed to creating and maintaining complete, accurate, and trustworthy records that document its business activities. Deliberately creating false or misleading records or information regarding the City’s activities is strictly prohibited.

Records should not contain language that is misleading, incomplete, inaccurate, or fraudulent.

C. Classification: Records will be created, stored and managed with the appropriate classification that enables the efficient access and secure protection of the information.

D. Retention: Records are to be retained in accordance with the approved Retention Schedule and shall only be deleted or disposed of in compliance with the City Council’s Resolution, this policy, and the Retention Schedule.

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Records not included in the Retention Schedule shall not be destroyed without the City Council’s approval by resolution and the City Attorney’s written consent.

E. Storage: Records that are no longer considered active may be transferred to designated offsite storage to fulfill the City’s retention requirements.

Records that are owned by the City should not be transferred to or stored on any personal devices.

F. Availability: Records must be available for future business, litigation, and investigations as necessary, regardless of storage location.

Records shall be made available to the public in accordance with the California Public Records Act, Government Code § 6250-6276.48.

G. Exiting Officials, Employees and Contractors: When an employee or a contractor separates from the City, the supervisor or manager of that employee or contractor is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting employee or contractor.

When an elected or appointed official separates from the City, the City Clerk is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting official.

H. Suspending Retention Requirements: Records that are subject to a Legal Hold are to be retained and preserved until further notice from the City Attorney, regardless of the retention period set forth in the Retention Schedule.

Records subject to a Legal Hold that are no longer required for business purposes may be transferred to offsite storage for preservation in coordination with the City Attorney.

I. Records Protection: Disaster recovery backup media are exact copies of an operating system, including associated application and data created for the sole purpose of recovering data in the event of a disaster and are not subject to the requirements of the Retention Schedule. Backups serve as a level of protection for electronic systems and the data that is stored on those systems.

J. Historical Information: Historical artifacts, documents, events, memorabilia and collections, as defined on the Retention Schedule, are valuable in documenting the City’s history and providing information for researchers. Historical Records are to be permanently preserved so as to assure their ongoing availability and access.

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POLICY REVIEW
This Policy and the Retention Schedule may be amended or modified from time to time by the City Council, as deemed necessary to account for changes in legal, regulatory, or operational requirements. However, the City Clerk, with concurrence of the City Manager, may make nonsubstantive changes to the Retention Schedule (such as corrections to typographical errors or formats and additions or modifications to examples) that do not impact retention periods.

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DISPOSITION OF RECORDS