Agenda packet — City Council and Authorities Concurrent, June 24, 2025 (part 6 of 8)

CW-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
Page CW-1
Comments / Reference
Retentions aoo/y to the deparlment that is NOT the Office of Record (OFR), or the "Lead Deparlment". If you are the OFR, refer to your deparlment retention schedule.

Retentions begin when the act is completed, and imply a full file folder (e .. q. last document+ 2 years, since destruction is normally performed by file folder.

Litiaation, claims, comolaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or comoletion) .

CW-001
CW-002
CW-003
CW-004
CW-005
CW-006
. . . . . . . . . . .

L d D t Correspondence Accident, Incident, Injury reports: PUBLIC or 2 years : .••.••.. 2:.•.:Y:.e::.~.:. r.:·8 .. :· Send Significant Events to City Attorney; GC ea ep . EMPLOYEES "" ... §34090
Admin.

Services/
Finance/
Accounting
City Clerk
City Clerk
City Clerk
Lead Dept.

Accounts Payable, Invoices, Petty Cash, :/ \ /{
Warrant Requests, Purchase Card Statements, ·:•:::::::::::::::::::

Correspondence etc.
(copies)
If ALL backup is forwarded to Finance
Correspondence Administrative Hearings/ Appeals (copies) Correspondence
Correspondence
Agreements
Agenda Packets/ Staff Reports: City Council,
Redevelopment & SOSA (copies)
Agreements & Contracts, Leases, MOUs, etc. -
Includes all contractual obligations (copies)
(Specifications I Scope of Work, Service
Agreements, Notices of Completion, Insurance
etc.)
Agreements & Contracts: ADMINISTRATIVE
FILES - NOT funded by a grant
(Correspondence, Project Administration, Project
Schedules, Invoices, Logs, etc.)
2 years
2 years
2 years
2 years
Completion 5 years
<~Y:e~~s
...........
. ·.·.·.·.·.·.·.·.·.·.·
:: •~}~~ri ............

All originals go to Finance (these are copies);
GC §34090.7
All originals go to City Clerk (these are copies);
GC §34090.7
}}ye~r{: GC §34090.7
<< ••<: !·.·.·.··.·.·.·.·.·.·.·· ..·•.:••: !All agreements, service agreements, and

2. t ~ ~ contracts are sent to the City Clerk; GC
§34090.7
Department preference; Statute of Limitations:
•:•:•:-:-:•:-:-:•:• · · · · Contracts & Spec's=4 years, Wrongful :C::::: >>:t:>t:; >>: Death=Comp. + 5 years, Developers=Comp. + · ·amp e fOn·+ :::>t(:•:•:-:-:•:::::: 10 years; E&O =Comp+ 10 years; Published •:-:-.. y-ears:. ··Audit Standards=4-7 years; Statewide }\{{{{) ~~~;~i;~~ :;~pe~~:~~~~~~~~~; ~ years; CCP
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive ..............

Active • • • • • • • • :t◊t~t: • • • •: •:
(in office) (Records \£{~tent,~~ Center)
Page CW-2
Comments I Reference
Retentions aooly to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.

Retentions beain when the act is completed, and imply a full file folder (e.g. last document+ 2 years, since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or comoletion). ; : ; : ; : ; : ~ : ; : ; : ! : ! : : : : : : : : : : . ·.·.·.·.·.·.·.·.·.·.·.·.·.·. Some grant funding agencies require audits; . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 years or c~trt:p1~ti6h Published Audit Standards=4-7 years; Statute f s\,~rs :oi: of Limitations: Contracts & Spec's=4 years, Agreements & Contracts: ADMINISTRATIVE After :::::::::Atte:r::::::::: Wrongful Death=comp. + 5 years, Errors & Funding ..............

FILES - WITH grant funding Agency •Fur-id1ng • Omissions is 1 O years; Developers=comp. + 10 CW-007 Lead Dept. Agreements Completion Audit, if ••>A.g~ncy/ years; Statewide guidelines propose termination (Correspondence, Project Administration, Project required, : • : : : :Aqqft;: if.:.:. + 5 years; CCP §§336(a), 337 et. seq., 21 CFR Schedules, Invoices, Logs, etc.) whichever ••••:requir~:.•••• 1403.36 & 1403.42(b); 24 CFR 85.42(b), is longer @mtit1tus 91.105(h), 92.505, & 570.502(b), 28 CFR 66.42; 29 CFR 97.42(b); 40 CFR 31.42; 44 CFR 13.42; . , ....... . . . . . .. . . 45 CFR 92.42; 0MB Circular A-133GC §34090 . . . . . . . . . . . . . . . . . . . . .

Agreements & Contracts: UNSUCCESSFUL BIDS ......... .. The RFP / RFQ and the successful proposal or RESPONSES to RFPs (Request for Proposals) :-:-:-:-:-:-:-:-:-:-:-:-:-:- CW-008 Lead Dept. Correspondence 2 years :/2}~~ti::< becomes part of the agreement or contract (City and/or RFQs (Request for Qualifications) that don't .............. Clerk is OFR); GC §34090 result in a contract ! ! ! ! ; ; ; ; : ; : ; : ~: ~: ! i;: ~: ~;;: ~ . . . . . . . . . .

Admin. Audits / Audit Reports / CAFR - Comprehensive ::::::::::::::::::::::::::::

CW-009 Services/ Correspondence Annual Financial Reports 2 years :::z}~~if: : GC §34090.7 Finance/ (copies) :-: -: -: -:-: . :- :-:-:-: -:-:- Accounting -:-:-:-:-:-:-:-:-:-:-:-:-:
. . . . . . . . . . . . . . . ........... :-:-:-:-:-:-:-:-:-:-:-:-:- CW-010 Lead Dept. Correspondence Awards 2 years :/)}e~r{ • City preference; GC §34090 ..

CW-011 Bids: See Agreements & Contracts ... . . .
. . . ...

Board, Commissions and Committees: AUDIO
Recordings / Audio Tapes or Audio DVDs {xe~rs City preference; State law only requires for 30 CW-012 Lead Dept. Correspondence 2 years .. days; GC §54953.5(b) Except Planning Commission, ARC & HLC - see Planning .. & Inspection's schedule
This material is protected by a copyright held by Gladwell Governmental SeNices Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.

Active ••·•·•••r◊tai••·•··· (in office) (Records :~~t~@~~:: Center) Page CW-3
Comments / Reference
Retentions aoolv to the deoartment that is NOT the Office of Record (OFR), or the "Lead Department". If vou are the OFR, refer to your department retention schedule.

Retentions begin when the act is comoleted, and imoly a full file folder (e.g. last document+ 2 vears, since destruction is normally performed by file folder.

Litigation, claims, comolaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Board, Commissions and Committees: Recordings
CW-013 Lead Dept. Reference I Tapes of City Council Meetings - VIDEO p > City preference; GC §34090.7 Recordings / Video Tapes or Video DVDs
Board, Commissions, & Committees:

CW-014 Lead Dept. Correspondence Formed by CITY COUNCIL 2 years .~ e$rs Brown Act challenges must be filed within 30 or 90 days of action; GC §§34090, 54960.1 (c)(1)
AGENDAS, AGENDA PACKETS .·.·.·.·.·.·.·.·.·.·.·.·.-.·
Board, Commissions, & Committees: 2 years /j:Y.e~¥< Notes taken to facilitate the writing of the CW-015 City Clerk Correspondence Formed by CITY COUNCIL (Forward \:(F~f\Nar:d\ minutes can be destroyed after minutes have Originals to iQ:iigir.i~l~lo:

MINUTES & BYLAWS City Clerk) ••• ¢Iiy. :91~tk): ••
been adopted; GC §34090
Board, Commissions, & Committees: ·.·.·.·.

CW-016 Lead Dept. Reference Formed by CITY COUNCIL p .D City preference; GC §34090 MINUTES NOT GOING TO COUNCIL I•••••••••.·••·•·•·•·•··
Board, Commissions, & Committees: City Council -: -:-:-:-:. >:.:. > > Subcommittees ...........
·.·.·.·.·.·.·.·.·.·.·. All recommendations are presented to the City CW-017 Lead Dept. Correspondence 2 years ·••ii~~~ (Composed solely of less than a quorum of the City . . . . . ... Council; GC §34090 et seq. . . . . . . . . .

Council) :::::::::::::::::::::

Board, Commissions, & Committees: External :::::::::::::::::::::

Organizations ::::::::::::::::::::: .. CW-018 Lead Dept. Non-Record None :•:::>:.fllonei . Non-records . . . . . . . . ..... .. . . . . . . . . .. (e.g. County Board of Supervisors) :t////): CW-019 Brochures: See Reference Manuals . . . . . . . . .. Final must be filed with County Auditor; GC CW-020 City Clerk Correspondence Budgets - Finals (copies) 2 years • 2:y.~~i-:~<• ·.·.-.·.·.·.·.·.·.·.·.·.·.·. §34090.7,40802,53901 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of I Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive ..............

Active :•:•:::•+~tai::•:••:•
(in office) (Records •••R~t~ht1~~••• Center) .....

Page CW-4
Comments I Reference
Retentions aoo/y to the department that is NOT the Office of Record (OFR), or the "Lead Department". If vou are the OFR, refer to vour department retention schedule.

Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years, since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investiqations susoend normal retention oeriods (retention resumes after settlement or comoletion). .............. . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.·.·.·. . . . . . . . . . . . . . .

Automotive Temporary Send to s:~~~•t6 :;;.01;
CW-021 Carpool Logs Auto upon .•. : : : : : :u:pa.n•: •:.: •.• GC §34090.7 Services Holding completion coir-ipietion:a of form •••• form•
Cash Receipts Detail / Petty Cash Reports / ::::::::::::::::::::::
-:-:-:-:-:.:-:-:-:-:-: Department preference (not all detail is sent to CW-022 Finance Dept. Correspondence Backup / Accounts Receivable Detail / Refund 2 years > ~•xi~r~ Detail / Deposit Backup ... Finance); GC §34090
. . . . . . . . . . . .

CW-023 City Manager Correspondence City Council Assignments (copies of response) 2 years /iy~~~f .. GC §34090 . . . . . .

CW-024 City Manager Correspondence City Manager Assignments (copies of response) 2 years ~:Ye~r$ GC §34090 ... . . . . ·.·.·.·.·.·.·.·.·.·.·.·.·.·
...........

Temporary ::::::::::::::::::::::::::::

CW-025 City Manager City Manager Directives Until •••••••••uiitii••••••••• GC §34090.7 Holding Superseded ~w p~ri~ii~8: . . . . . . . . . . . . . . . . . . . . . .

Claims & Litigation 2 years :<2}~~j-:; City Attorney is OFR for lawsuits; Risk CW-026 City Attorney Correspondence (Upon ..... :(lJpciif ... Management administrates claim; GC (copies) Settlement) s~tti:em.e.ri~ §§34090.7, 34090.6 ............ ->:-:-:-:-:-:-:-:-:-:-:

Committees Internal - Attended by employees: ............ •:::::::::::::::::::::::

All Records ::::::::::::::::::::::::

CW-027 Lead Dept. Correspondence 2 years :J}e~~:: GC §34090 (e.g. Records Management Committee, In-House ....

Task Forces, etc.)
Lead ...... City preference; Statute of Limitations for CW-028 (Responding) Correspondence Complaints/ Concerns from Citizens (operational) 2 years •: •: •: :2•Y.~ars:: •: • • personal property, fraud, etc. is 3 years; Claims
............ must be filed in 6 months; CCP §§338 et seq., Dept. :::::::::::::::::::::::::: • 340 et seq., 342, GC §§945.6, GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
..............

Inactive . . . . . . . . . . . . . .

Active :•:•:•••1:6t~i••·•····
(in office) (Records
Center) •••~~te@~~•••
Page CW-5
Comments I Reference
Retentions aooly to the department that is NOT the Office of Record (OFR), or the "Lead Department". If vou are the OFR, refer to your deoartment retention schedule.

Retentions begin when the act is completed, and imolv a full file folder (e.a. last document+ 2 vears, since destruction is normally performed by file folder.

Litiqation, claims, complaints, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion). :::::::::::::::::::::: City preference; Statute of Limitations for ...........

Lead ::::::::::::::::::::::

CW-029 (Responding) Correspondence Complaints / Concerns from Citizens Computer 2 years <}x~~r; personal property, fraud, etc. is 3 years; Claims Dept. Tracking Software (Comcate) .... ... must be filed in 6 months; CCP §§338 et seq., 340 et seq., 342, GC §§945.6, GC §34090 .·.·.·.·.·.·.·.·.·.·.·.·.·.· ..............
~: ~: ! : ~: ;: : : : : ~: ~: ~: ~: ~: ~: ~: .·.·.·.·.·.·.·.·.·.·.·.·.·.· Department preference; Statute of Limitations:

Contracts: ADMINISTRATIVE FILES - NOT ~ ! ~; ~ ~ ~ ~ ~ ! ~; ~ ~ ~ ~ ~; ~ ~ ~; ~;; ! ~ ~ Contracts & Spec's=4 years, Wrongful funded by a grant c~~Pi~tib\g Death=Comp. + 5 years, Developers=Comp. + CW-030 Lead Dept. Contracts Completion 10 years :Jtyeft/ 10 years; E&O =Comp + 10 years; Published (Correspondence, Project Administration, Project Audit Standards=4-7 years; Statewide Schedules, Certified Payrolls, Invoices, Logs, etc.) . . . . . . . . . . . . . . guidelines propose termination + 5 years; CCP ·.·.·.·.·.·.·.·.·.·.·.·.·.·. ·-·-:-:-:-:-:.:-:-:-:-:-:-:- §337 et. seq., GC §34090
CW-031 Contracts: See Agreements
Correspondence - ROUTINE
Dept. that
Authors (e.g. Administrative, Chronological, General Files, Document Letters, Memorandums, Miscellaneous Reports,
CW-032 or Correspondence Press Releases, Media, Public Releases, Public 2 years •/ -., ·rs GC §34090 Receives the Records Requests, Reading File, Working Files, City's Original Received and Referred to other Departments, ·.· Document Calendars, duplicates of any record, Fax Logs, etc.) .· •:• :-: -:-:

This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
Active : :%fai
(in office) (Records : :R~t~t1tib~ Center) .....

Page CW-6
Comments I Reference
Retentions aooly to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to vour deoartment retention schedule.

Retentions begin when the act is completed, and imply a full file folder (e.q. last document+ 2 years, since destruction is normally performed by file folder.

Litiqation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Preliminary versions of a written document,
such as a staff report or unsigned letter that is
Correspondence - TRANSITORY I PRELIMINARY ready for revision or correction and not a final DRAFTS, lnteragency and lntraagency Memoranda document of record. It also includes mail I eDept. that not retained in the ordinary course of business I:::: : mail that does not contain substantive Authors information concerning City policies, decisionDocument (e.g. calendars, checklists, e-mail that does not making, proceedings, projects, contractors, or CW-033 or Non-Record have a material impact on the conduct of business, None practices; and does not relate to threatened or Receives the invitations, instant messaging, logs, mailing lists, active litigation.

City's Original meeting room registrations, photographs, supply Document inventories, transmittal letters, thank yous, requests As long as the drafts and notes are not retained from other cities, undeliverable envelopes, visitors in the "Regular Course of Business". Consult logs, voice mails, etc.) the City Attorney to determine if a record is considered a draft. GC §34090, GC §6252
:-:-: 6254(a)
CW-034 City Clerk Correspondence Deeds, Easements, Final Orders of Condemnations 2 years ei:irs Send all originals to the City Clerk; GC (All) (copies) §34090.7
Department Activity Reports I Performance ·-:-: ::: -·-:-:

CW-035 City Auditor Correspondence Benchmark Reports / Performance Measurement 2 years ri~ars Send all originals to the City Clerk, who Reports/ Monthly Activity Reports (copies) compiles the reports GC §34090.7 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.·
Active •: •: •: •: i:<itat •: • • • • • •
(in office) (Records :::~~t~@~n: Center)
Page CW-7
Comments / Reference
Retentions aooly to the deparlment that is NOT the Office of Record (OFR), or the "Lead Deparlment". If you are the OFR, refer to your deparlment retention schedule.

Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). ..

Preliminary versions of a written document,
such as a staff report or unsigned letter that is
ready for revision or correction and not a final
. . . . . . . document of record . It also includes mail / e- ;;!;!;!;!;!;;!;;;;;;!;!
.. mail that does not contain substantive
............ information concerning City policies, decision- ::::::::::::::::::::::: making, proceedings, projects, contractors, or CW-036 Lead Dept. Non-Record Drafts / Notes/ Preliminary Drafts: Drafts that are None : • >Nbri~ • practices; and does not relate to threatened or revised (retain final version) :-:-:-:-:-:-:-:-:-:-:-· . . active litigation . . . . . . . . . . . . . .. : ~: ~: ~: ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ As long as the drafts and notes are not retained ••••••••••••••••••••••••••••
in the "Regular Course of Business" . Consult
the City Attorney to determine if a record is
considered a draft. GC §34090, GC §6252
6254(a) ..............
.. . . . . . . . . . .. . . . . . . . . . . . . . . .

CW-037 Lead Dept. Reference Drawings/Plans/Maps/As-Built (Recorded) p •·•·•·••:•:••p::::•:•:·:•· GC §34090(a)(d) :············:··············
E-mails that contain information relating to the Dept. that :::::::::::::::::::::::::::: conduct of the public's business are saved Authors Retention : Retent,tiii :

Document Based Upon s~~$d:0P.6ri outside the e-mail system by printing them out CW-038 or Temporary E-mail the Content • til~ :¢6riti,ii.ii: and placing them in a file folder, or saving them Receives the Holding of the ·•·•·•••ottfie•••••• electronically; If not mentioned here, consult the ............. City Attorney to determine if a record is City's Original Record : •:•:•Record:•:•
····)··············••::•·
considered transitory/ preliminary drafts. GC
Document §34090, GC §6252
: . : -:-:-:-:-:- :- :. : -:-:-:-:-
CW-039 Lead Dept. Correspondence Facility Use Applications/ Facility Use Permits 2 years : :::~ ye~ri: GC §34090 CW-040 Lead Dept. Correspondence Forms (Blank) Superseded ~upersect<:id GC §34090 + 2 years : :::i:1:ye~ri This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .......

Active : >total
(in office) (Records ~eteiit,~n Center)
Page CW-8
Comments I Reference
Retentions annlv to the deoartment that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your deoartment retention schedule.

Retentions beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 vears, since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion). (;/(((// The Lead Department should print out historical documents (or save source data) prior to
CW-041 Lead Dept. Source GIS Database I Data / Layers (both City-wide and Indefinite iii<l~flhit~ : replacing the data, if they require the data or Specialized) ·.·.·.·.·.·.·.-.·.·.·.·.·.· . . . . . . . . . . . . . . . output for historical purposes; Department ////// Preference (Preliminary documents); GC
. . . . . . . . . §34090 et seq .

Grants (UNSUCCESSFUL Applications, . . . . . . . . . . . .

CW-042 Lead Dept. Correspondence 2 years • :iy~~~t GC §34090 Correspondence) ........... . . : ! : : : ~ : ~ : ~ : ; : ~ : ; : ; : ; : ; : i : ! : ~ :::::::::::::::::::::::::::: Meets auditing standards; Grants covered by a :-:-:-:-:-:-:-:-:-:-:-:-:-:- :::::::::::::::::::::::::::: Consolidated Action Plan are required for 5 Grants / Reimbursable Claims / Subventions After ••••••••iit~(••••••:• years; Uniform Admin. Requirements for Grants (SUCCESSFUL Reports, other records required to Funding }FJ~eilri~f > to Local Governments is 3 years from pass the funding agency's audit, if required) Agency ::::: Ag¢ricy.::::: expenditure report or final payment of grantee CW-043 Lead Dept. Report 2 years Audit, if :::::Ai:id:ti••••: or subgrantee; statewide guidelines propose 4 Applications (successful), program rules, regulations & Required - r:~q0ir~d:\I years; 7 CFR 3016.42; 21 CFR 1403.36 & procedures, reports to grant funding agencies, 5 years : : :y~ars 1403.42(b); 24 CFR 85.42(b), 91.105(h), correspondence, audit records, completion records ..... -· ..... 92.505, & 570.502(b), 28 CFR 66.42; 29 CFR :::::::::::::::::::::::::
·················••<·

97.42(b); 40 CFR 31.42; 44 CFR 13.42; 45
CFR 92.42; 0MB Circular A-133; GC §34090 :-:-:-:-:-:.:.:-:-:-:-:- )))))) Send all grievances to Human Resources; All .. State and Federal laws require retention until CW-044 Human Correspondence Grievances and Informal Complaints (Employees) 2 years ·••iY:~$~t < final disposition of formal complaint; State Resources (copies) .. requires 2 years after action is taken; GC ::::::::::::::::::::::::::::
. .............. ·.·.·.·.·.·.·.·.·.·.·.·.·.· §§12946, 34090 et seq . . . . . . . . . . . . . . .

CW-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
Page CW-9
Comments I Reference
Retentions aooly to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.

Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 vears , since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

CW-045
CW-046
CW-047
CW-048
CW-049
CW-050
CW-051
CW-052
CW-053
Finance
(IDS/EbixBPO)
Lead Dept.

City Clerk
City Clerk
City Clerk
Lead Dept.

City Clerk
Human
Resources
Lead Dept.

Non-Record
Temporary
Holding
Correspondence
Correspondence
Non-Record
Correspondence
Correspondence
Temporary
Holding
Correspondence
Insurance Certificates for Agreements, Contracts,
Leases and Enchroachment Permits
Insurance Certificates maintained by IDS/Ebix-BPO
should not be received by the City (or any department).

The City Clerk's Office may assist departments with the redirecting of insurance certificates to IDS/Ebix-BPO.

Insurance Certificates NOT maintained by IDS/EbixBPO
Minutes - City Council (copies)
Municipal Code (including inserts)
(copies)
Newspaper Clippings
(copies)
Notices: Public Hearing Notices Posted and Proofs
of Publications, Public Notices
Ordinances - City Council (copies)
Personnel Files
(When an employee transfers to a different
department, the file should go to the new
department)
Personnel Files (Supervisor's Notes)
This material is protected by a copyright held by Gladwell Governmental Services Inc., None
Filed with
pertinent file
2 years
None
None
2 years
2 years
Upon
Separation,
Send to
Human
Resources
2 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ---- __ --- ---_-_ -- --iisend to City Clerk's Office for the removal of the City's address and to redirect to IDS/EbixBPO
. ............ .
>~ii~d:iitit . . . ---:-----:.---:-:------ ---: Tracked with pertinent file. pertine:rit :fi1e .·.·.·.·.·.·.·.·.·.·.·
•A•ie~r~
::::::::::::::::::::::
: : :<Ntii.il
Originals maintained by City Clerk Permanently;
GC §34090.7
Return any whole unused codes to the City
Clerk; Originals maintained by City Clerk
}}: {i} ___ Permanently; GC §34090
/2:y~~~ ••• actions is 3 - 6 months; CCP§337 et seq; GC :j}}:j )){ { ;~:~~~Is maintained by City Clerk Permanently; •••••••:lJp:oh•••••••• Bepar:ation;: Ensure records kept in Department files comply : $$i18:fo > with City policy (all originals are sent to Human • •H0•maif .. Resources); GC §34090.7
/ lteif} ~~~~~;:;:~a;~:d ~::o;~~~~~ee:
0 ~fu:t:n~~r to
- - ___ document progressive discipline; GC §34090 et -·.·.·.·.-.-.-.-.-. -- ·.·. seq.

CW-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
. . . . . . . . .

Inactive :: T:◊ta(>:
(Records R~t~hti◊~i Centerl · · · · · · · · · · · ·
Page CW-10
Comments I Reference
Retentions aooly to the deoartment that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.

Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years, since destruction is normally oerformed by file folder.

Litigation, claims, comolaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion) .

CW-054
CW-055
CW-056
CW-057
CW-058
Lead Dept. Correspondence Personnel Work Schedules
Lead Dept. Citizen Petition
Petitions (Examples: parking requests, traffic
calming requests, etc.).

NOT Election Related Petitions - for Initiative,
Recall or Referendum petitions, see the City Clerk
schedule
Lead Dept. Correspondence Public Records Act Requests
Lead Dept. Correspondence Public Relations / Press Releases Finance/
Purchasing Correspondence
Purchase Orders, Procurement & Contracting
Records (RFPs, Specifications, Contracts,
Amendments, Successful Bids, Notice of Award,
RFQs, etc.) (copies)
2 years
1 year
2 years
2 years
2 years
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . : :~:years:: Gc §34o9o -:-:.:•:-:-:-:-:-:-:-
·.·.·.·.·.·.·.·,·.·.·
.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . .
;:;:;:;:;:;:;:;:;:;:; i: :{;e:~~ Not related to elections; Law requires 1 year for · · · · • • • • · . . . petitions; GC §50115
. . . . . . . . . . . . . . . . . . . . . . . .
:<i\;~~rf : GC §34090
.·.·.·.·.·.·.·.·.·.·.·
:::::2:Ye~r~ ... Gc §34o9o
: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~
/jye~~{/ GC §34090.7
CW-059 (~~~do~;i~d Correspondence Real Estate Appraisal Reports: Property NOT 2 years \jte~rsi ) Not accessible to the public; Statewide 1----------+-th_e_A_P_Pr_a_is_a_l)-+-------f----p-u-rc_h_a_se_d_,_L_o_a_n_s_n_o_t f_u_n_d_ed_._e_tc_. ______ -+-----f----------"1'-c··•-i"-c}~:•"-c/~i:~}~:·:"-c::-c11: _G_u_id_e_lin_e_s_s_h_o_w_2_y_ea_r_s_; _G_c_§_§_3_4_0_9_0,_6_2_5_4_(h---11) CW-060
CW-061
CW-062
Lead Dept.
(Who Ordered
the Appraisal)
City Clerk
Lead Dept.

Report Real Estate Appraisal Reports: Purchased
Property, Funded Loans
Records Destruction Lists / Certificate of Records Correspondence Destruction (copies) Routine
Recruitment and Testing File (As-Needed
Employees Only)
(Includes Applications for Unsuccessful Applicants,
Advertisements, Job Brochures, Test Data, etc.)
This material is protected by a copyright held by Gladwell Governmental SeNices Inc., 2 years 3 years
2 years
4 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. //: ::/// Nb ot accessible to the public untild~~rchase has -:-:-:-:-:.:-:-:-:-:-:-: een completed; meets grant au 1t1ng } :{y~~~> .. requirements; 24 CFR 85.42(b), 24 CFR · · · ·.·. 91.105(h), 24 CFR 97.42(b), 24 CFR
:::>>>>>:<:::::::::::: 570.502(b); 29 CFR 97.42, GC §34090 ............. J:xe~r{: : Gc §34090.7 : // /:) Department preference; EEOC/ FLSA / ADEA
::::::::::::::::::::::: (Age) requires 1-3 years; State Law requires 2 - :A):e~ri:>: 3 years; 29 CFR 1602 et seq & 1627.3(a)(5)
:: : :: : : :: and (6), 2 CCR 7287.0(c)(2), 8 CCR
.·. -: >> ••••• §11040.7(c), GC §§12946, 34090
CW-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
Inactive .·.·.·.·.·.·.·.· · .. ·.·. ::::<%t~i<:
(Records iR~t~dti~~
Center) · · · · · · · · · · · ·
Page CW-11
Comments I Reference
Retentions aooly to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your deoartment retention schedule.

Retentions begin when the act is comoleted, and imolv a full file folder (e.g. last document+ 2 vears, since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investigations suspend normal retention oeriods (retention resumes after settlement or comoletion).

CW-063 Lead Dept.

CW-064 Lead Dept.

CW-065 Lead Dept.

CW-066 Lead Dept.

CW-067 City Clerk
CW-068 Lead Dept.

CW-069 Lead Dept.

CW-070 Lead Dept.

CW-071 Lead Dept.

CW-072 Lead Dept.

CW-073 Lead Dept.

Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, etc.: Produced by
Non-Record OTHER DEPARTMENTS OR OUTSIDE
Correspondence
Reference
Report
ORGANIZATIONS (League of California Cities,
Chamber of Commerce, etc.)
Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, etc.: Produced by
YOUR Department
Reports and Studies (Historically significant - e.g.,
Zoning Studies)
Reports and Studies (other than Historically
significant reports - e.g. Annual Reports)
Correspondence Resolutions - City Council (copies)
Report
Correspondence
Reference
Non-Record
Correspondence
Subject
Safety: OSHA Inspections & Citations, Log 200
andLog300,301,301A
Service of Legal Documents (copies)
Service of Legal Documents (LOG)
Speaker Cards (submitted at public meetings)
Special Event Permits
Special Projects/ Subject Files/ Issue Files
This material is protected by a copyright held by Gladwell Governmental Services Inc., I
None
Superseded
+ 2 years
10 years
5 years
2 years
5 years
2 years
p
None
Expiration +
2 years
5 years
p
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ..... ' .... . . .. '····· < : Nbh~: .... Non-Records .·.·.·.·.·.·.·.·.·.·.·.·.·.· :scip~/~~tj~~ Statewide guidelines propose superseded + 2 } :2}e~rf • or 5 years; GC §34090 Administratively and Historically significant, .,· = · -therefore retained permanently; GC §34090 )):ye~($ Originals maintained by City Clerk Permanently; .. GC §34090.7
~ ~; ~ ~ ~ ~; ~; ~;; ~ ! ; ; ! ; ! ~ ! ~ ~ !
: :sy~~rf:

Calif. Labor Division is required to keep their
records 7 years; OSHA requires 5 years; State
law requires 2 years; 8 CCR §3203(b)(1), GC i))))\/ §34090; LC §6429c ............ p: : City preference; GC §34090
..
. . Transitory records not retained in the ordinary
>: :f:i!oi:i~> < . course of business (used to accurately produce :::::: < : minutes); GC §§34090 et seq., 6254(a)
< -:-:-:-:.:. :-:-: .:-: < · :t{ye~ri::: Department Preference; GC §34090 et seq.

RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Page CW-12
CW-No. Office of Record Type Records Description Retention / Disposition Comments / Reference Record Inactive ..............

Active ••••••••t6t~l•••••••• (OFR) (in office) (Records f{~t~~t,~n> Center) Retentions aoolv to the deoartment that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.

Retentions beqin when the act is comoleted, and imolv a full file folder (e.g. last document+ 2 vears, since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investigations susoend normal retention periods (retention resumes after settlement or comoletion). :-:-:.:-:-:-:-:-:-:-:-:-:-
CW-074 Lead Dept. Correspondence Subpoenas 2 years •• ~years/ • GC §34090 ..

Surveys/ Questionnaires (that the City issues). :::::::::::::::::::::::

CW-075 Lead Dept. Correspondence If a summary of the data is compiled, the survey 2 years <txi:i~~f> GC §34090 forms are considered a draft or transitory record,
and can be destroyed as drafts
CW-076 Tapes: See Board & Commissions ·.· .· I·.·. ·.·.·.·.·.

Timekeeping: ::::::::::::::::::::::::::-:

CW-077 Lead Dept. Timekeeping Time Sheets / Time Cards/ Overtime Sheets / 4 years ••·•·4)'.ei:i(S•••·• City Preference for FLSA; Originals maintained Overtime Cards (Including Leave Slips & Vacation by Payroll; GC §34090.7 Requests Forms)
•••••••••••••••••••••••
Department Preference; OSHA requires 5 years
for safety records; Statewide guidelines
propose 7 years; Calif. Labor Division is
required to keep their OSHA records 7 years; Training - ALL COURSE RECORDS :utJU/ Ethics Training is 5 years; EEOC/FLSNADEA CW-078 Lead Dept. Training (Attendance Rosters, Outlines and Materials; 2 years 5 years ·. -· ,;.i: ..... --:·. (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law includes Ethics & Safety training) ·.· ·.· requires 2 -3 years; 8 CCR §3203 et seq., 8 ·.·. CCR 14300.33(a); 29 CFR 1627.3(b)(2), 29 .·.·.·.·. CFR 1904.33, 29 CFR 1904.44; LC §6429(c);
GC §§12946, 34090, 53235.2(b)
Vehicle Safety Checks/ Daily Vehicle Inspections/ ......... .........

CW-079 Lead Dept. Correspondence Daily Equipment Checks 2 years )\i~~f$: • GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CW-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
Page CW-13
Comments I Reference
Retentions aooly to the deoarlment that is NOT the Office of Record (OFR), or the "Lead Deparlment". If you are the OFR, refer to your deparlment retention schedule.

Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years, since destruction is normally performed by file folder.

Litigation, claims, complaints, audits and/or investigations suspend normal retention pen·ods (retention resumes after settlement or completion).

CW-080 City Manager
CW-081 City Manager
Depart.

CW-082 Providing
CW-083
CW-084
Service / Work
Depart.

Providing
Service / Work
Depart.

Providing
Service/ Work
Volunteer Volunteer/ Unpaid Intern/ Work Study Applications S lnactit~e 1 epara I0n + & Agreements - Successful 5
Volunteer
Source
Non-Record
Volunteer/ Unpaid Intern / Work Study Applications
& Agreements - Unsuccessful or Pending
Applicants
Work Orders I Service Requests CMMS
DATABASE (Computerized Maintenance
Management System)
(Hansen)
Work Orders I Service Requests - All Information
Entered in CMMS Database
Work Orders I Service Requests - NOT entered in
CMMS Database (or partial information entered
Correspondence into CMMS Database)
(Division providing service retains originals;
Division requesting service is considered a copy)
years
5 years
Indefinite
None
2 years
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. . . . . . . .... Department preference (Courts treat volunteers :::::1-:-:-:::-:,:-:-::1:-: as employees); EEOC/FLSA/ADEA (Age) ·.·.· nactIve .. ·.·. . 3 f t· d . st ~f~titi~::;. requires year_s or pr~mo I0n, emotion, :::::{:::-:-:-:-:-:::::: transfer, selection, or discharge; 29 CFR ::::<-:J~~~<: 1602.31 & 1627.3(b)(1)(i)&(ii), GC §§12946, : > : : >:: : : : 34090
Department preference (Courts treat volunteers
as employees); EEOC/FLSA/ADEA (Age)
requires 3 years for promotion, demotion,
transfer, selection, or discharge; 29 CFR
- ·:·: . ··_·_· ___ ·. _ -:_1602.31 & 1627.3(b)(1)(i)&(ii), GC §§12946, : · 34090
;;;;;;;;;;;;;;;;;!;;;;;;;;;;
/iti~e.ti~ft( Data is interrelated; GC §34090
(\/IIJ!/) Preliminary drafts (the database is the original); 1//)')7)}/!): GC §34090 tL,~ c;~ prefereace; CCP §§338 et seq , 340 et
-:-: " :::: seq., 342, GC §§945.6, GC §34090
·.·
RECORDS RETENTION SCHEDULE: CITY ATTORNEY
SANTA CLARA, CA.

Page CA-1
CA-No. Office of Record Type Records Description Retention / Disposition Comments I Reference Record Inactive . . . . . . . . . . . . .

Active :/ tcifui : ::::
(OFR) (in office) (Records ){~t~~ti6t( Center\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder re.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

Accident/Incident Reports: Automobile Loss Notice, ::::::::::::::::::::::::

CA-001 City Attorney Correspondence General Liability Notice of Occurrence (Significant 2 years ::zv¢~~~< : GC §34090 Events)
Admin.

Services/ ... . .....

CA-002 Finance/ Correspondence Accounts Payable (copies) 2 years :::: 2y~~f~::::• GC §34090.7 Accounting : ~: ~::: ~:;: ! : ; : ~:;: ~: ~::::

CA-003 City Attorney Correspondence Administrative Hearings Resolution Re.~~i~t16~} Department preference; GC §34090 + 2 years : :i:years < CA-004 City Attorney Subject Amicus Briefs 2 years 3 years : : l5Y:ears<: Department Preference; GC §34090 CA-005 City Attorney Project Admin Assignment Log 10 years :::: 1 .. :O::Y~!:lr:$ii Department Preference; GC §34090 CA-006 City Attorney Litigation Attorney Work Product (Electronic Files on I: Drive) Resolution : Re$:pJ0tiqr'r Department Preference; GC §34090 + 5 years :)$:y~ars/ CA-007 City Attorney Subject Assignment Binders 3 years 2 years :::5:years: : Department Preference; GC §34090 !:!:;:;:;:;:;:!:!:!:;:;:;: Claim must be filed within 1 year, lawsuit :::::::::::::::::::::::::: within 2 years; complaints against peace Upon Resolution R¢i~iJiibhf officers within 5 years; Statute of Limitations CA-008 City Attorney Claim Claims / Damage Claims Resolution + 5 years <:$y~ars:< for contracts is 4 years; wrongful death for ····•:::•:::••············
construction is completion + 5 years; CCP
§§ 337 et seq.; GC §§ 911.2, 945.6, 34090,
:::::::::::::::::::::::::: 34090.6; PC §832.5(b)
CA-009 City Attorney Subject Elections 2 years 3 years : ::!fy¢~r$::::: Department Preference; GC §34090 CA-010 City Attorney Source Legal Opinions p .·.·.··:•:•p:::•:• Department Preference; GC §34090 Litigation / Lawsuits :::::::::::::::::::::::::: Department Preference; Covers various CA-011 City Attorney Litigation Upon 5 years R~ii8.i~tt6~ :+ statute of limitations; CCP §§ 337 et seq.; (Final Settlement Documents and Judgments are Resolution /$:years: GC §§ 911.2, 945.6, 34090, 34090.6; PC maintained by the City Clerk) . ·.·.·.·.·.·.·.·.·.·.·.·. §832.5(b) Litigation (Eminent Domain/Final Order of Department Preference; Covers various CA-012 City Attorney Reference Condemnation) p p statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2, 945.6, 34090, 34090.6; PC
§832.5(b)
CA-013 City Attorney Subject Loss Run Reports (George Hills Company) 5 years ::: 5:y$ars: : Meets auditing standards; GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CA-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY ATTORNEY
SANTA CLARA, CA.

Records Description Retention / Disposition
.............

Inactive Active :/trifui:/::
(in office) (Records iR~t~~ti6.~: Center\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page CA-2
Comments I Reference
Retentions beqin when the act is com1Jleted, and imfJIV a full file folder (e.q. last document+ 2 vears), since destruction is normallv 1Jerformed bv file folder.

Litiqation, com1Jlaints, claims, fJUblic records act reauests, audits and/or investiaations sus1Jend normal retention 1Jeriods (retention resumes after settlement or com/Jletion).

Municipal Code & Charter Administration, Distribution, -:-:-:-:-:-:-:-:-:-:-:-:-: CA-014 City Attorney Subject 2 years 3 years ::<S:y~i,irf< GC § 34090 etc. . ............

CA-015 City Attorney Muni Municipal Code Violations 2 years : :Zy¢$r$:: Department Preference; GC §34090 Subject
Not of Significant Historical Value: - Various Subjects .... . . . . . . . . . . . . .

CA-016 City Attorney Subject (review, research, public records requests and 5 years j:y~arS::> Department Preference; GC §34090 responses, background files, budget working papers,
outside counsel) ...

Subject .....

CA-017 City Attorney Reference Significant Historical Value: Various Subjects 2 years p :::::::::::P: Department Preference; GC §34090 (Cemetery, NCPA, M-S-R, PG&E, RDA, SOSA, Water Pollution Control Plant (WPCP) etc.)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Page CC-1
CC-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
Active • • • • • • • •r~t~f • • • • • • (OFR) (in office) (Records i:ji{~t~riti~~ Center) ............. . ... ... .. . .

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

CITY AUDITOR
Audit Policies & Procedures ............
...........

CC-001 City Auditor Auditor Reports (Mileage and Meal Reimbursement) 7 years /fyeai\ > GC §34090 :-:-:-:-:-:-:-:-:-:-:-
CC-002 City Auditor Auditor Reports Annual City Auditor Report/ Performance 7 years • • • • • f :ie~r:$ :•:• Department Preference; meets municipal Benchmarks } government auditing standards; GC §34090
:::::::::::::::::::::: / Department Preference; meets municipal CC-003 City Auditor Auditor Reports Audits of Payroll Payment Requests 7 years •••••:t•Y~ar:s: < government auditing standards; GC §34090 :::::::::::::::::::::: > Department Preference; meets municipal CC-004 City Auditor Correspondence Check Stock Log 2 years /Jiv~art: :::: government auditing standards; GC §34090 Reimbursement Log / Allocation Tracking ·.·.·.·.·.·.·.·.·.·.·.·.·.· CC-005 City Auditor Correspondence 2 years •···· 2:Y.¢~ii••··· GC §34090 (Boot/Clothing/Safety Geer) -·-:-:-:-:.:-·-:-:-:-:-·-· .............

Temporary Upon receipt • 0ptj~: /~t$ip •
CC-006 City Auditor Travel Advances forward to • < toiw.ar.ci fr,•• Department Preference Holding Finance : •:•: Fitiah2~• •: •: ·.·.·.·.·.-.·.·.·.

Warrants Payroll Vendor Voids Reprints - -:-:-:-:-:-:-:-:-:-:-:-:- CC-007 City Auditor Correspondence Destroyed 2 years ••• :;2)~~i:f:: : GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CC-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
Active
(in office) ······••%t~f••··:· (Records : • :R~tentii:>:if • Center) If the record is not listed here, refer to the Retention for City-Wide Standards Page CC-2
Comments I Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally oerformed bv file folder.

Litigation, comolaints, claims, oublic records act requests, audits and/or investigations susoend normal retention oeriods (retention resumes after settlement or completion).

CITY CLERK
Affidavit of Posting Agendas, Notices of Public
I .Y .. I Brown Act challenges must be filed within 30
Hearings, Continuances, Notice of Adjournments or 90 days of action; Statute of Limitations on CC-008 City Clerk Correspondence 2 years Municipal Government actions is 3 - 6 months; City Council, Board & Commissions and CCP §§337 et seq, 349.4; GC §§34090, Committees, Miscellaneous 54960.1 (c)(1)
Agenda Packets / Staff Reports / Correspondence
Regarding Agenda Items - Imaged:

City Council, Redevelopment Agency, Sports and ·.·
Open Space Authority, Industrial Development Department Preference (The minutes are the CC-009 City Clerk Reference p Authority, Joint Financing Authority, Public permanent record); GC §34090 et seq.

Facilities Financing Authority, Santa Clara
Stadium Authority, City of Santa Clara Housing
Authority and Bayshore North Project
Enhancement Authority -:-:

Agenda Packets / Staff Reports / Correspondence
Regarding Agenda Items - Hardcopy:

City Council, Redevelopment Agency, Sports and
CC-010 City Clerk Agenda Material Open Space Authority, Industrial Development 1 year 9 years Department Preference (The minutes are the . -':~r~=n, Authority, Joint Financing Authority, Public permanent record); GC §34090 et seq.

Facilities Financing Authority, Santa Clara
Stadium Authority, City of Santa Clara Housing
Authority and Bayshore North Project
Enhancement Authority
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CC-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.

Active ::::::::%i~i:::::
(in office) (Records :R~t~rih;rj: Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page CC-3
Comments I Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Agendas & Agenda Summary of Action
City Council, Redevelopment Agency, Sports and
Open Space Authority, Industrial Development Department Preference (The minutes are the CC-011 City Clerk Reference Authority, Joint Financing Authority, Public p permanent record); GC §34090 et seq. Facilities Financing Authority, Santa Clara Stadium Authority, City of Santa Clara Housing
Authority and Bayshore North Project
Enhancement Authority
Agreements - Not Significant - NOT IMAGED.

Agreement or Contract includes all Department preference; Statute of Limitations:
contractual obligations (e.g. Amendments, Contracts & Spec's=4 years, Wrongful Death=Comp. + 5 years, Developers=Comp. + Scope of Work or Successful Proposal) - CC-012 City Clerk Agreements Completion 5 years :-1..;u y~l~1:1. 10 years; E&O =Comp+ 10 years; Published .,. _ _, c-cu». Audit Standards=4-7 years; Statewide Examples of NON-Infrastructure: Consulting, grants, disposal, franchises, housing, leases, legal services, guidelines propose termination + 5 years; litigation settlements, loans, paving, painting, CCP §337 et. seq., GC §34090 professional services, services, slurry seals, tree
!•••••••••••••••••••••••••
trimming, Solar - Right of Entry/Lease, etc.

Agreements - SIGNIFICANT - IMAGED - :: :-:

Disposition Developement Agreements, Joint << ::
.·
Powers Authority, Owner Participation
Agreements, Memorandum of Understanding, Department Preference; All infrastructure, Housing Regulatory Agreements, Property JPAs, & Mutual Aid contracts should be owned by the City or Redevelopment Agency, permanent for emergency preparedness; CC-013 City Clerk Agreements and those determined as Significant by the Lead Completion p Statute of Limitations is 4 years; 10 years for Leases Significant Department,Letters of Credit, Consent Order Errors & Omissions; land records are .·. permanent by law; CCP §§337. 337.1 (a), 337.15, 343; GC §34090, Contractor has
Agreement includes all contractual obligations
1•···············•·•······
retention requirements in 48 CFR 4.703(a)
(e.g. Amendments, Scope of Work or
Successful Proposal)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CC-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
Inactive : /i:C>t~f)
(Records •• Refunti◊i{ Center)
Page CC-4
Comments I Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

CC-014 City Clerk
CC-015 City Clerk
CC-016 City Clerk
CC-017 City Clerk
CC-018 City Clerk
Finance/
CC-019 Financial
Services &
City Clerk
CC-020 Planning &
Inspection
CC-021 City Clerk
CC-022 City Clerk
CC-023 City Clerk
CC-024 City Clerk
Agreements and Agreements: Litigation Releases Leases Significant Correspondence Bid Opening Lists/Unsuccessful Bids
Reference Board, Commissions & Committees: Historical
List
Correspondence Board, Commission & Committees: Committee Final
Resolution
2 years
p
2 years
p Department Preference; GC §34090
. . . . . . . . . . . . . •\zv~ar.s/ Gc §34o9o
.·.·.·.·.·.·.·.·.·.·.·.
• <ipi> • ••• Department Preference; GC §34090
:::::::::::::::::::::::

Rosters / Maddy Act List ......................... _.
-----+-----~'-------------+----A-fte_r_--+-----11••••••••.Att~~••••••·• Bonds Bonds Fortune Telling Soliciting
Bonds Debt/ Bond Official Statements / Certificates of
Interest Participations (COPs)
Correspondence Building Inspection Address List (copies) Historical
Documents I Budget (Final / Adopted)
Artifacts
Reference
cess;:~; + 1 CtMt!if f City Code: 5.45.060
Cancellat.,
Redemption
or Maturity
2 years
2 years
p
10 years
..............
•••••• / •• •••••• • Department Preference; Statute of Limitations •••c•••• • ••••••,(( .. for bonds, mortgages, trust deeds, notes or .·. ance a ,·,· d b t . 6 B d . d b I I Recfem· ti6n e en ures IS years; on s issue y o~a ••:·M·•••t:P:t-:••••• governments are 10 years; There are specific °:\}l.•~~i-~+: requirements for disposal of unused bonds; ·:•> • X:-:-:- ? CCP §§336(a)(1) & (2), 337.5(2); GC §43900 · · · · · et seq.
. . . . . . ' . . . . .
: >2:S,~a.rs\. GC §34090.7
Bylaws · · •••••r.•••• Department Preference; GC §34090 f---------+----'------------------+-----+-----llf.~•··-··•~•··-·-:-~•-:-:-:-:-:- Correspondence City Council Committees: Revision History 2 years .. •f~¢~t~/ • GC §34090 et seq. .·.·.·.·.·.·.·.·.·.

Reference City Council: Historical Lists p ••••• /i:f •.... Department Preference; GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Page CC-5
CC-No. Office of Record Type Records Description Retention / Disposition Comments I Reference Record .............

Inactive . .. ...........

Active ·•···••%t~i·•··•· (OFR)
I (in office) (Records R~teritiJi( Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 vears), since destruction is normallv performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

Claim Forms & Log ......... . .
:::::::::::::::::::::::::

CC-025 City Clerk Claim City Council, Redevelopment Agency & Sports 5 years ••••••5••year:s••• • Department Preference; GC §34090 et seq. and Open Space Authority
Contracts - Infrastructure, Capital Improvement <<<
Projects (Public Works Awarded as a result of a
1••·········••::••·••:t:•·
Bid) Department Preference; All infrastructure,
JPAs, & Mutual Aid contracts should be
Contract includes all contractual obligations permanent for emergency preparedness; CC-026 City Clerk Contracts (e.g. Amendments, Scope of Work or Completion p 1••·········p·········
Statute of Limitations is 4 years; 10 years for
Successful Proposal) Errors & Omissions; land records are permanent by law; CCP §§337. 337.1 (a),
Examples of Infrastructure: Architects, Buildings, 337 .15, 343; GC §34090, Contractor has .·.·. retention requirements in 48 CFR 4.703 bridges, covenants, development, environmental, park improvements, reservoirs, sewers, sidewalks, street &
alley improvements, subdivisions, utilities, water, etc.

City Council/ Redevelopment Agency, Sports and
::::::::<:<:>:>:-·-·
Open Space Authority, Industrial Development
Council Authority, Joint Financing Authority, Public /////\ CC-027 City Clerk Attendance Facilities Financing Corporation, Santa Clara 10 years )o.i:e~ri ::: Department Preference; GC §34090 et seq. and Payroll Stadium Authority, and City of Santa Clara
Housing Authority and Bayshore North Project
Enhancement Authority Attendance Records
i
CC-028 City Clerk Correspondence Council Chambers, Use of (License Permit) 2 years }::f~~~t~:. • GC §34090 et seq. :::::::::::::::::::::::::::

City Temporary Upon iiiiiw~tct tt
CC-029 Clerk/Lead Holding Escrow Bid Documents Completion • :pepf •ur~ii • Department Preference Dept. cornpt¢tJon•
::::::::::::::::::::::::

CC-030 City Clerk Ethics Training Ethics Training - Certificates/ Logs 4 years 6 years •••••10:•~~~ts• :: Department Preference; GC §§34090, :• 53235.2(b)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Page CC-6
CC-No. Office of Record Type Records Description Retention / Disposition Comments I Reference Record .........

Inactive . . . . . . . . . .

Active :+Jt~c:: (OFR) (in office) (Records • • •R¢~nti~n• Center) . . . . . . . . . . . . . . . . . . . . . . . . .

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions beoin when the act is comoleted, and imoly a full file folder (e.g. last document+ 2 years), since destruction is normally oerformed bv file folder.

Litigation, comolaints, claims, oubfic records act reauests, audits and/or investigations susoend normal retention oeriods (retention resumes after settlement or comoletion).

Files Management Manual / Records Retention Statewide guidelines propose superseded + 2 CC-031 City Clerk Reference Schedules (if not always filed with the Resolution p of Adoption) or 5 years; GC §34090
Statement of : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~:

CC-032 City Clerk Economic FPPC Form 801 (Gift to Agency Report) 8 years ·.·.·a·················· Interests City •·•·•• ••years••·•··
Filers ~: ~: ~:;:;:;:;: ~:;:;:::;: ~: ~ Must post on website; 2 CCR 18944.2(C)(3)(G Gifts received by ..................... · .....

CC-033 City Clerk Gifts given to the City 10 years iJq\t~~t~) Department Preference; GC §34090 et seq. City ...........

Historical Records/Artifacts/ Publications Written
Historical by :::::::::::::::::::::: the City of Significant Historic Value : City Clerk determines historical significance; CC-034 City Clerk Documents/ p ·······••:•:p:•:••·•· • records can address a variety of subjects and .·.·.·.·.·.·.·.·.·.·.·.·. Artifacts Incorporation, City Seal, Awards of significant historical : ~: ~ :~: ~: ~: ~: ~: ~: ~::::::: : media formats; GC §34090 interest, Handbooks, Maps, Budget Books, etc.
:::>::::::::::::::::::::::
::::::::::::::::::::::::::: Department Preference (preliminary draft/ Index for Electric Estimates, Engineering Sites, ............. ·.·.·.·.·.·.·.·.·.·.·.·.·.·
CC-035 City Clerk Correspondence Planning Files, Human Resources Terminations Superseded svper$eqeo transitory record used to locates records, + 2 years Xiy~ar:if: which can be destroyed after the subject and Water Jobs :::::::::::::::<:>:<: record is destroyed); GC §34090 et. seq . . ·.·.·.·.·.·.·.·.·.·.·.·.·.
::::::::::::::::::::::::::: Department Preference (preliminary draft/ CC-036 City Clerk Correspondence Index of Boxes in Records Center Superseded :$up~rie8~ei transitory record used to locates records, + 2 years :@f?trsu which can be destroyed after the subject record is destroyed); GC §34090 et. seq.

Insurance Policies (City Owned Policies that are
CC-037 City Clerk Reference presented to Council. Excludes Electric Utility) - p ............ p. Department preference for liability purposes; GENERAL LIABILITY, PROPERTY, FIRE, .. CCP §337 et seq.; GC §34090 THEFT, ETC.
····••::;;;;;;;;;;;;;;;;;:• Department Preference (preliminary draft/ CC-038 City Clerk Correspondence Microfilm Processing Record Log Superseded •~~b¢~~~d¢d transitory record used to locates records, + 2 years •••:i-:2:years••• which can be destroyed after the subject :-:-:-::::::::::::::::::::: . . . . . . . . . record is destroyed); GC §34090 et. seq .

CC-No.

I
Office of Record Type I
Record !
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive ·.·.·.·.·.·.·.·.·.·.·.·.

Active •···••%t~i·••···
(in office) (Records • R~teriti~n Center)
ted here, refer to the Retention for Citv-Wide Standards Page CC-7
Comments / Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

I itiaation, complaints claims public records act reauests. audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

I I
Minutes
City Council, Redevelopment Agency, Sports and
Open Space Authority, Industrial Development
CC-039 City Clerk Minutes Authority, Joint Financing Authority, Public p p GC §34090 Facilities Financing Authority, Santa Clara
Stadium Authority, City of Santa Clara Housing
Authority, Bayshore North Project Enhancement
Authority and Closed Sessions
Municipal Code and Charter (1 copy of each Final CC-040 City Clerk Reference supplement) p •§ Department Preference; GC §34090 Resolution Including revision inserts ....

CC-041 City Clerk Reference 1
Newspaper Clippings of Significant Historic Value 1 year p //i!Y / Non Records - Department preference I -~ I P <
Department Preference; Statute of Limitations:

Public official misconduct is discovery of
CC-042 City Clerk Reference Oaths of Office - Elected Officers, Board and While in offense + 4 years, retirement benefits is 6 Commission Members Office
.·.·.·.·.·.·.·. ·····
years from last action; statewide guidelines
propose Termination+ 6 years; GC §§36507, .·.·.·.·.·.·.·. ~4090; PC §§801.5, 803(c); 29 USC 1113 .·.·.·.

CC-043 City Clerk Ordinances Ordinances & Indexes p I/ f < GC §34090 et. seq.

CC-044 City Clerk Reference Outgoing Awards and Gifts List/Log p ....... p.:.:.:-:-·• Department Preference; GC §34090 .·.·.·.·.·.·.·.·.·.·.·.·.

CC-045 City Clerk Correspondence Petty Cash (Receipts & Log Book) 2 years ••••z•y~ais•••• Department Preference; GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CC-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.

Active : : : : : : : :r~t~f:::::
(Records ............
(in office) Center) >Retentt~if
If the record is not listed here, refer to the Retention for City-Wide Standards Page CC-8
Comments / Reference
Retentions beqin when the act is comoleted, and imply a full file folder (e.g. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Real Property - Records that Affect the Title to
Real Property
Agreements and CC-046 City Clerk 2 years p p: GC §34090 Leases Significant Abandonments, Deeds, Deed Restrictions, Easements, Liens, Resale Restrictions, Vacations, etc. Includes Title Insurance
Recorded Documents (Including Log):

Recorded 1 year CC-047 City Clerk p :: ::c GC §34090 et. seq. Documents Deeds, Easements, Rights of Ways, Notice of 1:::1•····••::::::::::::• Completion, etc.

Recordings/ Tapes of City Council Meetings -
I t AUDIO Recordings/ Audio Tapes or Audio
DVDs
CC-048 City Clerk Correspondence City Council, Redevelopment Agency, Sports and 2 years I z~oc• Department preference; State law only
Open Space Authority, Industrial Development requires for 30 days; GC §54953.S(b) Authority, Joint Financing Authority, Public
Facilities Financing Authority, Santa Clara
Stadium Authority, Housing Authority and
Bayshore North Project Enhancement Authority .·.
·.· <?.::: : ·-:-:-:-:-:- Recordings/ Tapes of City Council Meetings - 1::: ·.·.· VIDEO Recordings/ Video Tapes or Video
DVDs
Historical
City Council, Redevelopment Agency, Sports and Department preference; GC §34090.7 CC-049 City Clerk Documents/ 2 years p p Artifacts Open Space Authority, Industrial Development (Beginning April 2007) Authority, Joint Financing Authority, Public
Facilities Financing Authority, Santa Clara
Stadium Authority, Housing Authority and .·
Bayshore North Project Enhancement Authority
CC-050 City Clerk Destruction Records Destruction Lists / Certificates of Records p :i Department Preference; GC §34090 et. seq. Notices Destruction This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CC-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
.............

Active ••••••••roiai•••·•·
(in office) (Records )i~t~rittJri: Center)
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page CC-9
Comments I Reference
Retentions be_qin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Resolutions & Indexes
City Council, Redevelopment Agency, Sports & Open
CC-051 City Clerk Resolutions Space Authority, Industrial Development Authority, Joint p p GC §34090 et. seq. Financing Authority, Public Facilities Financing Authority, Santa Clara Stadium Authority and City of Santa Clara
Housing Authority and Bayshore North Project
Enhancement Authority
Revisions History .... . . . . . . . . . . . . . . . . . . . . . . .

CC-052 City Clerk Correspondence (Board, Commissions, Council Committees, Publications 2 years • • • • • •2 •y.~ais • • • • GC §34090 and City Council Roster)
CC-053 City Clerk Temporary Vehicle Titles ("Pink Slips") Ownership 0 ~ti(s•~i~ )it Given to Auction House / New Owner; GC Holding :•:•l)ispos~f •••• §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CC-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.

Active ······••%t~i••·•··· (in office) (Records
Center) • • R¢ten~t&o : •
If the record is not listed here, refer to the Retention for City-Wide Standards Page CC-10
Comments I Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, comolaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

ELECTIONS - CONSOLIDATED
Campaign Campaign Filings (FPPC 400 Series Forms & Disclosure ·.· Paper must be retained for at least 2 years; CC-054 City Clerk Local Campaign Forms): SUCCESSFUL 5 years p ⇒ ·.· Successful GC §81009(b)(g) CANDIDATES (Elected Officials) - ORIGINALS Candidates Orig Campaign Filings (FPPC 400 Series Forms & Campaign CC-055 City Clerk Local Campaign Forms): SUCCESSFUL 5 years GC §81009 Disclosure Copies CANDIDATES (Elected Officials) - COPIES Campaign Campaign Filings (FPPC 400 Series Forms &
CC-056 City Clerk Disclosure Local Campaign Forms): UNSUCCESSFUL 5 years Paper must be retained for at least 2 years; Unsuccessful CANDIDATES - ORIGINALS GC §81009(b)(g)
Candidates Orig
Campaign Campaign Filings (FPPC 400 Series Forms & .·.·.·.·.·.·.·.·.·.·.·.· CC-057 City Clerk Local Campaign Forms): UNSUCCESSFUL 5 years ·•·••s.•;$~/~•·• GC §81009 Disclosure Copies CANDIDATES - COPIES . . . . . . . . . . . .

Campaign Filings (FPPC 410, 461, 465 & 496
Campaign Forms, Santa Clara Committees & Local
CC-058 City Clerk Disclosure All Campaign Forms): THOSE NOT REQUIRED TO p Department preference; Paper must be Others Orig FILE ORIGINAL WITH CITY CLERK (copies - retained for at least 2 years; GC §81009(b)(g) Council Members running for State or County
offices, etc.) - ORIGINALS
Campaign Filings (FPPC 402 & 460 Forms, Non
Santa Clara Committees & Local Campaign
Campaign Forms): THOSE NOT REQUIRED TO FILE
CC-059 City Clerk 5 years GC §81009 Disclosure Copies ORIGINAL WITH CITY CLERK (copies - Council ·.· ~-... n· Members running for State or County offices, etc.) .

COPIES
Campaign Campaign Filings (FPPC 400 Series Forms &
Paper must be retained for at least 2 years; CC-060 City Clerk Disclosure All Local Campaign Forms): OTHER COMMITTEES 7 years p- GC §81009(c)(g) Others Orig (PACS - not candidate-controlled) - ORIGINALS .·. Campaign Filings (FPPC 400 Series Forms & Campaign CC-061 City Clerk Local Campaign Forms): OTHER COMMITTEES 5 years :5 __ ,_ -- GC §81009 Disclosure Copies (PACS - not candidate-controlled) - COPIES This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CC-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.

Active ·••:•:•:r:;;t~i•:••·•·
(in office) (Records :R~teriti;;/ Center\
If the record is not listed here, refer to the Retention for City-Wide Standards Page CC-11
Comments / Reference
Retentions begin when the act is comoleted, and imply a full file folder (e.o. last document+ 2 years), since destruction is normallv oerformed by file folder.

Litigation, complaints, claims, oub/ic records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or comoletion). l••••·•••··•••••••••••••••
Department Preference; Nomination Papers:

Statewide guidelines proposes 4 years for
successful candidates, 2 years for ·•:•: ............. unsuccessful; CA law states term of office and Candidate File: Nomination Papers, Candidate .· 4 years after the expiration of term and does Statements, Acceptance of Voluntary Expenditure ~. not delineate between the two; EC §17100 CC-062 City Clerk Reference 8 years Limit, Oath of Office, etc. - SUCCESSFUL Oaths of Office: Statute of Limitations: Public t CANDIDATES official misconduct is discovery of offense + 4 1::::: <>
years, retirement benefits is 6 years from last
action; statewide guidelines propose
Termination + 6 years; GC §§34090, 36507;
1•:••····:••:•:::•:•:•:•:•:

PC §§801.5, 803(c); 29 USC 1113
......... Statewide guidelines proposes 4 years for
Candidate File: Nomination Papers, Candidate Election+ 4

1.••········p··········
successful candidates, 2 years for
CC-063 City Clerk Reference Statements, Acceptance of Voluntary Expenditure unsuccessful; CA law states term of office and Limit, etc. - UNSUCCESSFUL CANDIDATES years 4 years after the expiration of term and does not delineate between the two; EC § 17100
Elections - GENERAL, WORKING or
ADMINISTRATION Files
CC-064 City Clerk Reference 2 years :p GC §34090
Correspondence, Election Calendars, Precinct Maps, .... Proof of Publications, County Election Services, etc. :::: .·.

Elections - HISTORICAL
CC-065 City Clerk Reference 6 years p }:i Retained for Historical Value, GC §34090 Sample ballot
::::•:::::•••<••···
Not accessible to the oublic; The 8 month
retention applies after election results, or final
CC-066 City Clerk Petitions Petitions (Initiative, Recall or Referendum) 8 months <e :rii6Atf.ii/ examination if no election, unless there is a . . . . . . . . . :::::::::::::::::: legal or FPPC proceeding. EC §§17200, . . . . . . . . . . . . . . . . . . . . . 17400 . . ......... . . . . .

CC-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
Inactive \ir:&fai:
(Records ------------ ::Retentti:):n: Center)
Page CC-12
Comments I Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imPlv a full file folder (e.a. last document+ 2 vears), since destruction is normallv performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or comoletion)_ CC-067 City Clerk
CC-068 City Clerk
CC-069 City Clerk
CC-070 City Clerk
Statement of Economic Interest Filings (FPPC
Statement of Forms - 700 Series): DESIGNATED
Economic
Interests City
Filers
Statement of
Economic
Interests City
Filers
Statement of
Economic
Interests City
Filers
Statement of
Economic
Interests City
Filers
EMPLOYEES (specified in the City's Conflict of 2 years Interest code_ Includes advisory bodies except for the Planning Commission and consultants) -

ORIGINALS
Statement of Economic Interest Filings (FPPC
Forms - 700 Series): DESIGNATED
EMPLOYEES (specified in the City's Conflict of
Interest code_ Includes advisory bodies except for
the Planning Commission and consultants) -
COPIES
Statement of Economic Interest Filings (FPPC
Forms - 700 Series): PUBLIC OFFICIALS
(elected & not elected_ Includes City Council
Members, Planning Commission Members, City
Manager, City Treasurer & City Attorney) -

ORIGINALS
Statement of Economic Interest Filings (FPPC
Forms - 700 Series): PUBLIC OFFICIALS
(elected & not elected_ Includes City Council
Members, Planning Commission Members, City
Manager, City Treasurer & City Attorney) -
COPIES
2 years
4 years
4 years
This material is protected by a copyright held by Gladwell Governmental Services Inc_, 5 years
5 years
City maintains original statements; GC
§81009(e) & (g)
City maintains original statements; GC
§81009(e) & (g)
Department Preference; City maintains copies
3 years ~i=lf.?: only; original statements are filed with FPPC; i-----------:--:-:------_-jjGC §81009(f) & (g)
= · ·. · · =Department Preference; City maintains copies 3 years i::::::17.~:_;Ji/ _E_~ctt:s:::: :1only; original statements are filed with FPPC; < < GC §81009(f) & (g)
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law_ CC-No.
ation
CC-071
CC-072
CC-073
CC-074
CC-075
CC-076
CC-077
CC-078
CC-079
CC-080
CC-081
CC-082
CC-083
Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY CLERK
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.

Active ••:•:•:%t~i•:::•
(in office) (Records Retenifon Center)
Page CC-13
Comments / Reference
rd is not listed here, refer to the Retention for City-Wide Standards en the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder. complaints claims public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

CITY CLERK/ ELECTIONS - ST AND-ALONE (in the event the Coun 1 does not conduct a Consolidated Election) I
Election Absentee Applications, Roster of Absentee -:-:-.-.·.·.·.·.-:-.-.·.·.

City Clerk Correspondence Applications 6 months •••0 mbntii$::· EC §17505 .............

Election ·.·.·.·.·.·.·.·.·.·.·.·.·.

City Clerk Absentee Identification Envelopes 6 months : • •s fu6~tfi~ • • · EC §17302 Correspondence ............. ::::::::::::::::::::::::::·
City Clerk Election Initiatives Annexation Petitions, Protests and Withdrawals 1 year ::::•:1 y~af:••••• Law requires 1 year for petitions; GC §50115 ............. . . . . . . . . . . . . . . . . . . . . . . . . . . I :!:!:;:;:;:;:;:;:;:;:;:!:!: Department preference to be consistent with City Clerk Election Assessment District Ballots & Envelopes - Prop. 6 months • • • i:i iiibritii~ • • • other types of ballots; Statewide guidelines
Correspondence 218 proceedings I ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ! ; : :
propose permanent; EC §§ 17302, 17306; CA
I Constitution Art. XI 11 . . . . . ' . . . . . . .

Election . . . . . . . . . . . . . . . . . . . . . . . . . . .

City Clerk Correspondence Ballots - After Election 6 months ·•• 6:m.6tittis•• EC §17302 Election -:-:-:-:-:-:-:-:.:-:-:-:-:

City Clerk Ballots - After Recount 6 months ·••:i:rnbt1tii~•• EC §17306 Correspondence : ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~: Election ..............

City Clerk Correspondence Challenged & Assisted Voters List 6 months ••:&m6ni8s:•· If uncontested, EC §17304 Election :•:·:·:•:·:·:·:-:•:-:•:•>:

City Clerk Correspondence Inspector Receipts for Ballots 6 months ••• B•m.onths:•· EC 17302, 17306 •:-:-:·:•:-:-:-:•:-:-:•:•·
.............

Election . . . . . . . . . . . . . .

City Clerk Correspondence Precinct Officer Appointments 6 months •.: s ri16~tfi~•: • · EC§17503 City Clerk Report Roster of Voters 5 years .. 5 ........ •••••• .•yfi:lf$<••> EC§17300 .·.·.·.·.·.·.·.·.·.·.·.·.· Election .............

City Clerk Correspondence Tally Sheets 6 months •:•is motittis•• EC §17304 Election Voter Index Copies used as the Voting Record at -:-:-:-:-:-:-:•:-:-:-:-:-:

City Clerk 6 months •••irnbt1tii~•• EC §17304 Correspondence Polling Places ::::::::::::::::::::::::::

City Clerk Report Voter Index Oriqinal 5 vears s:v~ars • • EC ~17001 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: CITY MANAGER
SANTA CLARA, CA.

Page CM-1
CM-No. Office of Record Type Records Description Retention / Disposition Comments / Reference Record Inactive .·.·.·.·.·.·.-.·.·.·.·.·
Active •<:r~t~i<:< (OFR) (in office) (Records Ret~nifoii• • Center) If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is comoleted, and imolv a full file folder (e.Q. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, complaints, claims, oublic records act requests, audits and/or investiaations susoend normal retention oeriods {retention resumes after settlement or comoletion).

CITY MANAGER
Associations / Outside Organizations :-:-:-:-:-:-:-:-:-·-·.

CM-001 City Manager Non-Record (Chamber of Commerce, ICMA, League of None :•:•:•::None::•:•·· Non-records ............ · ........

California Cities, etc.) .............. · ....

Finance/ ...........

CM-002 Correspondence Budgets (copies) 2 years ····•2::y~~t~: GC §34090.7 City Clerk ..

Cable TV - Complaints regarding Cable . . . . . . . . . . .

CM-003 City Manager Complaints 2 years •:•:•iy~ar:f GC §34090 et seq. Services ..

Cable TV - Video Recordings - Public Service ::::::::::::::::::::

CM-004 City Manager Non-Record Announcements, Special Events, Non-City None •••:>t-iici~~ Non-records; GC §34090 et seq . . . . . . . . . . . . .

Business, Community Programming.

Cable TV - Video Recordings/ Tapes of Board ........... -:-:-:-:-:-:-:.:-:-:.:
and Commission meetings - City Council, :-:-:-:-:-:-:.:-:-:-:- Department preference; Video tapes are required for CM-005 City Clerk Correspondence 2 years <J:~~r.s: ..

RDA, SOSA, Stadium Authority, HA ........... only 90 days; GC §34090.7 Meetings (copies) ::::::::::::::::::::::::::

CM-006 City Manager Subject City Council Assignments 5 years .·.·.·s················ -:•:-: .:years:-:-: Department preference; GC §34090
CM-007 City Manager Subject City Manager Assignments 5 years :: :::5: :yeifrs<:: Department preference; GC §34090 CM-008 City Manager Correspondence City Manager Directives / Policy & Procedure Superseded Supiti~d~ Department preference; GC §34090 Handbook (Revision History) + 2 years ............. •: • /i :Y.ear.i• • • . ·.·.·.·.·.·.-.·.·.·.·.

CM-009 City Manager Correspondence City Manager Reports to Council 2 years >2y~ai:if GC §34090 CM-010 City Manager Correspondence Closed Session Binders Completion • :C.oitipi~tiori Department Preference; GC §34090 + 2 years :::-f-tyiai:s::
.............

CM-011 City Manager Correspondence Committee Files 2 years ::>:(~~~~( ... Department Preference; GC §34090 ..... ··-..... . .. ... . . . . . ..

CM-012 City Manager Complaints Complaints / Concerns / CMAs / Non-CMAs 2 years >: 2 •i~~i-~: • : Department Preference; GC §34090 CM-013 City Manager Reference Complaints Log p :- :::::p.:::: ... Department Preference; GC §34090 . . .

CM-014 City Manager Correspondence Council Files 2 years 2 years Department Preference; GC §34090 ..

Department Files / Department Head Meeting .·.·.·.·.·.·.·.·.·.·.·.·.· CM-015 City Manager Correspondence 2 years
.·.··2················· Department Preference; GC §34090 Files -:•:-:. :Ye:ars::::: ............. . . . . . . . . . . . . .
::::::::::::::::::::::::::

CM-016 City Manager Correspondence Employee Relations Oversight Files 2 years •:•:•::2::y~ars:•••• Department Preference; GC §34090 .........

CM-017 City Manager Correspondence Employee Suggestion Files 2 years : <2)i~f.$: GC §34090 :::::::::::::·::::::::

CM-018 City Manager Correspondence Ethics Training (AB1234) 2 years : : : I: :2 Y.~~t~: City Clerk maintains Training Certificates; GC §34090 .......... . . . . . . . . . . .

RECORDS RETENTION SCHEDULE: CITY MANAGER
SANTA CLARA, CA.

Page CM-2
CM-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record Inactive .·.·.·.·.·.·.·.·.·.
(OFR) Active (Records :<:r:Ji~i. ..
(in office) Center\ R~tentfoii::

If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods retention resumes after settlement or comoletionJ.

Events
Take our Children to Work Day, Public Safety 1: .·
providers Week, Public Employees Recognition
Week, Service Award Luncheon, Volunteer
Recognition Combined Giving Campaign, Outgoing
CM-019 City Manager Correspondence Council Event, Holiday Decorations, Those Who 2 years .·.'!"'3 5 Department Preference; GC §34090 Inspire Award, Neil Henry Volunteer Award, All Fired ·> Up Sculpture Show, Art & Sculpture Show, Street
Dance, Concerts in the Park, Art in the Air, Santa
I::::::::::::•: Clara Chorale, Santa Clara Ballet, Mission City Opera, Santa Clara Players, keep Santa Clara
Clean, Oaths of Office Ceremonies, etc. .·.·.·.·.·.·.·.·.·.·.· CM-020 City Manager Correspondence Filming Permits 2 years :<fyear:$ GC §34090 .. . . . . . .

Grand Jury Reports Pertaining to City . . . . . . . . . . . . .

Department Preference (consistent with Grand Jury CM-021 City Manager Grand Jury 10 years Operations • • • • )o •~~~/~• • • • ~ ~ ~ ~ ~ ~ ~ ~ ~; ~ ~ ~ ~;; ! ! ~ ~ ~ ~ ~ ~: ~ requirements); GC §34090 Legislative Correspondence ............

CM-022 City Manager Correspondence Information, Positions, League Conference 2 years ····•·f•;~$~~··· GC §34090 .·.·.·.·.·.·.·.·.·.·.

Resolutions . ·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . .

CM-023 City Manager Correspondence Local Emergency Services Oversight Files 2 years • • • • • :2 ~~;f:~: •• :: Department Preference; GC §34090 Redevelopment Agency Project Oversight /!/)/// CM-024 City Manager Subject Files 5 years ::::::$:years••••• Department Preference; GC §34090 Includes Downtown Revitalization Project ...

Special Projects, Research, Programs,
:;;;;;;;;;;::::::::::::::; Subject & Issues (Issues and/or projects will City Manager vary over time)
CM-025 / Lead Dept. Subject 5 years ••••• 5::ye.ars••••• GC §34090 Airport, Annexations, Arena, APPA, Bayshore North, .·.·.·.·.·.·.·.·.·.· ..

Bowers Avenue, El Camino Re-Route, Federal
Power, 49ers, Hotels, Urban Renewal, etc.)
State, County, Other Cities (San Jose, etc.), ::::::::::::::::::::_ CM-026 City Manager Non-Record San Jose - Santa Clara Water Pollution None • :/Kii:iii~ .. Non-records Control Plant, School District, etc. ::::::::::::::::::::::::
. ............

CM-027 City Manager Correspondence Training and Safety Oversight Files 2 years . ·.··2················· ::: ye;ars.::::: Department Preference; GC §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

CM-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: CITY MANAGER
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·
Active ::r:;;t~f::::
(Records • ............
(in office) Center\ Retention•
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page CM-3
Comments / Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

CM-028 City Manager Volunteer Volunteer Forms 5 years l:>:5::y~af:~:: IDepartment Preference; GC §34090 CM-029 City Manager Timekeeping Volunteer Timecards 4 years [ :;j.years i]Department Preference; GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: CITY MANAGER
SANTA CLARA, CA.

Page CM-4
CM-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record ..........

Active Inactive : : ::r:ofa:i: :::
(OFR) (Records ............
(in office) Center\ •Retenifo:n• •
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is comoleted, and imotv a full file folder (e.q. last document+ 2 vears), since destruction is normallv oerformed bv fl1e folder.

Litiqation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

COMMUNITY RELATIONS
City Manager . : -:-:-:-:-:-:. > >:.: -:-: City Store Products ............. . . . . . . . . . . . . .

CM-030 I Commun. Correspondence Santa Clara Chamber of Commerce 2 years •: •: • •2• •years••:•: GC §34090 Relations .............

City Manager Historical Photographs of Significant Historical Value CM-031 I Commun. Documents/ p •••••••••••••••••••••••••• :::.:ij) ::::-:- Department preference; GC §34090
Relations Artifacts (Council Members, City Staff, etc.) >••············••::••· City Manager Projects, Programs, Subject & Issues (Issues Completion c.6ctipi~ti8i-i CM-032 / Lead Dept. Subject and/or projects will vary over time) Includes + 5 years •••f S•year:s:•• GC §34090
Newsletters
Publications (copies) :::::::::::::::::::::::::: Transfer historical publications to the City Clerk; GC CM-033 City Clerk Correspondence Inside Santa Clara, City Corner, Mission City 2 years Scenes, City Calendar and etc. ····•·2••~~:~t~•····
::::::•::::::::::::::
§34090
City Manager Sister City Program CM-034 /Commun. Correspondence 2 years •••••2•year:~••:•: GC §34090 Relations lzumo, Coimbra & Ireland ..........

City Manager :::!:!:!:;:;:;:;:;:!:!:!:! Notes, drafts, or preliminary documents; GC §34090 et CM-035 I Commun. Non-Record Speeches None ••••••••Niiiiii::::::
. . . . . . ... seq . Relations ....

RECORDS RETENTION SCHEDULE: CITY MANAGER
SANTA CLARA, CA.

Page CM-5
CM-No. Office of Record Type Records Description Retention / Disposition Comments / Reference Record Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
Active : :::::+;;t~f ::: :
(OFR) (Records .............
(in office) Center) : : :Retenifon::

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions beoin when the act is comoleted, and imolv a full file folder (e.o. last document+ 2 vears), since destruction is normally performed bv file folder.

Litioation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

ECONOMIC DEVELOPMENT
City Manager :::::::::::::::::::::·
CM-036 / Econ. Correspondence Business Retention / Business Recognition 2 years ::::::2::vear:f Department Preference; GC §34090 ..

Develop.

City Manager ... . . . . . . . . . . . . . . . . .

CM-037 / Econ. Subject Economic Development Projects / Programs 5 years 5~~~;i:: Department Preference; GC §34090 Develop.
···••::••··········•·<•
CM-038 City Clerk Correspondence Property Management Files: Deeds, Title 2 years ::: z::ve:ar.s\ GC §34090.7 Insurance, Easements, etc. (copies) ....

Property Management Files: Leases, . ·.·.·.·.·.·.·.·.· ..

CM-039 City Clerk Subject Tenants, etc. Completion • ¢9qipi~tii;iti: Department Preference; Statute of Limitations is 4 + 5 years •••+•syeiars••• years; CCP §§337. 337.1(a), 337.15, 343; GC §34090 ............. (OriQinal contracts to City Clerk)
City Manager ...

Prospects: Economic Development Projects / . ······· ...

CM-040 / Econ. Correspondence 2 years :::2:vear:f Department Preference; GC §34090 Correspondence ..

Develop.

City Manager ..........

CM-041 / Econ. Correspondence Public Affairs (Correspondence regarding 2 years • • •:• :z: :y.~ari{ • Department Preference; GC §34090 Develop. legislation/ State & Federal bills)
Real Estate Acquisition Files - Purchased
City Manager Property Department preference (deeds and title insurance may CM-042 / Econ. Reference p not have been consistently sent to the City Clerk in the Develop. May Include Original Deeds and Title past); GC §34090 Insurance - Send oriQinals to the City Clerk
City Manager Real Estate Appraisal Reports - Property NOT :::::::::::::::::::::::::: Department preference (not accessible to the public); CM-043 / Econ. Correspondence 2 years ••>2year:t< Develop. Purchased GC §§34090, 6254(h)
Department preference (not accessible to the public ...... ............. until close of escrow); USPAP (Uniform Standards of City Manager Real Estate Appraisal Reports - Purchased ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~ ~ ~ ~ ~ ~ Professional Appraisal Practice) ethical standards CM-044 / Econ. Subject Property 5 years • • • • • :i5: •i~~rs •: • • require appraisers to retain records for at least 5 Develop. years, or final disposition + 2 years, if used in a judicial . . . . . . . proceeding; statewide guidelines show 2 years; GC :::::::::::::::::::::::::: §_§34090, 6254(h) ·.·.·.·.·.· ~,:-:-:-:-:-:- City Manager Department Preference (original DDAs and OPAs are CM-045 / Econ. Reference Redevelopment Project Files 5 years p ······••>•:p Develop. . .... maintained by the City Clerk) GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: CITY MANAGER
SANTA CLARA, CA.

Page CM-6
CM-No. Office of Record Type Records Description Retention / Disposition Comments I Reference Record Inactive .·.·.·.·.·.·.·.·.·.·.-.·.·
Active •:•:•:•+;;t~i•:•:•• (OFR) (in office) (Records : : ri~t~~ti~ri : Center) ...

If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 vearsJ, since destruction is normallv performed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or comoletion).

City Manager Project Redevelopment Project Files: Convention CM-046 I Econ. Reference Center, Great America Completion p Department Preference; GC §34090 Develop. + 5 years
City Manager
CM-047 I Econ. Reference Site Clearance I Soils Remediation / Mitigation p p i .. Department preference; GC §34090 Develop.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
Active ······••%t~i·•····· (in office) (Records F.{~t~~ti~i( Center) If the record is not listed here, refer to the Retention for City-Wide Standards Page EU-1
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 vears), since destruction is normalfv performed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or completion).

ADMINISTRATIVE SERVICES & FIBER ENTERPRISE
Electric
Utility/
EU-001 Admin. Correspondence Bill Inserts / Mission City Scenes, etc. 2 years r ,_ - = ~ GC §34090 Services &
Fiber Enter.

Electric
Utility/ California Energy Commission (CEC) Licenses and EU-002 Admin. Reference p 0 Department Preference; GC §34090 Regulatory Services & Fiber Enter.

Electric
Utility/
EU-003 Admin. Report California Energy Commission (CEC) Reports 5 years -~ Department Preference; GC §34090 ··"' Services &
Fiber Enter.
10 years or iCc:iriipJettoi:i Some grant funding agencies require audits; >+:1:o:.Year.s::

Electric Capital Improvement Projects (CIP) / Jobs: After :>:or.Pitter: : Statute of Limitations for Errors & Omissions is Utility/ Administration File Funding ••:•:P\in•ding•••• 10 years; Published Audit Standards=4-7 years; Upon Agency ............. Statute of Limitations: Contracts & Spec's=4 EU-004 Admin. Project Admin Ag e:ri ~Y <.

Services & Project Administration, Certified Payrolls, Construction Completion Audit, if •:::::i\udJ(:i:t::::: years, Wrongful Death=comp. + 5 years, Fiber Enter. Management Logs, Daily Inspection Diary, Project Schedules, required, <:r~quirea;<: Developers=comp. + 10 years; Statewide Progress meetings, etc. whichever is whl~fiev~r:}s guidelines propose termination + 5 years; CCP longer ::::ionger:• • • §§336(a), 337 et. seq., GC §34090 Capital Improvement Projects (CIP) / Jobs: Permanent
File
Electric Plans, Record Drawings/ "As Builts", Specifications, )//)/) Department preference; retained for disaster Utility/ EU-005 Admin. Project Bids/RFPs, Successful Proposal, Change Orders, Upon p j preparedness purposes; Statewide guidelines Services & Inspections, Materials Testing Reports, Grading Completion propose Permanent for Infrastructure plans; GC Fiber Enter. Permits, Hazardous Materials Reports, Notice of §34090 Completion, O&M Manuals, Photos, Real Estate
Appraisals, Soils Reports, Studies, Submittals, Surveys, etc.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive . . . . . . . . . . . . . . . . . .

Active T:~t~i:.: •• :.
(in office) (Records >Retention Center) . . . . . . . . ..

If the record is not listed here, refer to the Retention for City-Wide Standards Page EU-2
Comments / Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.q. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, comolaints, claims, oublic records act reauests, audits and/or investiqations susoend normal retention periods (retention resumes after settlement or comoletion).

Electric ::::::::::::::::::::::::::: Utility/ :-:-:-:-:-:-:-:.:-:.:.:-:-:

EU-006 Admin. Correspondence Chronological File 2 years :<2:~~~r;::: GC §34090 .............

Services &
Fiber Enter.

Electric . . . . . . . . . . . . . . .............

Utility/ :::::::::::::::::::::::::::

EU-007 Admin. Report Correspondence with Regulatory Agencies 5 years }{y~$t{> Department Preference; GC §34090 Services &
····:·········i···········
Fiber Enter. . . . . . . . . . . . . . ............

Street & Temporary Daily Vehicle & Equipment Safety Checks/ Vehicle Send to : :sen8:fo :> EU-008 Automotive Automotive • :;;,Jioini;tiviii • GC §34090 et seq.

Services Holding Inspections/ Daily Equipment Checks Services : : •:•s~rv.ro~s: •: • Electric
Utility/ Drawings / Record Drawings/ "As Builts" :<:>
EU-009 Admin. Reference Drawing List p .F Department Preference; GC §34090 Services &
Fiber Enter.

Electric
Utility/ Estimates - Preliminary, In Process, Completed Upon EU-010 Admin. Estimates p :p- Department Preference; GC §34090 Estimate Logs Completion Services & Fiber Enter.

Electric
Utility/ Facility Histories/ Infrastructure
EU-011 Admin. Reference p :P· Department Preference; GC §34090 Services & (Black Butte, Stoney Gorge, Highline, Grizzly, etc.) Fiber Enter.

Electric :::::::::::::::::::::::::::

Utility/ FERG (Federal Energy Regulatory Commission) Life of ::::::•Lii6i::::::

EU-012 Admin. Inspections 10 years Facility + 1 0 :j;c~di1ty.::+::1p Department Preference; GC §34090 Services & Inspections .............
years ::::::::years:::::::

Fiber Enter. .............

RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Page EU-3
EU-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retention / Disposition
Active
(in office)
Comments / Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normally performed by file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

Electric
Utility/
EU-013 Adm in.

Services &
Fiber Enter.

Electric
Utility/
EU-014 Admin.

Services &
Fiber Enter.

Electric
Utility/
EU-015 Ad min.

EU-016
Services &
Fiber Enter.

Electric
Utility/
Admin.

Services &
Fiber Enter.

Reference FERG (Federal Energy Regulatory Commission)
Licenses and Regulatory Correspondence
N/A Maps: Block, Tract
Reference Maps: System (Windmills, etc.)
Preliminary Studies / Project Assessments (Not Project Admin Acquired / Not Constructed) EU-017 City Clerk Correspondence Rates (copies)
Electric
Utility/
EU-018 Ad min.

EU-019
Services &
Fiber Enter.

Electric
Utility/
Admin.

Services &
Fiber Enter.

EU-020 City Clerk
Reference Research of Significant Historical Value
Non-Record Research: Co-Generation, Geothermal, etc.

Reference Riqht of Ways / Easements
This material is protected by a copyright held by Gladwell Governmental Services Inc., p
Superseded
p
10 years
2 years
p
None
p
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ? .·. Department Preference; GC §34090 ·.·
·.·.·.·.·.·.·.·.·.·.·.·.·.·
:::::::::::::::::::::::::::
·.·.·.·.·.·.·.·.·.·.·.·.·.·
~tiper.s~d~J Non-records .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .............. << :-:.:.:-:-:-:-:-:-:-:-
: ::: : :p>:: :<< Department Preference; GC §34090
·········•:················
•••••••••••••••••••••••• :<foy~~i:~: Department Preference; GC §34090 ·····. ······ :/ 2:Y~~if .. GC §34090.7
Department Preference; GC §34090
Preliminary drafts not retained in the ordinary
course of business; GC §34090
::: <:>>Ji:::::: .. Department Preference; GC ~34090.7
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Page EU-4
EU-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record Inactive :·:·:-:-:-:-:-:.:•:-:-:-
Active : : :toiat•• (OFR) (in office) (Records :: ft~t~tjti~it Center) If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or comoletion).

Public
EU-021 Works/ Correspondence Street Lights/ Traffic Signals (copies) 2 years Ye~r~: } GC §34090.7 Engineering .:-:-:-:-:-:-:-:-:

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention I Disposition
.........

Inactive Active ::::::::T:cit~i::::::-
(in office) (Records : R~t~rititi~: Center\ ...........

If the record is not listed here, refer to the Retention for City-Wide Standards Page EU-5
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normal/v oerformed bv file folder.

Utiaation, comolaints, claims, oublic records act reauests, audits and/or investigations suspend normal retention oeriods (retention resumes after settlement or completion).

CUSTOMER SERVICE & MARKETING
Finance/ Accounts Receivable Administration (Memoranda .........

EU-022 Accounting Correspondence regarding Fiber, Pole Contacts, etc.) 2 years iY.i~r~: .. GC §34090.7 Electric ..
···••::::••··········
..........

Utility/ Education Programs/ Marketing Programs (booths at :::::::::::::::::::::
...........

EU-023 Customer Correspondence Art & Wine, Advanced Metering Program, etc.) 2 years ~:years:>: Department Preference; GC §34090 Services & .. :::::::::::::::::::::
·.·.·.·.·.·.·.·.·.·.· Marketing ... . . . . . . . . . .

Electric ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~ Utility/ .............

EU-024 Customer Correspondence Home Energy Audits 2 years :::::zie~rs:::: GC §34090 Services & :::::::::::::::::::::::::::

Marketing
Electric
Utility/ ; ; ; ; ; ; ; ; ; ; ; ; ; ; ~; ~; ~; ~; ~; ~ ;~ EU-025 Customer Correspondence Large Customer Meetings, Public Relations 2 years ify~~~::: Department Preference; GC §34090 Services & .·.·.·.·.:-:-:-:-:-:-:-:-:-
Marketing
Electric :::::::::::::::::::::::

Utility/ :::::::::::::::::::::::

EU-026 Customer Correspondence Public Benefit Programs 2 years /j}~~r{ Department Preference; GC §34090 (Residential Rebates, Financial Rate Assistance Aps) ..

Services & ..

Marketing ..... . . . . . . . . . . . . . . . . . . . .

EU-027 Lead Dept. Correspondence Public Relations/ Press Releases 2 years <Ix~~~{> Department Preference; GC §34090 Electric ::::::::::::::::::::::-:-·-
Utility/ Rebate Programs : ; : ! : ; : ~ : ; : ; : ~ : ~ : ! : ! : ! : ~ : ! :

Department Preference (meets municipal EU-028 Customer Subject 5 years <:Jy~ai/:::

Services & (Commercial Rebates) •>:-:•:•:•:<<<·:•:•:<• government auditing standards); GC §34090 Marketing
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

EU-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
Inactive /: \i~~(/
(Records R~t~rititiM :

Center) • • ·
Page EU-6
Comments I Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder.

Liti_qation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

EU-029
EU-030
EU-031
EU-032
EU-033
EU-034
EU-035
EU-036
EU-037
Electric
Utility/
Energy
Distribution
Street &
Automotive
Services

ENERGY DISTRIBUTION
Complaint Tags/ Service Tags
Correspondence (Short circuit inquiries, fault current studies, voltage complaints)
Temporary
Holding
Daily Vehicle & Equipment Safety Checks / Vehicle
Inspections/ Daily Equipment Checks
Department Activity Reports / Performance Benchmark
2 years
Send to
Automotive
Services
City Clerk Correspondence Reports / Performance Measurement Reports / Monthly 2 years Lead Dept.

Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Electric
Regulatory
Timekeeping
Source
Activity Reports (copies)
DOT Timecards (Department of Transportation)
Driver's License Tracking Database
Correspondence Emergency On-Call / Sign-up List, Tracking Utility I Correspondence Emergency Plans
Energy
10 years
Indefinite
2 years
Superseded
+ 2 years
. . . . . . . . . . . . . . . . . . . . . . . . . . .
:> 2 y.e~iK< Gc §34o9o ............ .........

Aotomotive GC §34090 et seq.
....
/j y.e~rs .. ~;~;i~~~ ~~~i~=~:~s t~~ ~r g~~~ who
............ :j0::ye~r$ Department preference (DOT request); GC .. §34090 et seq.
..............
:1ri8i;ti~iti;i: Data is interrelated; GC §34090 . . ' . . . . . . . . . . . . . . . . . .

Distribution : : : : : : : : : : : : : : : : : : : : : : : : : : :

Electric Life of <::1:1iicif /
Utility/ Correspondence Equipment Maintenance History Equipment fqtiif Me~(+ Department Preference; GC §34090 Maint & Ops + 2 years -.2 y-ea;r$ .

Electric Life of •·:•rne>of-· ·
Utility/ Correspondence Equipment Manuals Equipment ~tj~i~M~hf+ Department Preference; GC §34090 a-------+-M_a_in_t_&_O~ps--+----------+--------------------+---+_2~y~e_a_rs--+-------111:'"-'-· ·~: 2'"-'-· y.f'--c·:e'"-'-·a~i-•'"-'-~:~: ·~.: 1----------------------11 Electric Utility I Estimates - Preliminary, In Process, Completed .....

Energy Correspondence (Redlines) After entry into GIS 2 years : ;:}year{ .. Preliminary documents; GC §34090 Distribution Preliminary Project Clearance Files
EU-038
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.

Active ::::<%fai >:
(in office) (Records j~~t~tjt1~~ Center)
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page EU-7
Comments I Reference
Retentions beain when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normallv performed bv file folder.

Litiaation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Electric
EU-039 Utility/ Reference Insurance Policies (Electric Utility Only) - GENERAL p p:> Department preference for liability purposes; Energy LIABILITY CCP §337 et seq.; GC §34090
Distribution
Electric .... . . . . . . . . . . . . . . . . .

EU-040 Utility/ Correspondence Insurance Policies (Electric Utility Only) - PROPERTY, Expiration + • fu.<~ii~t1~ri \ Department preference; GC §34090 Energy FIRE, THEFT, etc. 2 years •\2Yti$r~•< Distribution
Electric ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~ EU-041 Utility/ Correspondence Labor Management Minutes 2 years •\2y.e~rV • GC §34090 Energy Distribution
Fire,
EU-042 Electric Reference Maintenance History Records (Power Plants, p Department Preference; GC §34090 Utility/ Generators, Transformers, etc.) Maint & Ops ..........

Electric . . . . . . . . . . . . . . . . . . . . . . .

Utility/ . . . . . . . . . . . . . . . . . . . . . . .

EU-043 Subject Manifest (EPA Standard) 5 years >.:S}~~ii Department preference; GC §34090 Energy .. ::::::::::::::::::::::::::: Distribution
Electric ~ ~ ~ ~ ~~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~: ~::

Meter Databases: Data pulse, Remote Locations, Utility/ ..............

EU-044 Energy Source Tampering, Time of Day, etc. Indefinite • • •:•iri8i;finit~ •: • Data is interrelated; GC §34090 Distribution (Load Forecasts)
Electric : ; : ~: ~:;:;: ~: ~: ~:;:;:;: ~: ;:

EU-045 Utility/ Safety MSDS (Material Safety Sheets) 30 years /s.o\ie~rs/ Department Preference; GC §34090 Energy Distribution
Electric 5 years <i:!SY.ti$it .. Department Preference; PCB records are 3 - 5 EU-046 Utility/ Subject Oil Analysis Results (Transformers have PCBs) once :::::::::o:nc:e:::::::: years; Used Oil is 3 years; 40 CFR 761.180; 22 Energy removed .. :. t~r\i6~~···· CCR 66266.130(c)(5), H&S §25250.18(b)(3), Distribution from City : ibiii\iiti;,:< 25250.19(a)(2)(B) et seq.; GC ~34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .............

Active ••••••••:tota.r:•••••
(in office) (Records ::F.{~t~tjt1~i( Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page EU-8
Comments/ Reference
Retentions beqin when the act is completed, and imply a full file folder (e.Q. last document+ 2 years), since destruction is normally performed by file folder.

Uti_qation, complaints, claims, public records act reauests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or completion).

Human ~:)\):):)
EU-047 Resources I Citations OSHA Insurance Certificates, Inspections & Citations, 5 years )Ye~~$ Per 1904.4 of 29CFR; GC §34090. 7 Risk Log 300 ..

Manag.

Electric . . . ...
. . . .

Utility/ ..

EU-048 Source Power Outage Report Database Indefinite ::1ii~et1ii:1i~: Data is interrelated; GC §34090 Energy ·.·.·.·.·.·.·.·.·.·.·.·.

Distribution
Electric ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~
EU-049 Utility/ Correspondence Power Outage Reports (copies) 2 years ::<2Y.~~ti GC §34090.7 Energy .. ·.·.·.·.·.·.·.·.·.·.·.·.·.· Distribution ·-:-:.:::::::::::::::::::<
Electric
Utility/ SCADA Database (Supervisory Control and Data ·.·.·.·.·.·.·.·.·.·.·.·.·.· Data is interrelated; system qualifies as a EU-050 Source Indefinite /tiitj~tiii:ri~< Energy Acquisition) - Electric . . . . . . .. "trusted system"; GC §§34090, 12168.7 Distribution ...... . . . . . . .
. . . . . . .

Electric .. :::::::::::::::::::::::-:-·
EU-051 Utility/ Inspections Street Light Repairs 10 years :::::fb:Y.~~ri(: Department preference; GC §34090 Energy .........

Distribution :-:-:-:-:-:-:-:-:-:

Electric :-:-:-:-:-:-:-:-:-: ... . .

EU-052 Utility/ Subject Substations, Receiving Stations, Switching Stations: 5 years ::<t:ie~rf Department Preference; GC §34090 Energy Daily Operation Logs & Reports (Control) .. :-:-:-:-:-:-:-:-:-:.:-:-:-· Distribution .........

Electric ······ .......

Life of •••• : • ::i:iti ~f::.: ••
EU-053 Utility/ Correspondence Substations, Receiving Stations, Switching Stations: Equipment : : :E~:ct,~iti~iit:: Department Preference; GC §34090 Energy Equipment Drawings and Maintenance Records + 2 years :+~:y:ear:s::: Distribution .............

Electric Substations, Receiving Stations, Switching Stations:

EU-054 Utility/ Reference Test Reports, Station Log, Inspection Sheets and p Department Preference; GC §34090 Energy Breaker Change Outs Distribution This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Page EU-9
EU-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for Citv-Wide Standards Rclention/D~pos~on
Active
(in office)
Inactive -·-:-:-:-:-:-:-:-:-:-:-:-:-
-: : : : : : : :Total -: -· -·
(Records ?f{~t~~ti~i( Center}
Comments / Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

EU-055
EU-056
EU-057
EU-058
EU-059
EU-060
EU-061
EU-062
Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Electric
Utility/
Energy
Distribution
Subject
Reference
Reference
Subject
Reference
Source
Subject
Switching Orders
Traffic Signal Log Book
Traffic Signal Repairs
Tree Trimming
Underground & Overhead: Inspections Maps UG & OH
Underground & Overhead: Repair/ Maintenance Tags
(Database) UG & OH
Underground Service Alerts (USA) Locates: Utility
Cuts, etc.

C d Utility Standards orrespon ence (Core Process Workshop) EU-063 Lead Dept. Incident Reports Vehicle Accidents
This material is protected by a copyright held by Gladwell Governmental Services Inc., 5 years
p
p
5 years
p
Indefinite
5 years
Superseded
+ 2 years
2 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ·.·.·.·.·.·.·.·.·.·.·.·.·.· /Jy~~&/ Department Preference; GC §34090 ::::::P: ___ Department Preference; GC §34090 ......... .. ...... . . .
l)j jjf/// Department Preference; GC §34090
:::::::::::::::::::::::
:::: iY~~~: __ Department Preference; GC §34090
p-:- · -· Department Preference; GC §34090
•::::::::::::::::::::::::::
;:fri8~finitf; Department Preference; GC §34090
...... /).years}:: Department Preference (the warrantee period for work done is 5 years); GC §34090
. . . . . ....
su erseiiec1 :-:-:-:P
2 :·.:::-:-:-:::-:-: Department Preference; GC §34090 :1:: :yec1~i:
:-:-:-:-:-:-:-:-:-:-:-;.:-· :::::~Yei~rs Send significant accident events to City .. Attornev.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
Active : >i:cit~i.:>:
(in office) (Records ::F.{~t~tjf1~i( Center)
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page EU-10
Comments I Reference
Retentions beain when the act is completed, and imply a full file folder (e.q. last document + 2 vears), since destruction is normallv performed bv file folder.

EU-064 Finance Correspondence Weed Abatement Charges (copies) 2 years ::}Y~~rf .. GC §34090.7 . . . . . .....

Depart. . .
:::::::::::::::::::::

EU-065 Providing Source Work Orders / Service Requests CMMS DATABASE Indefinite lh~~flhtt~: Data is interrelated; GC §34090 Service/ (Computerized Maintenance Management System) Work :::::::::::::::::::::.:-···
Work Orders/ Service Requests - NOT entered in
Depart. CMMS Database (or partial information entered into .... . ..

Providing CMMS Database) ...... . . . City preference; CCP §§338 et seq., 340 et EU-066 Service/ Subject 5 years ::::Jy$~(~ seq., 342, GC §§945.6, GC §34090 Work (Division providing service retains originals; Division ..... ·• reauestinq service is considered a copy) .. . . . . . . . .....

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive . . . . .

Active •: •: •: •: :totar •: •: •:
(in office) (Records ji~t~tjti~i( Center\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page EU-11
Comments I Reference
Retentions be_qin when the act is completed, and implv a full file folder le.a. last document+ 2 vearsl, since destruction is normallv performed bv file folder.

Liti_qation, complaints, claims, public records act reauests, audits and/or investiaations susnend normal retention oeriods (retention resumes after settlement or completion).

HYDRO ENGINEERING PLANTS and SUBSTATIONS IDVR / Pico Grizzlv. etc.) 10 years or C9r.npt?tiq1\ Some grant funding agencies require audits; /i-jdiye•ai:s .. Capital Improvement Projects (CIP) / Jobs: After • <oi'Aite{i: Statute of Limitations for Errors & Omissions is Electric Administration File Funding
·•·•· i=~~diA~:·:·
10 years; Published Audit Standards=4-7 years;
EU-067 Utility/ Project Admin Upon Agency ••:•:)\g~ncv.:••:• Statute of Limitations: Contracts & Spec's=4 Hydro Eng. Project Administration, Certified Payrolls, Construction Completion Audit, if ·:••Ai:iqi(if .•. years, Wrongful Death=comp. + 5 years, Plants Management Logs, Daily Inspection Diary, Project Schedules, required, \:requlr.~ci;:> Developers=comp. + 1 O years; Statewide Progress meetings, etc. whichever is
~ic~6:v.~f ii; guidelines propose termination + 5 years; CCP longer : . : : : : : l:ol'lger.::::: §§336(a), 337 et. seq., GC §34090 Capital Improvement Projects (CIP) / Jobs: Permanent . . . ' .. . .

File
. '
Electric Plans, Record Drawings/ "As Builts", Specifications, Department preference; retained for disaster EU-068 Utility/ Project Bids/RFPs, Successful Proposal, Change Orders (Work Upon p ::P: preparedness purposes; Statewide guidelines Hydro Eng. Authorizations), Inspections, Materials Testing Reports, Completion .. propose Permanent for Infrastructure plans; GC . ...

Plants Grading Permits, Hazardous Materials Reports, Notice ... §34090 of Completion, O&M Manuals, Photos, Real Estate ......... .... .....

Appraisals, Soils Reports, Studies, Submittals, Surveys, . .. ' ........ . . etc. .... -:-:-:-:-:-:-:-:-:

Electric .............

Utility/ Life of the : : : Lii~• rjf •ir.t~• • •
EU-069 Correspondence GEMS Data (Continuous Emissions Monitoring System) Plant+ •:• PJant +:•:•: Department preference; GC §34090 et seq. Hydro Eng. 2 years ::tx~~rr> Plants Confined Space Entries & Logs (Permitted entries into ........ ........... Code of Federal Regulations requires 3 years; EU-070 Lead Dept. Logs confined spaces such as sewers and storm drains in 3 years /jy~~~ order to comply with regulations) -:-:-:-:-:-:-:-:-:-:- .. 40 CFR 122.41 U)(2) .. Department preference; OSHA requires safety . . . ..

Electric -:-:-:-:-:-:-:-:-:-:-:-:-:- .............. training 5 years; EEOC/FLSA/ADEA (Age) EU-071 Utility/ Training Contract Employee Training Files Separation :fe~i:]f{*
requires 3 years for promotion, demotion,
Hydro Eng. + 7 years transfer, selection, or discharge; State Law Plants requires 2 -3 years; 29 CFR 1627.3(b)(ii), 8
....... CCR §3204(d)(1) et sea., GC SS12946, 34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.

Active ···•··••%fai••···•·
(in office) (Records .. F{~t~rifi~i( Center) .........

If the record is not listed here, refer to the Retention for Citv-Wide Standards Page EU-12
Comments / Reference
Retentions beqin when the act is comoleted, and imolv a full file folder (e.Q. last document+ 2 vears), since destruction is normally oerformed by file folder.

Litiqation, comolaints, claims, oublic records act requests, audits and/or investiaations susoend normal retention periods (retention resumes after settlement or comoletionl.

Electric ~ ~ ~ ~ ~ ~ ~ ! ~ ~ ~ ~ ~ ~ ~ ~~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ EU-072 Utility/ Correspondence Daily Vehicle & Equipment Safety Checks / Vehicle 2 years •<ty~arf • GC §34090 et seq. Hydro Eng. Inspections/ Daily Equipment Checks (Forklifts, etc.) :::::::::::::::::::::::>> Plants
Electric . . . . . . . . . . . . .

Life of ••••••• :lif~: rjf ••••••
EU-073 Utility/ Correspondence Equipment Certifications, Inspections, Testing, Base Equipment Eq~ipro.eni•+ Department preference; GC §34090 et seq. Hydro Eng. Readings, etc. . . 2 ........

Plants + 2 years ••:•:•.-.•Y:~~r~:•:••
Electric . . . . . . . . . .........
. . . . . . . . .

Utility/ . . . . . . . . .

EU-074 Hydro Eng. Reference Gas Pipelines, Maintenance, X-rays p ·-··>>>>:p•: . .... Department Preference; GC §34090 ·.·.·.·.·.·.·.·.·.··
Plants
Electric :::::::::::::::::::::::

Utility/ Logs: Visitor Log, Operator Log, Hydro/ Substation . . . . . . . . . . . . . . . . . . . . . . .

EU-075 Correspondence 2 years :>iv~~~• GC §34090 et seq. Hydro Eng. Logs, Shift Turnovers, etc. . . :-:-:-:-:-:-:-:.:-:-:-:-:-: Plants
Electric :)\):):)
EU-076 Utility/ Report NPDES Monitoring Reports 5 years Ix~~rS: NPDES Monitoring records required for 3 years Hydro Eng. ·.·.·.·.·.·.·.·.· . . . in Federal law; 40 CFR §§122.21, 122.41 Plants :::::::::::::::::::::: ..

Electric . . . . . . . . . . . . .

EU-077 Utility/ Correspondence Permits - Various (Pressure Vessels, etc.) Expiration + : •~~p:fr~t10.il: :+: Department preference; GC §34090 et seq. Hydro Eng. 2 years •····~•Y.~a.rs::::.

Plants . ........
.........

Electric
EU-078 Utility/ Reference Plans & Drawings / Records Drawings / "As Builts" Completion p Drafts should be destroyed; GC §34090, 34090 Hydro Eng. + 5 years Plants
Electric Statewide guidelines propose 7 years; 2 years
Utility/ Projects & Facilities: INFRASTRUCTURE Final Completion for blueprints & specifications; Statute of EU-079 Reference Specifications and Plans (Power Plants, Generators, p . Limitations is 4 years; 10 years for Errors & Hydro Eng. Property Improvements, etc.) + 2 years Omissions; CCP §§337. 337.1(a), 337.15, GC Plants §?34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive . : . : . :- :- :- :- :- :. : . :-:-:-:

Active ••:•:•:•:totai•:••••·
(in office) (Records < ~etetiticiif Center\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page EU-13
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.Q. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention oeriods (retention resumes after settlement or comoletionl.

Electric .·.·.·.·.·.·.·.·.·.·.·.·.·.

Utility/ Life of the : : : :Ut:e :ot::t~e:::

EU-080 Correspondence Regulatory Agency Correspondence Plant+ 2 ·•·•.Plant+•·2•·•· Department Preference; GC §34090 Hydro Eng. . .........

Plants years ::/:y~~ri:: i ..

Electric ://///:

EU-081 Utility/ Subject Round Sheets (Fire Extinguishers) 5 years •::::5:1-ear$: .. Department Preference; GC §34090 Hydro Eng. :::::::::::::::::::::::::::

Plants
Electric .. ..........

Utility/ Expiration of :~xpir-ati6~:ci Certificates are issued for 3-5 years; GC EU-082 Correspondence Self-contained Breathing Apparatus (SCBA) Certificate cert,ticate + Hydro Eng. + 2 years . 2 years §34090 et. seq.

Plants ..... . . . . . .

Electric :::::::<:<:<:<:>
EU-083 Utility/ Subject Underground Service Alerts (USA) Locates: Utility 5 years :\~:i,~~tl: Department Preference (the warrantee period Hydro Eng. Cuts, etc. . ........... for work done is 5 years); GC §34090 . .. .......

Plants
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

I Office of I
EU-No. Record Record Type
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive . . . . . . . . . . . . . . . . . . . . . . . . . .

Active •••••••• T:cifaf. ••••••
(in office) (Records R;~t~~ti~i( Center) ......

If the record is not listed here, refer to the Retention for City-Wide Standards Page EU-14
Comments I Reference
Retentions beain when the act is completed, and imply a full file folder (e.a. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, comolaints, claims, oublic records act requests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or completion).

RESOURCES
10 years or
: .C~9inpt~tfcii:1: Some grant funding agencies require audits; +)•o•y.~ai:f Capital Improvement Projects (GIP)/ Jobs: After :::: 9r:Atte( · Statute of Limitations for Errors & Omissions is Electric Administration File Funding • • i=~nd,ng 10 years; Published Audit Standards=4-7 years; EU-84 Upon Agency Statute of Limitations: Contracts & Spec's=4 Utility/ Project Admin Project Administration, Certified Payrolls, Construction Completion Audit, if /Agencf years, Wrongful Death=comp. + 5 years, Resources ..... :Aµqi(it Management Logs, Daily Inspection Diary, Project Schedules, required, :<t~1:i:uir.ec1::< Developers=comp. + 10 years; Statewide Progress meetings, etc. whichever is
tic~~v6:ris
guidelines propose termination + 5 years; CCP
longer §§336(a), 337 et. seq., GC §34090 .... lor.iger ...

Capital Improvement Projects (GIP)/ Jobs: Permanent
File
Electric Plans, Record Drawings/ "As Builts", Specifications, Department preference; retained for disaster EU-085 Utility/ Project Bids/RFPs, Successful Proposal, Change Orders, Upon p P·> .... preparedness purposes; Statewide guidelines Resources Inspections, Materials Testing Reports, Grading Completion propose Permanent for Infrastructure plans; GC Permits, Hazardous Materials Reports, Notice of ... §34090 Completion, O&M Manuals, Photos, Real Estate .. . . . . . . . .

Appraisals, Soils Reports, Studies, Submittals, Surveys, etc. t:tt//
):}!:!:!:}\\i):! Claim must be filed within 1 year, lawsuit within 2 years; complaints against peace officers
Electric Claims / Litigation (Specialized for Electric Utility Resolution :me:t~~r::t within 5 years; Statute of Limitations for EU-086 Utility/ Claim FERC, etc) + 5 years
contracts is 4 years; wrongful death for
Resources ........... construction is completion + 5 years; CCP §§ ... 337 et seq.; GC §§ 911.2, 945, 34090, 34090.6; . . . . . . .......... . . . PC §832.5 Electric Power Trading / Power Scheduling -:-:-:-:-:-:-:-:-:-:.:-:-:-. . . . . . . . . . . . . . . . . . . . . . . . . . .

EU-087 Utility/ Power Trading 2 years 8 years jb:y~~r-$:: Department Preference; GC §34090 Resources Counterparty Status Report .:-:-:-:-:-:-:-:.:-:.·-·.· Electric Power Trading / Power Scheduling :.:-:-:-:-:-:-:-:.:-:-:-:-:

EU-088 Utility/ Power Trading 2 years 8 years >fo::v~at(:: GC §34090 Resources Month End Risk Position and VaR Reports
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive -:<•:•:.:-:-:-:.:-:-:-:-:-
Active :•:••:•::totai:::•:•·
(in office) (Records i:R~t~ritici~• Center) -:-:-:-:-:-:-:-:-:-:-:-:-> If the record is not listed here, refer to the Retention for Citv-Wide Standards Page EU-15
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder re.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations suspend normal retention oeriods (retention resumes after settlement or comoletion).

Electric Power Trading / Power Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . .

Completion compieifoii Department Preference (auditing standards are EU-089 Utility/ Power Trading + 3 years 7 years •::+•tox~~r:$:• 5 years); GC §34090 Resources (Check Out Worksheets) . . . . . . . . . . .

Electric Power Trading / Power Scheduling :::::::::::::::::::::::

Department Preference (auditing standards are EU-090 Utility/ Power Trading 3 years 7 years \fo:year.~ 5 years); GC §34090 Resources (Confirmations, Invoices) Electric Power Trading / Power Scheduling ::::::::::::::::::::::::

EU-091 Utility/ Power Trading 2 years 8 years >}o:ye~rs Department Preference; GC §34090 Resources (Generation Worksheets) :::::::::::::::::::-:-· Electric Power Trading / Power Scheduling ::::::::::::::::::::::: Department Preference (auditing standards are EU-092 Utility/ Power Trading 3 years 7 years )}o)'e~r~ Resources (Pathing Sheets) .. 5 years); GC §34090
Electric Power Trading / Power Scheduling ::::::::::::::::::::::: Department Preference (auditing standards are EU-093 Utility/ Power Trading 5 years 5 years Jo:Ye~~{: 5 years); GC §34090 Resources (Voice Recordings) .. ..

Electric Properties - Records of Significant Historical Value .. . .

EU-094 Utility/ Reference p . . .... ::P::: . . Department Preference; GC §34090 Resources (Altamont, Benicia, Loyalton) ·.·.·.·.·.·.·.·.·.·.·. .....

Electric . . . . . . . . . . ......

EU-095 Utility/ Subject Regulatory Agency Correspondence 5 years /fyB~rf} Department Preference; GC §34090 Resources
Electric Regulatory Regulatory Filings :::::::::::::::::::::::

EU-096 Utility/ 7 years • :J:y:ea:r:f Department Preference; GC §34090 Filings ..

Resources (FERC, CEC, NERC, etc.)
Electric :::::::::::::::::::::::::::

EU-097 Utility/ Power Trading Renewables 10 years <Jo•v.e•~r.~> 17 CCR 95105 .........

Resources
Electric Risk Management Meeting Minutes / Risk Oversight :::::::::::::::::::::::::::

EU-098 Utility/ Subject 5 years ••::~:y~~f{/ Department Preference; GC §34090 Committee Meeting Minutes Resources . . . . ...

Electric Systems Support: Fiber optics / Communications / EU-099 Utility/ Reference p ............ p Department Preference; GC §34090 Leases .....

Resources
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

EU-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: ELECTRIC UTILITY
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive . . . . . . . . . . . . . . . . . . . . . . . . . .

Active ·•····••%t~i••····
(in office) (Records : ~~t~tjti~~• Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page EU-16
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention oeriods (retention resumes after settlement or completion).

Depart. : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~
EU-100 Providing Source Work Orders / Service Requests CMMS DATABASE Indefinite ••••i:nJ~tih:~~•: Data is interrelated; GC §34090 Service/ (Computerized Maintenance Management System) Work ))i))/ Work Orders / Service Requests - NOT entered in .. . .

Depart. CMMS Database (or partial information entered into ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ Providing CMMS Database) ............. City preference; CCP §§338 et seq., 340 et EU-101 Service/ Subject 5 years <:JS:yeat:f< seq., 342, GC §§945.6, GC §34090 Work (Division providing service retains originals; Division reauestina service is considered a coov)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Page FIN-1
FIN-No. Office of
I
Record Type Records Description Retention / Disposition Comments / Reference Record I Inactive ............. . . . . . . . . . . . .

I
Active :: toiai : (OFR) (in office) (Records •••Retention Center) If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.q. last document+ 2 years), since destruction is normally oerformed by file folder.

Litiqation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

FINANCE / ACCOUNTING SERVICES
Finance/ ::::::::::::::::::::::: Department Preference; IRS: 4 years after tax is due ...........

Regulatory ·.·.·.·.·.·.·.·.·.·.·.· or paid (longer for auditing & contractor delinquency); FIN-001 Accounting Filings 1099's Issued / W-9s 2 years 5 years •••••f iie.ars•• .. Ca. FTB: 3 years; 26 CFR 31.6001-1, R&T §19530, Services ::::::::::::::::::::::::::: GC §34090 Accounts Payable / Invoices and Backup "Pinks" -:-:-:-:-:-:-:-:-:-:-:-:-:- Department Preference (meets municipal government Finance/ .............. .............
and Purchase Card Statements - Originals :-:-:-:-:-:-:-:-:-:-:.:-:-: auditing standards); Statewide guidelines propose FIN-002 Accounting AP Payments 2 years 5 years •:•:•f y~ar~i:•••• Services (Includes Invoices, Travel Expense ......... audit + 4 years; Published articles show 3 - 7 years; :-:-:-:-:-:-:-:-:-:-:-:-:-: Reimbursements, Warrant Request, etc.) ............. GC §34090 . . ·.·.·.·.·.·.·.·.·.· Finance/ Accounts Receivable/ Refunds & Credits:
••••••••••••••••••••••••
•• Department Preference to meet municipal government
Accounts ............ i auditing standards and IRS guidelines for records ............

FIN-003 Accounting Receivable 2 years 5 years :•:•:fy~ar:~:: •• supporting employee and federal taxes (4 yrs after tax Services Web Credit Card Payment Transfers, AIR Description Listing, Bank Group Setup, Payment Methods Setup, etc. : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~ ; ; ! ; ! ; ! ! ! ! ! ! ! ! ! ! ! ! ! ! ~ ! ! ;
:: is due or paid); 26 CFR 31.6001-1; GC §34090
Finance/ Accounts Receivable: Rent / Property ............ ............ •: Department Preference; (meets municipal government . . . . . . . . . . . .

Accounts Management, Damage to Public Property, Invoices ............ •• auditing standards); Statewide guidelines propose ............ . . . . . . . . . . . .

FIN-004 Accounting Receivable to Outside Entities, Transient Occupancy Tax 3 years 4 years fy~ar:$ : audit + 4 years; Published articles show 3 - 7 years; Services ........... . . . . .. . . . . . . . . . . . . . . . .
(TOT),BINGO ... , etc. : GC §34090 . .......... . . . . . . . . . . . . . . . . . . . ... . . . . . . ... . .

Finance/ Audit Reports / CAFR - Comprehensive Annual
·••:••::::>••·· FIN-005 Financial Auditor Reports Financial Reports 3 years 4 years •••••f •Ye:~rii / Department Preference to meet municipal government Services ........... : : audit standards; GC §34090

WORKING PAPERS
Finance/ Audit Reports / CAFR - Comprehensive Annual FIN-006 Financial Reference 5 years p - Department Preference; GC §34090 Financial Reports and related Audit Opinions .r.· Services
Finance/ Audit Reports / Single Audits/ Transportation Department Preference (meets municipal government FIN-007 Financial Reference 5 years p Audits / PERS Audit, et. auditing standards); GC §34090 Services Finance/ Bank and Trustee Statements, Outstanding Check ......... . . . . . . . . . . . . . . . . . .

Cashiering ......... Department Preference; Published articles show 3 - 4 . . . . . . . . .

FIN-008 Accounting Management Lists, Daily Cash Summaries, Bank Deposits, Bank 2 years 3 years sjear.$ years; GC §34090, 26 CFR 31.6001-1 Services Transmittal Advice, Cashier's Reports Finance/ Cashiering Department Preference; meets municipal government FIN-009 Accounting Checks / Warrants (Cashed) 2 years 3 years Services Management auditing standards; GC §34090, CCP § 337 Finance/ Conversion of FMIS Data (Legacy Financial FIN-010 Accounting Reference 5 years p Department Preference; GC §34090 Services Application)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Page FIN-2
FIN-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record ~ Inactive .............

Active i~t~i:
(OFR) (in office) (Records • • ii~1eJti6ri Center\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beoin when the act is completed, and imply a full file folder (e.o. last document+ 2 vears), since destruction is normally performed by file folder.

Litioation, complaints, claims, public records act requests, audits and/or investioations suspend normal retention oeriods (retention resumes after settlement or comoletionJ. ............. .............. Department preference; All tangible property held by . . . . . . . . . . . . .

Finance/ ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~ government agencies escheats after 3 years; Statute Cashiering Escheat (Unclaimed money/ uncashed checks) .·.·.·.·.·.·.·.·.·.·.·.·.·.

FIN-011 Accounting 2 years 3 years : •: •: • 15 yeari: •: •: of Limitations is 1 year for seized property; Meets Services Management
•••••••••••••••••••••••••••
auditing requirements; CCP §§340(4), 1519; GC
§34090
Finance/ Financial Systems Databases FIN-012 Accounting Source Indefinite irid~flr.ii~ Data Fields/ Records are interrelated; GC §34090 PEOPLESOFT/HARRIS ............

Services ...........
. . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.

Finance/ ::::::::::::::::::::::: < Includes permanent assets (for compliance with GASB FIN-013 Accounting Auditor Reports Fixed Assets - Annual Listing (Source Documents) 7 years ···••?~~~i~•· - . . . . . . . . . . ::: 34); GC §34090 Services . . . . . . . . . . . .

Finance/ General Ledger: Final year-end AND Chart of ................... FIN-014 Accounting General Ledger Accounts I Organization Structure (Print out when 5 years 5 years •:iifye~r~ Published articles show 3 -10 years; GC §34090 ..

I Services Rollover is Done)
Finance/ Journal Entries / Journal Vouchers / Budget : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~ Department Preference; meets municipal government FIN-015 Accounting General Ledger Transfers 3 years 7 years •• )o y~~r~• auditing standards; Statute of Limitations is 4 years; Services ............. statewide guidelines propose Audit + 5 years; GC Includes Supporting Documentation ::::::::::::::::::::::::::: ......... §34090, CCP § 337 - . . . . . . . . . . . .

Finance/ . . . . . . . . . . . . . - . . . . . . . . . . . ............ Department preference; statewide guidelines propose FIN-016 Accounting Report Metaviewer Reports 5 years 5y~~f:{ Services .·.·.·.·.·.·.·.·.·.·.·.·. · 2 years; GC §34090 ............ . . . . . . . . . . . . .

Reports, Subsidiary Ledgers, Reconciliations, :::::::::::::::::::::::::

Registers, Transaction Histories, Balance Sheets, /)) . ) Transitory records not retained in the ordinary course Finance/ Proof & Merge Reports, Labor Distribution, etc.

FIN-017 Accounting Auditor Reports (MONTHLY OR PERIODIC) 7 years ···••Jy~~~~:••· of business Financial system qualifies as a trusted system and can re-create reports accurately; Services ::::::::::::::::::::::::::: statewide guidelines propose 2 years; GC §34090 Does NOT include year-end General Ledger, or those in the Metaviewer database. . - . . . . . . . . . .

Finance/ Reports: Annual State or Federal: - ........... :-:-:-:-:•:-:•:-:•:->:- Department Preference; Meets auditing standards; GC FIN-018 Accounting Report 5 years <s\i~~r:f •• §34090 .........

Services State Controller's Report, Street Report, etc. ·.·.·.·.·.·.·.·.·.·.·.·. ·.·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . . . . . . . . . . . . .

Finance/ Special Assessments: Engineers Report & ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: Department Preference; (meets municipal government FIN-019 Accounting Subject Correspondence, Audit Records, Treasurer 2 years 3 years :•••••s•ii~~/;,•• auditing standards); Statewide guidelines propose audit + 4 years; Published articles show 3 - 7 years; Services Records .·.·.·.·.·.·.·.·.·.·.·.·.·. GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FIN-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .............
. . . . . . . . . . . .

Active : : : : : : : t6:fa:i:::: ·:
(Records ............
(in office) Center\ • R~te~tioii ·
Page FIN-3
Comments I Reference
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normallv performed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completionJ.

FINANCE I ACCOUNTING SERVICES/ PAYROLL
Finance/ ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~
FIN-020 Accounting Subject Checks / Warrants - Cancelled - Payroll Only 2 years 3 years ••·••sy~ar.t•••· Department Preference; Published articles show 3 - 4 Services/ years; GC §34090, 26 CFR 31.6001-1
Payroll
•••••••••••••••••••
Finance/ Department Preference; IRS: 4 yrs after tax is due or . . . . . . . . . . . . . - Accounting Regulatory DE-6&941 Forms - Quarterly Payroll Tax Returns ......................... ·. paid; Ca. FTB: 3 years; Articles show 7 years; IRS FIN-021 2 years 5 years Services/ •:•••Yii~~ti:i•:••• Filings / OASDI ......... Reg §31.6001-1 (e)(2), R&T §19530; 29 CFR 516.5 - ::::::::::::::::::::::::::: Payroll ............. 516.6, 29 USC 436, GC §34090 Finance/ ::::::::::::::::::::::

Accounting Deduction Files (Deferred Compensation, PERS, ........... / Department Preference; Preliminary documents used FIN-022 Services/ Auditor Reports etc. 7 years ·•·•·f~~ars. :< to facilitate Payroll deductions; GC §34090 et seq.

Payroll
Finance/ ::::::::::::::::::::::::::: Produced by Deferred Comp. Provider; consistent with Accounting .............. proposed statewide guidelines; published articles for FIN-023 Auditor Reports Deferred Compensation (City Statements) 2 years 5 years Services/ •••••1;~~r.s•••••• bank statements show 4 -7 years; GC §304090, 26 Payroll :::::::::::::::::::<:>: CFR 16001.1
::::::::::::::::::::::::::: Department preference; Meets auditing standards ..............

Human Temporary Separation + ••:::s~not◊••••· (audit+ 4 years); IRS requires 4 years; Ca. requires 2 FIN-024 Payroll Employee File <Human > yr min.; FTB keeps 3 years; Published articles show 4 Resources Holding 2 years ::ReSO(lr(i~~·· 10 years; 26 CFR 31.6001-1, R&T §19530; LC§ ::::::::::::::::::::::::: 1174(d); 29 CFR 516.5; GC §34090 ·.·.·.·.·.·.·.·.·.·.·.·.· Department preference; PERS Buy-backs are . . . . . . . . . . - . . : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: reconstructed through Human Resources; Department Finance/ •••••s~~cit6•:• : preference; Meets auditing standards (audit+ 4 Accounting Temporary ·.·.·.·.·.·.·.·.·.·.·.·.· FIN-025 Payroll Employee File 2 years 3 years • •:•: :Huma:ri: •: • • years); IRS requires 4 years; Ca. requires 2 yr min.; Services/ Holding • • Res-0i:ifr::iis • • FTB keeps 3 years; Published articles show 4 -10 Payroll :-:-:-:-:-:-:-:-:-:-:-:-:-:
-:-:-:-:-:::::::::::::::::: years; 26 CFR 31.6001-1, R&T §19530; LC§ 1174(d); 29 CFR 516.5; GC §34090
Finance/ : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~:

Accounting .............

FIN-026 Auditor Reports PERS Statements 2 years 5 years :7:Y~~rs • Department Preference; GC §34090 Services/ ............

Payroll
Finance/ :-:-:-:-:-:-:-:-:-:-:·-: ...........
·.·.·.·.·.·.·.·.·.·.·.·
Accounting ............
...........

FIN-027 Routine Salary Schedules 4 years •::••AY~i=irii• Department Preference; GC §34090 Services/ . .. .. -· ..... ..

Payroll
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FIN-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .............

Active : : : r:rit~i
(in office) (Records R~1e~tib:ii Centerl
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FIN-4
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normally oerformed by file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion). >:.:.
............. >:. >:.: < <.:.:.:.: Department preference to facilitate grant audits or Finance/ : : ! : : : ~: ~::: ~: ~ ! ; ~ ~: ~:::: ! : claim reimbursements; Meets auditing standards FlN-028 Accounting Regulatory Time Sheets / Time Cards / Overtime Sheets / 2 years 8 years •:•: 19 y~ar$•:•: (audit+ 4 years); IRS requires 4 years; Ca. requires 2 Services/ Timekeeping Overtime Cards - Hardcopies ·.·.·.·.·.·.·.·.·.·.·.·.·. Iyr min.; FTB keeps 3 years; Published articles show 4 Payroll ·.·.·.·.·.·.·.·.·.·.·.·.·. 10 years; 26 CFR 31.6001-1, R&T §19530; LC§ ·.·.·.·.·.·.·.·.·.·.·.·.·. ::::::::::::::::::::::::::_ 1174(d); GC §34090
Finance/ : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: .............. . ·.·.·.·.·.·.·.·.·.·.·.·.· Accounting Time Sheets / Time Cards / Overtime Sheets/ .............

FIN-029 Services/ Source Overtime Cards - Peoplesoft (electronically) Indefinite : i ntj~n11 ifo : Department Preference; GC §34090 Payroll
Finance/ Department Preference; IRS: 4 yrs after tax is due or I Accounting paid; Ca. FTB: 3 years; Articles show 7 years; 26 CFR FlN-030 Reference W-2's 2 years p .I,' Services/ 31.6001-1, R&T §19530; 29CFR 516.5 - 516.6,
Payroll o/9USC 436, GC §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FIN-No. Office of Record Type Record I

I (OFR) I
I
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive ............
. . . . . . . . . . . . .

Active :Tofai ·
(in office) (Records i:{eteii~ibri - If the record is not listed here, refer to the Retention for City-Wide Standards Page FIN-5
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.a. last document+ 2 years) since destruction is normally performed by file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

FINANCE/ BUDGET & TREASURY
I :-:.:.:-:.:-:-:-:->>>>> Department Preference; Statute of Limitations for ! Finance/ Bond Official Statements / Certificates of Cancellation, C~nc~Hafioti:; bonds, mortgages, trust deeds, notes or debentures is I i Budget & Bonds Debt/ kec1enibtrciri 6 years; Bonds issued by local governments are 10 FIN-031 Treasury & Interest Participations (COPs) See Bank Statements for Redemption 10 years • ~r rv1ati:irit~i.:f years; There are specific requirements for disposal of City Clerk statement retention. or Maturity
···•••1oyears···· unused bonds; CCP §§336(a)(1) & (2), 337.5(2); GC §43900 et seq . . . . . . . . . . . . . . .

Budgets - Adopted / Final ...............
. . . . . . . . . . . . . .

FIN-032 City Clerk Correspondence copies 2 years ··•···•~xeafi···•·• Copies; GC §34090.7 Finance I ..............
. . . . . . . . . . . . . . .

Budgets - Preliminary, Backup Documents, . ·.·.·.·.·.·.·.·.·.·.·.·.·.·.

FIN-033 Budget & Subject 2 years 3 years •••••••isyears••••• Department Preference; GC §34090 Treasury Working Papers .............

Finance/ :::::::::::::::::::::::::::::

FIN-034 Budget & Reference Compliance Reports (Arbitrage Audits, etc.) 5 years p .- ........... :p ........... .............. Department Preference; GC §34090 . . . . . . . . . . . . . .

Treasury .·.·.·.·.:-:-:-:-:-:-:-:-:-:

Financial Status Reports (to Council) :-:-:.:-:-:-:-:.:-:-:-:-:-> FIN-035 City Clerk ! Correspondence copies 2 years >2years Copies; GC §34090.7 Finance/ ..............
..............
. .. . .. . .. . . . , .

FIN-036 Budget & Agreements Ground Lease Tracking Completion P◊t~~i~1tt Department preference; GC §34090
I Treasury + 5 years ..............

Finance/ Department preference for liability purposes; CCP FIN-037 Budget & Reference Insurance Policies for Electric Utility Plants (Alliant) 5 years p Treasury §337 et seq.; GC §34090
Finance/ ·.·.·.·.·.·.·.·.·.·.·.·.·.·
..............
. . . . . . . . . . . . . . . . . . . . . . . . . . .

FIN-038 Budget & Reference Insurance (Self-Insurance) p ·•·•:•:•:•:•••p••·•·•···· ............. Department preference; GC §34090 Treasury .............
~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ Department Preference; Meets auditing standards; . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Finance I Investments/ Arbitrage/ Bonds (Receipts/ Advisor ............. Published articles show disposal + 7 years for security Bonds Debt/ • • • ivi~t~tity / • FIN-039 Budget & Interest Reports and Statements/ Trade Tickets/ LAIF Maturity 10 years •••••1oy~ars•• brokerage slips; statewide guidelines propose Treasury (Local Agency Investment Fund) •:•:•:•:•:•:•:•:•:•:•:•:•: permanent; FTC Reg's rely on "self-enforcement"; :::::::::::::::::::::::::: GC§_§ 34090, 43900 ·.·.: .. ·.·.· ·.·.·.·.·.·.·.

Finance I ·.·.·.·.·.·.·.·.·.·.·.·.· .

Regulatory Statement of Indebtedness/ Annual Report to . . . . . . . . . . . . . .·.·.·.·.·.·.·.·.·.·.·.·.· FIN-040 Budget & 7 years •••••• 1: years••• Department preference; GC §34090 Treasury Filings State I State Controllers Report . . . . . . . .

Finance I .............
:•:•:•:•:•:•:•:•:•:<<•:•
User Fee Studies/ Cost Allocation Plan / Right-of- ............. . . . . . . . . . . . . .

FIN-041 Budget & Subject Way Studies 5 years •• fyeaw: Department preference; GC §34090 Treasury
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FIN-No. Office of Record Type Record
i
(OFR)
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description Retention I Disposition
I Inactive .............

Active ·•·•·••r:6t~i•:••·
I
(Records ............
(in office) Cent0 r' • • Reteii#6i1
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FIN-6
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litioation, comolaints, claims, oublic records act reauests audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

FINANCE/ MUNICIPAL SERVICES/ CASHIERING & CONTACT CENTER .............

Cashiering Management: ~ ............
~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ Finance/ Applications for Credit Cards, Applications of CC ::::::::::::::::::::::::: Department Preference to meet municipal government .............

Municipal Cashiering Change, PAP Applications or changes, PC Charges, ............ auditing standards and IRS guidelines for records FIN-042 2 years 3 years /fy~ati Services/ Management Daily Balancing Worksheets, Transit-log Report / CRC :::::::>:>::::::::::::: supporting employee and federal taxes (4 yrs after tax Cashiering Worksheet, HB Electronic Hardcopy, VR/WEB POS is due or paid); 26 CFR 31.6001-1; GC §34090 . . . . . . . . . . . . .

Sales Reports/ Excel Worksheets, Auto Credit Card .............. ::::::::::::::::::::::::::: Receipts, Armored Truck Manifests Log Books . . . . . . . . . . . - . . . . . . . . . . . . - . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............. . . . . . . . . . . . . . .

Finance/ -:-:-:-:-:-:-:-:-:-:-:-:-:- Stubs with Change Requests and Incoming White .............. . . . . . . . . . . . . .

Municipal Final Audit + ft:~=~~tt FIN-043 Services I Correspondence Mail/Written Requests (when payment is 2 years Preliminary Documents; GC §34090 et seq.

Cashiering submitted)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FIN-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive :-:-:•:-:-:-:-:-:-:-:-:-:- Active •:•:•:•::T:ota1:·:•· (Records .............
(in office) Center\ <~~~~~tior.i
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FIN-7
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.o. last document+ 2 vears), since destruction is normallv performed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or comoletion).

FINANCE I MUNICIPAL SERVICES/TAX & LICENSE
Finance/
Municipal :)//////) Business License Applications, Registrations and FIN-044 Services I Business Taxes 2 years 3 years :•:••••$y.e~i:s•:•::: Meets auditing standards; GC §34090 et seq.

Tax& Renewals, Affidavit of Business License . ·.·.·.·.·.·.·.·.·.· .. ....

License
Finance/ ))))i))i Municipal . . . . . . . . . . . . . . . . . . . . . . . . .. . ..

FIN-045 Services I Logs Business License Citation Logs 3 years •::•••j:i~~r$ ••• • Department preference; GC §34090 Tax& ::::::::::::::::::

License .........
. . . . . . . . . . . . . . . . . .

Finance/ :///:) Municipal
FIN-046 Services/ Source H.D.L. Business License Files Indefinite ::::: fn:definffo:::: Department preference; GC §34090 Tax& . . . ..

License ..

Finance/
Municipal Reports, Subsidiary Ledgers, Reconciliations, Transitory records not retained in the ordinary course Registers, Transaction Histories, Balance Sheets, of business Financial system qualifies as a trusted FIN-047 Services/ Non-Record Proof & Merge Reports, etc. (MONTHLY OR None .... None:: system and can re-create reports accurately; Tax& ·.·.·.·.·.·.·.·.·.·.·.·.·.·.· License PERIODIC) ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ! ~ statewide guidelines propose 2 years; GC §34090 ............

FIN-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description I Retention / Disposition
Active
(in office)
Page FIN-8
Comments/ Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder.

Litiqation, complaints, claims, public records act requests audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

FIN-048
FIN-049
FIN-050
FIN-051
FIN-052
FIN-053
Finance/
Municipal
Services/
Utility
Billing
Finance/
Municipal
Services/
Utility
Billing
Finance/
Municipal
Services/
Utility
Non-Record
Collections
Collections

FINANCE/ MUNICIPAL SERVICES/ UTILITY BILLING
Accounts Receivable - Utility Accounts Receivable:

AIR Aging, Account Deposits, Archived GIL Postings,
Trial Balance, Credit Balance Detail Report, Credit
Balance Summary, G/L Posting Accounts, Trial Balance
by Detail, AIR Aging
Bankruptcies
Collection Agency Assignments / List of Unpaid ,
Accounts
None
7 years
7 years
Transitory records not retained in the ordinary course
of business Financial system qualifies as a trusted
system and can re-create reports accurately;
statewide guidelines propose 2 years; GC §34090
Department Preference to meet municipal government
!auditing standards; GC §34090
••••••••••••••••••••••••• ~:=i~~~~t::~;~~!~~~s ~~;;t~v~ 0c~:~i:~~~::1:tion > J:y~ars > • auditing standards; City does not Lien property (Liens Debt Collection Listing, Debt Collector Payments, Return •••::::>• : >:: :•>• are good for 10 years from recording date, and may be Billing
Finance I
--+--------+P_a_y_m_e_nt_s--------------~s---------+--------•~ • / • • extended by re-recording lien); WC 36729; GC §3409( Municipal
Services I Agreements
Utility i
Billing i
Finance/
Municipal
Services/ Subject
Utility
Billing
Finance/
Municipal
Services I Report
Utility
Billing
CSA Agreements
Medical Rate Assistance Applications
Metaviewer Reports - Utility Billing Only/Meter
Reading
Meter Reading Verification, MVRS Code/ Messages
Report, Cycle/Rout/Walk Verify Lists, Demand History
Report, Electric Meter Adjustment Listing, Electric Meter Listing, Electric Reading History
Completion
+ 5 years
5 years
5 years
:::::::::::::::::::::::::::
• c~cti~i~tio.ii Department preference; GC §34090 :••/$year:s::• / : • .... Department preference (meets auditing standards); / 5 Yfars \ GC §34090 .............
:-:-:-:-:-:-:-:-:-:.:-:.:- ..........
. . . . . . . . .
; : ; : : :~: ~: ~:;: ~: ~: ~: ~: ~: ~:
::::::::::::::::::::::::::
••••:sy~ar-s:•:• .........

Department preference; statewide guidelines propose
2 years; GC §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FIN-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
Inactive < \r~il
(Records •• Rete~tion
Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page FIN-9
Comments I Reference
Retentions beain when the act is completed, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, public records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or completion) . . . . . . . . . . . . . .

Finance/ :::: : >
FIN-054
FIN-055
FIN-056
FIN-057
FIN-058
FIN-059
Municipal
Services/
Utility
Billing
Water
Utility
City Clerk
Source Municipal Services Database (Itron)
Correspondence Portable Water Permits (copies)
Rates
Correspondence Electric Rates Listing, Fault Rates Listing, Sewage Exempt & Discount List, Sewage Rates, Water Rates
--+--------+-L_is_t_ing (copies)
Finance/
Municipal
Services/
Utility
Billing
Finance/
Municipal
Services/
Utility
Billing
Depart.

Providing
Service/
Work
Agreements
Non-Record
Refuse Agreements
On Call Bin Contracts, Long Term and Temp Bind
Contracts, Temporary Cart Change Authorization Forms
Reports, Subsidiary Ledgers, Reconciliations,
Registers, Transaction Histories, Balance Sheets,
Proof & Merge Reports, etc. (MONTHLY OR

PERIODIC)
Does NOT include those in the Metaviewer
database.

Correspondence Service Orders (copies)
This material is protected by a copyright held by Gladwell Governmental Services Inc., Indefinite
2 years
2 years
Completion
+ 5 years
None
2 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. .............
.............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ind~firiiti Data Fields/ Records are interrelated; GC §34090 .............
. . . . . . . . . . . .
2 y~iirs • GC §34090.7
.............
............
:::::::::::::::::::::::::
¢onipletiqii
............. ••+•$•Wars••
::i years
Department preference; GC §34090
Transitory records not retained in the ordinary course
of business Financial system qualifies as a trusted
system and can re-create reports accurately;
statewide guidelines propose 2 years; GC §34090
GC §34090.7
FIN-No. Office of I
Record Record Type
I
(OFR) i
I
RECORDS RETENTION SCHEDULE: FINANCE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .............
. . . . . . . . . . . .

Active (Records •••••••t&tai•••••
(in office) • • ii~te~tion Center\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FIN-10
Comments I Reference
Retentions be_qin when the act is completed, and imply a full file folder (e.a. last document+ 2 vears), since destruction is normallv performed bv file folder.

Liti.aation, complaints, claims, public records act requests, audits and/or investi.aations suspend normal retention periods (retention resumes after settlement or completion).

FINANCE I PURCHASING
uepartment Preference (Professional Services always
:: •:••••:••::::••·
!have a contract, therefore Errors & Omissions are not
!applicable); Statewide guidelines propose completion
Finance/ 5 years for non-capital improvement contracts & FIN-060 Subject Purchase Orders / Requisitions / Successful Bids 3 years 2 years -· :'.:ompletion + 4 years for transportation and Purchasing . ..J· "'"· oncessionaire agreements. Statute of Limitations is
,= years; 10 years for Errors & Omissions; CCP §§337.
337.1(a), 337.15, 343; GC §34090
Finance/ Purchasing - Bidder/ Vendor List (Companies that 1 ransitory Record used to mail out requests; GC FIN-061 Correspondence 2 years "?·_J_ ••,::.

Purchasing want to receive RFPs / RFQs) 34090 et seq.

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Page FR-1
FR-No. Office of
Record Record Type Records Description Retention / Disposition Comments / Reference o--------t-------+--------+---------------------+---------~ ............ 11----------------------ll Inactive :<tot~i:
(Off-site, R~t~nti<lii
OD or Mfr\ · · · · · · · · · · ·
(OFR)
If the record is not listed here, refer to the Retention for Citv-Wide Standards Active
(in office)
Retentions beain when the act is comoleted, and imolv a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, claims, comolaints, audits and/or investiqations suspend normal retention periods (retention beqins after settlement).

ADMINISTRATIVE SERVICES
FR-001 Fire/ Admin.

FR-002 Building
FR-003 Fire / Admin.

Reference Annual Reports/ Fire Incident Statistics
Reference
Regulatory
Filings
Building Plans for Each Fire Station
copies
Department of Homeland Security (DHS)/FEMA
Reimbursements
p
p
7 years
"' ·>::: Retained for historical and administrative value; - : GC §34090
Department preference; GC §34090.7
Department preference to allow for FEMA audits
(up to 6 years & 3 months from the date of the
final inspection report); Uniform Admin.

Requirements for Grants to Local Governments is
3 years from expenditure report or final payment o
grantee or subgrantee; statewide guidelines
propose 4 years; (Also See Grants on City-wide);
---------t----------j------+------------------------+-----+--------11~~~~•G_C_§.34090 et seq.

FR-004 Fire/ Admin. Correspondence Emergency Plans/ Disaster Preparedness Manuals, etc. Sup2erseded ~up~r~e1e< Department Preference; GC §34090 et seq.

FR-005 Fire/ Admin.

I
FR-006 Fire / Admin.

Reference
Report
+ years -:-+:-2:years-:

Fire Chief Directives P P.: :::: : Department preference; GC §34090 ISO Insurance Ratings (Insurance Services Office) Superseded Si.Jpers:ecle¢ Department Preference (rated every 1 0 years); + 5 years / 5 y~ars: GC §34090 a---------t--F-ir_e_/_L_e_ad-+-----------+----------------------+--~---+-----m".~--.~-.-~.-.-c"'-c._.~_-_~-.-~.-.~-.11--~------------------11 FR-007 Division Report Monthly Division Reports 5 years 5 y~~t(: GC §34090 et seq .

FR-008 City Clerk Correspondence Mo~thly Run Reports / Department Activity Reports copies
FR-009 City Clerk Correspondence Mutual Aid Agreements, Joint Power Authorities FR-010 Fire/ Admin. Correspondence Release of Liability Forms FR-011 Fire/ Admin. Incident Reports Request for Incident Report Form This material is protected by a copyright held by Gladwell Governmental Services Inc., 2 years
2 years
2 years
2 Years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. . . . . . . . . . . . .
2 Y:~~rs{ Preliminary draft/ copy; GC §34090 et seq.
::::: ::::::::::::: Originals Maintained by City Clerk Permanently; <z:i,i~ars:: Gc §34090.7 ............ :: 2 y~ars:.:: Ride-a-long/Observer Applications
:-:::::-:-: :-:-:-· HEAT Program Participants; GC §34090 et seq. >2Years Department preference; GC §34090
FR-No. Office of Record Type Record
(OFR)

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Records Description Retention I Disposition
............

Inactive ............
. . . . . . . . . . . .

Active > to:ta:c<
(in office) (Off-site, •R~t~nti~n OD or Mfr)
Page FR-2
Comments I Reference
~,ni is not listed hero, roferto the Retention for CUv-Wide Standanis s beqin when the act is comDleted, and imfJIV a full file folder (e.o. last document+ 2 vears), since destruction is normallv {Jerformed bv file folder. ,-.J::,;rn,. Nlmnl::iints audits and/or investiaations susoend normal retention oeriods (retention beains after settlement).

FIRE PREVENTION
California ............
............

Fire/ Fire ·.·.·.·.·.·.·.·.·.·.·.·.
............

FR-012 Prevention Unified Program Above ground storage tank program 5 years ·•·•·•·•·••p••·•·•···· Department preference; GC §34090 Agency ::::::::::::::::::::::::

Fire/ Fire :::::::::::::::::::::::: . . . . . . . . . . . . Department Preference; California Fire Code Prevention & :-:-:-:.:-:-:-:.:-:-:-:-: ............

Annual Fire Life & Safety Inspections: Notice of . . . . . . . . . . . . . requires 5 years; Allows the removal and purging . . . . . . . . . . . . .............

FR-013 Operations / Inspections Violations I Citations 10 years •••tP\i~iirs•• lof these records in the event the address file is too Suppression . . . . . . . . . . . . ............. . . . . . . . . . . . . ............. large; CFC §104.3.2, §104.3.4, GC §34090 .. . . . . . . . . . . (Stations) ::::::::::::::::::::::::·
............
. .. . . . . . . . . . . . . . . . . . . . . .

Finance/ . . . . . . . . . . . . ............
. . . . . . . . . . . . ............ California Fire Code requires 5 years; Allows the . . . . . . . . . . . .

Municipal Annual Fire Life & Safety Inspections: Business Life of •••••t:rfe•ot•••• removal and purging of these records in the event FR-014 Services/ Inspections Inspections Building+ • a~udins\ the address file is too large; CFC §104.3.2, Tax& (Maps, Photos & Plans) 10 years tOy~~f:$ ............ §104.3.4, GC §34090 License ............ . .. . . .. .. .. . ·.·.·.·.·.·.·., .. ·.·.·.·.

Fire Code Permits I Special Event Permits (assembly ............

Fire I Fire Expiration+ Ek¢.ir.atio~\ FR-015 Prevention Correspondence permits, candle permits, fireworks permits tent permits, 2 years ••••2year-if•••· GC §34090 et seq. fire hydrant use, open flame, etc.) ............

Department Preference (no statute of limitations
Fire/ Fire on these incidents/crimes); California Fire Code FR-016 Reference Fire Incident Reports - Capital Crimes (Arson, etc) p -~ Prevention requires 3 years; CFC §104.3.2, §104.3.4, GC §34090
Fire/ Fire Life of > Ufe)iF California Fire Code requires 3 years; CFC FR-017 Prevention Report Fire Incident Reports - Other than Capital Crimes Building+ 5 13~1idihS:f $ §104.3.2, §104.3.4, GC §34090 years •····•y$~ri)••··•· Fire/ Fire ............ ............

FR-018 Reference Fire Lane Program p •·•••••••••P••:.:·•··· Department preference; GC §34090 et seq. Prevention ............ :-:-:·:•:•:•>:•>:•:•:•.

FR-019 Fire/ Fire Correspondence Fire Marshal Approvals Completion C.ompi~tion Department preference; GC §34090 et seq. Prevention + 2 years ••+¥yiar:s• FR-020 Fire/ Admin. Source Fire Prevention Database (HdL) Indefinite !r:rd~fii:lifo Data is interrelated; GC §34090 et seq.

Fire/ Fire ...........

FR-021 Reference Fire Prevention Permits p •···•·•·••p•••······ • Department preference; GC §34090 et seq. Prevention ...........

Fire I Fire
:::::::::::::::::::::-::

FR-022 Prevention Source Inspection Database Indefinite ihdefihite• • Data Fields / Records are interrelated; GC §34090 ... Department Preference (no statute of limitations
FR-023 Fire I Fire Reference Investigation Reports - Capital Crimes & Suspected p 10n these incidents/crimes); California Fire Code Prevention Capital Crimes (Arson, etc) ... requires 3 years; CFC §104.3.2, §104.3.4, GC . · .· . ··• §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE - FIRE Page FR-3
SANTA CLARA, CA. I Office of FR-No. Record Record Type Records Description Retention I Disposition Comments I Reference Inactive <<<->>>>:-:.:.:-:

Active >total (OFR) (in office) (Off-site, •R¢t¢nti~~ OD or Mfr\ If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, claims, comolaints, audits and/or investiaations susoend normal retention oeriods (retention beains after settlement).

Fire/ Fire Investigation Reports - Criminal & Citations ::::::::::::::::::::: ••• Department Preference; California Fire Code FR-024 Report (Administrative, Infraction, or Misdemeanor), Service 5 years fi~ar:$ ••• requires 3 years; CFC §104.3.2, §104.3.4, GC Prevention Requests .......... ·•· §34090
Fire/ Fire Investigation Reports - Industrial Accidents (in Private ·······••:••········
< Department Preference; California Fire Code
FR-025 Report 5 years /sy~~~s ••• requires 3 years; CFC §104.3.2, §104.3.4, GC Prevention Businesses) ~34090 Fire/ Fire Knox Box Program (Copy of Application, Site Map, Life of ••••••UfeoF•• !Preliminary Drafts or Copies (Knox Box has the FR-026 Subject Original Hold Harmless Agreement and Inventory Building+ 5 auiieiin~f i Prevention ............ !original Applications); GC §34090 et seq. Update Forms) I years ••••••Years•••••· Fire/ Fire Programs and Projects (e.g. Fire Service Day, EMS, .·.·.·.·.·.·.·.·.·.·.·.·.

FR-027 Correspondence 2 years •••• iy~ars·•·· Department Preference; GC § 34090 et seq. Prevention etc.) Fire/ Fire Public Information/ Education (when produced .·.·.·.·.·.·.·.·.·.·.·.· FR-028 Prevention Correspondence internally-) 2 years ••••2y~r.s••• Department Preference; GC §34090 Vehicle Log / Daily Safety Checks / Daily Work Reports / .·.·.·.·.·.·.·.·.·.·.·.· FR-029 Lead Dept. Correspondence 2 years ••••2year.i••• GC §34090 Vehicle Inspections/ Daily Equipment Checks <<<<<<<<<-:.:-:

Fire/ Fire ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~:::

Prevention .........

FR-030 OR Subject Weed Abatement I Complaints 5 years > $years . . . . . . . . . . . Department preference; GC §34090 Electric
Utility
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Page FR-4
FR-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.·
Active ·····•••ifofai••···•·• (OFR) (in office) (Off-site, :R~:t~riti~r( OD or Mfr\ If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, claims, comolaints, audits and/or investiaations susoend normal retention oeriods (retention beains after settlement .

HAZARDOUS MATERIALS ...........

Fire/ California -:-:-:-:-:-:-:-:-:-:-:
...........

FR-031 Hazardous Unified Program Above ground storage tank program 5 years ············•p••·•··
Department preference; GC §34090 :::::::::::::::::::-:- ...

Materials Agency
Fire/ :::::::::::::::::::::::::

FR-032 Hazardous Citations Administrative Enforcement Orders & Citations 5 years :jyear(/ Department Preference; GC §34090 et seq.

Materials . . . . . . . . . . . . . . . . . . . . .

Fire/ California ...

FR-033 Hazardous Unified Program Cal-Arp Risk Plans 5 years p .... ••r•••·•·•· ••• Department Preference; GC §34090 et seq.

Materials Agency ;!;!!!!!!!!!!!!!;!;:;:!:

Fire/ Regulatory ::::::::::::::::::::::::

FR-034 Hazardous Correspondence with Regulatory Agencies 25 years • z.5jear:S: • • • Department Preference; GC §34090 Materials Correspondence
Fire/
UP FR-035 Hazardous Reference CUPAAudits 10 years p Department Preference; GC §34090 et seq.

Materials
Fire/ Regulatory CUPA Self-Audit, State Summary Report :::::::::::::::::::::::::::: Department Preference (5 years is required); GC FR-036 Hazardous 7 years ·•·•••ty~iir:i:i••···· §§34090, 60201 et seq.; 27 CCR 15188(a), Materials Filings (CUPA - Certified Unified Program Agencies) 15280(a)(2) Fire/ California Department Preference (5 years meets municipa FR-037 Hazardous Unified Program Financial Assurance Records 5 years p ............ p government auditing standards); GC §34090 Materials Agency ......

Fire/ Groundwater Remediation / Quarterly Groundwater Remediation Rern$oiatkifr FR-038 Hazardous Report Complete+ •• ~iompi~iei \. Department Preference; GC §34090 et seq.

Materials Reports 5 years •••••••~•year.s••••• Fire/ California ......... .........
. . . . . . . . . . . . . . . . . . . . . . . . . . .

FR-039 Hazardous Unified Program Hazardous Material Business Plans (HMBPs and SPCC) 5 years p ·•·········· P.••
..... Department Preference; GC §34090 et seq.

Materials Agency
Fire/ California
FR-040 Hazardous Unified Program Hazardous Waste Inspections 9 years p •••••••P•> Department Preference; GC §34090 et seq.

Materials Agency ..

Fire/ ..

Regulatory . . . . . . . . . . . . . . . . . . . . . . . Department Preference (5 years meets municipa FR-041 Hazardous Quarterly State Surcharge Records (SB14) 7 years .. tv.e~(.i••••·· Materials Filings . . .. . . . . . . government auditing standards); GC §34090 . . . . .

Fire/ California Tiered Permitting / Permitted Industrial User Files - ALL Close of Department preference; NPDES Monitoring FR-042 Hazardous Unified Program Business+ p p records required for 3 years; 40 CFR §§122.21, Materials Aaencv
Classes and Types of Businesses 5 years 122.41, 40 CFR 792.195 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FR-No. Office of Record Type Record
(OFR)

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Records Description Retention I Disposition
............

Inactive ·.·.·.·.·.·.·.·.·.·.·.·.

Active ••••••to1:a1••••·
(in office) (Off-site, j~~t~riti~il OD or Mfr\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FR-5
Comments I Reference
Retentions beqin when the act is comoleted, and imolv a full file folder (e.o. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, claims, comolaints, audits and/or investiqations susoend normal retention oeriods (retention beqins after settlement).

Fire/ California Underground Storage Tank & Annual Inspections & FR-043 Hazardous Unified Program 5 years p .t,' Department Preference; GC §34090 et seq. Permits (excluding monitoring certificates) Materials Agency This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FR-No. Office of Record Type Record
(OFR)
I

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Records Description Retention I Disposition
............

Inactive ............
. . . . . . . . . . . .

Active t61:a1: (Off-site, ............
(in office) :Retention OD or Mfr\ ............

If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FR-6
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 vears), since destruction is normallv petformed bv file folder. :....itiaation claims, complaints, audits and/or investi_qations suspend normal retention periods (retention be_qins after settlement).

OPERATIONS I EMERGENCY MEDICAL SERVICES
Fire/ ...........
::: Statute of Limitations for health providers is 3 . . . . . . . . . .

Continuous Quality Improvement (CQI) / Quality ·.·.·.·.·.·.·.·.·.·.· ...........

FR-044 Operations I Personnel p :::::::::::p::::::: 1years; 13 CCR 1100.7, UFC §104.3.2, §104.3.4, Assurance ........... . . . . . . . . . .

EMS ........... GC §34090 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.· Controlled Drug Logs ........... Department Preference - Controlled substances . . . . . . . . . .

FR-045 Fire/ EMS Subject 5 years •:•:•$•years .. are required for 2 years after inventory or . . . . . . . . . . . . . -:-:-:.:. :-:-:-:-:-:-:-:- Narcotic Usage Cards ............. !transaction; 21 CFR §1304.04, 1310.04 . . . . . . . . . . . .

Fire/ Life of the <Lff~ POh~:

FR-046 Operations I Correspondence Defibrillator Equipment and Maintenance Equipment ~i:iuitir.ii~nf Department preference; GC §34090 EMS + 2 years •:+2War-s:·
............

Fire/ I ............
. . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.·.

FR-047 Operations I EMS Complaints EMS Complaints I
I p .........
:::::::::::p:::::::·:· Department preference; GC §34090 EMS i
Fire/ ............
. . . . . . . . . . . .

FR-048 Operations / Regulatory HIPAA Policies and Procedures (Health Insurance Superseded sGperseclec !24 CFR 164.5300) Filings Portability and Accountability Act) + 7 years ••+ty~ar-s• EMS ...........

Fire/ Life of the Ute.oHhe Required by the Contract with ALS; GC §34090 et FR-049 Operations/ Report Monthly Statistical Report/ Run Statistics Contract+ 5 : contiad• +.

EMS y~ars ···•5y~ars::. 1seq.
.·.·.·.·.·.·.·.·.·.·.·.·. Department Preference; 10 years is ............ :-:-:-:-:-:-:-:-:-:-:-:-: ............ recommended by AHIMA for "healthcare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............ providers"; California Healthcare Association . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ·:•:•:·:•:•:•:•:-:•:•:•: recommends Acute Care Facilities retain adult ·.·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . records for ten years following discharge; Juvenile ............ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Prehospital Care Reports / PCRs / Paramedic Release ·.·.·.·.·.·.·.·.·.·.·.·. records are required until patient becomes 18 ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~:. Forms (EMS transportation): ALL (medical and non- ............ years old; law requires 7 years for clinics, health . . . . . . . . . . . . . . . . . . . . . . . . .

Fire/ .............
medical.) facilities, hospitals, adult day health care centers, ............ . . . . . . . . . . . . .

Medical ............
. . . . . . .. . . ...

FR-050 Operations I Coordination 3 years 17 years 2qy~atf and in-home skilled nursing services, and is EMS ............ i actually based upon "if the licensee ceases Includes Paramedic Release Forms, AMAs / Refusal of . . . . . . . . . . . . . . . . . . . . . . . . . .............

I . . . . . . . . . . . . . . . . . . . . . . . . .

Service, First Responder Worksheets, PCR QI / QA Peer ::::::::::::::::::::::::: operations"; Statute of Limitations for health Review Forms, EKG Strips, etc. . ........... providers is 3 years; Federal law requires 3 years, . . . . .. .. . .. . . . . ... . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............. . . . . . . . . . . . . statewide guidelines propose 3 years; HIPAA ............. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . provides privacy regulations for patient's health ............ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :-:-:-:-:-:-:-:-:-:-:-:-: ............ records; 13 CFR 1100.7, CCP §340.5, GC ::::::::::::::::::::::::: §34090; H&S §123145 ............. . . . . . . . . . . . . . . . . . . . . . . .

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Page FR-7
FR-No. Office of Record Type Records Description Retention / Disposition Comments I Reference Record ............

Inactive .............
............

Active : >to:ta:, (OFR) (Off-site, . . . . . . . . . . . . (in office) Retention OD or Mfr\ ............

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions be_qin when the act is completed, and imply a full file folder (e._q. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, claims, comolaints, audits and/or investiaations susoend normal retention oeriods (retention beains after settlement).

OPERATIONS/ SUPPRESSION (STATIONS)
Fire/ Fire .............
............
. . . . . . . . . . - . . ............ Department Preference; California Fire Code Prevention & : . > >:.: <.: < <.: < · >. ............ . . . . . . . . . . . .

Annual Fire Life & Safety Inspections: Notice of ............ requires 5 years; Allows the removal and purging . . . . . . . . . .. .

FR-051 Operations / Inspections Violations I Citations 10 years • 1qy~~rs of these records in the event the address file is too Suppression large; CFC §104.3.2, §104.3.4, GC §34090 (Stations) ............ :::::::::::::::::::::::: Department Preference; Statute of Limitations for Fire/ Apparatus Pumper Test Data (FS170), Annual Ladder Disposal of oii;pos~i of Health Providers is 3 years; OSHA requires 1 FR-052 Operations / Correspondence Certification, Air Compressor Quality Compliance equipment ~ciuitirr:i~i.ii Iyear; State requires 2 years; Statewide guidelines Suppression Certification & Equipment Records & Testing + 2 years ••/2y.~ai:s• propose 2 years; 8 Cal Code Reg. §3203(b)(1), ............

CCP §340.5, GC §34090
Fire/ Daily Equipment Check-off Sheet (FS150) / Daily Check- ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~:

FR-053 Operations / Logs off Sheet (FS102) / Generator Test (FS152) 3 years •••• 3y;~i:~·:· GC §34090 Jobs of the month - Engine Co. (FS105)/Advanced Life Support ............

Suppression ............

Check-off Basic Life Support Check-off :::::::::::::::::::::•:• . . . . . . . . . . . . ............
. > > > > > >:.:.:.:.:.: Transitory or source records not retained in the Fire/ When •••••wh~n:•::• ordinary course of business; CHP audits every 2 FR-054 Operations / Correspondence OMV Pull Notices (Fire Employees Only) Superseded ~Gp~r~ede~ years; Bureau of National Affairs recommends 2 Suppression + 2 years ::f?Y:~~r:~•. years for all supplementary Personnel records; ........... > GC §34090 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Fire/ ::::::::::::::::::::::
...........
. . . . . . . . . . .

Fire Incident RMS Database (Includes Incidents and ........... . . . . . . . . . . .

FR-055 Operations/ Source Inspections) Indefinite :indefinite •• Data is interrelated; GC §34090 et seq.

Suppression
Fire/ Department Preference; Retained for historical
FR-056 Operations / Reference Station Log Books 7 years p and administrative value; GC §34090. Secretary o State recommends all Fire Journals (activities, Suppression personnel, engine company) be kept for 3 years.

FR-No. Office of Record Type Record
(OFR)

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·
Active T6t~i>
(in office) (Off-site, • R~t~~ticiii OD or MM ...........

If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FR-8
Comments/ Reference
Retentions beqin when the act is comoleted, and imolv a full file folder (e.o. last document+ 2 vears), since destruction is norma!lv oerformed bv file folder.

Litiqation claims comolaints, audits and/or investiaations susoend normal retention oeriods (retention beains after settlement).

OPERATIONS/ TRAINING
Citizen's Emergency Response Training / Neighborhood ...........

Fire/ :::::::::::::::::::::

FR-057 Operations/ Subject Training 5 years 5~¢ar-s .. Department Preference; GC §34090 Training :<<<->>>>:-:-:-:-·
Course Records, Roster, etc. ............
:-:-:-:.:.:-:-:-:-·-·.

Fire/ :::::::::::::::::::::::

FR-058 Operations / Correspondence Fire Station Requests (Tours, Visits, etc.) 2 years I ••••:2:v~ar:S•: IGC §34090 Training
Fire/ ::::::::::::::::::::::::

FR-059 Operations/ Source Monthly Activity Reports (Training Database) Indefinite )rid~finii~ Department preference; GC §34090 Training I
Fire/ Until > Until •
FR-060 Operations / Routine Physical Ability Evaluation Worksheets Separation separation Department preference; GC §34090 Training i + 4 years :•+Aiiears•
: : Department Preference; California Labor
Department maintains their records for 7 years;
:::: / ( OSHA requires 5 years for safety records; State Fire/ law requires 2 years; EEOC/FLSA/ADEA (Age)
FR-061 Operations / Training Safety Team Minutes 2 years 5 years ··••1y~$t~····· requires 3 years for promotion, demotion, transfer, Training ::::::::::::::::::::::::: selection, or discharge; State Law requires 2 -3 I ............ years; 8 CCR §3203 et seq., 8 CCR 14300.33(a); ·.·.·.·.·.·.·.·.·.·.·.·.· ·.·.·.·.·.·.·.·.·.-.· .. . . . . . . . . .
29 CFR 1627.3(b)(ii), 29 CFR 1904.33, 29 CFR :::::::::::::::::::::::::
: : : : : : : ~: ~: ~: ~: ~: ~: ~: ~: ~: 1904.44; GC §60201 et seq.; LC §6429(c), GC §§12946, 34090, 53235.2(b)
//))) Department Preference; Claims can be made for
Fire/ 30 years for toxic substance exposure; Claims are FR-062 Operations I Medical SCBA (Self-Contained Breathing Apparatus) & Separation s¢p~t~tibA: required for five years after the end of Clearance Respiratory Fit Tests for Breathing Apparatus + 30 years :f30 yei::iii;:: compensation, or injury, whichever is longer; 8 Training ··················•······
CCR §3204(d)(1) et seq., 8 CCR 10102, 15400.2;
GC ~~12946, 34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FR-No. Office of Record Type Record
(OFR)
I

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·
Active : :T6t~i :
(in office) (Off-site, :R¢t¢~1~ii OD or Mfr\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page FR-9
Comments / Reference
Retentions beqin when the act is completed, and imply a full file folder (e.q. last document + 2 vears), since destruction is normally performed bv file folder.

Litiaation, claims, complaints, audits and/or investiqations suspend normal retention periods (retention beains after settlement). ~: ! : ; : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~ Department Preference; California Labor : : :; : ; :~: ~: ~:;: ~: ~:;: ~: ~: Department maintains their records for 7 years; OSHA requires 5 years for safety records; State
Fire/ Training - ALL COURSE RECORDS ::: : :: law requires 2 years; EEOC/FLSNADEA (Age) FR-063 Operations / Training 2 years 5 years 'ii~~r.i, requires 3 years for promotion, demotion, transfer, Training (Attendance Rosters, Outlines and Materials; includes -:-:-:-:-:-:-:-:-:-:-:-: selection, or discharge; State Law requires 2 -3 Safety training) ' :-:-:-:-:-:-:-:-:-:-:-:-: ............ Iyears; 8 CCR §3203 et seq., 8 CCR 14300.33(a); :-:-:-:-:-:-:-:-:-:-:-:-: ............ 129 CFR 1627.3(b)(ii), 29 CFR 1904.33, 29 CFR ;::: 1904.44; GC §60201 et seq.; LC §6429(c), GC ............ l:;§12946, 34090, 53235.2(b) . . . . . . . . . . . . // :::u Department Preference; California Labor Department maintains their records for 7 years; ............ : : OSHA requires 5 years for safety records; State
Fire/ Training - ALL EMPLOYEE FILES law requires 2 years; EEOC/FLSA/ADEA (Age) FR-064 Operations / Training Separation 5 years sep~r~iibh requires 3 years for promotion, demotion, transfer, + 2 years + t:y~ars : selection, or discharge; State Law requires 2 -3 Training (Including Certifications) :::: years; 8 CCR §3203 et seq., 8 CCR 14300.33(a);
29 CFR 1627.3(b)(ii), 29 CFR 1904.33, 29 CFR .·.·.·.·.·.·.·.·.·.·.·.·. 1904.44; GC §60201 et seq.; LC §6429(c), GC ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~: .·.·.·.·.·.·.·.·.·.·.·.· §§12946, 34090, 53235.2(b) Fire/ :<:<:::::::::::::::::

FR-065 Operations / Source 1
Training Database (Employees and Volunteers) Indefinite )rici:~firiitV Data is interrelated; GC §34090 et seq.

Training I
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

FR-No. Office of Record Type Record
(OFR)

RECORDS RETENTION SCHEDULE - FIRE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive ..................... · .. ............

Active :total>
(in office) (Off-site, R¢t¢~t1~ii OD or Mfr)
cord is not listed here, refer to the Retention for Citv-Wide Standards Page FR-10
Comments / Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, claims, comolaints, audits and/or investiaations susoend normal retention oeriods (retention beains after settlement).

OPERATIONS/ VOLUNTEER RESERVE
I
............
:::::::::::::::::::::::: Department preference (Courts treat volunteers as Fire/ Lead Volunteer/ Unpaid Intern Applications & Agreements - Inactive/ •••i~~tti~~/• employees); EEOC/FLSNADEA (Age) requires 3 FR-066 Division Volunteer Separation :$ep~r~tibri years for promotion, demotion, transfer, selection, Successful + 5 years +5:V.~aric or discharge; 29 CFR 1602.31 & 1627.3(b)(ii), 8 ... CCR §3204(d)(1) et seq., GC §§12946, 34090 i ............
••••••••••••••••••••••••
Department preference (Courts treat volunteers as
Fire/ Lead Volunteer/ Unpaid Intern Applications & Agreements - -:-:-:-:-:-:-:-:-:-:-:-: employees); EEOC/FLSA/ADEA (Age) requires 3 FR-067 Division Volunteer Unsuccessful or Pending Applicants 5 years ••••sy~~t~••· years for promotion, demotion, transfer, selection, I
--·-:-:-:.:-:-:-:.:-:-: or discharge; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

HR-No. Office of
I
Record Type Record
(OFR)
I
i
I
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description I Retention / Disposition
i ..............
. . . . . . . . . . . . . .

Inactive ..............

Active ··•·•·•••+.6t~i••·····
(in office) (Records • •.• R~t~~ticiii • Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page HR-1
Comments I Reference
Retentions be_qin when the act is completed, and imply a full file folder (e.a. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, complaints, claims, public records act requests, audits and/or investi_qations suspend normal retention periods (retention resumes after settlement or completion).

HUMAN RESOURCES
Applicant Tracking Database
HR-001 Human Report 5 years Department preference; GC §34090 Resources (Recruitment Activity Reports and Requisition Status Reports)
Department preference (the personnel files
are maintained Permanently); EEOC I FLSA /
ADEA (Age) requires 1-3 years for selection Human Recruitment HR-002 Background Packets - Employees (hired) 3 years p records; State Law requires 2 - 3 years; 29 Resources Background CFR 1602 et seq & 1627.3(a)(5) and (6), 2 CCR 7287.0(c)(2), 8 CCR §11040(7.( c)), GC
§§12946,34090
Department preference; EEOC I FLSA / ADEA
(Age) requires 1-3 years for selection records;
Human Background Packets - Unsuccessful Candidates State Law requires 2 - 3 years; 29 CFR 1602 HR-003 Logs 3 years I Resources (not hired) , ... , et seq & 1627.3(a)(5) and (6), 2 CCR 7287.0(c)(2), 8 CCR §11040(7.( c)), GC
§12946,34090
I ! Benefit Brochures & Forms I•••••••••••••••••••••••••••• i Brochures for: CalPERS Retirement Benefit, CalPERS Human HR-004 Non-Record Health Insurance, Delta Dental, Life Insurance, Employee None ·- Non-records Resources Assistance Program, Deferred Compensation, Flexible Spending Account, State Disability Insurance & Paid .· .. ·.·.·.·.·. .·.

Family Leave. .· .. ·.· .. ·.
::::::::::::::::::::::::::::: EEOC I ADEA (Age) requires 1 year after ............ · ................ benefit plan termination; Federal law requires Duration of b0rafibii•~f HR-005 Human Subject Benefit Plan Documents (Dental, Life, Long Term the Contract :the ¢ol'itract ; 6 years after filing date for retirement; State Resources Disability, Flexible Spending Accounts, etc) + 5 years ••••••syears•••••• Law requires 2 years after action; 29 CFR :-:-:-:-:-:-:-:-:-:-:.:-:-:-:- 1627.3(b)(2); 29 USC 1027; GC §§12946, -·-:-::::::::::::::::::::::::: 3409
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

HR-No. Office of
Record Record Type
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description Retention / Disposition
Page HR-2
Comments / Reference
i--------+-------t----------+---------------------1-----~---~ .............. 11--------------------------;o .............. (OFR) Active
(in office)
Inactive </::tri~~i
(Records ) ~~t~~tiri~
Center)
If the record is not listed here, refer to the Retention for Citv-Wide Standards ~s beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 vears), since destruction is normally performed by file folder.

HR-006
HR-007
HR-008
HR-009
HR-010
HR-011
HR-012
HR-013
HR-014
HR-15
HR-016
comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletionJ.

Human :::::::::-:::::::::::::::::::: EEO Cases Board of Review Packets 3 years ::: :::$:y~~f.$::::::: Department preference; GC §34090 Resources Human
Resources
' Human
Resources
Human
Resources
Human
Resources
Human
Resources
Human
Resources•
Human
Resources
City Clerk
Human
Resources
Human
Resources
Reference City Dental Booklet
Correspondence City Dental Plan Agenda & Packets
Subject City Dental Plan Claim Forms
Correspondence City Dental Plan Employee Memos
Minutes
Reference
Minutes
Reference
Subject
City Dental Plan Meeting Minutes
Civil Service Commission Agenda Packets
Civil Service Commission Minutes
Civil Service Rules & Regulations
copies
Classification / Reorganization Studies (for
employee classifications and department
structures)
Compensation Surveys & Studies Not Related to Correspondence Labor Relations (conducted on behalf of the City) 5 years p
2 years
5 years
2 years
p
p
p
p
5 years
2 years
.........
< < P. ...... Meets auditing standards; GC §34090
·.·.·.·.·.·.·.·.·.·.·.·.
2 yiar:s• ... Gc §34o9o
.............
:s ~¢~i:t : Meets auditing standards; GC §34090
::::::::::::::::::::::::::
.........

P.: ...... Department preference; GC §34090
1•:·:·:·:::.::8:::::::•:·: I::::::::::::::'.:>::::::::::: Department preference; GC §34090 [ • f • { Department preference; GC §34090
11-.·.·.·.· .. ·.·•,.H·./ r Department preference; GC §34090 == ==Bureau of National Affairs recommends 2
== ==years for all supplementary Personnel
1:::::::55.,: .:y_·eart~,.:::::::1records; Wage rate tables are 1 or 2 years; == ==state requires 2 years; 29 CFR 516.6, 29
= =cFR 1602.14, GC §§12946, 34090
·.·
Bureau of National Affairs recommends 2
years for all supplementary Personnel
records; Wage rate tables are 1 or 2 years;
State requires 2 years; 29 CFR 516.6, 29
CFR 1602.14, GC ~~12946, 34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

Office of
I
HR-No. Record Record Type
i
i
(OFR)
I
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.
'
Records Description Retention I Disposition
Inactive •:•:-:-:-:-:.:-:.:.:-:-:-:-
Active •·•···•••+6±~i••···
(in office) (Records ·•·•R~t~~tfon Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page HR-3
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.o. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion). ::::::::::::::::::::::::::::: All State and Federal laws require retention Human Department of Fair Employment & Housing/Equal Final •••••:•::Firi~i••••••·•· until final disposition of formal complaint; HR-017 Resources EEO Cases Employment Opportunity Commission (DFEH or Disposition + 6.1;~iasit1btj ; State requires 2 years after "fully and finally EEOC) Claims 3 years • • • • • • 3: y~arif •: • disposed"; 2 CCR 7287.0; GC §§12946, :-:-:-:-:-:-:-:.:-:-:-:-:-:-: 34090 Transitory or source records not retained in
Human OMV Pull Notices / Printouts (Excludes Fire & the ordinary course of business; CHP audits HR-018 Resources Correspondence Police - Pre-employment & Pull Notice Only) 2 years every 2 years; Bureau of National Affairs recommends 2 years for all supplementary
Personnel records; GC §34090
D.OT Requires 5 years for positive tests,
refusals, annual summaries, etc, 1 year for
Human DOT Drug & Alcohol Program I Test Results & negative tests; EEOC/ FLSA / ADEA (Age) HR-019 Resources Subject Supporting Test Documentation (All - Positives and 2 years 3 years ·ears requires 3 years physical examinations; State Negatives) Law requires 2 years; 29 CFR 1627.3(b)(1)(v), GC §§12946, 34090; 49 CFR 655.71 et seq.;
49 CFR 382.401 et seq .

Human EEO-4 Reports and records required to generate . ... .. . . . .. .

HR-020 Resources EEO Cases EEO-4 report (Self-Identification Form, etc.) 3 years : : fy¢~i~ ... 29 CFR 1602.30 -: . > > >:.:.:.:. :-: <.: <. :-:

Human Final ••••••••••:Finat••••·•···
HR-021 EEO Cases EEO Investigations and Claims Disposition + oi$p~shibi{ / Department preference; GC §34090 Resources 3 years •••••••Sy¢ars•••••· .............

Employee Suggestion Program .............
·.·.·.·.·.·.·.·.·.·.·.·.·.
::::::::::::::::::::::::::

Human ·.·.·.·.·.·.·.·.·.·.·.·.·.

HR-022 Resources Subject Excel log, original suggestion form, copy of memo to 5 years •••••·••~•y~~ri=i•• .. Department preference; GC §34090 referred Department(s), and Memo to City Manager's
Office.
...............
:::::::::::::::::::::::::::::: Department preference; All State and Federal HR-023 Human EEO Cases Grievances and Informal Complaints (all) and Separation+ :$ei:>~i:atiaii f laws require retention until final disposition of Resources i Investigations 3 years •••••••:3Wars••• •• formal complaint; State requires 2 years after i .·.·.·.·.·.·.·.·.·.·.·.·.·.·.· action is taken; GC ~~12946, 34090 . ·.·.·.·.·.·.·.·.·.· This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

I Office of HR-No. Record Record Type
(OFR)
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive -:-:.:-:-: -:-:-:-:-:-:-:-:-
Active ······•••fat~i••··· (Records ..............
(in office) Center) R~t~~tiqn
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page HR-4
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion) . . . . . . . . . . . . .

Human Harassment Prevention Training (materials/Sign-in HR-024 Training 7 years }7y~a~( .. 2 CCR 7288.0 Resources Sheets) ::::::::::::::::::::::::

HR-025 Human Logs Hepatitis B Vaccinations 3 years ••••••sii~~t~• Department preference (required of selected Resources .·.·.·.·.·.·.·.·.·.·.·.· .. emplox_ees every 2 years; GC §34090 . . . . . . . . . . . .

Human ............ Data Fields/ Records are interrelated; GC . . . . . . . . . . . .

HR-026 Source Human Resources Database (PeopleSoft) Indefinite • • 1noefir:1ite Resources ............ §34090 .
:-:-:-:-:-:-:-:-:-:-:-:-:-:-:
. . . . . . . . . . . . . . . . . . . . . . . . . . . . Non-citizens must re-certify periodically; RICA . . . . . . . . . . . . . . ............... recommends 1 year from termination or 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Human Employee ! >~i:riiiroye~ years from hiring, whichever is later; EEOC/ HR-027 Resources Logs l-9's Separation + i m~~t::1.t* FLSA / ADEA (Age) requires 3 years for "any 3 years other forms of employment inquiry"; State Law ............ requires 2 -3 years; 29 CFR 1627.3(b)(i), GC ............. . . . . . . . . . . . . . . . . . . . . . . . . .
:::::::::::::::::::::::::
............. §_§12946, 34090 . . . . . . . . . . . .

Human ·.·.·.·.·.·.·.·.·.·.·.·.· Data Fields/ Records are interrelated; GC HR-028 Resources Source Identification Badge Database I Indefinite • ihd~fiiiit~ §34090 I I ..

Department preference; EEOC/FLSA/ADEA
(Age) requires 3 years for promotion,
Human Job Specifications / Job Analysis / Classification demotion, transfer, selection, or discharge; HR-029 Recruitment p State Law requires 2 -3 years; retirement Resources Specifications benefits is 6 years from last action; 29 CFR 1602.31 & 1627.3(b)(2), 8 CCR §3204(d)(1)
et seq., GC §§12946, 34090; 29 USC 1113
Labor Relations Files, All Related Compensation
Human Data
HR-030 Labor Relations p P. Department Preference; GC §34090 Resources (Negotiation Notes, Correspondence, Interpretation I of MOU Provisions, Documentation, etc.) Labor Relations: Benefit Administration Department Preference; Bureau of National Human Affairs recommends 2 years for all HR-031 Labor Relations (Includes contract amendment, actuarial reports, p Resources supplementary Personnel records; GC service credit reports, annual employee listing, §34090 correspondence etc.) This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

HR-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive ::::::::::::::::::::::::::::

Active :-:-:-:-::Total::•:-·-
(Records ..............
(in office) Center) ::~~t~~tioii
If the record is not listed here, refer to the Retention for City-Wide Standards Page HR-5
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiaations suspend normal retention oeriods (retention resumes after settlement or comoletion).

Department preference; EEOC/ ADEA (Age)
requires 1 year after benefit plan termination;
HR-032 Human Labor Relations Labor Relations: Benefit Plan Documents p i,) Federal law requires 6 years after filing date Resources (CalPERS, etc.) for retirement; State Law requires 2 years after action; 29 CFR 1627.3(b)(2); 29 USC
1027; GC §§12946, 3409
:::::::::::::::::::::::::::::: Department Preference to cover the possible -:-:-:-:-:-:-:-:-:.:.:-:-:-:-:
............... length of employment of any employee or . . . . . . . . . . . . . . .

HR-033 Human Subject LiveScan Responses or Logs (CORI Responses) Separation + Jte;:::tt volunteer (DOJ allows retention for legitimate Resources for Employees 5 years business needs); must be maintained in a :::::::::::::::::::::::::::::: secure and confidential file; DOJ Information ..............

Bulletin No. 02-17-BCII; § 34090 et seq. . . . . . . . . . . . . . . . . . . . . . . Department Preference (preliminary records . . . . . . . . . . . . .

Human LiveScan Responses or Logs (CORI Responses) ......... .............

HR-034 Non-Record None • • • None not retained in the ordinary course of Resources for Unsuccessful Candidates ............... . . . . . . . . . . . . . . . . . . . . . . . . . . . business; § 34090 et seq . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.·.

Bureau of National Affairs recommends 2
i years for all supplementary Personnel
HR-035 Human Correspondence Monthly Reports / As-Needed Increment Raises, 2 years -- records; Wage rate tables are 1 or 2 years; Resources AFSCME (Memoranda) L.

State requires 2 years; 29 CFR 516.6, 29
CFR 1602.14, GC §§12946, 34090
Monthly Reports/ Post-PeopleSoft Implementation
Preliminary drafts / transitory records (the Human HR-036 Non-Record Monthly Change of Status Report, Vacancy Report, None • database is the original); GC §34090, GC 1 \.1-111'1'"".!
Resources Employee Activity Report, AFSCME Memo, and §6252 Interdepartmental Changes Memo .........

Non-Qualified Leave Audit .........
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Bureau of National Affairs recommends 2 ·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Human Bi-weekly years for all supplementary Personnel report ran in PeopleSoft with handwritten notes .........

HR-037 Correspondence 2 years •iy~cir:i{ Resources regarding how much sick and vacation accruals to deduct / ......... records; 29 CFR 516.6, 29 CFR 1602.14, GC . . . . . . . . . . . . . . . . . . from employees who do not meet the requirement to earn I :::::::::::::::::: §§12946,34090 ......... . . . . . . . . . their accrual(s). ::::::::::::::::::
.........

Human Outside Employment (Logs, Correspondence, . . . . . . . . .

HR-038 Correspondence 2 years •2y~ars Department preference; GC §34090 Resources Reports) This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

HR-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description Retention / Disposition
..............

Inactive . ·.·.·.·.·.·.·.·.·.·.·.·.·.

Active ·····•••fat~i••···•·
(in office) (Records /R~t~~ti~ii Center)
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page HR-6
Comments I Reference
Retentions beqin when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normalfv oerformed bv file folder.

Litiqation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or como/etion).

HR-039 Human Personnel Personnel Files - Benefits File Separation+ p Department preference; GC §§12946, 34090 Resources 2 years Department Preference; EEOC/FLSA/ADEA
Personnel Files - Employees (Regular, As- (Age) requires 3 years for promotion, Human Needed and Public Safety Volunteers) Separation + demotion, transfer, selection, or discharge; HR-040 Resources Personnel 2 years
p p State Law requires 2 -3 years; retirement
benefits is 6 years from last action; 29 CFR
Including exit interview records ...
••
1602.31 & 1627.3(b)(2), 8 CCR §3204(d)(1)
et seq., GC §§12946, 34090; 29 USC 1113
Department preference; Files maintained
HR-041 Human Personnel Personnel Files - Medical File Separation + p p separately; Claims can be made for 30 years Resources 2 years lfor toxic substance exposure; 8 CCR
............... §3204(d)(1) et seq., GC §_§12946, 34090 Recruitment and Testing File (Except As-Needed i
·•····•<•>> Employees) Department preference; EEOC / FLSA / ADEA (Age) requires 1-3 years; State Law requires 2 Human HR-042 Logs 3 years :J_., - 3 years; 29 CFR §1602 et seq & Resources (Includes Advertisements, Job Brochures, Test Data, '"S.

Applications, Testing Analysis & statistical Metric, Rating 1627.3(a)(5) and (6), 2 CCR 7287.0(c)(2), 8 Sheets, Scantrons, Rater's Profile & Confidentiality CCR §11040(7.(c)), GC §§12946, 34090 Agreement, Eligible Lists, Correspondence, etc.)
Human Recruitment Number List (Primarily a log of the ............

HR-043 Logs 3 years ··•·•··j~~~i~· Department preference; GC §34090 Resources recruitment numbers) Finance/ : ~: ~: ~: ~: ~: ~: ~ :-~: ~: ~: ~: ~: ............. . . . . . . . . . . . .

HR-044 Admin. Claim I Retiree Medical Reimbursement Claims 5 years s•year:s Department preference; GC §34090 I
............

Services
I Retiree Medical Reimbursement Program >:. >:-:.:. :-: -: -:-: -: . : Human ............

HR-045 Resources 1
Subject 2 years 3 years •••••••sy~~i~•• Department preference; GC §34090 (Applications and Spreadsheets) - . . . . . . . . . .
i
ii Studies & Surveys Conducted on Behalf of the City -:.:-:-:-:-:-:-:-:-:-:-:- Human ·.·.·.·.·.·.·.·.·.·.·.·.· HR-046 Resources I Correspondence (Sick Leave, Attrition, Benefits, etc.) Excludes 2 years jy~~r$ Department preference; GC §34090 I
I 1 classification and reon:Ianization studies
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

HR-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
.·.·.·.·.·.·.·.·.·.·.·.·.·.· Inactive .·.· ·.·.·.· ·.· · · ·.· •••••••••totaf••••••
(Records R~t~ntiqn Center)
Page HR-7
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards ~eain when the act is comoleted, and imolv a full file folder (e.g. last document+ 2 vears), since destruction is normallv oerformed bv file folder. ~molaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

Human Time & Labor Adjustment Record [ : : i))i
Report Excel Workbook and paper logs that list all timesheet 5 years •5 Y~$f.S Meets auditing standards; GC §34090 adjustments made by Human Resources per pay period •• / • HR-047 Resources
...........
during the auditing process. ·.·.·.•--:-·.·..-C..·c.c.·.---'-·.·'""'.·.---'-.-'-' .. ---'-.¾------------------------1 Human · · · · · · · · · · · · · · · HR-048 Source Training Database Indefinite •• ir.idefir.iite • Data is interrelated; GC §34090 Resources · · · · · · · · · · · 1------+-----+,-------+--------------------+------+--.-----11'-,'-••·>••················· I Unemployment Insurance Claims and Appeals ...................... .

HR-049
HR-050
HR-051
Human
Resources
Human
Resources
Human
Resources
Claim
Inspections
Non-Record
DE 1101 Claim Forms, DE 4601 forms, Notices of
Determination I Ruling, GUIAB Appeals, GUIAB Decision,
petitions, Correspondence, etc.

Validation Studies for Examinations
Verifications of Employment/ Logs
This material is protected by a copyright held by Gladwell Governmental Services Inc., Final
Disposition +
5 years
last test
administered
+ 5 years
None
Finat ... Department preference (meets municipal ?'s:i:t:n* i;~~~n4 ~~;~;~~iting standards); GC
.-:-:-:-:-:-:-:-:.:-:-:-:-:.:-
5 years : }Ci y~ars Department preference; GC §34090
= =Transitory records not retained in the ordinary
= = = =course of business (does not materially
r• .... • .. INioi,~~ ......... <,impact the public's business) GC §34090 et seq.
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

Office of I
HR-No. Record Record Type

I (OFR)
I
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive ::::::::::::::::::::::::::::::

Active •••••••••tota1••••••••
(in office) (Records :::: R~t~ntiqn:•: Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page HR-8
Comments I Reference
Retentions be_qin when the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normallv performed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or comoletion).

RISK MANAGEMENT
Human :: ::::::::::::::::::::::::: Department Preference; Preliminary draft not ..............

Resources I . · .·.·.·.·.·.·.·.·.·.·.·.·.

HR-052 Risk Inspections Injury Log 10 years : )o.Y.~~r{ retained in the ordinary course of business; . ·.·.·.·.·.·.·.·.·.·.·.· GC §34090 Manag.

Previous MSDS may be obtained from a
Human
,acs
service; MSDS mav be destroved as Iona as
MSDS (Material Data Safety Sheet) / Chemical Use a record of the chemical / substance / Resources I .· HR-053 Safety Report Form (or records of the chemical/ 30 years ... , l agent, where & when it was used is Risk .· ·, substance / agent, where & when it was used) maintained for 30 vears; Applies to qualified Manag. employers; 8 CCR 3204(d)(1)(B)(2 and 3), GC ~3_4_090
Department Preference; Calif. Labor Division
Human is required to keep their records 7 years;
HR-054 Resources I Regulatory Filings OSHA Insurance Certificates, Inspections & 7 years ' ·1e::irs OSHA requires 5 years; State law requires 2 Risk Citations, Log 200, 300, 300A, 301, etc. years; 8 CCR 14300.33(a); 29 CFR 1904.33, Manag. .· ... 29 CFR 1904.44; GC §34090 et seq.; LC ... ·············••i••···········
§6429c
Human
HR-055 Resources I Correspondence OSHA Internal Safety Meeting Correspondence 2 years qiu Department preference; GC §34090 Risk (including notes) Manag.

Human I .............
............
. . . . . . . . . . . . . :. . -:-:-:-:-:-:-:-:-:-:-: Department Preference; Preliminary draft not Resources I Medical ............. ............

HR-056 Risk Coordination Settlement Log 20 years • • : 20 •y.~ai:s retained in the ordinary course of business; Manag. GC §34090
Human -:-:-:-:-:-:-:-:-:-:-: >:<:<:>:>::: Department Preference; Preliminary draft not HR-057 Resources I Regulatory Temporary Disability Hours (TOH) and Modified 10 years :wy~atf retained in the ordinary course of business; Risk Timekeeping Duty Logs ManaQ. GC §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

HR-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: HUMAN RESOURCES
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
Inactive { l"ot~( :
(Records R¢t¢ntfci~) , Center)
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page HR-9
Comments/ Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, public records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or completion).

Human
HR-058 Resources/ Non-Record Temporary Disability Hours (TOH) Worksheets None Risk Manag.

Human
HR-059 Resources/ Report Workers Compensation Claim Runs/ Experience 5 years Risk Reports Manag.

Human
HR-060 Resources/ Logs Workers Compensation Equipment Purchase Log 3 years Risk Manag. I
I
Human
HR-061 Resources/ Workers Comp Workers Compensation Files Separation + p Risk Claims 2 years Manag.

Preliminary draft not retained in the ordinary
course of business; GC §34090
Department preference (meets auditing
5 y~qr:$ standards and allocation formulas); GC
§34090
Department preference (meets auditing
standards and allocation formulas); GC
§34090
Department preference; Claims can be made
for 30 years for toxic substance exposure;
Claims are required for five years after the
end of compensation, or injury, whichever is
longer; the Workers Compensation Appeals
Board may destroy their records after 5 years;
8 CCR §3204(d)(1) et seq., 8 CCR 10102,
10755, 10758, 15400.2; 29 CFR
1910.1020(d); GC §§12946, 34090
RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY
SANTA CLARA, CA.

Page IT-1
IT-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·
Active •••••••fbt~i••••••• (OFR) I (in office) (Records R~t~•iitiah I Center\ If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiqations susoend normal retention oeriods (retention resumes after settlement or comoletion). : :<:<:<:>::::::: Used for Disaster Recovery Purposes Only; Information . ·.·.·.·.·.·.·.·.·.·.·.· Considered a copy and can be destroyed None; .............

IT-001 Technology Recordings Backup Tapes - DAILY (Monday - Thursday) 4weeks • 4\iiie~kf• tapes are in autochangers and are overwritten; GC §34090 et seq.

Used for Disaster Recovery Purposes Only; Store
Information off-site in commercial storage for disaster IT-002 Technology Recordings Backup Tapes - WEEKLY (Friday) 4weeks ~iE!l ~k~ recovery; Considered a copy and can be destroyed None; retention based on administrative
.. : .... value; recycle tapes; GC §34090 et seq .

Information Inventory, Information Systems (Drafts not Until . . . . . . . . . . .

Preliminary documents not retained in the ordinary IT-003 Non-Record • N6ii~ Technology accessible to the public) Superseded ........... course of business; GC §34090 et seq.

Information Network Configuration Maps & Plans (Drafts not Until . . . . . . . . . . . Preliminary documents not retained in the ordinary IT-004 Non-Record ••••N;;;.;~•••••• Technology accessible to the public) Superseded ........... course of business; GC §34090 et seq. . . . . . . . . . . . ::::::::::::::::::::::

IT-005 Information Correspondence Project Management (Project Workbook, 2 years :Z:ie~rf Department preference; GC §34090 et seq. Technology Implementation Plans, etc) ........... Department preference (meets municipal ...........

Information ...........

IT-006 Technology AP Payments Telephone Bill Detail Backup 7 years ?Y:~~r:~ •• government auditing standards); GC §34090 et I sen.

LIB-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: LIBRARY
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
Page LIB-1
Comments I Reference
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, claims, comolaints, audits, oublic records reauests, and/or investiaations susoend normal retention oeriods (retention resumes after settlement).

LIB-001
LIB-002
LIB-003
LIB-004
LIB-005
LIB-006
LIB-007
LIB-008
LIB-009
LIB-010
LIB-011
LIB-012
LIB-013
LIB-014
LIB-015
LIB-016
Library
Library
Board of Library Trustees
Reference

AGENDAS, AGENDA PACKETS
p p Brown Act challenges must be filed within 30 or 90
days of action; GC §§34090, 54960.1 (c)(1)
Board of Library Trustees 2 years :::::2iy¢ai~::::: Notes taken to facilitate the writing of the minutes Correspondence MINUTES & BYLAWS (Forward }f~f~i-f can be destroyed after minutes have been adopted; Originals to pr:19:t~c:1l~:iO.: GC §34090 ---------j-----------1-c_o~pi_e_s _______________ ,__C_ity~C_le_rk~)-t-----,,,_::_:Q~it_Y.~:C~Je~·r.k)-'-I:: 1--------------------------1 Library
Lead Dept.

Library
Library
Library
Library
Library
Planning &
Inspection/
Building
Library
Library
Library
Library
Collections Collection Agency Assignments, Lists & Statements Correspondence Deposit Backup/ Detail for Cash Deposits C d Facility Rental Applications (Room Reservations, orrespon ence . . etc. - also see Insurance on C1ty-w1de) Grants Grants - Library (Successful)
Correspondence Grants - Library (Unsuccessful)
Correspondence Handouts: Adult and Children's Programs
Correspondence Interlibrary Loan Requests/ ILL Requests Reference Library Building Plans / Specifications
Library Management System I Database
Source

COLLECTION
Library Management System I Database
Source
OTHER THAN PATRON or COLLECTION
7 years
2 years
2 years
Final
Expenditure
+ 5 years
2 years
2 years
2 years
p
Indefinite
Indefinite
·.·.·.·.·.·.·>>-·.·. Department preference to meet auditing periods and : fy~~ri:\ to keep for the same period of time negative ... : : : : : : : : : : information remains on credit ratings; GC §34090 ...........
i\{y~~~~: .. GC §34090
::::::::Fiiial::::::: . . . El ~hditi:it~ Per California ~tate Library ~ecords Management :/5:::-:-:-:-:- :: Program Requirements (April 27, 1998); GC §34090 . . . . . . . . .years ... :::::z::veifrif .. Gc §34o9o
!·::•<·:~f :· :>!Department preference; GC §34090
.........
............
/ind:ef:init¢ Department preference; Data Fields / Records are . . . . . . . . . . . . . interrelated; GC §34090
::::::::::::::::::::::_<::
/ 1>
0 :<:f//1/> Department preference; Data Fields/ Records are -:-:n emIe:-:. :-:::::::::::::::::::::::: interrelated; GC §34090
Library Management System I Database (No Debt) Expired with i::xp>fred wltti Niibcibt:~:2 Department preference; Data Fields/ Records are Correspondence No Debt + 2 PATRONS ·.·. · · · · · · .·.: :: interrelated; GC §34090 years \}yearS:.:-:-:

Collections
Library Management System I Database (Debt) Expired with Ex°: irEic:i:wfrfi :::J:1:- ::{ :< Department preference; Data Fields/ Records are Debt+ 7 ··Debt· ._7. · interrelated; GC §34090 PATRONS years :: : ::yeai:!'iii: -+------+------+---------------------+-~---+-----------· Library
Library
Correspondence LMT (Library Management Team) Minutes 2 years ::::::~::year:~: :: GC §34090 Non-Record Patron Applications for Library Cards None
. . . . . . . . . ...
:NiiiiJ~:::::: .. . .

Department Preference; Preliminary Drafts /
Transitory records not retained in the ordinary
course of business; GC §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

LIB-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: LIBRARY
SANTA CLARA, CA.

Records Description Retention I Disposition
Active Inactive ·:::::: :to.ta 1::::: ·
(in office) (Off-site, }~¢t¢~tf6:~· OD or Mfr\ ............ . . . . . . . . .

If the record is not listed here, refer to the Retention for City-Wide Standards Page LIB-2
Comments I Reference
Retentions beqin when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, claims, comolaints, audits, oublic records reauests, and/or investiaations susoend normal retention oeriods (retention resumes after settlement).

LIB-017 Library Correspondence Performance Agreements (no consideration) 2 years ·.·.·2················· :-:-:- :years•:-:- GC §34090
LIB-018 Library Incident Reports Problem Patrons/ Incident Reports Inactive+ 2 lt;:~~st} Department preference; GC §34090 years Program Sign Ups (e.g. Children's Programs, . ······· ... Preliminary/ Transitory documents not retained in LIB-019 Library Non-Record None : : :Nciii~> Summer Reading) .·.·.·.·.·.·.·.·.·.·.·
........... the ordinary course of business; GC §34090 :-:-:-:-:-:-:-:-:-:-:- Meets municipal government auditing standards; GC LIB-020 Library Report Receipts for Lost Books, etc. 2 years 3 years •: •: • :s• :1.~~t~: .. §34090 Historical ...

LIB-021 Library Documents I Records of Significant Historical Value p :<:r.:::::- Department preference; GC §34090 ..

Artifacts ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ LIB-022 Library Correspondence Release Forms / Exhibit Waivers/ Photo Releases 2 years .·.·.·2················· GC §34090 (Artists/ Exhibitor's) ::. :y~ar:~:: :

LIB-023 Library Non-Record Reports: Library Statistics/ Circulation Reports None : <Nonei:: .. Copies/ Preliminary Drafts; GC §34090.7 :::::::::::::::::::: Transitory records not retained in the ordinary .......... . . . . . . . . . .
course of business; Library system qualifies as a LIB-024 Library Non-Record Reports: Other than Annual Report - Library None ::::::Nciii:~• ... trusted system and can re-create reports accurately; . . . . . . .. .... . . . . GC §34090
Sign-In / Sign Out or Log-in / Log-out :>:<:<:<:::::::::: Department Preference; Preliminary Drafts I LIB-025 Library Non-Record Includes Internet Access Logs Summer Reading, None \\Nii~~:::<: Transitory records not retained in the ordinary etc. : ; : : ~:;: ~::: ~; ~:;: ! ~~ i course of business; GC §34090 LIB-026 Library Routine State Library Report 4 years ::4\;~~t~:::: Department preference; GC §34090 LIB-027 Library Report TBR (Transaction Based Reimbursement) & ILL 5 years :-:-::S)fars: Department preference to track reimbursement; GC (Interlibrary Loans) Statistics .. §34090
LIB-028 Library Subject Tutors and Learners Individual Case Files Inactive+ 5 J:n~ctiv~:t•~ Department preference; GC §34090 years • : • : • : • :y~c\r:~:.:.:.: .·.·.·.·.·.·.·.·.·.·.·.·.· Does not record regular and ongoing operations; GC LIB-029 Library Recordings Video Recordings of Library Activity 28 days :: ii(d~v{) ...... &34090.6(a)(d)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

MCC-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: MAYOR & CITY COUNCIL
SANTA CLARA, CA.

Records Description Retention / Disposition
.............

Inactive Active •····••fot~i••·•·•·
(in office) (Records il~~t~htit>~i Center\
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page MCC-1
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 vears), since destruction is normallv performed bv file folder.

Litigation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods retention resumes after settlement or comoletion).

AWARDS & MEMENTOS: Received by the ·.·.·
Mayor & Awards & MCC-001 City Council Mementos City (Physical Item) p Department preference; GC §34090 REFERENCE: Significant Historical Value
MCC-002 Mayor& Reference current+ 4 p Department preference; GC §34090 City Council Awards/Mementos List (received by the City), years Proclamations List (given by the City) etc
ROUTINE: Copies of originals created in the
Mayor and Council offices
MCC-003 Mayor& Routine 4 years Department preference; GC §34090 City Council Recognition Items given by the City: Proclamations, Certificates, Letters of Recognition, Appreciation
Plaques Listina: timekeel)inq entries
CORRESPONDENCE: Incoming/outgoing,
general information (copies)
Mayor & current+ 2 ... MCC-004 Correspondence ,;;.:,..;.;_:•:•: Department preference; GC §34090 City Council Mayor and Council Chron, Complaints/Concerns, , ·.~'.".· .. •:

Calendars, Condolences, Adjournments, Schedule years .· of Events, Council Reading, City Depts & Agencies,
::::••···········•·i•·····
49ers, etc
NON-RECORD: Organizations, •:•:•:•:•:•:•:•
Commissions, Committees, Districts, Social )))) Organizations MCC-005 Mayor& Non-Record Council Committees (internal and external), City None /ttrntt
Department preference; GC §34090 City Council Commissions, League of California Cities, State, Federal and County, Miss Santa Clara Pageant,
Sister Cities, Awards/Mementos (received by
i;;:;:;:;:::;:;:;:;:;:;:;: individuals), Copies of Newspaper Clippings, DVD's of City Council Meetings (copies), etc
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: PARKS & RECREATION Page P&R-1 SANTA CLARA, CA.

P&R-No. Office of Record Type Records Description Retention / Disposition Comments I Reference Record .·.·.·.·.·.·.·.·.·.·.·
...........

Inactive (Off- ...........

Active :::::···••%t~i (OFR) site, OD or ....
(in office) ·::::Retention::::

Mfr) .........

If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is comfJleted, and imfJIV a full file folder (e.a. last document+ 2 vearsl, since destruction is normallv Derformed bv file folder.

Litiqation, com{Jlaints, claims, fJUblic records act reauests audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletionl.

ADMINISTRATION
Parks & ..........
. . . . . . . . . .

Park History File (Building Dedications, Facility ·.·.·.·.·.·.·.·.·.·.

P&R-001 Recreation Reference p :-:-:-::::::::p..:: Department preference; GC §34090 Evaluations, etc.) :-:-:-:-:-:-:-:.:.:. ... ..

I Admin.

Capital Improvement Projects (CIP) / Jobs: 10 years or : •¢0111pietlc,ii :+: Some grant funding agencies require audits; Statute Administration File After Funding :19 years.or:::: of Limitations for Errors & Omissions is 10 years; Parks & Upon Agency Audit, if : Atter: :Funoing: Published Audit Standards=4-7 years; Statute of P&R-002 Recreation Project Admin Project Administration, Certified Payrolls, :Ag~n~y.: Ai:itjit;: Limitations: Contracts & Spec's=4 years, Wrongful / Admin. Construction Management Logs, Daily Inspection Completion required, ••••1:t:i:eqiifreci;•••• Death=comp. + 5 years, Developers=comp. + 10 Diary, Project Schedules, Progress meetings, Real whichever is : : :whichever: is::: years; Statewide guidelines propose termination + 5 longer Estate Appraisals, etc. <•: ioi-i~et• .. years; CCP §§336(a), 337 et. seq., GC §34090 Capital Improvement Projects (CIP) / Jobs: ...

Permanent File ...

Parks & Plans, Record Drawings/ "As Builts", Specifications, . . ... . . Department preference; retained for disaster . .

P&R-003 Recreation Contracts Bids/RFPs, Successful Proposal, Change Orders, Upon p . . . . :::::p:::::: ... preparedness purposes; Statewide guidelines I Admin. Inspections, Materials Testing Reports, Grading Completion propose Permanent for Infrastructure plans; GC Permits, Hazardous Materials Reports, Notice of ... ... §34090 Completion, )&M Manuals, Photos, Real Estate
Appraisals, Soils Reports, Studies, Submittals,
Surveys, etc. . . . . . .... . . . . . . . . . . . Department preference; Statute of Limitations: :-:-:-:-:-:-:-:-:-:-:-: Contracts & Spec's=4 years, Wrongful Death=Comp. Parks & ¢6iiti:iieii~~} •§ P&R-004 Recreation Agreements Agreements: Maintenance Agreements Completion 5 years + 5 years, Developers=Comp. + 10 years; E&O
(Creeks, Trails, etc.) • <y~i3rs• ••• =Comp + 10 years; Published Audit Standards=4-7 I Admin. . . ·.·.·.·.·.·.·.·.·. years; Statewide guidelines propose termination + 5 ;\!\!\!:): years; CCP §§336(a), 337 et. seq., GC §34090 Parks & Parks and Recreation Commission ....

P&R-005 Recreation Correspondence 2 years • <::2:1-e~rs: ... GC §34090 / Admin. AGENDAS, AGENDA PACKETS :::::::::::::::::::::::::::::::

Parks and Recreation Commission ...
:::::::::::::::::::::::.

P&R-006 City Clerk Correspondence I MINUTES & BYLAWS 2 years • • • • • • • :2 :1.~~ts: GC §34090 Copies - Forward Originals to City Clerk . . . . . ..... . . . . . . . . . . . • • •-~ . . . .

P&R-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive (Off- :::::::::::::::::::::::::::::::

Active : • :• :• :• :::i:i;t~i::.::::.:.
(in office) site, OD or : : : : R~~htidri:: •:: Mfr) . . . . . . . . .

If the record is not listed here, refer to the Retention for Citv-Wide Standards Page P&R-2
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normally oerformed by file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention periods (retention resumes after settlement or completion).

CEMETERY
Parks & City Cemetery Internment Records No specific time period mentioned in law; HS P&R-007 Recreation Reference (Ownership I Plot location I relocation, date p .r.' - §§8330, 8331 I Cemetery of receipt and internment, etc.) Parks &
P&R-008 Recreation Reference Deed Books (Cemetery Deeds) p GC §34090 I Cemetery .·.·.

Parks & Agreements and ::>:::>: Department preference; CCP §337 et seq., GC P&R-009 Recreation Leases Endowment Care Agreements p fJ· ·. ·. ·. §34090 I Cemetery Significant
Parks &
P&R-010 Recreation Reference Indexes: Burial Index/ Cremation Index, etc. p Department preference; GC §34090 I Cemetery
Parks &
P&R-011 Recreation Reference Lot Books (Cemetery) p GC §34090 I Cemetery
Parks &
P&R-012 Recreation Reference Plot Books p GC §34090
I Cemetery
Parks & Department preference; CCP §337 et seq., GC P&R-013 Recreation Reference Repurchase of Graves p §34090 I Cemetery .............

Schedule of Fees P&R-014 City Clerk Correspondence 2 years i\{y~~r.f: GC §34090.7 (Copies) P&R-015 Finance Reference Statement of Sale p ·.·.:-:-:-:-::p::-:-·-· Department preference; GC §34090.7 Parks & ::::::::::::::::::::::::::

P&R-016 Recreation Project Admin Worksheets (Detail of Arrangements) 10 years :•:•:•:10.Y~~r~• Department preference; GC §34090 . . . . . . . . . . . .

I Cemetery . . . .
...
. .

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-3
P&R-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retention / Disposition
Active
(in office)
Inactive (Off- ://:fit~(: .. site, OD or · · · · · · · · · · · · · · · ·:·::Retention::·:· Mfr) :: :: : : : : : : :: :: :: : : : : : : : : : : < .· · ...........

Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

PARKS & PLAYGROUND/ PARKS SERVICES
Parks &
Rec/ Parks
P&R-017 Pl & d Correspondence Equipment Materials & Instructions aygroun
P&R-018
P&R-019
P&R-020
P&R-021
/ Parks
Services
Parks &
Rec/ Parks
&
Playground
/ Parks
Services
Parks &
Source Key Management/ Tracking Log
Rec/ Parks p . t & F. · h J ·t · I S 1· t & am s Irns es, arn ona upp Ies, e c.

Pl d Correspondence
;~g;~k~n Also see MSDS on City-wide
Services
Parks &
Rec/ Parks
&
Playground
/ Parks
Services
Parks &
Reference Park Sites/ Historical Files
Rec / Parks p t· .d A 1. . & es IcI e pp IcatIons
Pl d Correspondence
;~g;~k~n Also see MSDS on City-wide
Services
Parks &
Rec/ Parks
P&R-022 Pl & d Correspondence Playground Inspections aygroun / Parks
Services
This material is protected by a copyright held by Gladwell Governmental Services Inc., Life of
Equipment+
2 years
Indefinite
2 years
p
2 years
2 years
................
.·.·.·.·.·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . ..... . . ·.·.·.·.·.·.·.·.·.·.·.·.·.·.·. ••••••••:tit~•cii:•:::::• .............. ' Equipnien:ff 2 GC §34090 et seq. ...........
. . . . . . . . .
:: : :::::::: > Department Preference (data is interrelated); GC :::::Indefinite ... · · · .. ·.·.· · · .. §34090
GC §34090
Department preference; GC §34090
== · · · ·. · ·· ==Department Preference (agricultural pesticide t:::::::.:;;2,:::~•ear:!:lJi:.:::::Jrecords are required for 2 years); GC §34090; 3 CCR = =6623, 40 CFR 171.11 et seq.

I>>>>.
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-4
P&R-No. Office of Record Type Records Description Retention / Disposition Comments / Reference Record Inactive (Off- ::::::::::::::::::::::::::::::::

Active ··•·····••::i:i;t~i·•····•··· (OFR) (in office) site, OD or • •:•: R~t~htit>ri : : : • Mfr) <::::::::::::::::::::::::::::.:

If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beoin when the act is comoleted, and imolv a full file folder (e.o. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Liti.oation, comolaints, claims, oublic records act requests, audits and/or investioations susoend normal retention oeriods (retention resumes after settlement or comoletion).

Record Drawings / "As Builts" of Parks
P&R-023 Engineering Reference Facilities p ~ Department preference; GC §34090.7 (Copies)
Parks & \))))))/ Rec/ Parks ............
& 2 years . . . . . . . . . . . . . .

P&R-024 Correspondence Swimming Pool Chemical Readings ... : ..: •i ·~~~~~.: .... OHS requirement; GC §34090 Playground / Parks
Services . . . . . .... . . .

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-5
P&R-No. Office of
Record Record Type Records Description Retention / Disposition Comments/ Reference (OFR)
If the record is not listed here, refer to the Retention for Citv-Wide Standards Active
(in office)
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or comoletion).

RECREATION - CRC - COMMUNITY RECREATION CENTER
Parks &
P&R-025 Rec. I 1 .d t R rt Accident Reports - Not Significant - First Aid Recreation nci en epo s (bandages, scratches, etc)
/CRC
Parks & Activity/ Special Programs I Special Event
P&R-026 Rec./ Files
Recreation Correspondence
I CRC Classes
P&R-027 City Clerk Correspondence Accti~ity Guides
opIes
Parks &
2 years
2 years
2 years
P&R-028 Recreation
Rec./ Agreements
Agreements for Contractors: Class Instructors, Completion Sports Leagues, etc. + 2 years
P&R-029
/CRC
Parks &
Rec./
Recreation Correspondence Banner Permits
/CRC
Parks &
Rec./
P&R-030 Recreation Reference CRC Historical Records
/CRC
Parks &
P&R-031 Recreation
Rec./ Non-Record Evaluations/Surveys (Program Evaluations) /CRC
P&R-032
Parks & Rec. 1 Facility Use Agreements / Room Reservations Recreation Correspondence I Equipment Applications or Books, Alcoholic 1 CRC Beverage Applications
This material is protected by a copyright held by Gladwell Governmental Services Inc., 2 years
p
None
2 years
3 years
/JJWaif Significant Accident Reports are sent to the City ////:::: Attorney; GC §34090
.....
: :: ?}1¢~i:i:{: · · Department preference; GC §34090
:-:-:-:-:-:-:-:-:-:-:-:-:-:
-:-:-:-:-:-:-:-:-:-:-:-:-:-
·.·.·.·.·.·.·.·.·.·.·.·.·.·
: i)}~~if: .. City Clerk maintains originals; GC §34090.7 .:.:.:_: ::::: : : / ::::: The statute of limitation for errors and omissions is ::::: ::::::::::>:: ::::: not applicable; Statewide guidelines propose Qo(D:pl~tki~:+:~ completion+ 5 years for non-capital improvement ::::::::::y~ars> ... contracts & completion + 4 years for transportation : ::::::: :: ..... and concessionaire agreements; CCP §§336(a), 337 .·.·.·.·.·.:-:•:-:-:-:-:-:-:-:• et. seq., GC §34090
: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~:
i/i2:y¢at-(: .. GC §34090
I //[{} \i/ Department Preference (Transitory record not ·.·.,w,,.,:; .. ·.·. retained in the ordinary course of business); GC §34090
. . . ..
. . . . . . . .
.·.· .
: : ::2j1Eiars: ... GC §34090
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-6
P&R-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record . . . . . . . . . . . . . . . . . . . . . . ...........

Inactive (Off- ·.·.·.·.·.·.·.·.·.·.·.
(OFR) Active site, OD or
:-::::::: totai ....
(in office) <:R~t~htitii{: Mfr) :::::::::::::::::::::::::::::::

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions beain when the act is comoleted, and imoly a full file folder (e.a. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

Meets auditing standards; Grants covered by a
Consolidated Action Plan are required for 5 years;
Parks & Uniform Admin. Requirements for Grants to Local P&R-033 Rec./ Grants Grant Program (Grants to Others through 5 years Governments is 3 years from expenditure report or
Recreation Friends of Parks & Recreation) final payment of grantee or subgrantee; HUD /CRC requires 3 years; statewide guidelines propose 4
years; 21 CFR 1403.36 & 1403.42(b); 24 CFR 85.42,
& 570.502(b), 29 CFR 97.42; GC §34090
Parks & :::::::::::::::::::::::::-:-·-·
P&R-034 Rec. I Source Recreation Database Indefinite : : : : : : inctetrnite : : : : : Department Preference; data is interrelated; GC Recreation
··············:················
§34090
/CRC . . . . . . . . . .

Parks & Registration Forms / Fee & Charge I Liability :::::::::::::::::::::::::

Rec. I Forms / Release of Liability Forms / ............. . . . . . . . . . .

P&R-035 Correspondence 2 years ::::::::;zyea:r:i?: ... GC §34090 Recreation Permissions etc.: Camps, Field Trips, :::::::::::::::::::::::: /CRC Authorization to give Medicine, etc. : : ~ : ! : ~ : ~ : ; : ! : ~ : ; : ; : ; : ; : Parks & Sign-in / Sign-out sheets ·.·.·.·.·.·.·.·.·.·.·.· .........

Rec. I .·.·.·.·.·.·.·.·.·.·.·.·
P&R-036 Non-Record None :::::::::None:: GC §34090 Recreation . . . . . . . . . . . . . . . . . . ... /CRC Drop in Tennis, Ceramics, Babysitting
Parks & .... :,:,:,:,:,:,:,:,:-:-·-·
Rec./ Subject/ Reference Files: Subjects other than ... ·.·.·.·.·.·.·.·.·.·.·.·.- P&R-037 Subject 5 years ... ··5 .·.·.· . Department Preference; GC §34090 et seq. Recreation Specifically Mentioned in Retention Schedules : : : : }'E!cl.{S:::::::
/CRC
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&R-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Records Description Retention I Disposition
.·.·.·.·.·.·.·.·.·.·.·.·.·.·.· .

Inactive (Off- . ·.·.·.·.·.·.·.·.·.·.·.·.·.·.·.

Active ••••••••••1:i;t~f ••••••••·
(in office) site, OD or
Mfr) • • • • •R~t~tjti~~• • • • •
Page P&R-7
Comments I Reference
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 years), since destruction is normally performed by file folder.

Litiaation, comolaints, claims, public records act reauests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or completion).

RECREATION - SENIOR CENTER
Parks & ·.:.:<<<<<-:-:-·-·.

Rec./ Activity/ Special Programs / Special Event :::::::::::::::::::::::::

P&R-038 Recreation Subject Files 5 years : ~ :y.~~t~:: :< Department preference; GC §34090 / Senior Tour Programs, etc. Center ...... . . . . .

Parks & :-:-:-:-:-:-:-:-:-:-:-:- ................ Department preference; Statute of Limitations is 4 Rec./ . . . . . . . . - . . . . . .
years; CCP §337; §343 Completion cib•~~i$ti~~• +: 5 P&R-039 Recreation Agreements Agreements for Nurses + 2 years
3 years ······· ........
/ Senior •: •: •: •:: y~ars: •: •: •:::: .........

Center . ·.·.·.·.·.·.·.·.·.·.·.·.

Parks &
Rec./ , .. .·.·.·. Department Preference (Transitory record not P&R-040 Recreation Non-Record Evaluations/Surveys (Program Evaluations) None Mnnei retained in the ordinary course of business); GC / Senior §34090
Center . ·. .·.·.· .

Parks & ..

Rec./ Facility Use Agreements/ Room Reservations ! ; ! ~: ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~ ~ ~ ~ ~ ~ P&R-041 Recreation Correspondence / Equipment Applications or Books, Alcoholic 2 years ······••i•~~ar.s. GC §34090 ... / Senior Beverage Applications .. . . . .

Center
Parks & ................
-:-:-:-:-:-:-:-:-:-:-:-·-·.

Rec./ -·-:.:-:-:-:-:-:-:-:.:-:-:-·-·
Inactive+ 2 >tnadrve+2 :- P&R-042 Recreation Correspondence Lapidary/ Woodshop Sign-Ups . . .. Department preference; GC §34090 I Senior years ...... \;~~if•
. . ..

Center . . .. City administers program for the County; meets Parks & ::::::::::::::::::::::::: Uniform Grant Requirements; Uniform Admin. Rec./ Nutrition / Food / Lunch Program Registrations . . . . . . . . . . . .

Requirements for Grants to Local Governments is 3 P&R-043 Recreation Routine 4 years / Senior ·•·•·•·4·y~~r~ .. (Confidential) ·-:-:-:-:-:-:-:.:-:-·-·.· ... years from expenditure report; statewide guidelines .. propose 4 years; 24 CFR 85.42 & 570.502(b), 29 Center : ~: ~: ~: ;: ; : ; ~; ~; ~; ~; ~ ! ~ ! ~ ! ~; ~; ~ CFR 97.42, GC §34090 Parks & ..

Rec./ >>>>i Registration Forms / Fee & Charge/ Liability P&R-044 Forms / Release of Liability Forms / ............... Recreation Correspondence Permissions etc.: Camps, Field Trips, 2 years •••••••i•ye:ar:~•••••·• GC §34090 / Senior ..

Authorization to give Medicine, etc. ::::::::::::::::::-:-·,·.

Center
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-8
P&R-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record Active Inactive (Off- •·•·•••••totai•:••••·•·· (OFR) (in office) site, OD or /:R~~Jti~ri\ Mfr) If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is completed, and imply a full file folder (e.q. last document+ 2 vears), since destruction is normallv performed bv file folder.

Litiaation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

Parks & :-:-:-:-:-:-:-:-:-:.:-·-· . . . . . . .. . .

Rec./ Senior Commission ::::::::::::::::::::::::
............ Brown Act challenges must be filed within 30 or 90 . .. ...... ...

P&R-045 Recreation Correspondence 2 years 2j~ars:/ i ... days of action; GC §§34090, 54960.1 (c)(1) / Senior AGENDAS, AGENDA PACKETS ·.·.·.·.·.·.·.·.·.·.·.·.· : . :-: . :- :- :- :- :- :-: . :-:-. Center . . ......... . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Senior Commission ::::::::::::::::::::::::::::::: Notes taken to facilitate the writing of the minutes can P&R-046 City Clerk Correspondence MINUTES & BYLAWS 2 years •••••••• 2 .y~ari •• : ••••• be destroyed after minutes have been adopted; GC Copies - Forward Originals to City Clerk ..... §34090
Parks & Sign-in / Sign-out sheets Rec./
P&R-047 Recreation Non-Record Computer Lab, Fitness Center, Swim Center, None •None: .... GC §34090 I Senior ....

Center etc. ::::::::::::::::::::::::::;::::

Parks & ::::::::::::::::::::::::

Rec./ . . . . . . . . . . . . ............

Subject/ Reference Files: Subjects other than . . . · ....................

P&R-048 Recreation Subject 5 years •:•:•::)~ Y.~~t~· Department Preference; GC §34090 et seq.

I Senior Specifically Mentioned in Retention Schedules .. ... . . ·.·.·.·.·.·.·.·.·.

Center . . . .·.·.·.·.·.•.·.·.·.·.· . . .

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-9
P&R-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retention / Disposition
Active
(in office)
..............
·.·.·.·.·.·.·.·.·.·.·.·.·.·.·
Inactive (Off- • /?t&t~( ::::
site, OD or :::::R~t~htiij~: :

Mfr)
Comments/ Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oub/ic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

RECREATION -TEEN CENTER
Parks &
Rec. I
P&R-049 Recreation
/Teen
Center
Parks &
Rec./
P&R-050 Recreation
/Teen
Center
Parks &
Subject
Activity / Special Programs / Special Event
Binders
Various Teen Programs. Includes As-Needed Staff
Recruitment, Time Sheets
Non-Record Evaluations/Surveys (Program Evaluations)
Rec. / Facility Use Agreements I Room Reservations
P&R-051 Recreation Correspondence / Equipment Applications or Books, Alcoholic I Teen Beverage Applications
Center
Parks &
Rec./
P&R-052 Recreation
/Teen
Center
Parks &
Rec./
Registration Forms / Fee & Charge I Liability
C d Forms/ Release of Liability Forms /
orrespon ence p . . t C F" Id T . ermIssIons e c.: amps, Ie nps, Authorization to give Medicine, etc.

P&R-053 Recreation Correspondence Scholarship Applications /Teen
Center
Parks &
Rec./
P&R-054 Recreation
/Teen
Center
Parks &
Rec./
P&R-055 Recreation
/Teen
Center
Non-Record
Subject
Sign-in / Sign-out sheets
Computer Lab, Summer Program Attendance
Sheets, etc.

Subject I Reference Files: Subjects other than
Specifically Mentioned in Retention Schedules
This material is protected by a copyright held by Gladwell Governmental Services Inc., 5 years
None
2 years
2 years
2 years
None
5 years
· · · · ·:: Department preference; EEOC/ FLSA / ADEA (Age) : /i /// ::: requires 1-3 years; State Law requires 2 - 3 years; 29 \\~1~~i:i< :: CFR 1602 et seq & 1627.3(a)(5) and (6), 2 CCR 7287.0(c)(2), 8 CCR §11040.?(c), GC §§12946,
34090
Department Preference (Transitory record not
: :::::::Nori~:: .. _: retained in the ordinary course of business); GC -: ::: §34090
;:;:;:;:;:;:!:;:;:;:;:;:
: Z:year:s : : : : : : Gc §34090
GC §34090
:::::::::::::::::::::::::
: : :2\ie.aisi ::::: Gc §34o9o
://////: \>5iy~~ti:;: Department Preference; GC §34090 et seq. but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-10
P&R-No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Inactive (Off- ...........
. . . . . . . . . . .

Active ::::::::::totai:
(OFR) (in office) site, OD or
Mfr) •: •: :R~t.eJti~ri:: • • •
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

Parks &
Rec./
P&R-056 Recreation Reference Teen Center Historical Records p o. Department Preference; GC §34090 /Teen
Center
Parks &
?.M~r Rec./ Youth Advisory Commission Brown Act challenges must be filed within 30 or 90 P&R-057 Recreation Correspondence 2 years days of action; GC §§34090, 54960.1 (c)(1) /Youth AGENDAS, AGENDA PACKETS Center
Youth Advisory Commission -:-:-:-:-:-:-:-:-::: ......... Notes taken to facilitate the writing of the minutes car ........... ·.·.·.·.·.·.·.·.· ...

P&R-058 City Clerk Correspondence MINUTES & BYLAWS 2 years i~~~t~:: •• be destroyed after minutes have been adopted; GC .·.·.·.·.·.·.·.·.· ... §34090 Copies - Forward OriQinals to City Clerk .·.·-:-:-:-:-:-:-::::

RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Page P&R-11
P&R-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for City-Wide Standards Retention / Disposition
Active
(in office)
.·.·.·.·.·.·.·.·.·.·.

Inactive (Off- :::::::: T:tit~f: .. site, OD or · · · · · · · · · · · · · · · Mfr) <::Re.te~tti>i:f: i
Comments I Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is norma!lv oerformed bv file folder.

Litigation, complaints, claims, public records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or completion).

RECREATION - YOUTH ACTIVITY CENTER
Parks &
Rec./
P&R-059 Recreation
/ Youth
Center
Parks &
Rec./
Subject
Activity/ Special Programs I Special Event
Files
After School Classes, Sports, Skate Park,
Special Events
P&R-060 Recreation Non-Record Evaluations/Surveys (Program Evaluations) /Youth
Center
Parks &
Rec. / Facility Use Agreements I Room Reservations
P&R-061 Recreation Correspondence / Equipment Applications or Books, Alcoholic / Youth Beverage Applications
Center
Parks &
Rec./
P&R-062 Recreation
/ Youth
Center
Parks &
Rec. I
P&R-063 Recreation
/Youth
Center
Parks &
Rec. I
P&R-064 Recreation
/ Youth
Center
Parks &
Rec./
P&R-065 Recreation
/Youth
Center
Source Participant Database (Access)
Registration Forms / Fee & Charge I Liability
C d Forms I Release of Liability Forms I
orrespon ence p . . t C F. Id T . ermIssIons e c.: amps, Ie nps, Non-Record
Subject
Authorization to give Medicine, etc.

Sign-in / Sign-out sheets
(Passage Point Software)
Subject/ Reference Files: Subjects other than
Specifically Mentioned in Retention Schedules
This material is protected by a copyright held by Gladwell Governmental Services Inc., 5 years
None
2 years
Indefinite
2 years
None
5 years
:::::::::::::::::::::::::
. . . . . . . . . . . .
}}js)~ai-{ Department preference; GC §34090
Department Preference (Transitory record not
retained in the ordinary course of business); GC ......... ::: >::::::: __ §34090 .........
..........
. . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... . . . .·.·.·.·.·.·.·.·.·. tyear:f Gc §34090
·.·.·.·.·.·.·.·.·.·.·.·.·
·.·.·.·.·.·.·.·.·.·.·.·.·
lrid:~rihit~< : Department Preference; data is interrelated; GC ::::::::::::::::::: §34090 ·.·.·.·.·.·.·.·.·.·
::::::::::::::::::: ..
1::::: ""'~ GC §34090 = =
Department Preference; GC §34090 et seq.
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&R-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PARKS & RECREATION
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive (Off- ::::::::::::::::::::::::: ..

Active site, OD or
:::::::::%t~i:::: ..
(in office) Mfr) •: •: •ij~i~Jti~~: • • •
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page P&R-12
Comments / Reference
Retentions beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder.

Litiaation, comolaints, claims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods retention resumes after settlement or comoletion).

Parks &
·•····••··8············
Rec./
P&R-066 Recreation Reference Youth Activity Center Historical Records p :::::

Department Preference; GC §34090
/ Youth
Center
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&I-No. Office of 1
Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
.·.·.·.·.·.·.·.·.·.·.·.·.·.·.·
Inactive / f.bt~( ::
(Records Retet1ti6ri
Center)
Page P&l-1
Comments I Reference
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

P&l-001
P&l-002
P&l-003
P&l-004
P&l-005
P&l-006
P&l-007
Planning &
Inspection/
Building
Inspection
Planning &
Inspection/
Building
Inspection
Planning &
Inspection /
Building
Inspection
Planning &
Inspection/
Building
Inspection
Planning &
Inspection/
Building
Inspection
Planning &
Inspection/
Building i
Inspection
Planning &
Inspection/ I
Building
Inspection

BUILDING INSPECTION
Reference Alternate Methods Database (Alternate Material for Buildings)
Correspondence Bonds/ Refundable Deposits / Refunds
C d Building Permit Applications where the Permit
orrespon ence was Never Issued
Source
Reference
Reference
Reference
Building Permit Database
Includes Certificates of Occupancies and
Complaints
Building Permits (All) / "Address File"
Includes Certificates of Compliance
Building Plans and Construction Documents -
Finalled - SINGLE FAMILY RESIDENTIAL - SFR
(less than 2 stories) and APPURTENANCES
Building Plans and Construction Documents -
Finalled - INDUSTRIAL, COMMERCIAL, MULTIFAMILY DWELLINGS, PLACES OF PUBLIC

ACCOMMODATION, TENANT IMPROVEMENTS,

PRODUCTION HOMES
(includes commercial structural plans, Hazardous
Materials Questionnaire, etc.)
p
Release of
Bond/
Security+ 2
years
2 years
Indefinite
p
p
p
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. p Department Preference; GC §34090
Department preference; Preliminary drafts not
retained in the ordinary course of business;
IGC §34090
"r:::::·lrri:idi~firlrte::: =,Department Preference - Data is interrelated; = ...... - =GC §34090, H&S §19850
:: = == ::::::;::,: ==Statewide guidelines propose permanent; GC = . =§34090
== ==Department preference; Law requires plans be
== ==retained for the life of the building for other
== :;'"'~- =structures; Statewide guidelines propose 2
:· ·· ·· ·· ·_· _.·· ·· · ·· · ·c~'"·.'-ears for blueprints & specifications; CBC = ·_·_·_·_· =§108.4.3.1; H&S §19850, GC §34090
.·.·.·. .·.·.

Department Preference; Law requires for the
life of the building for commercial only;
Statewide guidelines propose 2 years for
blueprints & specifications; CBC § 108.4.3.1;
H&S§19850, GC §34090
P&I-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive -:-:-:-:-:-:-:-:-:-:-:-:-:

Active ··•····••:rotat••·•· (Records .·.·.·.· .. · .. ·.·.·.·.·.· (in office) Center) <R$te:ntion
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page P&l-2
Comments I Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, fJUblic records act reauests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Planning &
P&l-008 Inspection/ Reference Building Certificates of Occupancy p ~ Department Preference; GC §34090 11 Inspection
Planning &
P&l-009 Inspection / Reference Complaints / Service Orders p ~ GC §34090 Building Inspection 1 Covenants / Easements & )) P&l-010 City Clerk Reference (Openings across property lines, etc.) p Department preference; GC §34090.7 copies
Planning &
Inspection I Miscellaneous Permits - "TRADE PERMITS" - Department Preference (scanned); GC P&l-011 Reference p ·- Building Mechanical, Plumbing, Electrical trades, etc. ·- §34090 Inspection
Planning & I
Inspection/ Miscellaneous Permits: House Moving, Party Tents, Department Preference (scanned); GC P&l-012 Reference p ·P Building etc. §34090 Inspection ...............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i :-:-:-:-:-:-:-:-:-:-:-:-:-:-:- Securities (Performance Bonds, Letters of Planning & I ...............

Inspection / Release of •••A~i~•~~¢•~i••• Credit, CD's, etc.) are released after the Notice P&l-013 Building Correspondence Performance Bonds Security+ 2 • • S.e9urifr + •2 • • of Completion is issued and replaced with the years •••••••••years••• ... Warranty Bond, which is released 1 year after Inspection ............... . ·.·-:-::::::::::::::::::::::: the Notice of Completion date. GC §34090 Planning & .·.·.·.·.·.·.·.·.·.·.·.·
Inspection / Reports: Building Activity (Annual) -:-:-:-:-:-:-:-:-:-:-:-:

P&l-014 Correspondence 2 years •2}~~if Department Preference; GC §34090 Building (copies) ...

Inspection //) )) Planning & ::::::::::::::::::::::::::::

P&l-015 Inspection / Correspondence Reports: Building Activity (Monthly) 2 years ·······~•xe~rs····· Department Preference; GC §34090 Building Inspection
Planning & ............
·.·.· .. ·.·.·.·.·.·.·.· . . . . . . . . . . . .

Inspection I :::::: :::::::::::::::::

P&l-016 Correspondence Requests & Permissions to Receive Copies of Plans 2 years < jy~flr~ GC §34090 et seq. Building ...

Inspection
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&I-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
.·.·.·.·.·.·.·.·.·.·.·.·.·.·.·
Inactive :fbt~{: <
(Records R~t~nii~ri >
Center
Page P&l-3
Comments / Reference
ord is not listed here, refer to the Retention for Cit -Wide Standards act is com feted and im ly a full file folder e. . last document+ 2 years , since destruction is normally erformed by file folder.

P&l-017
P&l-018
P&l-019
P&l-020
Planning &
Inspection /
Building
Inspection
Planning &
Inspection/
Building
Inspection
Planning &
Inspection /
Building
Inspection
Planning &
Inspection /
Building
Inspection
Reference Soils Reports, Special Studies (Earthquake, etc.) Non-Record Title 24 Energy Cales, Structural Cales
Reference
Reference
Uniform Codes (UBC, UPC, UEC. Etc.)
Violations
(correction notices, compliance orders, stop work
notices, etc.)
This material is protected by a copyright held by Gladwell Governmental Services Inc., p
None
p
Until Cleared
or Project
Completion -
p
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

Department Preference; GC §34090
= ·.·. .. = --Department preference (preliminary drafts not ...............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :Uiitr1:c1earec1:
retained in the ordinary course of business),
GC §34090
8!~j~ff Department Preference; GC §34090
········••::p••::•:••·•·•·
P&I-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
I
.............

Inactive .............
.............

Active ••••••••:Totat••••• I (Records .............
(in office) I Center) : Retenifon
If the record is not listed here, refer to the Retention for City-Wide Standards Page P&l-4
Comments / Reference
Retentions begin when the act is completed, and imoly a full file folder (e.a. last document+ 2 years), since destruction is normally oerformed bv file folder. ~itiaation complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or comoletion).

PLANNING
Planning &
Inspection /
P&l-021 Planning Reference Annexations / Boundaries / Consolidations / LAFCO 5 years p .·!' Land Records; GC §34090 AND
City Clerk
Planning & Department Preference (the Staff Reports are Architectural Review Committee (ARC) Agendas P&l-022 Inspection/ Correspondence 2 years ·-· filed in the Project Entitlement Folder); GC .L::'·'"' ,~ Planning and Agenda Packets §34090
Planning &
P&l-023 Inspection/ Reference Architectural Review Committee Approvals / Letters p ::p Department Preference; GC §34090 Planning
Department preference; Notes taken to Planning & 11acilitate the writing of the minutes can be P&l-024 Inspection/ Minutes Architectural Review Committee Minutes p ·:Pdestroyed after minutes have been adopted; Planning i GC §34090.7 Planning &
P&l-025 Inspection/ Reference Berryessa Adobe Property Files p ::r- Department preference; GC §34090 Planning
Planning &
No•ri¢ Department preference (Non-Records - P&l-026 Inspection / Non-Record Census, Demographics None Census Bureau is OFR) Planning Planning & City of Santa Clara Architecturally or Historically P&l-027 Inspection / Reference p Department preference; GC §34090 Planning Significant Properties
Department preference; Case is open until
Planning & Code Enforcement/ Abatement Case Files (Includes !satisfactorily resolved (some cases are not P&l-028 Inspection / Logs appeals and Code Enforcement Complaint Letters) 3 years resolved); City Clerk maintains original staff Planning reports and resolutions that are presented to
Council; CFC §104.3.4, GC §34090
Planning & Environmental Determinations: Environmental Usually filed in the project file; Final Impact Reports (EIRs), Negative Declarations, etc.) environmental determinations are required to P&l-029 Inspection/ Reference p be kept a "reasonable period of time"; 14 CCR Planning Inside City boundaries : §15095(c); GC §34090 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&I-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .·.· ...... ·.·.·.·.·.·
Active ·•···•·••f.rit~t••··· (Records .............
(in office) Center) R$tifotfon
Page P&l-5
Comments / Reference
Ecord is not listed here, refer to the Retention for City-Wide Standards ans beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 vears), since destruction is normallv performed bv file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Planning & Environmental Determinations: Environmental Non-records; EIRs and Negative Declarations P&l-030 Inspection/ Non-Record Impact Reports (EIRs), Negative Declarations, etc.) None 'Jon ~ within the City Boundaries are with the project Planning Outside City boundaries (no City comments) lfile Environmental Determinations: Environmental
Planning & Impact Reports (EIRs), Negative Declarations, etc.) P&l-031 Inspection / Correspondence 2 years ye .. r·, GC §34090 Planning Outside City boundaries (where the City submits ·. ·. .·. ·.··· comments) ·.
-~
Planning &
P&l-032 Inspection/ Reference General Plan, Elements and Amendments p GC §34090 Planning
Planning & !
P&l-033 Inspection/ Reference Harris Lass Property Files p ., Department preference; GC §34090 Planning
Planning & Historical & Landmarks Commission (HLC) Agendas ::::: :::::::::::::::: Department Preference (the Staff Reports are P&l-034 Inspection / Correspondence 2 years •·•·• ~yeari filed in the Project Entitlement Folder); GC Planning and Agenda Packets §34090.7
Planning & Historical & Landmarks Commission Approvals / P&l-035 Inspection/ Reference p :p- Department Preference; GC §34090 Letters Planning Planning & Historical & Landmarks Commission Audio Department preference; State law only P&l-036 Inspection / Reference p :p Recordings I requires for 30 days; GC §54953.5(b) Planning I Department preference (copies); Notes taken
o facilitate the writing of the minutes can be P&l-037 City Clerk Minutes Historical & Landmarks Commission Minutes p :P· destroyed after minutes have been adopted;
GC §34090.7
Planning &
P&l-038 Inspection/ Reference Jamison Brown House Property Files p Department preference; GC §34090 Planning
Planning &
P&l-039 Inspection/ Reference Master Plans, Specific Plans, Bikeway Plans, etc. p Department Preference; GC §34090 Planning
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&I-No. Office of Record Type Record
i (OFR)
I I
'
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
.............

Inactive . . . . . . . . . . . . . .............

Active •••••••••r-otat••••• (Records .............
.............
(in office) Center) R$tention
If the record is not listed here, refer to the Retention for City-Wide Standards Page P&l-6
Comments/ Reference
Retentions beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 vears), since destruction is normallv performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion) . . . . . . . . . .

Planning & ..........
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

P&l-040 Inspection/ Correspondence Permits: Parties, Noise, etc. 2 years 2 y.e~rs GC §34090 Planning
Planning & Department Preference (the Staff Reports are P&l-041 Inspection/ Correspondence Planning Commission Agendas, Agenda Packets 2 years .2" JL ·;,. ,iled in the Project Entitlement Folder); GC Planning §34090.7
Planning & Department preference; State law only P&l-042 Inspection/ Reference Planning Commission Audio Recordings p :P· requires for 30 days; GC §54953.5(b) Planning
Department preference (minutes are copies)
P&l-043 City Clerk Minutes Planning Commission Minutes p ::i• Notes taken to facilitate the writing of the minutes can be destroyed after minutes have
been adopted; GC §34090 et seq.

Planning &
P&l-044 Inspection/ Resolutions Planning Commission Resolutions p GC §34090 et seq.

Planning
Planning &
P&l-045 Inspection / Reference Planning Commission, Summary of Actions p j Department preference; GC §34090 Planning . . . . . . . . . . . . . . .

Planning Project Files - Approved & Unapproved ............... . . . . . . . . . . . . . . . .. .. ........... . . . . . . . . . .. . . . . . . ... .. .. . .. . . .

Special Permits: ·.·.·.·.·.·.·.·.·.·.·.·.·.·.·.
...............
::::::::::::::::::::::::::::::

Planning & I Termination + :r~trniriat,ciri; Temporary uses; Department maintains P&l-046 Inspection / Correspondence Christmas Tree Lots, Temporary Barricades with ............... !complete files for administrative purposes; 2 years Planning Artwork, Debris Boxes, Pumpkin Lots, Temporary •••••••2•y.e~r~••••••• ... ·.·.·.·.·.·.·.·.·.·.·.· GC§§34090 Signs, Garage Sale Permit, After Hour Permits,
Party Tents, etc.

P&I-No. Office of
Record Record Type
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
Page P&l-7
Comments / Reference
,___-----+-----+--------+--------------------+-----------~~~.-•,~~--------------------11 Inactive -:-:-:-:-:-:-:-:-:-.-.·.·. (OFR)
If the record is not listed here, refer to the Retention for City-Wide Standards Active
(in office)
::::::::::rotai:::::
(Records ··:·R~t$nti~ri
Center)
Retentions beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 vears), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

P&l-047
P&l-048
P&l-049
P&l-050
P&l-051
P&l-052
I
'
P&l-053
P&l-054
Planning &
Inspection/
Planning
Planning &
Inspection/
Planning
Planning &
Inspection/
Planning
Planning &
Inspection/
Planning
Planning &
Inspection/
Planning
Planning &
Inspection/
Planning
Planning &
Inspection/
Planning
Planning &
Inspection /
Planning
Project
Non-Record
Correspondence
Reference
Non-Record
Reference
Reference
Correspondence
Planning Project Files - Approved, Denied,
Withdrawn or Expired Permanent Entitlements
(Includes Associated CEQA Noticing, Conditions of
Approval, Public Noticing, Affidavits of
Publications/Legal Advertising, Environmental
Determinations, Staff Reports, Plans & Maps
Examples: Architectural Control, Conditional Use Permits (CUPs}, Design Review, Lot Line Adjustments, Parcel
Maps, Planned Unit Developments (PUD), Site Plans,
Tentative Subdivisions, Variances, Zone Changes, Copies of Development Agreement, etc.

Preliminary Review File
Project Clearance Committee (internal staff)
Project Log Index/ Spreadsheet/ Binders of Historic
Actions
Regional Organizational Studies & Programs where
other Agencies are the Lead (e.g. Air Quality
Studies, etc.)
Santa Clara Railroad Property Files
Special Studies
Subdivision Committee / Project Clearance
Committee Agenda
This material is protected by a copyright held by Gladwell Governmental Services Inc., Project
Completion
None
2 years
p
None
p
p
2 years
p
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

Projects have a 2 year vesting (applicant must
·.· pull permit within 2 years) -- those applications
·.· in which the applicant does not follow through
-:-: with permit may be destroyed after the vesting
_ . ·J ._. __,. -:_period has expired. Department maintains =... · =complete files for administrative purposes;
..., ·~ :-:-:-:-:-:-:-:-:- .........
. . . . . . . . . . . . . . . . . .
~ yeiari
None.

Final environmental determinations are
required to be kept a "reasonable period of
time"; 14 CCR §15095(c); GC§§34090,
34090.7
Preliminary Documents (no application
submitted); GC §34090
GC §34090
Department Preference; GC §34090
Non-records; GC §34090 et seq.

Department preference; GC §34090
Department Preference; GC §34090
GC §34090
P&I-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
.............

Inactive . . . . . . . . . . . . . .............

Active ····•·•••toiiii••••· (Records .............
(in office) Center) R$fontion
If the record is not listed here, refer to the Retention for City-Wide Standards Page P&l-8
Comments I Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by fl1e folder.

Litioation, complaints, claims, public records act reauests, audits and/or investioations suspend normal retention periods (retention resumes after settlement or completion).

Planning & Subdivision Committee/ Project Clearance
I V/ P&l-055 Inspection/ Minutes Committee Minutes p Department Preference; GC §34090 Planning
P&l-056 City Clerk Reference Zoning Amendments, Zoning Text Amendments p [))%: Department Preference; GC §34090.7 copies Planning & Department Preference; City Clerk Maintains
P&l-057 Inspection / Reference Zoning Maps p :P: originals of all documents that were presented Planning to Council; GC §34090. 7
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

Office of P&l-No. Record Record Type
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.
i
Records Description Retention I Disposition
.............

Inactive . . . . . . . . . . . . . .............

Active >< <roiat •
(in office) (Records Retention Center)
e record is not listed here, refer to the Retention for City-Wide Standards Page P&l-9
Comments I Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 vears), since destruction is normally performed by file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

HOUSING AND COMMUNITY SERVICES
Planning & :-:-:-:-:-:-:-:-:-:-:-:- ............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Inspection I Accounts Payable/ Invoices and Backup / Warrants ............ :.:.:.:-:-:-:-:-:-:-:-:- ............

P&l-058 Housing & AP Payments Requests 2 years 5 years fyears ... Department preference; GC §34090 Community NOT forwarded to Finance . . . . . . . . . . . . . . . ............... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Services ::::::::::::::::::::::::::::::
...............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 years After ::$:v.~~:ri a~e;-: HUD requires 5 years after the project the : : : : : : : : : : : t8i:i:::::: -: -: - AHS Agency - Affordable Housing Services - All Affordability j\ff.or.d~bitity completion; documents imposing recapture/ Planning & Period ::::::::r~rfoc1:::::::: resale restrictions are 5 years after the Inspection I affordability period terminates; Uniform Admin.

P&l-059 Housing & Subject May contain Home Ownership Housing Projects with Terminates, ter:m1n:afoi: ot Requirements for Grants to Local Recapture / Resale Restrictions or the Written :::tfieWr.itten::::

Community ............... Governments is 3 years from expenditure Agreement :•:Ai:ireer.n~n~::: Services (Contract Agreements, Compliance Monitoring) Terminates, ::ter.riiinates,:: report; statewide guidelines propose 4 years; Whichever is : Wf.i1cf.iev.er.: ls: 24 cfr 85.42(b), 92.508(a) & (c)(2) & ............... 570.502(b), 29 CFR 97.42(b), GC §34090 Longer :::::::Longer:::::::: ............. . . . . . . . . . .
............... HUD requires 5 years after the project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...............
::::::::::::::::::::::::::::: completion; documents imposing recapture / Planning & -:-:-:-:-:-:-:-:-:-:-:-:-:-:- resale restrictions are 5 years after the ...............

AHS Agency - Affordable Housing Services - HOME .·.·.·.·.·.·.·.·.·.·.·.·.·.·.

Inspection I Project :::::: Pfoi~ct ::::::: affordability period terminates; Uniform Admin.

P&l-060 Housing & Subject OWNERSHIP HOUSING PROJECTS NO Completion + qoiriptetion + Requirements for Grants to Local Community RECAPTURE/ RESALE RESTRICTIONS (Contract 5 years $years: Governments is 3 years from expenditure Services Agreements, Compliance Monitoring) .............. ::::::::::::::::::::::::::::: report; statewide guidelines propose 4 years; ............... . . . . . . . . . . . . . .
24 cfr 85.42(b), 92.508(a) & (c)(2) & ...............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 570.502(b), 29 CFR 97.42(b), GC §34090 ...............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

P&I-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
. . . . . . . . . . . . . . . . ... .. . . . . . Inactive · · · · · · · · · · · · · • • • • • • • • • :rotai • • • • · (Records :<R~tehti~ri
Page P&l-10
Comments I Reference
~cord is not listed here, refer to the Retention for City-Wide Standards ~ns beoin when the act is completed, and imoly a full file folder (e.o. last document+ 2 years), since destruction is normally oerformed bv file folder.

Center) •·•·•·•·•·• •·•·•·••·•·•·
Litigation, complaints, claims, oublic records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion) .

P&l-061
Planning &
Inspection /
Housing &
Community
Services
Planning &
Inspection /
P&l-062 Housing &
Community
Services
Subject
Subject
5 years After
the
Affordability
AHS Agency - Affordable Housing Services - HOME Period
OWNERSHIP HOUSING PROJECTS WITH Terminates,
RECAPTURE I RESALE RESTRICTIONS (Contract or the Written Agreements, Compliance Monitoring)
AHS Agency - Affordable Housing Services -
RENTAL HOUSING PROJECTS (Contract
Agreements, Compliance Monitoring)
Agreement
Terminates,
Whichever is
Longer
Project
Completion +
5 years
. . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . .. .. • t > y~ats att~r • the HUD requires 5 years after the project Affor.ciiii~fifty completion;_ d?cuments imposinftg rechapture / : .. Period: • resale r~~tnct1o~s are 5_years a e_r t e .

T
···•·•·•·••:-:::t·.•·•• .. : .. • laffordab1hty penod terminates; Uniform Admm. erm1na es, or R . t f G t t L I • th~ W~rtt~~ equiremen s or ran s o oca . · · · · · · · · · · · · · · · Governments is 3 years from expenditure •••Agr:e~m.ent••• lerrnfnates;:: report; statewide guidelines propose 4 years; Whi6h$vir ji• ~io~:o~~~~~bJ,i;:~~~:~~t~~ :34090
::::::• L9~gEir:·:·::::
:::::::::::::::::::::::::::::: : < • HUD requires 5 years after the project :::::::::::::::::::::::::::::: 1completion; documents imposing recapture/ } •• } Iresale restrictions are 5 years after the
: P:r<iJ~ct Iaffordability period terminates; Uniform Ad min.

C<irrip.letfoti ;f Requirements for Grants to Local
qy~~r$ ... Governments is 3 years from expenditure
: }}\ ;7~;;8~~;~:~~~~:~~t: ~~~;~s; 4 years; ...............

I •• • /:: 570.502(b), 29 CFR 97.42(b), GC §34090
--------+-------+----------,------------------~-------+------::::::::::::::::::::::::::::::

Planning &
Inspection /
P&l-063 Housing &
Community
Services
Subject
Termination AHS Agency - Affordable Housing Services - of Rental TENANT-BASED RENTAL ASSISTANCE (Contract Assistance+
Agreements, Compliance Monitoring) 5 years
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ••••••••••••••••• :::::::: ::: HUD requires 5 years after the rental ::::: :::::::::::: :•:•: : :: assistance terminated; documents imposing ..... •••••;:.::::: .• :::::: •:- recapture/ resale restrictions are 5 years after '.f~ff1'l!t'1$ttOl\9 the affordability period terminates· Uniform ····Rental · · · ' f .:t> :: {~ Admin. Requirements for Grants to Local : SSIS.l:1!19~•••·· · Governments is 3 years from expenditure years:
•·•·••·•·•·••·•·•·•·•·•••:-report; statewide guidelines propose 4 years; • > : 24 cfr 85.42(b), 92.508(a) & (c)(2) &
: • \ : : 570.502(b), 29 CFR 97.42(b), GC §34090
P&I-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive -:-:-:-:-:-:-:.:-:-:-:-:-:

Active ····•·•••i:oiai••··· (in office) (Records • · Retenifon Center) If the record is not listed here, refer to the Retention for City-Wide Standards Page P&l-11
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion). 1 Annual Plans - Reports
Planning & 5-year Hud Consolidated Plan I
Inspection I RDA Implementation Plan
P&l-064 Housing & Analysis HUD Annual Plan 10 years >i·r.i, • .... ;.. !Department Preference; GC §34090 Community HCD Report - HUD Caper
••
Services Housing Authority - Includes working Copies and back-up ....... Planning & ·. . ·.·
Inspection I Applications for Projects or Loans: Rejected I "yearn/ P&l-065 Housing & Subject 3 years 2 years GC §34090 Community (Rental Rehabilitation, etc.)
Services ...............
. . . . . . . . . . . . . . .
5 years After • •i \;~~~i ~f:i~r • HUD requires 5 years after the project the •:•:•:•:•:•ti're:•:••••·•·· i Affordability • • Afforc1a~i1tty. • • completion; documents imposing recapture I
Planning & Period ::::::::Pedod•····•·• resale restrictions are 5 years after the Inspection I ............... affordability period terminates; Uniform Admin.

P&l-066 Housing & Subject BMP - Below Market Program (First Time Home Terminates, termin:ates, oi Requirements for Grants to Local Buyer, etc.) or the Written •••111ewr:itien••• Community Agreement •Agr~m$nt Governments is 3 years from expenditure Services Terminates, • • Ter:iniii~i~s; • •
report; statewide guidelines propose 4 years;
Whichever is :'1tllTu~1%:f
24 cfr 85.42(b), 92.508(a) & (c)(2) &
Longer 570.502(b), 29 CFR 97.42(b), GC §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&I-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
I
Inactive .·.-.·.·.·.·.·.·.·.·.·.·.·.

Active :::::::•:f.bt~t•::•::
(Records .............
(in office) Center) R.$teniion
~dis not listed here, refer to the Retention for City-Wide Standards Page P&l-12
Comments I Reference
Retentions be_qin when the act is comoleted, and imoly a full file folder (e . .a. last document+ 2 vears), since destruction is normallv performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investi.aations susoend normal retention oeriods (retention resumes after settlement or comoletion). // /) Required for Contracts Meets auditing
.·.·.·.·.·.·.·.·.·.·.·.·.-.·.· ............... standards; Grants covered by a Consolidated ················•>••····
Action Plan are required for 5 years; Uniform
IAdmin. Requirements for Grants to Local
Planning & Governments is 3 years from expenditure
Inspection I Capital Projects: Contactor Agreements, Project ••••••• Ptiii~bt••••••• report or final payment of grantee or P&l-067 Housing & Subject Completion + •¢airiptetioi:i f subgrantee; statewide guidelines propose 4 Community Compliance Monitoring, Financial Accounting, etc. 5 years ~years years; 7 CFR 3016.42; 21 CFR 1403.36 & Services I 1403.42(b); 24 cfr 85.42(b), 91.105(h), 92.505,

92.508(a)(c), & 570.502(b), 28 CFR 66.42; 29
CFR 97.42(b); 40 CFR 31.42; 44 CFR 13.42;
45 CFR 92.42; 0MB Circular A-133; GC
§34090
CDBG Agreements .... · .....................

P&l-068 City Clerk Agreements copies 5 years AYe~r{ .. GC §34090.7 Planning &
1•••••··s•r••ra•••····
Inspection I Department Preference (meets municipal P&l-069 Housing & Report Draw-Downs/ IDIS 5 years Community government auditing standards); GC §34090
Services
·•·•···>>. ·.·
Fair Housing/ Analysis of Impediments I
y / Planning & Section 3 Plans ···•···· ..

Inspection I Draw-down Plan
P&l-070 Housing & Report LEP Plan 5 years 3 iie ,d,,'i Department Preference; GC §34090 Community Citizen Participation Plan
Services Other Plans, Procedures & documents required by appropriate regulatory agencies
Planning & Homelessness Inspection I . // /
P&l-071 Housing & Analysis County Homeless Plans 7 years 3 years joy~aif Department Preference; GC §34090 I Reports Community I Census Surveys Services This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&I-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention / Disposition
.. ~·-·
Inactive .............
.............

Active :rotaL•
(in office) (Records Re~entfon Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page P&l-13
Comments / Reference
Retentions begin when the act is completed, and imply a full file folder (e.o. last document+ 2 years), since destruction is normally performed bv file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Planning & . : . :-:-:-> >:.:.:.:.:.:
~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: Inspection I Housing Rehabilitation Loan Committee - Agendas, ............

P&l-072 Housing & Report Agenda Packets 5 years • • sY.~~(s: ... Department Preference; GC §34090 Community
> Services
Planning &
Inspection I ::::::::::::::::::::::::::::::

P&l-073 Housing & Minutes Housing Rehabilitation Loan Committee - Minutes p •·•·•·········p•:••·•·>···· GC §34090 Community
Services !!ii! ! ::::::::::::::::::::::::::::::
5 years After • !5 ~~~f~ ~it~r • HUD requires 5 years after the project the ·•••••••••••ti'ie••••·•·•···· Affordability :>Afforda~tl1t/ completion; documents imposing recapture I Planning & Period ••••••••P:er1oa:: • • resale restrictions are 5 years after the Inspection I Housing Development Projects: Terminates, Terminates, &i affordability period terminates; Uniform Admin.

P&l-074 Housing & Subject or the Written :••th~:Vifr:iti~~••• Requirements for Grants to Local Community Development Agreement, Compliance Monitoring Agreement • • • Ai:ir~riierii • • • Governments is 3 years from expenditure Services Terminates, • • tei:m.fri~t~s; • • report; statewide guidelines propose 4 years; Whichever is • whichever is• 24 cfr 85.42(b), 92.508(a) & (c)(2) & ............... 570.502(b), 29 CFR 97.42(b), GC §34090 Longer •••••••Lo~ger••••••• - ...............

Housing Development Projects: : ~: ~: ! : ! : ; : : : ~:::;: ~: ~: ~: ! : ~: ~ :::::::::::::::::::::::::::::: Department Preference; Statute of Limitations Funding / Silent Seconds I Loans, ::::::::::::::::::::::<:<: for bonds, mortgages, trust deeds, notes or Planning & ............... . . . . . . . . . . . . . . .

Reconveyances, Deed Restrictions, Covenants, . . . . . . . . . . . . . . . :.:.:.:.:.:.:.:.:.:.:.:.:.:.:, debentures is 6 years; Bonds issued by local Inspection I etc. Loan Pay-off ! Laaii P~Y.~~ff + governments are 10 years; There are specific P&l-075 Housing & Subject + 5 years ······•5}e~~····•·• requirements for disposal of unused bonds; Community Agreements, Compliance, Environmental, Finance, ............... CCP §§336(a)(1) & (2), 337.5(2); 24 cfr Services ............... <•:•>>:•:•>:•:·:•:•:•:<-:

General 85.42(b), 92.508(a) & (c)(2); GC §43900 et / Correspondence, Monitoring & Monitoring ····················•·········
Visits, Relocation, Silent Seconds seq.

Planning &
Inspection I Regulatory P&l-076 Housing & HUD Correspondence 7 years Department Preference; GC §34090 Community Filings
Services
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

P&I-No. Office of
Record
(OFR)
Record Type I
RECORDS RETENTION SCHEDULE: PLANNING & INSPECTION
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
...............
. ... . .. ... . . . . . Inactive · · · · · · · · · · · · · · · :•••:•:•:rotai•:•:••••· (Records •• Retentibn ::

Center)
Page P&l-14
Comments I Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

P&l-077
Planning &
Inspection /
Housing &
Community
Services
Planning &
Inspection /
P&l-078 Housing &
Community
Services
Planning &
Inspection /
P&l-079 Housing &
Community
Services
Planning &
Inspection /
P&l-080 Housing &
Community
I Services
Subject
Subject
Reference
Subject
1 Neighborhood Conservation Improvement Program .. I: .. : .. :. : .: .: Meets auditing standards; Grants covered by a (NCIP) / Rehabilitation Files (homeownership =: ==Consolidated Action Plan are required for 5 projects without resale restrictions) = . ="ears; Uniform Admin. Requirements for l• .. •<••><•<<••:••<• .. •JtGrants to Local Governments is 3 years from ,· ..,:::,:::-.:.•,.: 1:::xpenditure report or final payment of grantee Clients, Contractors, Loan Servicing, Funding, · Silent Seconds, etc.

Agreements, Compliance, Environmental, Finance,
General / Correspondence, Monitoring & Monitoring
Visits, etc.

Neighborhood Conservation Improvement Program
(NCIP) / Rehabilitation Files
Procedures
Loan Pay-off
+ 5 years
5 years
NEPA - National Environmental Protection Agency - Completion + Environmental Determinations (EIRs, Negative 5 years Declarations, etc.) Promissory Notes Loan Pay-off
+ 5 years
p
I:< E ·:;J;~? ' or subgrantee; statewide guidelines propose 4 - vears; 7 CFR 3016.42; 21 CFR 1403.36 &
I•:•: .. •:••........... E1403.42(b); 24 cfr 85.42(b), 91.105(h), 92.505, == ··. · ==& 570.502(b), 28 CFR 66.42; 29 CFR
= ·.·.· =97.42(b); 40 CFR 31.42; 44 CFR 13.42; 45
= . . =
= =CFR 92.42; 0MB Circular A-133; GC §34090
,., Meets auditing standards; Department
_ .·, .preference; GC §34090
/ / Department Preference; State documents
•••••• .. •••• ••••• . . . . . (CEQA) are provided by Planning; State El Rs \ f. • • • • • are required to be kept a "reasonable period of . ·.·.·.·.·.·.·.·.·.· time;" 14 CCR §15095(c); GC §34090 /// : Ltait.tt;ttt GC §34090(a) .............

PD-No. ' Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention / Disposition
Active Inactive 'r8t~i}
(in office) (Records Reter.iti~~
Center\ .·.·.·.·.·.·.·.·.·.·.·.·
here, refer to the Retention for Citv-Wide Standards
Page PD-1
Comments I Reference
e act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder. ims, oublic records act reauests, audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion).

ADMINISTRATION and/or CHIEF OF POLICE
Police/ I ............
.............
. . . . . . . . . . . . . . . . . . . . . . . . .

PD-001 Admin. / Correspondence Annual Summary of Use of Force I 2 years Chief i
:2:y~~Fs} Ge §34090 ............
o-------+----P-o-lic_e_/_,___ _____ -+-------------------------;I------+-----.. ~ ... ~ ... ~ .. ~ ... ~ ... ~ ... ~ ... ~ ... ----------------------------------1 PD-002 Admin. / Inspections Carry Concealed Weapon Permits (CCW) - Approved ii Expiration + ~xpir~t(oti +. Department preference; GC §34090 Chief 10 years W Y:E:!aJS:
0-------+-------+-------;------------------------,.------+-------<1>:-:-~-:::::::::::::::::::::

Police/ I :::::::::::::::::::::::::

PD-003
PD-004
Ad min. / Correspondence Carry Concealed Weapon Permits (CCW) - Denied 2 years 2 years Department preference; GC §34090 Chief
Police/
Admin. / Correspondence OMV Pull Notices (Police Employees Only) Chief
Superseded
+ 2 years
:>:::>:> >::::::: Department preference (Transitory or source records S
::: : :d \ not retained in the ordinary course of business); uperse· eu :::.:;{:• •:: •:: CHP audits every 2 years; Bureau of National Affairs { }~~? : recommends 2 years for all supplementary ::•::::::::::::::::::::: Personnel records; GC §34090 .-,-,---,------------,--,--,77:777 _· • 0 State requires for at least 5 years for Citizen's
PD-005
PD-006
PD-007
Police/
Admin. /
Chief
Police/
Admin. /
Chief
Police/
Lead Div.

Subject
Regulatory
Filings
Timekeeping
Internal Affairs Investigations / Complaints: Except
Officer Involved Shootings
Internal Affairs Investigations/ Complaints: Officer
Involved Shootings
Overtime Slips
This material is protected by a copyright held by Gladwell Governmental Services Inc., 5 years
25 years
4 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. _· · _=_complaints; other State & Federal laws require
= =:retention until final disposition of formal complaint; - --state requires 2 years after action is taken; Statute :5:_;J_ '"'~- _of Limitations is 4 years for misconduct; IA and Statewide guidelines recommend 25 years for officer
involved shootings; EVC §1045(b)(1), GC §§12946,
34090, PC §§801.5, 803(c), 832.5, VG §2547
State requires for at least 5 years for Citizen's
complaints; other State & Federal laws require
retention until final disposition of formal complaint;
State requires 2 years after action is taken; Statute
of Limitations is 4 years for misconduct; IA and
Statewide guidelines recommend 25 years for officer
involved shootings; EVC §1045(b)(1), GC §§12946,
134090, PC §§801.5, 803(c), 832.5, VG §2547
GC §34090
PD-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive .... _ •............••...•
Active •••••••1\,taJ•••·• (Records ............
(in office) c •. • Rete8ti9n
d is not listed here refer to the Retention for Citv-Wide Standards Page PD-2
Comments I Reference
ans beqin when the act is and imolv a full file folder (e.o. last document+ 2 vears). since destruction is normallv oerformed bv file folder. n, complaints claims oublic records act requests audits and/or investiqations susoend normal retention periods (retention resumes after settlement or comoletion). I ! I ••• Department preference; EEOC/ FLSA / ADEA (Age)
Police/ .......... < requires 1-3 years for selection records; State Law . . . . . . . . . . .

Personnel Background Packet - POLICE . . . . . . . . . . ........... . . . . . . . . . .

PD-008I Admin. / Subject Unsuccessful (not hired) 5 years >$y~;:it$ ••• requires 2 - 3 years; 29 CFR 1602 et seq & Chief ............. 1627.3(a)(5) and (6), 2 CCR 7287.0(c)(2), 8 CCR ............ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :-:-: . :-: -:-:-:. :-:-:-:- §11040(7.( c)), GC §§12946, 34090 ............. . . . . . . . . . . . .
i :-:-:-:-:-:-:-:-:-:-:-:-: Department preference; Statewide guidelines ............ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............. propose 7 years; Calif. Labor Division is required to . . . . . . . . . . . .

Upon u:Poii •
Police/ Personnel Files - Police Department Employees Separation, seiiar$tioii. keep their records 7 years; OSHA requires safety PD-009 Admin. / Temporary Send to ••••sendto•••• training 5 years; EEOC/FLSNADEA (Age) requires 3 Holding Includes Evaluations, Training Certificates, Evaluations, ............. years for promotion, demotion, transfer, selection, or Chief Human •••••Huitiari•••• Medical Records, etc. Resources ..Resources discharge; State Law requires 2 -3 years; 29 CFR ·.·.·.·.·.·.·.·.·.·.·.·.· 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC I ·.·.·.·.·.·.·.·.·.·.·.·.·
.............
§§12946,34090 ............
·.·.·.·.·.·.·.·.·.·.·.·.·
.............

Police/ i .............

PD-010 Admin. I C d Policies & Procedures / Operation Directives / General Superseded sJ~~~s~$d orrespon ence . . Department Preference; GC § 34090 et seq. + 2 years Chief Orders ••/ZY¢~rs•• (Department Policies and Procedures) .·.·.·.·.·.·.·.·.·.· . . . . . . . . . . .

Police/ ...........
. . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·
PD-011 Admin. / Routine Public Relations / Citizens Police Academy 4 years ···•4.Y.~~t~ • • Department preference; GC §34090 Chief
Police/ Department Preference; preliminary drafts; GC PD-012 Admin. / Non-Record Time Off Requests / Sick Slips None 1\1,',i-in· §34090 et seq. Chief
Department preference; Rosters are sent to POST;
Statewide guidelines propose 7 years; Calif. Labor
Division is required to keep their records 7 years; Training - Department Training Records - COURSE Police/ OSHA requires safety training 5 years; RECORDS (Attendance Rosters, Outlines and PD-013 Admin. I Reference 5 years p P• EEOC/FLSNADEA (Age) requires 3 years for Chief Materials; includes Use of Force training, safety promotion, demotion, transfer, selection, or !training, etc.) i discharge; State Law requires 2 -3 years; 29 CFR i 1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC
§§12946,34090
Police/ k<
PD-014 Admin. / Source Weapons Database/ Department Weapons / Indefinite . -- Data Fields / Records are interrelated; GC §34090 Qualifications (Employees) .u "·- Chief
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

PD-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention / Disposition
Active
(in office)
PD-015
Police/ · · · · · · · · · · · · · Records Correspondence Alarm Billing 2 years iyeats GC §34090 ---+-------+-------+-----------------------+------+------m-•~:•:·:·:·:·:•:•:•:•:•:•:• PD-016
PD-017
:~l~i~: < ) ))
Services I C d Business Permits (Regulatory) - BUSINESS OWNER: Expiration + ~~piraf1bn\ Permits & orrespon ence Massage, Taxi, etc. (Includes Digital Images) 2 years : : 2 years/ Alarms
Police/ !
Admin. Business Permits (Regulatory) - TECHNICIAN /
Services/ Correspondence DRIVERS: Massage Technician, Taxi Driver, etc.

Permits & (Including Digital Images)
Alarms
Police/
Admin.

Expiration +
2 years
PD-018 Services/ Correspondence Guns: Dealers Record of Sale (OROS) 2 years Permits &
Alarms
Police/
Admin.
.·.·.·.·.·.·.·.·.·.·.·.·
.·.·.·.·.·.·.·.·.·.·.·.·
cici~eht
C §34090
Page PD-3
Comments / Reference
PD-019 Services I C d Secondhand Dealer Permits / Pawn Broker Permits & orrespon ence Licenses
Close of
Business+
2 years
sd~itiess f Department Preference; GC §34090
Permits & Jv~ars
Alarms
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

PD-No. Office of • Record Type Record
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention / Disposition
Page PD-4
Comments I Reference II------+--~ ·-----Ol----------------------ll PD-020
PD-021
PD-022
PD-023
PD-024
PD-025
PD-026
PD-027
(OFR)
Finance
Police/
Admin.

Services/
Property &
Evidence
Active I Inactive T:cit~( :
(" ff ) j (Records R~teriti~ri m O ice . Center) .·.·.·.·.· .. ·.·.· ... · here, refer to the Retention for City-Wide Standards
e act is comDleted, and imply a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder. ims public records act reauests audits and/or investiaations suspend normal retention periods (retention resumes after settlement or completion).

ADMINISTRATIVE SERVICES / PROPERTY & EVIDENCE
C d Auction Record Sales orrespon ence . copies
Subject Audits - Drug, Weapons & Money
2 years
5 years
........
.............
2 y~it{ GC §34090.7
..........
...........
. . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·. -:-:-:-:-:-:-:-:-:-:- ...........
. . . . . . . . . .
:),:y~ars Department Preference; GC §34090
Police/
Records
::: : :: :::::::: Department Preference; GC §34090; except for PC fyeajs 187, 273.5, 243(e)(i), fatal accident investigations -----j-------+=-----------------------j--------+-----~~~-· and oustanding missing persons reports.

Detectives Investigation Files and Arrest Files (Notes) - Close Case p •:::: :p: Department preference (preliminary drafts) GC Crime Reports Crime Report Photos (Evidence)/ Crime Scene Photos 2 years Police/
Records ,
i Homicides ..... §34090 et seq.

Reference
Police/
Admin.

Services/
Property &
Evidence
Police/
Admin.

Services/
Property &
Evidence
Collections Empty Envelopes / Backup for Money Sent to Finance Source
Logs
Historical
Documents/
Artifacts
Evidence Register Database
Gun and Narcotics Destruction Log (Documents related
to)
Negative Photo File (older analog photos)
1 Unrelated to crime reports and evidence
I
This material is protected by a copyright held by Gladwell Governmental Services Inc., 7 years
Indefinite
3 years
p
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ..........
...........
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . fy~ars Department Preference; GC §34090
:::::::::::::::::::::::
·.·.·.·.·.·.·.·.·.·.·.·
·.·.·.·.·.·.·.·.·.·.·.· ir.id~f.inlte Department Preference (data is interrelated); GC §34090
;•:•:~<.E•,:• :r.:s•:• : Department Preference; GC §34090 =I t ) ..•. :.::·.· Department Preference; GC §34090
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Page PD-5
PD-No. Office of
Record Record Type Records Description Retention / Disposition Comments / Reference (OFR)
e Standards
Active
(in office)
·ans beain when the act is comoleted, and imolv a full file folder (e.a. last document+ 2 vears), since destruction is normallv oerformed bv file folder. ,tinn ~nmnl:aints claims, oublic records act reauests, audits and/or investiaations suspend normal retention oeriods (retention resumes after settlement or comoletion).

PD-028
PD-029
PD-030
PD-031

RECORDS
Police/ I C d Bail/ Bond Transmittals (If not associated with a City ! orrespon ence . Records : Crime Report) 2 years Police/
Records
Police/
Records
Police/
Records
Correspondence Bicycle Licenses
Correspondence CAD Daily Logs
Citations - Parking, Traffic, Moving Violations
Muni
Includes corrections
1 After Entry
i into RMS+
2 years
2 years
2 years
............
. . . . . . . . . . .
21/.~$r.il : GC §34090
Nt~r: E:tiiry:
into Rivi$ + Preliminary drafts; GC §34090
•:•:2y~t=ifs:•:•
........
.......... ·~ ..c-c.~-------------------- . . . . . . . . . . . :2 years : •:Gc §34o9o i-:-:-22:•·.v, •. emrs;-:-:-IGC §34090 et seq.; PC 19.7, 802 l!------+----+--------1---C-R-IM_E_R_E_P_O_R_T_S_: -------------+---------l------11"-c'--c'c'o'--c'~'--c'~~!------------------------j PD-032
I
PD-033
PD-034
Police/
Records 1
Police/
Records
Police/
Records
Muni
Crime Reports
Reference
Misdemeanor - Adult Marijuana - H&S
§11357(b)(c)(d)(e) or H&S §11360(b) (with procedure
in H&S §11361.5)
CRIME REPORTS / ARREST JACKETS:
· ALL, Except Those Specifically Mentioned in the
Schedule
e.g., 5150, Detention Reports, etc.

CRIME REPORTS:

Homicide, Manslaughter (including vehicle),
Outstanding Missing Persons
CRIME REPORTS:

Factually Innocent Petition Accepted Records Sealed
Pending Destruction - Except those with outstanding
-----------t----+--------+-st_o_le~n property, including firearms, or lost firearms PD-035 Police/
Records
Police/
PD-035 ' Records
I
CRIME REPORTS:

Misdemeanor - Juvenile Marijuana - H&S §11357(E) -
Except those with outstanding stolen property,
includinq firearms, or lost firearms
This material is protected by a copyright held by Gladwell Governmental Services Inc., 2 years
25 years
p
Date of
Arrest+ 3
years
i Conviction
or Arrest (if
No
Conviction)
+ 2 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. zy•"'• ('Shall" Destmy); GC §68152(e)(B)
Department Preference; Provided there are no
outstanding warrants, unrecovered identifiable items,
= =criminal deaths, they are not historically significant, ·--.J ·~~ and it is not classified under PC §800 & 290 and H&S § 11850; Stat. of Limit. is 2 yrs; Destroy juvenile marijuana after age18; H&S §11361.5, GC §34090,
PC §802, PC §§187, 800 et seq.

Department Preference; No limitations on
;i :: commencement of action; Courts keep permanently
·.•.·.·.·.·.·.·.·.·.·.·.·
:-:.:.:-:-:-:.:-:-:-:-:.:

PC §§ 261, 286, 288, 288a, 288.5, 289, 289.5, 290,
and 799
bate o( Individual petitions District Attorney; Sheriff concurs Ar-~e~f +3 that person is factually innocent, then seals record years ••• ("Shall" Destroy); GC §34090; PC §851.8(a)
• ¢0.nyfct\~n
?UVr~~f (if (Courts and other Agencies "Shall" destroy)· H&S§ No ' -:-:-:-:-: · · .-:-:-:-:- 11361.5 et seq., GC§68152(e)(8) ¢arivict1on) ::+zvears:•
PD-No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention I Disposition
Active
(in office)
dis not listed here refer to the Retention for Citv-Wide Standards Page PD-6
Comments I Reference
ans beain when the act is comoleted, and imolv a full file folder re.a. last document+ 2 vears). since destruction is normallv oerformed by file folder.

Litiaation, comolaints, claims, public records act requests, audits and/or investiqations suspend normal retention oeriods (retention resumes after settlement or comoletion).

I CRIME REPORTS: • ::

PD-037 Police/ ' Misdemeanor Marijuana §11357(e) - Juvenile on Offender is Rf~ei::~t (Courts and other Agencies "Shall" destroy); H&S§ Records i School Grounds during School Hours (with procedure :? did . 11361 · 5 et seq., 11357(e)
18 Years
Old
inH&S§11361.5) >/
PD-038
Police I CRIME REPORTS: Until : Uhtii
Records L~c~ie8<: Department Preference; GC §34090
m---------+----+--------+-O_u_ts_ta_n_d~ing Missing Pers_o __ ns __________ ,-----+-------~~~~--------------- 'CRIME REPORTS:

Located
PD-039
PD-040
PD-041
PD-042
Police/
Records
l
I
Police/
Records
Police/
Records
Subject
Reference
Logs
Sealed Juvenile and Ward Cases - Except those with
outstanding stolen property, including firearms, or lost firearms
Crime Statistics / Uniform Crime Reports (UCR) -
Summaries (BCS)
Field Investigation Cards (Fis)
Sealing
Date+ 5
years (Or
Court
Order)
p I
I
3 years
·•••$$il.lirig:•:• >bate +K Statute of Limitations runs up to age of majority+ 8 year.s (di: years; sealed records for juveniles and wards of the ¢ourt Court must be destroyed 5 years after sealing date; Order) CCP §§340.1, GC §34090; W&I §§389(a), 781(d)
.............
. . . . . . . . . . . . P.: : Department preference; GC §34090 ·.·.·.·.·.·.·.·.·.·.·.·.· ·.·.·.·.·.·.·.·.·.·.·.·.·
.............
3ji~ars} Preliminary documents; GC §34090 et seq.
--+----------+----------------------l-----t--------~~~~---------------------- _._._._._._._._._._._ Police/ Correspondence NCIC Validation 2 years
..........
2j~ats .. GC §34090 Records ~------+----+----------i'---------------------+-----+------111-·c...c:·:_,_·:·c...c:·:...cc...·:·:·:··c...c._·:·..c...:·---------------------l! •:•:::::::::::::::::::: Department preference; Recordings that become ::::::::::::::::::::::: !evidence are stored with evidence - these are PD-043 Police/
Records Non-Record Officer Recordings: Mobile AudioNideo Recordings that are not evidence ("hip recorders", etc.) None
·.·.·.·.·.·.·.·.·.·.·.·
: Nn~e preliminary documents / transitory recordings not • ••••::: :•: ::::::::: retained in the ordinary course of business; GC ,----+-------!---------+----------------+---------+-----m----~-§3_4_0_90_.6~(. __ a~) ___________ ___ PD-044
PD-045
PD-046
PD-047
PD-048
i
Police I Timekeeping Overtime Slips 4 years !
...........
..........
. . . . . . . . . . .
:: :4 yiat$ . . GC §34090 Lead Div.

Police/ --+--~------+------------------~~~-----i-----------:~:::-<~:::-<~:::~::<.h·<c,._ _________________ ~, Timekeeping Overtime Slips & Special / Extra Duties / Paid Time XY~~t-s : GC §34090 I
'
Lead Div. --+---------+-'--(C_o~p~y_o_f_D_a_ta_ln~1p __ u_t _R_e_co_r_d~s) _________ --+---~----j----___,,_.__~.~ . . ~.~ .. ~.~ .. ~._,_,.__-----------~------------< 4 years I
Police I
Records Correspondence Parking Permits / Preferential Parking Licenses Police/
Records Correspondence Patrol Ride-A-Long Waiver Form
Police/
Records Logs Pawn Slips
2 years
2 years
3 years
·.·.·.·.·.·.·.·.·.·.·.·
: 2 y$il.t.$: GC §34090
............
............. 2years> GC §34090 et seq. ............
. . . . . . . . . . . . . . . . . . . . . . . . .
·············•··········· ~t~~~~;=~~i=:~~~~~~:c~~J;ouv~:~ ~:~ 0 i~~=~i;a~~ons; :3:Yea:r.S Originals entered into the State Automated Property : : System; most agencies retain for 2 years; GC
·•::::::::::::::::::::::: ~34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Page PD-7
Office of I PD-No. Record Type Record 1
Records Description Retention / Disposition Comments / Reference (OFR)
e, refer to the Retention for Citv-Wide Standards
ct is completed and imply a full file folder (e._q. last document+ 2 vears), since destruction is normally performed bv file folder. public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

PD-049 ::~i~d~ I Correspondence Public Information Requests 2 years 2\~ars\ GC §34090 PD-050
PD-051
PD-052
PD-053
I
PD-054
PD-055
PD-056
PD-057
Police/ Reference Records
Police/ Registrants Records
Police/ Registrants
Registrants: Arson - Adults 5 years
Age 25 or
Registrants: Arson - Juveniles released from Sealing
California Youth Authority Date+ 5
p -:-:-:-:-:-:-:-:-:-:-:.:
............
. ·.·.·.·.·.·.·.·.·.·.·.·
-:-:-:-:-:-:-:-:-:-:-:-:

Department preference; Pursuant to PC §457 .1 et
lseq.; required to register for life; If released from
CYA, records are destroyed after age 25 or sealing
pursuant to W&I §781; GC §34090.7 /\g¢i5or
: : : • •$$alfrig •: • Pursuant to PC §457 .1 et seq.; If released from > Date+ tf CYA, records are destroyed after age 25 or sealing · · · · · · · · · · · · pursuant to W&I §781; GC §34090.7 f-----------------------+-~'----".:.:....::...-+-------1,"••.,-'-c• iears>>> -.-.-:··.-.·.·.·.·.·.·.-. years Registrants: Narcotic 5 years
::::::::::::::::::::::::
$years Department Preference; Registration is required for 5 years; GC §34090, H&S §11590 et seq., H&S Records
Police/
--,---------+------------------+-----"--------.-'-'. -~-~-.-'-'. -~-c...c. __ -'ll§_1_15_9_4~(a~) ____________ -----ii Records Reference Registrants: Sex Offenders - Adults
Police/ Registrants Registrants: Sex Offenders - Juveniles Records I
p
p
or Sealing
Date+ 5
years (or
p > < Department Preference; Pursuant to PC §290 et
:•:•:•:•:•:p:•::-:-·-·
~r$eaii~~
: bate. f 5< Y.e~r$ (or:
seq.

Pursuant to PC §290 et seq.; W&I §781;
i
·•···· Qq~rt••··· -----t-------+------------------------t---~-+------lil-c'•7'•••-o-rcie __ r:""-'-)~••-~-1----------------------D 2$}€~¥ ~:~:;i~~~~:d::~~~:da~:~~=~::ted; GC §34090;
Court
Order)
Police/
Records
Police/
Records
Police/
Records
Source RMS Database
Correspondence Subpoenas (Duces Tecum)
Crime Reports Video Recordings - Interview Rooms
25 years
2 years
50 years
............
............
\ g ye~r:$ GC §34090
Department preference; Recordings that become
evidence are stored with evidence; the system is not
designed to and does not record regular and
11---------1----.,---------+-------------------~+-----+------111~~---111-o~ng~o_i~ng_ operations; GC §_3_40_9_0_.6_(~a~) _____ __ i Department preference; Recordings that become
PD-058 Police/
Records I Recording Media Video Recordings - Public Facing i
i
3 months '
I
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. 3 :rr, fr'rnthi:::
evidence are stored with evidence - these are
preliminary documents / transitory recordings not
retained in the ordinary course of business; the
system is not designed to and does not record
reqular and onqoinq operations; GC ~34090.6(a)
PD-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive ............

Active •·•·••%t~i•····
(in office) (Records
- : Re~hti~ri
If the record is not listed here, refer to the Retention for Citv-Wide Standards Page PD-8
Comments / Reference
Retentions beain when the act is comoleted, and imolv a full file folder re.a. last document+ 2 vears), since destruction is normal/v nerformed bv file folder. .. · 1hlic records act reauests audits and/or investiaations susoend normal retention oeriods (retention resumes after settlement or comoletion l.

Department preference; Recordings that become
levidence are stored with evidence - these are
PD-059 Police/ Recording Media Video Recordings - Temporary Holding Facility 3 months preliminary documents / transitory recordings not Records
[
retained in the ordinary course of business and the
system is not designed to and does not record
regular and ongoing operations; GC §34090.6(a)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Page PD-9
PD-No. Office of
Record
(OFR)
Police/ 1
Admin.

Record Type Records Description
PD-060 Services/ Correspondence Assignments Sheets
Operations
/ Dispatch
· Police/
Admin.

PD-061 Services /
Operations
/ Dispatch
Audio Recordings or Tapes - (CAD/RMS) Recordings
Recording Logs of Telephone & Radio Communications Dispatch Tapes l(CAD)
This material is protected by a copyright held by Gladwell Governmental Services Inc., Retention I Disposition Comments / Reference
Active
(in office)
I
! 2 years
1 year
= =Department Preference; Statewide guidelines
= J:::::'l:::y~~::;w:> ,=propose 180 days (legally mandated for 100 days); - (may be discoverable or made public in some
circumstances), GC §§34090, 34090.6
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

PD-No.

PD-062
PD-063
PD-064
Office of
Record
(OFR)
Police/
Admin.

Services I
Temp.

Holding
Facility
Police/
Admin.

Record Type
Logs
I
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description
Logs: Temporary Holding Facility/ Booking
Retention / Disposition
Active
(in office)
3 years
1 Inactive T:e>taJ :>
(Records :R.~teriti~ri
Cente
Services I C d LiveScan Applications / Fingerprint Applications Temp. orrespon ence (public) 2 years
Holding
Facility .........
:-:-:-:-:-:-:-:-:-
.........
. . . . . . . . .

Page PD-10
Comments I Reference
C§ 34090 et seq.

GC§ 34090 et seq.

Police I
Field
Operations
Muni PAS Device Calibration Logs 2 years ? y:ei~r:$ GC §34090 et seq.

PD-No. Office of
Record Record Type
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention / Disposition
Page PD-11
Comments I Reference
11----------+----+--------+--------------------f-----~----~~~~~----------------~--~ (OFR) I
Active
(in office)
Inactive ¥&½~(<
(~~cords iR~,hti~ri:

If the record is not listed here, refer to the Retention for Citv-Wide Standards beqin when the act is comoleted and imolv a full file folder (e.a. last document + 2 vears), since destruction is normally oerformed bv file folder. ·on, complaints, claims public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

PD-065
PD-066
PD-067
PD-068
PD-069
PD-070
PD-071
PD-072
PD-073
PD-074
PD-075

FIELD OPERATIONS
PFo!icled I I C d Canine (Police Dogs) Program Files: Action Reports, ,e . orrespon ence Month! Re orts
Operations I y p
Police I
Field Logs Canine (Police Dogs) Program Files: Animal Files Operations
Police/
Field Muni Citation Log Books (#s / ranges) - Parking, Traffic Operations
Police/ Timekeeping Overtime Slips Lead Div.

Police/ Payroll Daily Shift Rosters / Master Deployment Field Timekeeping i Operations Schedule/ Vehicle Assignments, etc.

Police I
Field Subject Pursuit Critiques
Operations
Police/
Field Non-Record Range Schedules
Operations
Police/
Field Correspondence i Special Events / Ops Plan
Operations
Police/
Field Correspondence Traffic Control: Radar Calibration Records 2 years I
Separation
+ 3 years
2 years
4 years
4 years
5 years
None
2 years
...........
. . . . . . . . . . . ... . . . . . . . . . . . . . . . . . \ 2 y~anf __ GC §34090
~¢~aratio~ 3 years is required for animal care / treatment f3. years records; FA §32003(e), PC §597.1 (d); GC §34090 et : seq. ·.·.·.·.·.·.·.·.·.·.·.·.·
.............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Y~~rif GC §34090 et seq.
.............
:ty~ars} GC §34090
----
Department preference (preliminary drafts); GC
§34090 et seq.
= -_ Department Preference; EEOC/FLSA/ADEA (Age)
ii-··::·---:·::-:::::-:::::_::_:-:: requires 3 years for promotion, demotion, transfer, ,._ :,:-· selection, or discharge; State Law requires 2 -3 " i "'"'"' years; retirement benefits is 6 years from last action; 29 CFR 1602.31 & 1627.3(b)(ii), 8 CCR §3204(d)(1)
et seq., GC §§12946, 34090; 29 USC 1113
I \_ :_:::::: I Ntin, Preliminary documents not retained in the ordinary - -- course of business; GC §34090 et seq.
..........
·.·.·.·.·.·.·.·.·.·.·
·.·.·.·.·.·.·.·.·.·.·
: 2 y~cif~ Department preference; GC §34090 et seq.

Life of the lire 9j'the(
Equipment J;;q0ipi:ri:en{ Department preference; GC §34090 et seq.

Operations
Police I
+ 2 years ; 2\iears ---+--------+------------------------,-~-~---t------,r_~-------~-------~---~---~-------11-------------------------11 Field Correspondence Traffic Control: Radar Trailer Surveys, etc. 2 years Operations
Police/
Field
: Operations
C d Vehicle Log/Daily Safety Checks/Daily Work
orrespon ence ReportsNehicle Inspections/Daily Equipment Checks 2 years This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. . . . . . . . . . . . . .............
. . . . . . . . . . . .
2 years/ Department preference; GC §34090 et seq.
::::::::::::::::::::::::
:l yea($ Department preference; GC §34090 et seq.

PD-No. Office of
Record Record Type
RECORDS RETENTION SCHEDULE: POLICE
SANTA CLARA, CA.

Records Description Retention I Disposition
Page PD-12
Comments I Reference
-------t------+-------t----------------------+-----~---~~~~,--·~--------------------.---• PD-076
PD-077
PD-078
Inactive i:cit~I
(Records ----------- Retention
1 (OFR) Active
I (in office)
: Police/
lnvestigat.

Bureau
Police/
lnvestigat.

Bureau
refer to the Retention for Citv-Wide Standards
is com1Jleted and im1Jlv a full file folder (e.o. last document+ 2 vears), since destruction is normallv f)erformed by file folder. ublic records act requests audits and/or investioations susoend normal retention oeriods (retention resumes after settlement or comoletion).

Non-Record
Temporary
Holding

INVESTIGATIONS BUREAU
Detectives Investigation Files and Arrest Files (Notes) - Except Homicides
Detectives Investigation Files and Arrest Files (Official Reports)
None
Transferred
into
Record's
Files
..........
. . . . . . . . .
:-:-:-:-:-:-:-:-:-: · · Department preference (preliminary drafts) GC >Noh:Ei ___ §34090 et seq.

Trarisferr:ed
/ into Transfer all Official Reports to Records to be placed >Record's in the Master Case Files. ...........

Police/ - - --- ---
lnvestigat. Correspondence Financial Forms - Asset Seizure: Payment requests Completion :c_.+o_-. 2 ro_•.Yp)eeabr•·osn_•: Department Preference; GC § 34090 et seq. and deposit forms + 2 years __ . _ _ . __ Bureau -:-:-:-:-:-.-:-:-:-:-:-:- ---------+---P-o-lic_e_/_t--------+---------------------t-------+------•~•••~•••-•••"-c•••-•••~•••c-'-•••~•••,,_ __________________ ~ C d Financial Forms - Undercover buy money: receipts and Completion ¢ornple.tl~n PD-079 ln~::!i~:t. orrespon ence reports + 2 years {~ y~i:irs Department Preference; GC § 34090 et seq.

PD-080
PD-081
Police/
lnvestigat. Correspondence Informant Files
Bureau
Police/
lnvestigat.

Bureau
Subject Intelligence Files
2 years
5 years
:::::::::::::::::::::
: fy~ars __ Department Preference; GC §34090 et seq. . . . . . . . . . . . . . . . . . . . . . . . . . ............. . . . . . . . . . . . . . . . . . . . . . . . . _.,_ . ______________ _ ••••••••••••>••••• Misleading, obsolete or unreliable information is ........... · ----.-_-___________ required to be destroyed; remaining records must ::s y~cir:l'i __________ -- not be retained longer than 5 years; 28 CFR ••••>••••••>•••••• 23.20(h); GC §34090
m-----t--P-o-l-ic_e_/---+-------+-----------------------+-----+------111-'-A-••••••••••••••••••••••••• PD-082 lnvestigat. Timekeeping Overtime Slips 4 years 4 years • GC §34090 Bureau
Police/
PD-083 lnvestigat. Correspondence Subpoenas (Personal Appearance) Bureau
This material is protected by a copyright held by Gladwell Governmental Services Inc., I 2 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ............ ......... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • 2)l~cii:l'i • GC §34090
PW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive ..............

Active :·:·:·:•f;;t~(:.::::·
(in office) (Records : : :R~t~Jtitiri:: • Center) .. . . . .....

Page PW-1
Comments I Reference
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions beqin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

BUILDING MAINTENANCE
•••••••••••••••••••••••••••
Department preference; If a motor carrier,
Public Disposal of ):j,~J6~~(c~f required for 18 months after vehicle is sold; PW-001 Works/ Correspondence Equipment History Files Equipment+ Ezquipr.n~nt+ CHP requires life of vehicle; OSHA requires 1 Building 2 years ::: :2}e~f) year; 8 CCR§ 3203(b)(1); 49 CFR Maint. 396.21(b)(1); 49 CFR 396.3(c); CCP §337 et.
-:-:-:.:-:-:-:-:-:-:-:-:-·- Seq., GC §34090
Public ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PW-002 Works/ Correspondence Keys Form Inactive+ 2 • lh~ttiv¢ \ 2 • GC §34090 Building years ::::::/e~r.s::•:::::

Maint.

Public Disposal of iiJ,~ptii~~(8.t:

PW-003 Works/ Correspondence O&M Manuals / Operations & Maintenance Equipment ~quipr:ri~nt:+ Department preference; GC §34090 Building Manuals / Submittals + 2 years Maint. ••••• 2}ie:ar.s•••:::

Depart. . ....

Work Orders/ Service Requests CMMS :::::::::::::::::::::::::::

PW-004 Providing Source DATABASE (Computerized Maintenance Indefinite ii I ridefin iteC Data is interrelated; GC §34090 Service/ Management System) ... . . . ....

Work
.................. :·•···•··
Depart.

PW-005 Providing Non-Record Work Orders / Service Requests - All Information None :::::iNiiiii:::::: Preliminary drafts (the database is the original); Service/ Entered in CMMS Database .. GC §34090
Work
Work Orders / Service Requests - NOT entered in .... . . . . . . . . . . . . . . . . . . . . . . . . .

Depart. CMMS Database (or partial information entered ·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . .

Providing into CMMS Database) -:-:-:-:-:-:.:-:-:-:-: :< City preference; CCP §§338 et seq., 340 et seq., ...........

PW-006 Service/ Routine 4 years ::<4}ie:ar.s:
.......... ••• 342, GC §§945.6, GC §34090
Work (Division providing service retains originals;
Division requesting service is considered a copy) ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~ ~ ~ ~ ~ ~ ~: ~: ~: ~::

PW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.

Active :::::•:::f:6t~j:::::::: (Records .....
(in office) Center) : liete:ntior.i
If the record is not listed here, refer to the Retention for City-Wide Standards Page PW-2
Comments I Reference
Retentions be_qin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention oeriods (retention resumes after settlement or completion).

ENGINEERING I LAND & PROPERTY DEVELOPMENT
Public Abandonments / Vacations (Streets) - Private PW-007 Works/ Project p ) GC §34090 et seq.

Engineering Development Projects •::

Public
PW-008 Works/ Reference Annexations p Department preference; GC §34090 et seq.

Engineering
Assessment/ Maintenance/ Landscape & Lighting . . . . . . . . . . . . . . . . . . . .

Public :::::::::::::::::::: Department Preference; Statute of Limitations is 4 / Street Improvement District Projects/ Community ............... · ....

PW-009 Works/ Reference p :::•:•:•::::p.::::: 10 years (for Errors & Omissions); CCP §§337. Facilities Districts ..........

Engineering (FORMATION, BOUNDARIES) :::::::::::::::::::: .. 337.1(a), 337.15, 343; GC §34090.7 . . . . . .. . . . . . .

Public Assessment/ Maintenance / Landscape & Lighting District Fully [fi:t\~l~iiY Department Preference (meets auditing PW-010 Works/ Subject / Street Improvement District Projects / Community Paid+ 5 Engineering Facilities Districts (ASSESSMENT ROLLS) years ::::/y.~ars standards); GC §34090.7 ..
. .

Public ..
. .
. .. . ..
. . . . PW-011 Works/ Non-Record Assessor's Maps None ::::::::None:: . . . County is originator of record ...........

Engineering
Bonds: Subdivision Bonds, Logs and
:::::::::::::::::::::::::::

Securities (Performance Bonds, Letters of Credit, Release of iR:eie~~~i,ii: Public Correspondence Bond/ -•-•••B6i--ii:f :r CD's, etc.) are released after the Notice of PW-012 Works/ Correspondence Security+ 2 s~cVriiv./i Completion is issued and replaced with the Engineering City Clerk holds these and provides to Engineering years -•-••••Y.$$r.s:•·•••• Warranty Bond, which is released 1 year after the upon request :-:-:-:-:-:-:-:-:-:-·- Notice of Completion date. GC §34090 Public
PW-013 Works/ Reference Covenants/ Easements Documentation p -t-' .·. Department preference; GC §34090 et seq.

Engineering
Public Project •.:. •. P tt>i~~t. • • • • •
PW-014 Works/ Subject Developer Payment/ Trusts (Contractor's Trusts) Close+ 5 :::c1ose:f::s:::• Census Bureau is OFR; GC §34090 et seq. .·.·.·.·.·.·.·.·.·.-.·.·.·.

Engineering years -: : : : ye.a ts::::: :

PW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive -:-:-:-:-:-:-:-:-:-:-:-:-.

Active :-::::::to:faf :>: - (Records ............
(in office) Center) >i~ete.nti:orf •
If the record is not listed here, refer to the Retention for City-Wide Standards Page PW-3
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Public
PW-015 Works/ Reference Encroachment Permits p :/:/> Department Preference; GC §34090 Engineering
Public ...

PW-016 Works/ Routine Engineering Comments: Planning & Building 4 years :::::4y~r:i::: : Department Preference; GC §34090 Engineering Projects / Plan Check Comments
Public Historical
PW-017 Works/ Documents/ Field Survey Books p \:: Department Preference; GC §34090 Engineering Artifacts
[://\, ::::::::: Public
PW-018 Works/ Reference Geotechnical and Soils Reports p Department Preference; GC §34090 Engineering
Public
PW-019 Works/ Reference Grading Permits & Plans p i.:> Department Preference; GC §34090 Engineering
Public
PW-020 Works/ Reference Improvement Plans p p Department Preference; GC §34090 Engineering
Large (Buildings, Bridges, etc) Capital
Improvement Projects (CIP) / Jobs: Permanent
File
Public Plans, Record Drawings/ "As Builts", Department preference; retained for disaster Upon preparedness purposes; Statewide guidelines PW-021 Works/ Project Specifications, Bids/RFPs, Successful Proposal, Completion p propose Permanent for Infrastructure plans; GC Engineering Change Orders, Inspections, Materials Testing §34090 Reports, Grading Permits, Hazardous Materials Reports, Notice of Completion, O&M Manuals,
Photos, Real Estate Appraisals, Soils Reports,
Studies, Submittals, Surveys, etc.

RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Page PW-4
PW-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for City-Wide Standards Retention I Disposition
Active
(in office)
Inactive
(Records
Center)
. . . . . . . . . . . . . . . . . . . . . . . . .
: > >r;;t~f >:
• • ii~te.ii:ti:btj:

Comments I Reference
Retentions be_qin when the act is completed, and imply a full file folder (e._q. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investi_qations suspend normal retention periods (retention resumes after settlement or completion) .

PW-022
PW-023
PW-024
PW-025
PW-026
PW-027
Public
Works/
Engineering
Public
Works/
Engineering
&
Planning &
Inspection
Public
Works/
Engineering
Public
Works/
Engineering
Public
Works/
Engineering
Public
Works/
Engineering
Project Admin
Reference
Permits
Reference
Non-Record
Reference
Large (Buildings, Bridges, etc) Capital
Improvement Projects (GIP) / Jobs:

Administration File
Project Administration, Bid Summary, Bid Proposal Form, Bid Opening Exhibits A&B, Certified Payrolls,
Construction Management Logs, Daily Inspection Diary,
List of Bidders, Project Schedules, Progress meetings,
RFls, Requests for Bid & Specs, etc.

Parcel Maps
Permits: Street Opening / Street cuts
Rights of Way, Easements
Sanitary Sewer Map Index, Storm Map Index,
Storm Drain Block Book, Street Map Index
Sanitary Sewer Permits, Record Drawings ("AsBuilts")
This material is protected by a copyright held by Gladwell Governmental Services Inc., Upon
Completion
p
5 years
p
None
p
10 years or
After
Funding
Agency
Audit, if
required,
whichever is
longer
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. . ·.·.·.·.·.·.·.·.·.·.·.·.·. \1°@;:~:f Some grant funding agencies require audits; : Statute of Limitations for Errors & Omissions is 10 : :::: oi),ttei< ••• years; Published Audit Standards=4-7 years; • Jundfrig: i Statute of Limitations: Contracts & Spec's=4 \:A9~~~¥: :: years, Wrongful Death=comp. + 5 years, · · Audit If··· ::::-:::-:-::./:-·::::: Developers=comp. + 10 years; Statewide ::{~qllJr~cl::/ guidelines propose termination + 5 years; CCP \l\lhi:ch~ver.:IS §337 t GC §34090 •• /io:nger.:<:: e . seq ..

Department Preference; GC §34090
I:::::::::::::::::
}U\ "" Department Preference (the warrantee period for
. :-: : : work done is 5 years); GC §34090 :-:-:-:-: · . . . .
:p Department Preference; GC §34090.7 . . . . . . . ..
. .
::::::::::::::::::: .. .......... :::::::N6
ri~ Preliminary drafts not retained in the ordinary
· · · · · · · · · .... course of business; GC §34090 et seq.

I///{/}) Department Preference; GC §34090
.........

RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Page PW-5
PW-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for City-Wide Standards Retention I Disposition
Active
(in office)
Inactive
(Records
Center)
... · ...................... .
•••••• r:t>t~{••••••·
•: R~t~titit>tj:: •
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litioation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

PW-028
PW-029
PW-030
PW-031
PW-032
Public
Works/
Engineering
Public
Works/
Engineering
Public
Works/
Engineering
Public
Works/
Engineering
Public
Works/
Engineering
Correspondence
Project Admin
Project
Site Clearance
Reference
Simple Civil (Sewer, Street Improvements, etc.)
Capital Improvement Projects (GIP)/ Jobs: Bid
Support File
Correspondence, Requests for Bid & Specs, Bid
Summary, List of Bidders, Bid Proposal Form, Bid
Opening Exhibits A & B
Simple Civil (Sewer, Street Improvements, etc.)
Capital Improvement Projects (GIP)/ Jobs:

Administration File
Notice to Proceed, Engineers Estimate, Quantities &
Extensions for Progress Payment, Process Payment
Spreadsheet
Simple Civil (Sewer, Street Improvements, etc.)
Capital Improvement Projects (GIP) / Jobs:

Permanent File
Plans, Record Drawings/ "As Builts", Invitation, Bid and Award Packet (Bid Addendum, Notice of Award), Contract
Documents, Notice of Completion, Change Orders,
Agenda Reports
Site Clearances (Preparation of Easements, etc. for
Building Permits)
Standard Specifications
This material is protected by a copyright held by Gladwell Governmental Services Inc., 2 years
Upon
Completion
Upon
Completion
p
p
'
10 years or
After
Funding
Agency
Audit, if
required,
whichever is
longer
p
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

GC §34090
•c6mo1etioii• /1:0.:Y.e~:rf Some grant funding agencies require audits; • Statute of Limitations for Errors & Omissions is 10 • •6r)\ttef :{Futjd:iii~: years; Published Audit Standards=4-7 years; ··••Agetic{ Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, • :: A.ui:Htif .. •••:•·-::•·•·••· .. ·••••• Developers=comp. + 10 years; Statewide • ••~~if:lf~d'::• guidelines propose termination + 5 years; CCP ) iini:rt §337 et. seq., GC §34090 ..
. . .
.. p ....
.. .
..
::::::::::<:<:<:

Department preference; retained for disaster
preparedness purposes; Statewide guidelines
propose Permanent for Infrastructure plans; GC
§34090
Department Preference; GC §34090
::://p :\: Department Preference; GC §34090
PW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Records Description Retention I Disposition
. . . . . . . . .

Inactive Active -:-:-:•Tota1:•:•···
(in office) (Records •: R~teii:tibH• :• Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page PW-6
Comments I Reference
Retentions begin when the act is completed, and implv a full file folder (e.g. last document+ 2 vears), since destruction is normallv performed by file folder.

Litigation, complaints, claims, public records act reauests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or completion).

Public
PW-033 Works/ Reference Storm Drains, City Map, As-Builts p .r -· Department Preference; GC §34090 Engineering
Public
PW-034 Works/ Reference Streets, Curbs & Gutters, Sidewalks, Map p -· Department Preference; GC §34090 1:·•••••••••C••••
Engineering ·.·
Public
Works/
Engineering
PW-035 & Reference Subdivisions/ Tract Maps/ Final Maps p ~ ... Department Preference; GC §34090
Planning &
Inspection /
Planning
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Page PW-7
PW-No. Office of Record Type Records Description Retention / Disposition Comments / Reference Record Inactive .·.·.·.·.·.·.·.·.·.·.·.·.

Active : : >ri:>tiif:
(OFR) (in office) (Records : : :R~t~ii:tibri: Center) -:-:-:-:-:-:-:-:-:-:-·- If the record is not listed here, refer to the Retention for City-Wide Standards Retentions bec,in when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed bv file folder.

Litigation, complaints, claims, public records act requests, audits and/or investic,ations suspend normal retention periods (retention resumes after settlement or completion).

TRAFFIC ENGINEERING
Capital Improvement Projects (GIP)/ Jobs -
Public TRAFFIC PROJECTS: Bid SU!;!!;!Ort File ........ . . . .

PW-036 Works/ Correspondence 2 years jfyear.S: < GC §34090 Traffic Correspondence, Requests for Bid & Specs, Bid ::::::::::::::::::::::::::: Engineering Summary, List of Bidders, Bid Proposal Form, Bid ..............

Opening Exhibits A & B .·.·.·.·.·.·.·.·.·.·.·.·.·.
-:-:-:-:-:-:-:-:-:-:-:-:-:-
10 years or :¢oi.niiie11~ri: Some grant funding agencies require audits; ::+::JQ:y¢~r:$::: Capital Improvement Projects (CIP) / Jobs - After : : cir::Afl~( . Statute of Limitations for Errors & Omissions is 10 Public TRAFFIC PROJECTS: Administration File Funding ::fur-ic1in9 years; Published Audit Standards=4-7 years; PW-037 Works/ Project Admin Upon Agency : :::ii;g~ncf Statute of Limitations: Contracts & Spec's=4 Traffic Notice to Proceed, Engineers Estimate, Quantities & Completion Audit, if .. years, Wrongful Death=comp. + 5 years, :::::Audit, if::::: Engineering Extensions for Progress Payment, Process Payment required, : •:• requireiL •: •: Developers=comp. + 10 years; Statewide Spreadsheet whichever is wliJi~~v~r :ii guidelines propose termination + 5 years; CCP longer ::::::io:nger.:::::: §337 et. seq., GC §34090
Capital Improvement Projects (GIP) / Jobs -
Public TRAFFIC PROJECTS: Permanent File Department preference; retained for disaster PW-038 Works/ Project Upon p :-:.p-:- preparedness purposes; Statewide guidelines Plans, Record Drawings/ "As Builts", Invitation, Bid and ..

Traffic Completion ... propose Permanent for Infrastructure plans; GC Award Packet (Bid Addendum, Notice of Award), Contract ::::::::::::::::::::: ...

Engineering Documents, Notice of Completion, Change Orders, ::::::::::::::::::::::::: . §34090 Agenda Reports .............
::::::::::::::::::::::::: Public
PW-039 Works/ Recordings Hearing Officer Audio Tapes 4 weeks : if~~~i<:i : Department preference; State law only requires 30 Traffic ::::::::::::::::::::::::: • days; GC §54953.5(b) Engineering .........

Public
Works/ Department preference; Drafts should be PW-040 Reference Master Plans - Transportation p ·~ Traffic destroyed; GC §34090
Engineering
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Page PW-8
PW-No. Office of
Record
(OFR)
Record Type Records Description
If the record is not listed here, refer to the Retention for City-Wide Standards Retention / Disposition
Active
(in office)
Inactive
(Records
Center)
.·.·.·.·.·.·.·.·.·.·.·.·.· •:•:•:•f6t~i•:••··
: : R.~t~iiti:bH::

Comments / Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

PW-041
PW-042
PW-043
PW-044
PW-045
PW-046
PW-047
Public
Works/
Traffic
Engineering
Public
Works/
Traffic
Engineering
Public
Works/
Traffic
Engineering
Public
Works/
Traffic
Engineering
Public
Works/
Traffic
Engineering
Public
Works/
Traffic
Engineering
Public
Works/
Traffic
Engineering
Permits: Transportation Permits / Wide Load Correspondence Permits/ Overweight Loads Correspondence Speed Surveys
Subject Street Files
Correspondence Studies - Transportation
Subject Traffic Counts and Turning Movements
Project Admin Traffic Signals
Project Admin Traffic Studies/ Traffic Calming Requests This material is protected by a copyright held by Gladwell Governmental SeNices Inc., Expiration +
2 years
Superseded
+ 2 year
5 years
2 years
5 years
10 years
After
Funding
10 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ............
. . ... ..... .. .
>••··················
:>:ify~~t-s/ • Department preference; GC §34090
·.·.·.·.·.·.·.·.·.·.·.·.· Drafts/ source records entered into database and : : 2:~~~i-~/ • not retained in the ordinary course of business; <i < : GC §34090 •••••••••••••••••••••••••
·.·.·.·.·.·.·.·.·.·.·.·.· \::s~;~i:~/ • Department preference; GC §34090 :-:-:-:-:-:-:-:-:-:-:-:-:-:
"}ttt:(i Department preference; GC § 34090
: : : : tGhcif~Q:::::
·.·.·.·.·.·,·.·.·.-.·.·
••••••••••••••••••••••• \j~:Y¢~t.i < Department preference; GC §34090 PW-No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: PUBLIC WORKS
SANTA CLARA, CA.

Records Description Retention / Disposition
Active Inactive ::::::tofaY: :-
(in office) (Records •: i:i~tei-itii>H:: Center)
If the record is not listed here, refer to the Retention for City-Wide Standards Page PW-9
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.a. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion) . . . ·.·.·.·.·.·.·.-.·.·.·.

Public ·.·.·.·.·.·.·.·.·.·.·.·.·
Works/ Warrants: Four-way Stop, School Crossing Guard, :::::::::::::::::::::::::

PW-048 Citations 5 years ••••••t:ie~rs••• : Department preference; GC §34090 Traffic Traffic Signal ............. . .. . ..........

Engineering . ·.·-:-::::::::::::::::::::

RECORDS RETENTION SCHEDULE: STREETS & AUTOMOTIVE SERVICES SANTA CLARA, CA.

Page ST&AS-1
ST&AU No. Office of I Record Type Records Description Retention I Disposition Comments I Reference Record . . . . . . . . . . . . . . .

Inactive ..............
. . . . . . . . . . . . . . .

Active : : : : : : : : :totai::: ·: ·: ·
(OFR) (Records ..............
(in office) •:•RetenHon:•: Center) ...........

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions beqin when the act is comoleted, and imoly a full file folder (e.g. last document+ 2 years), since destruction is normally performed bv file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

AUTOMOTIVE SERVICES
ST&AU-001 Automotive Correspondence AQMD Permits - BAAQMD (Generators, etc.) Disposal+ 2 F!$~~lnt2: Department preference; (2 years is required by Services years AQMD); GC §34090 ...........

Auction Records ............
. . . . . . . . . . .

ST&AU-002 Finance Correspondence 2 years ::•:•2ye~r~• GC §34090.7 copies . . . . . . . . . . . . .. . . . . . . . . . .

Automotive Vehicle Daily Vehicle & Equipment Safety Checks I Vehicle ............ Sent by other departments; 49 CFR 396.12 requires ............

ST&AU-003 4 months > :;,i: maritfis Services Conditions Inspections / Daily Equipment Checks :::::::::::::::::::::::: .. 90 day retention . . . . . . . . . . . .

Automotive Fuel Activity Tracking (meter readings, . . . . . . . . . . . . ............

ST&AU-004 Services Source consumption reports) DATABASE Indefinite ••:•iiia~ti~:ite .. Finance has original invoices; GC §34090 et seq.

Disposal of bisposa1 or
ST&AU-005 Automotive Correspondence Carpool Logs Vehicle or >ii'.~~f6i¢8( Department preference; GC §34090 Services Equipment+ Eqµipm~r:it/ 2 years •:••••~y~ars:::•:•
:-:-:-:-:-:-:-:-:-:-:-:-:-:-
Expiration of •Exp1ratkii'.t of
ST&AU-006 Lead Dept. Correspondence Pressure Vessel Certifications or Permits (Air Certificate or Ce:rtWcate. of Department preference; GC §34090 et. seq. ..............

Compressors, Propane, etc.) Permit+ 2 :PerrniH-:z
·.·.·.·.·.·.·.·.·.·.·.·.·.·. years ::::::::yea:r~::::::•:• ...........

ST&AU-00? ' Auto~otive :-:-:-:-:-:-:-:-:-:-:-:-:-:-
Logs Smog Reports 3 years ••••••~y~ars•••••• Health & Safety 44019(b) requires 3 years Services ............ . . . . . . . . . . . . . . . . . . . . . . . Monitoring and Maintenance records are required ............

Underground Storage Tanks (City Owned) - UST . . . . . . . . . . . :-:-:-:-:-:-:-:-:-:-:-: ........... ion site for 3 years, 6 ½ years for cathodic protection . . . . . . . . . . . . . . . . . . . . . . .

Automotive Regulatory Monitoring and Maintenance, Release ............

ST&AU-008 Services Filings Detection Systems, Cathodic Protection 7 years • }ye~r~ .. 1maintenance, 5 years for calibration & maintenance ·.·.·.·.·.·.·.·.·.·.·.·.·.· of release detection systems; 23 CCR 2712(b); H&S .............. . . . . . . . . . . . . .

Maintenance Records . . . . . . . . . . . . . . .·.·.·.·.·.·.·.·.·.·.·.·.·. ..............
-:-:-:-:-:-:-:-:-:-:-:-:-:- §25284.2(i) . -·.·.·.·.·.·.·.·.·.·.·.·.·. .............. Department Preference (required for the life of the Automotive ::::::::::::::::::::::::::::

ST&AU-009 Reference Underground Storage Tanks (USTs) Permits 10 years p :•:•::::::::p::::•:•···· tank); 23 CCR 2712(b), H&S §25284.2(i); GC Services ............... . . . . . . . . . . . . . .
1§34090 et. seq . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . llf a motor carrier, ............... required for 18 months after . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Disposal of {)i$poi~l of: 1vehicle is sold; CHP requires life of vehicle; Automotive Vehicle & Equipment History Files (includes Vehicle or >v~hi61e\ir ST&AU-010 Services Correspondence cranes) Equipment+ •E;quipn{er.if OSHA requires 1 year; 8 CCR§ 3203(b)(1 ); 49 2 years :•2y.e~ri, · · CFR 396.21(b)(1); 49 CFR 396.3(c); CCP §337 ... et. Seq., GC §34090
Automotive . ·.·.·.·.·.·.·.·.·.·.·.·
............

ST&AU-011 Source Vehicle & Equipment Management Database Indefinite • :.:Ji1defli1ifo Data is Interrelated; GC §34090 Services . . . . . . . . . . . . . ..

RECORDS RETENTION SCHEDULE: STREETS & AUTOMOTIVE SERVICES SANTA CLARA, CA.

Page ST&AS-2
ST&AU No. Office of Record Type Records Description Retention / Disposition Comments I Reference Record Inactive .·.·.·.·.·.·.·.·.·.·.·.·.·.·
..............

Active : : : : : : : ::totai::: ·: · · ·
(OFR) (Records ..............
(in office) Center) Retentkin
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is comoleted, and imoly a full file folder (e.g. last document+ 2 vears), since destruction is normally oerformed bv file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

STREET DEPARTMENT/ CITY HALL
I
...........
. . . . . . . . . . . . . . . . . . . . . . .

Street Dept. . . . . . . . . . . . . Department Preference (meets auditing standards); ST&AU-012 (City Hall) Subject Assessment District Fees 5 years < )y~~~~ I ... GC §34090 -:-:-:-:-:-:-:-:-:-:-:-
Street Dept. ............ Department Preference (meets auditing standards); ........... . . . . . . . . . . . .

ST&AU-013 (City Hall) Subject Business Improvement District (BID) Fees 5 years : Sy~~r~ GC §34090 ...

ST&AU-014 Street Dept. Reference Business Improvement District (BID) Formation & p / .. ·. Department Preference; GC §34090 (City Hall) Boundaries -:-:-:-:-:-:-:-:-:- : ~ ~ ~ ~ ~ ~; ~ ~ i ~ ~ ~; ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ Department preference; Landfill Operators must . : . :-: . : . > :-: . :-:-: . : <.: < . retain records for 3 years; Solid Waste Transfer/ . ... . .. . . .. . . . . . . . . . .. . .. . . . . . . . . . . . . . . . . . . Processing is 3 years; Electronic Waste Recycling . . . . . . . . . . . - . . .............. ... . . . . .. .. ... . . . . . . .. . .....

ST&AU-015 Street Dept.! Permits Landfill Permits Expiration + Expiratiqii + liis 3 years; Non-hazardous Ash Disposal is 5 years; (City Hall) 5 years ..............
: ::::::yeari;: :-: Covers various statute of limitations; 14CCR .............. 17379(a); 14 CCR 18660.S(d); 14 CCR 17414(b); .............. . . . . . . . . . . . .. .
::::::::::::::::::::::::::::
. . . . . . . . . . . - . . 14 CCR 18810.4(a)(4); CCP §337 et seq.; GC .............. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .............. §34090 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .............. . . . . . . . . . . . . . .

ST&AU-016 Street Dept. Permits Permits from Regulatory Agencies (BAAQMD, Expiration + Expir~ti~n+•~ Department preference; GC §34090 (City Hall) EPA, etc.) 5 years •:•:•:• .............. yEia:rs•:•:•:•: . . . . . . . . . . .

Wire Transfers (for Garbage & Recycling ...........
. . . . . . . . . . .

ST&AU-017 Finance Correspondence Franchise) 2 years : • ~Y~ars ... GC §34090.7 copies
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: STREETS & AUTOMOTIVE SERVICES SANTA CLARA, CA.

Page ST&AS-3
ST&AU No. i Office of Record Type Records Description Retention I Disposition Comments I Reference Record I
Inactive ·.·.·.·.·.·.·.·.·.·.·.·.·.·.·
Active ·······••%i~i••···•·•
I
(OFR) (Records ...............
(in office) Center\ /R.eteiit,~n
If the record is not listed here, refer to the Retention for City-Wide Standards Es begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder. complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

STREET DEPARTMENT I YARD
Street Dept. :::::::::::::::::::::::::::

ST&AU-018 Report AB 939 Compliance 5 years •jy¢ar~. Department Preference; GC §34090 (Yard) ............ . . . . . . . . . . . . . . . . . . . . . . . . . .

Street Dept. .............

ST&AU-019 (Yard) Subject Clean-Up Campaign Program 5 years • • • $y~~f~ • Department Preference; GC §34090 I
I
Street Dept. ST&AU-020 Reference Hazardous Waste Manifests p .p Department Preference; GC §34090 (Yard) ST&AU-021 Street Dept. Subject Household Hazardous Waste Program 5 years Department Preference (County-wide program); GC (Yard) Implementation 1§34090
ST&AU-022 Street Dept. Inspections Inspection Forms: Streets 10 years t YE ,dd Department preference; GC §34090 (Yard) ' Department preference; Landfill Operators must
retain records for 3 years; Solid Waste Transfer/
Processing is 3 years; Electronic Waste Recycling
ST&AU-023 Street Dept. Reference Landfills (City-owned) p ~ is 3 years; Non-hazardous Ash Disposal is 5 years; (Yard) Covers various statute of limitations; 14 CCR
17379(a); 14 CCR 18660.S(d); 14 CCR 17414(b);
14 CCR 18810.4(a)(4); CCP §337 et seq.; GC
§34090
Department preference; Landfill Operators must
retain records for 3 years; Solid Waste Transfer/
Processing is 3 years; Electronic Waste Recycling
ST&AU-024 Street Dept. Report Landfills (City-owned): Closure & Monitoring I is 3 years; Non-hazardous Ash Disposal is 5 years; I 5 years (Yard) Reports I .... <••.y. Covers various statute of limitations; 14 CCR I 17379(a); 14 CCR 18660.S(d); 14 CCR 17414(b);
14 CCR 18810.4(a)(4); CCP §337 et seq.; GC
§34090 ·.·.·.·.·.·.·.·.·.·.·.·.-_·_· Department Preference; NPDES Monitoring records Street Dept. Expiration + ~#pjniit,Jn :4: 5 ST&AU-025 Permits NPDES Permits - Stormwater required for 3 years; 40 CFR §§ 122.21, 122.41; (Yard) 5 years •••••••• y~a;r~•:•:•:•: CCP §337 et seq.

RECORDS RETENTION SCHEDULE: STREETS & AUTOMOTIVE SERVICES SANTA CLARA, CA.

Page ST&AS-4
ST&AU No. Office of Record Type Records Description Retention / Disposition Comments/ Reference Record ...............

Inactive ..............
. . . . . . . . . . . . . . .

Active : : : : : : : : :1:otai:::: ·: ·: ·
(OFR) (Records ...............
(in office) Retent,on Center) ..............

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is comoleted, and imoly a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Street Dept. ..............
. . . . . . . . . . . . . . .

ST&AU-026 Source Pavement Conditions Database Indefinite : : : •: iiid~tiiihe •: •: Data is Interrelated; GC §34090 (Yard) .·.·.·.·.·.·.·.·.·.·.·.·.·.·. -:-:-:-:-:-:-:-:-:-:-:-:-:-:- ...............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.·.·.·.

Street Dept. Reports to Regulatory Agencies (California .............. ...............

ST&AU-027 . . . . . . . . . . . . . .

Report 5 years ·:·:·:·5 y:ei'.¼r~:::::: Department Preference; GC §34090 (Yard) integrated Waste Management Board, etc.) ............ ............... ·- . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Solid Waste & Recycling Franchise Agreement -:-:-:-:-:•:·:·:-:-:-:-:-:-:· ...............
.............. Statute of Limitations: Contracts & Spec's=4 years, . . . . . . . . . . . . . . .

Administration (Mission Trail Garbage Co, Stevens . ·.·.·.·.·.·.·.·.·.·.·.·.·.·.

ST&AU-028 City Clerk Agreements Creek Disposal & Recycling, Non-exclusive Completion 5 years ¢8iripfetiori•+ (E&O does not apply); Published Audit Standards=4 •:•:•: $y$i,l:r$:•:•:: 7 years; Statewide guidelines propose termination + franchise hauler agreements) .............. . . . . . . . . . . . . . . . 5 years; CCP §§336(a), 337 et. seq., GC §34090 .............. . . . . . . . . . . . . . . .

Copies ............. . . . . . . . . . . .
. ... . . . . . . . . . . . <<<·:-:-:.:-:-:-:-:-:-:-:-
Street Dept. ...............
. . . . . .. . ... . ..

ST&AU-029 (Yard) Citations Solid Waste Violations & Citations 5 years •:•••••$years•••••• Department Preference; GC §34090 ...............
. . . . . . . . . . . . . . ...............
. . . . . . . . . . . . . .

Street Dept. Storm Drain and Catch Basin Cleaning and ............... Department preference; NPDES Monitoring records . . . . . . . . . . . . . .

ST&AU-030 (Yard) Logs Flushing 3 years • :::·:·~ y~ars.:•:·:: required for 3 years; 40 CFR §§122.21, 122.41 ::::::::::::::::::::::::::::· ..............
. . . . . . . . . . . .

Superseded $Wpers~c1~9
Street Dept. Storm Drain Pump Station Operation & or Pump ·····p······ ST&AU-031 Correspondence •:::::OJ::•: .ump::::: Department Preference; GC §34090 (Yard) Maintenance Manuals Replaced+ 2 Rep1a9ef((2 ...............
years :•:•:•:•years•:::•:::

Street Dept. Life of the •::: Ut€i 8f: ih~ •: •
ST&AU-032 Correspondence Storm Drain Pump Station Service .............. (Yard) Pump+ 2 < P:t.iirip + 2. Department Preference; GC §34090 years ::::::::y~ars:.:::
.. ---,,-.-·.· ........ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.·.·. Department preference; NPDES Monitoring records .............

Street Dept. Stormwater Annual and NPDES Monitoring ............. .............

ST&AU-033 Permits 5 years • • s ve~rs•: required for 3 years; Monitoring records required for (Yard) Reports .............. ............... 3 years in Federal law; 40 CFR §§ 122.21, 122.41 .·.·.·.·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Stormwater Program: Unauthorized Discharges/ . . . . . . . . . . . . . . ............... . . . . . . . . . . . . ..

ST&AU-034 Street Dept.1 Citations Violations/ Spills/ ICID (Illicit Connection/ Illicit No Activity + •m
0 t!~t[t Department preference; NPDES records are
(Yard) Discharge) 5 years i required for 3 years; 40 CFR 122.41 U)(2) I . . . . . . . . . . . . . ..............

Department Preference; NPDES Monitoring records ..............

Street Dept. ..............

ST&AU-035 (Yard) Logs Street Sweeping Activity 3 years : • • jY~*rf •: required for 3 years; 40 CFR §§ 122.21, 122.41; i I CCP §337 et seq.

ST&AU No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: STREETS & AUTOMOTIVE SERVICES SANTA CLARA, CA.

Records Description Retention / Disposition
Active
I (in office)
.............. Inactive ·.·.·.·.· .·.·.·. ·· · · : : : : : : : : :totai::: ·: · · · {Records :::R~t~rifldM:::

Center) · · · · · · · · · · · · · ·
Page ST&AS-5
Comments I Reference
If the record is not listed here, refer to the Retention for City-Wide Standards ~ · · ·· e act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder. ~tion, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion) . . . . . . . . . . . . . . . . . . . . . .

Street Dept Time Cards/ Task Assignments/ Work Schedules •:-:-:-:-:-:-»:- · ST&AU-036 (Yard) . Timekeeping (NPDES) 4 years Jye~rs:.: 140 CFR 122.410) ........... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . . . . . . . . . . . .

ST&AU-037 Street Dept.
(Yard) Source Tree Database (Locations, species) Indefinite irid~firi]tt Data is interrelated; GC §34090 ST&AU-038
ST&AU-039
ST&AU-040
ST&AU-041
ST&AU-042
Street Dept.
(Yard)
Depart.

Providing
Service/
Work
Depart.

Providing
Service/
Work
Reference
Source
Non-Record
Subject
Tree Work Orders (filed by address)
Work Orders / Service Requests CMMS
DATABASE (Computerized Maintenance
Management System)
(Hansen)
Work Orders / Service Requests - All Information
Entered in CMMS Database
Work Orders / Service Requests - NPDES
Activities NOT entered in CMMS Database (or
partial information entered into CMMS Database)
(Division providing service retains originals;
Division requesting service is considered a copy)
Work Orders/ Service Requests - Site
Clearances (for Agriculture Department) NOT
entered in CMMS Database (or partial information
Correspondence entered into CMMS Database)
(Division providing service retains originals;
Division requesting service is considered a copy)
This material is protected by a copyright held by Gladwell Governmental Services Inc., p
Indefinite
None
5 years
2 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. =~ ·- = = ,-·· =Department preference; GC §34090
.·.·.·.·.·.
\)\)\)~~ ~ ............
. . . . . . . . . . ............
. . . . . . . . . .
lridMifrifo: Data is interrelated; GC §34090
Preliminary drafts (the database is the original); GC
§34090
Department preference; NPDES Monitoring records
required for 3 years; 40 CFR §§122.21, 122.41
RECORDS RETENTION SCHEDULE: STREETS & AUTOMOTIVE SERVICES SANTA CLARA, CA.

Page ST&AS-6
ST&AU No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record Inactive •:-:-:-:-:-:-:-:-:-:-:-:-:-
Active : : : : : : : ::totai : : : ·: · ·
(OFR) (Records .............
(in office) : Retention : Center) .............

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

I
Work Orders / Service Requests - Traffic
Depart. Maintenance (Signs, Signals, Legends, MTCD)
Providing NOT entered in CMMS Database (or partial Department preference; NPDES Monitoring records ST&AU-043 Service/ Reference information entered into CMMS Database) p required for 3 years; 40 CFR §§122.21, 122.41 Work
(Division providing service retains originals;
Division requesting service is considered a copy)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Page W&S-1
W&S No. Office of Record Type Records Description Retention / Disposition Comments / Reference Record !
Inactive ·.·.·.·.·.·.·.·.·.·.·.·.·.
.............

Active -:•::::r:ota1:::·:-·
(OFR)
I
(Records .............
(in office) Center) RetenHcin
If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investiaations suspend normal retention periods (retention resumes after settlement or completion).

ADMINISTRATION
Water& ·.·.·.·.·.·.·.·.·.·.·.·.·.
·.·.·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . .

W&S-001 Sewer Correspondence Administrative Procedures (Including Rules and Superseded super:sed~ti Department preference; GC §34090 Utilities/ Regulations for Water Service) + 2 years :f~Y:e~rf Admin. . ............

Water& ............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.·.

Sewer ............
. . . . . . . . . . . . .

W&S-002 Utilities/ Reference Block Books (Maps of System) p :::::::::::p::::•:•··· Department preference; GC §34090 :::::::::::::::::::::::::

Admin. .............
.·.·.·.·.·.·.·.·.·.·.·.· . . . . . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·/.-"."."."."."." .

Rates . . . . . . . . . . . .

W&S-003 City Clerk Correspondence copies 2 years j:y~~r{: GC §34090.7 This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

W&S No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Records Description Retention I Disposition
Inactive ................ -_ .... ·. ·.

Active •••••••%ta1••••••· (Records .............
(in office) Retention Center) .............

If the record is not listed here, refer to the Retention for City-Wide Standards Page W&S-2
Comments I Reference
Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed bv file folder.

Litigation, complaints, claims, public records act requests, audits and/or investiqations suspend normal retention periods (retention resumes after settlement or completion).

RECYCLED WATER
Recycled .............

W&S-004 Reference Recycled Water - Permits p . . . ·>>p .......... Department Preference; GC §34090 Water ............. . . . . . . . . . . . . .

Recycled Water - Annual Report, .........

Recycled . . . . . . . . . .........

W&S-005 Water Project Admin Correspondence, Recycled Water User Files, 10 years O:ye~r:f · Department Preference; GC §34090 Water Analysis
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Page W&S-3
W&S No. Office of
Record Record Type Records Description Retention I Disposition Comments I Reference ............. Inactive -·-·.·.·.·.·.·.·.·.·.·.·. Active : : : : : : : T:otaJ:::.:. (OFR) (in office) (Records R~t~htli:i~
Center) . -: -: -: -: -: -: -: -: -: -: -: -:
~at
~
listed here, refer to the Retention for City-Wide Standards when the act is completed, and imply a full file folder (e.q. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion).

SEWER UTILITY
W&S-006 Sewer Utility Reference Air Quality Permit - Operations (BMQMD) p W&S-007 Sewer Utility Complaints Complaints - Sewer 2 years Department preference; GC §34090
...........
>•:•:•:•:•••••••••• City preference; Statute of Limitations for personal j}e~r; property, fraud, etc. is 3 years; Claims must be filed ....................... in 6 months; CCP §§338 et seq., 340 et seq., 342, ••• •• ••••••••••••• GC §§945.6, GC §34090 -------------+-------+-----lll-.-.~ .. -.~ ..-.~ ..-WJ--------------------------- Confined Space Entries & Logs (Permitted
W&S-008 Lead Dept. Logs entries into confined spaces such as sewers and storm drains in order to comply with regulations)
W&S-009 Lead Dept. Regulatory Filings Correspondence - Regulatory Agencies Street &
W&S-010 Automotive
Services
W&S-011 Lead Dept.

Temporary
Holding
Regulatory
Timekeeping
Daily Vehicle & Equipment Safety Checks/
Vehicle Inspections/ Daily Equipment Checks
I DOT Timecards (Department of Transportation)
W&S-012 Sewer Utility Correspondence Flow Measurements
W&S-013 Sewer Utility Logs
W&S-014 Sewer Utility Safety
W&S-015 Sewer Utility Report
W&S-016 Sewer Utility Report
Generator Operation Logs (for fixed / stationary
generators)/ Inspections
Hazardous Waste Manifests
Industrial Wastewater Discharge Permits
(copies) and related documents
Inspector Reports: Violations, Inspection
Notices, Citations, Inadvertent Spills
This material is protected by a copyright held by Gladwell Governmental Services Inc., 3 years
7 years
Send to
Automotive
Services
10 years
2 years
3 years
30 years
Until closure
of permit
Resolution +
5 years
5 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ...........
. . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·
...........
... :-:-:-:-:-:-:-:-:- :> Code of Federal Regulations requires 3 years; 40 $ y~i;iti / CFR 122.41 U)(2)
........ :-:-:-: ... :-:- Department preference; Some correspondence from 1:Y:e~r~ .. Regulatory Agencies need to be retained for long ........ :::::::::::::::::: periods of time; GC §34090
.............

AGtoinottve GC §34090 et seq. s~ti/ic~s .·.·.·.·.·.·.·.·.·.·.· •:: Department preference (DOT request); GC §34090 e Wxe~r-s .. : seq. -:-:.:-:-:-:-:-:-:-:- ...........
:Zy¢~rs. •:> GC §34090
<.:.:.: <. > > :- : . : .
.............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ::<:>::::::::::::::• Department Preference; Consistent with statute of ............. •:•:•:•:•:•:•:•:•:•:>•:• limitations for employee exposure to hazardous :::::3•0 y.ear:s> materials (test results for hazardous waste ............. . . . . . . . . . . . . .............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .............
. . . . . . . . . . . . . . . . . . . . . . . . .
generators are required for 3 years); 40 CFR 262.40,
8 CCR 3204(d)(1)(A), 22 CCR 66262.40
untll:ciosi:ire . :-:-:-•••<·•·•<•:-·•:•·· Department preference; NPDES records are required ofpe~rJ;11tt 5 for 3 years· 40 CFR 122.410)(2) > ye~r$ • ' R~solut16f1t Department preference; NPDES records are required 5 y-earS. : for 3 years; 40 CFR 122.41 U)(2)
RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Page W&S-4
W&S No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record Inactive :•:-:-:-:-:-:-:-:-:-:-:-:-
Active : : : : : : : totaJ::: ·: · ·
(OFR) (Records .............
(in office) RetenHoici: Center) .............

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions beoin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion).

I Operations & Maintenance Manuals / 0 & M Superseded ~upersed¢c W&S-017 I Sewer Utility Correspondence Manuals - 2 years :•:<2ye:ar.s•: Department preference; GC §34090 I I
............
. . . . . . . . . . . . .

Separation • i~P~iai1Jii W&S-018 Sewer Utility Source Operator's Certification Database of Employee o($iliprofe€ Department Preference; GC §34090 et seq. ............
. . . . . . . . . . . . .

Human Temporary Send Copy s~nd:copy
W&S-019 Operator's Certifications to Human >1o•Hi:iman• !Copies are maintained at the plant; GC §34090. 7 Resources Holding ............. i I Resources : Re.soi.frees: .............

W&S-020 Sewer Utility Reference Permits - Various Operating Permits 5 years p . p· epartment preference; GC §34090 .............
. . . . . . . . . . . .

Pressure Vessel Certifications or Permits (Air Expiration of ~ipiraHori :~ W&S-021 Lead Dept. Correspondence Certificate :cectif:k:atii Department preference; GC §34090 et. seq. Compressors, Propane, etc.) or Permit q(p~friiii Pumping Stations / Sewer Lift Stations / Motor ·.·.·.·.·.·.·.·.·.·.·.·.· W&S-022 Sewer Utility Reference Logs, etc. p ·:·:·:·:·:·p:·:·::::•: Department Preference; GC §34090 . ............

Reports to Regulatory Agencies (California ............ . . . . . . . . . . . . .

W&S-023 Sewer Utility Regulatory Filings 7 years : : fye~r~:: Department Preference; GC §34090 Integrated Waste Management Board, etc.) ............ . . . . . . . . . . . . . . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.·.·.·.· W&S-024 Sewer Utility Project Admin Root Control Program 10 years joy~~~( Department Preference; GC §34090 ......... . . . . . . . . . . ":-·.·.·.·.·.·.·.·
Agreements and .........
.........
. . . . . . . . .

San Jose I Santa Clara Water Pollution Control ......... . . . . . . . . .

W&S-025 City Clerk Leases Plaht (Agreements) p ::::::<:r> .... Department Preference; GC §34090.7 Significant
W&S-026 Sewer Utility Reference Sewer Jetting Reports p < p Department preference; GC § 34090 ..... . . . . . . . . . . . . .

Department preference; plans must be updated every ............. . . . . . . . . . . . . .

Sewer System Management Plans (SSMP) and . . . . . . . . . . . . . . . . . . . . . . . . . - W&S-027 Sewer Utility Subject 5 years $y~arf 5 years, audits are required every 2 years; GC Audits, Sanitary Sewer Overflows (SSOs) :-:-:-:·:-:-:-:-:-:-:-:-:- ·.·.·,:-:-:-:-:.:-:-:-:-: §34090 -· ....... South Bay Dischargers Authority: Aquatic . - . . . . . . . .

W&S-028 Sewer Utility Non-Record Habitat, Monitoring Program None ¼6n¢ Department Preference; GC §34090 TV Collection Line Inspection Tapes/ Video -:-:-:-:

W&S-029 Sewer Utility Reference Inspections/ Video Tapes or Digital Recordings p :P· Department Preference; GC §34090 et seq. (all lines)
W&S-030 Sewer Utility Subject Underground Service Alerts (USA's) -- City 5 years years: · Department Preference (the warrantee period for Iwork done is 5 years); GC §34090
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

W&S No. Office of
Record
(OFR)
Record Type
RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Records Description Retention I Disposition
Page W&S-5
Comments I Reference
If the record is not listed here, refer to the Retention for City-Wide Standards ~ff,;;,_, hanin when the act is comoleted, and imoly a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder. 1tion, complaints, claims, public records act requests, audits and/or investigations susoend normal retention oeriods retention resumes after settlement or completion).

De art I Work Orders / Service Requests CMMS : /
Pro~din. DAT ABASE (Computerized Maintenance : : : :

W&S-031 Service 7 Source Management System) Indefinite )n~e:finitf Data is interrelated; GC §34090 : <. > > > >:.:.:.:.:.:.:.

Work ::::::::::::::::::::::::::
(Hansen) ::::::::::::::::::::::::::

W&S-032
W&S-033
Depart.

Providing
Service I
Work
Depart.

Providing
Service/
Work
Non-Record
Subject
Work Orders / Service Requests - All
Information Entered in CMMS Database
Work Orders / Service Requests - NOT entered
in CMMS Database (or partial information
entered into CMMS Database)
(Division providing service retains originals;
Division requesting service is considered a copy)
This material is protected by a copyright held by Gladwell Governmental Services Inc., None
5 years
but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law. ............
. . . . . . . . . . . . . . ........... . . . . . . . . . . . . . . . . . . . . . . . . . . .

No~f Preliminary drafts (the database is the original); GC §34090
City preference; CCP §§338 et seq., 340 et seq.,
342, GC §§945.6, GC §34090
W&S No. Office of Record Type Record
(OFR)
RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Records Description Retention / Disposition
Inactive ..

Active :::::::r:otai:::-:-·
(Records .............
(in office) ::Retention Center) ...........

If the record is not listed here, refer to the Retention for City-Wide Standards Page W&S-6
Comments I Reference
Retentions beqin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

SOLAR
Solar/ Domestic Water Heating / Swimming ............

W&S-034 Solar Correspondence 2 years > 2Y.~~r{) Department preference; GC §34090 Pools: Inquiries ............ . . - . . . . . . . . . .

Solar/ Domestic Water Heating / Swimming . - . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

W&S-035 Solar Source Pools: Manufacturers, PG&E, Rates, Systems Indefinite •liiJ$tinite••· Non-records I Analysis, Resources I
Solar/ Domestic Water Heating / Swimming W&S-036 Solar Reference p :p- Department preference; GC §34090 Pools: Subscribers This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public records pursuant to state law.

RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Page W&S-7
W&S No. Office of Record Type Records Description Retention / Disposition Comments / Reference Record Inactive ·.·.·.·.·.·.·.·.·.·.·.·.·.
. . . . . . . . . . . . .
(OFR) Active (Records
: : : : : : : totai::: ·: · ·
(in office) R~tetifo,~ Center) .............

If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.

Litiqation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

WATER UTILITY
::::::::::::::::::::: :< Department Preference; Meets California Department W&S-037 Water Utility Subject Backflow Test Forms 5 years $ y~ars . . . . . . . . . . . :::• of Health requirements (3 years); GC §34090 . . . . . .. ...... . . . . . . .. . .. . . . . . . . . .. ... . . 10 years or cQmptei100 )-1oyears Some grant funding agencies require audits; Statute Capital Improvement Projects (GIP)/ Jobs: After cirAiter. •• • of Limitations for Errors & Omissions is 10 years; Administration File Funding • F~ndir-ig/ Published Audit Standards=4-7 years; Statute of W&S-038 Water Utility Project Admin Upon Agency AgencY Limitations: Contracts & Spec's=4 years, Wrongful Project Administration, Certified Payrolls, Construction Completion Audit, if •.•. Aoclifit•·•· Death=comp. + 5 years, Developers=comp. + 10 Management Logs, Daily Inspection Diary, Project required, r~quir.ecC years; Statewide guidelines propose termination + 5 Schedules, Progress meetings, etc. whichever is whicfievefis years; CCP §§336(a), 337 et. seq., GC §34090 longer ............. . ·.·.·1 .·.·.·.·.·.·.·.·.· . : . : . : . on:ger:: •: • · :::::::::::::::::::
.........
. . . . . . . . . .

Capital Improvement Projects (GIP)/ Jobs: . . . . . . . . . .......... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Permanent File . . . . . . . . . ·.·.·.·.·.·.·.·.·.·
..........
..........
·>>>>>>>>>
. . . . . . . . . . . . . . . . . . . ......... Department preference; retained for disaster . . . . . . . . . .

Plans, Record Drawings I "As Builts", Specifications, ......... . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Upon .........

Bids/RFPs, Successful Proposal, Change Orders, preparedness purposes; Statewide guidelines . . . . . . . . . .

W&S-039 Water Utility Project p :::::::::::p::::: Inspections, Materials Testing Reports, Grading Completion ............. propose Permanent for Infrastructure plans; GC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Permits, Hazardous Materials Reports, Notice of . . . . . . . . . . . . . .............
•:•:•:·:•:·:·:•:•:·:·:·:·: §34090 . . . . . . . . . . . . .

Completion, )&M Manuals, Photos, Real Estate
Appraisals, Soils Reports, Studies, Submittals,
Surveys, etc. . .......... . . . . . . . . . . . . . . . . . . . . . .

W&S-040 Water Utility Subject Chains of Custody (Water testing instructions) 5 years $years •• : 22 CCR 64453(b) et seq.; 40 CFR 141.33(a) ...........

Complaints - Water Quality/ Drinking Water : ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: 5 years is required in State and Federal law for any ...........

W&S-041 Water Utility Subject Customer Concerns: Odor/ Taste/ Visual 5 years : s y.e~i-~ complaints; 40 CFR 122.410)(2) &40 CFR 141.33(b); ..........

Complaints ' ........... 22 CCR 64453(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Confined Space Entries & Logs (Permitted ::::::::::::::::::::: .......... . . . . . . . . . . . Code of Federal Regulations requires 3 years; 40 I
..........

W&S-042 Lead Dept. Logs entries into confined spaces such as sewers and 3 years ~y~ars storm drains in order to comply with regulations) ........... CFR 122.410)(2) .. ! Correspondence - Regulatory Agencies . . . . . . . . . . . . ............ . . . . . . . . . . . . . . . . . . . . . . . .

Department preference; Some correspondence from ............ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

W&S-043 Lead Dept. Project Admin California, State of, Department of Health, 10 years 10\iearf Regulatory Agencies need to be retained for long i
............. periods of time; GC §34090 .............
. . . . . . . . . . . . . . . . . . . . . . . . . .

EPA, etc . . . . . . . . . . . . .

RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Page W&S-8
W&S No. Office of I Record Type Records Description i Retention / Disposition Comments / Reference Record I '
Inactive .............
.............
. . . . . . . . . . . . .
(OFR) Active (Records
:::::::r:otai:::::·:
.............
(in office) Center) Retention•
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is comfJleted, and imfJIY a full file folder (e.cr. last document + 2 years), since destruction is normallv oerformed by file folder.

Liticration, com(Jlaints, claims, (Jublic records act requests, audits and/or investicrations sus(Jend normal retention oeriods retention resumes after settlement or com(Jletion). . . . . . . . . . . . . . . . . . . . . . - . . . -:.:-:-:-:.:-:-:.:-:-:-:-· Department Preference; Meets California Department . . . . . . . . . . . . .

W&S-044 Water Utility Subject Cross Connection Test Forms 5 years 5ye~rV . ............
. . . . . . . . . . . . of Health requirements (3 years); GC §34090 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Street & Temporary Daily Vehicle & Equipment Safety Checks / Send to send ra:

Automotive I ............. W&S-045 Automotive A0tqm.ottii~ GC §34090 et seq.

Services I Holding Vehicle Inspections/ Daily Equipment Checks Services services . . . . . . . . . . .

I . . . . . . . . . . .

Regulatory ........... <: Department preference (DOT request); GC §34090 et . . . . . . . . . . .

W&S-046 Lead Dept. I Timekeeping DOT Timecards (Department of Transportation) 10 years )o}ecir:~ ::: seq. ' ............

W&S-047 Water Utility[ Source Employee Roster & Certificates Database Indefinite iriJ~tiriif~ : Data is interrelated; GC §34090 I I Fire Hydrant Inspections/ Flushing - History W&S-048 Water Utilityj Reference p .p· Department preference; GC §34090 et seq. Cards ' .............
. . . . . . . . . . . . .

W&S-049 Water Utility Subject Fire Service Test Forms I 5 years 5y$ari> ............ Department preference; GC §34090 et seq.

W&S-050 Water Utility Reference Leak Reports p .• Department preference; GC §34090 et seq.

W&S-051 Water Utility Correspondence Maintenance Procedures Superseded s0per.s~cie8 Department Preference; GC §34090 et seq.

I + 2 years ~\i~ars/
Water Utility)
I ·.·.·.·.·.·.·.·.·.·.·.·.·
W&S-052 Reference Meter Replacement Program I p :<:::·:·:·p:.::::•:•· GC §34090 :-:-:.:-:-:.:-:.:-:-:.:-: ............

Water Utilityl
. . . . . . . . . . . . .

Meter Shop Database (meters & backflow ............
. . . . . . . . . . . . .

W&S-053 Source Indefinite :::1iidetinite:•: Data is interrelated; GC §34090 devices) ............. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I Meters/ Meter History Cards (not Portable ............

W&S-054 Water Utility Reference p ·:·:·:·:·:·p:.::::::•: Department Preference; GC §34090 Meters) ............. . . . ·.·.·.·.·.·.·.·.·.·
W&S-055 Water Utility Correspondence Meters / Portable Meters Returned+ R:eh.frned+ GC §34090 ............. 2 years 2; y~ars
W&S-056 Water Utility Correspondence Operations & Maintenance Manuals / 0 & M Superseded ~j~e;::1:1 Department preference; GC §34090 Manuals - 2 years .........

W&S-057 Water Utility Reference Permits - Various Operating Permits 5 years p :<<<:::::p::: Department preference; GC §34090 W&S-058 Water Utility Correspondence Portable Water Permits Expiration + Expirat,qnf Department Preference; GC §34090 2 years : tyears: ......... . . . . . . . . .

W&S-059 Water Utility Reference Pump Production Reports p : :::::::::fi:> .... Department preference; GC §34090 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

W&S-060 Water Utility Routine Pump Status Reports 4 years • •{years• • • Department preference; GC §34090 .........

RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Page W&S-9
W&S No. Office of Record Type Records Description Retention / Disposition Comments/ Reference Record .............

Inactive .............
. . . . . . . . . . . . .

Active : : : : : : : totai::: ·: · ·
(OFR) ! (Records : R~t~tit1b~ I (in office) I
I Center) ...........

If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

IDtiaation, complaints, claims, public records act reauests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion) .

Regulatory Agency Reports/ Compliance .:.:-:-:-:->>>>>>> .............
............ Department Preference; Hazmat discharge records . . . . . . . . . . . . .

W&S-061 Water Utility Report Reports: Monthly and Quarterly Reports, 5 years s\,earV including backup data <<<<<·>>>>> are required for 3-5 years; 40 CFR 122.41 U)(2) . . . . . . . . . . . . ·.·.·.·.·.·.·.·.·.· . .. .. . . .... .. . . . . . .... . . ... . . . . .

W&S-062 Water Utility Subject San Francisco Water Co. 5 years >$y~ars : : Department Preference; GC §34090 ............. ! ............. . . . . . . . . . . . . . . . . . . . . . . . . . i ............. . . . . . . . . . . . .

W&S-063 Water Utility Subject San Jose Water Works 5 years : : $y~ars: Department Preference; GC §34090 ............ . . . . . . . . . . . . . . . . . . . . . . . .

W&S-064 Water Utility Subject Santa Clara County Water Commission 5 years ::~•y~arS: . Department Preference; GC §34090 ........... ·.·.·.·.·.·.·.·.·.·.·.·.·
W&S-065 Water Utility Subject i Santa Clara Valley Water District 5 years AY.e~rf Department Preference; GC §34090 SCADA Database (Supervisory Control and Data ·.·.·.·.·.·.·.·.·.·.·.·.· Data is interrelated; system qualifies as a "trusted W&S-066 Water Utility Source Indefinite ••:1iia~finii~:• Acquisition) - Water system"; GC §§34090, 12168.7 Solar ROE/Lease Agreement :-:-:-:-:-:-:-:-:-:-:-:- W&S-067 City Clerk Agreements copies 5 years :sy:e~r~: Department preference; GC §34090 .............
............. Department Preference (the warrantee period for . . . . . . . . . . . . .

W&S-068 Water Utility Subject Underground Service Alerts (USA's) -- City 5 years s·.·.·.·.·.· : : : : : . : . : y:eaJS:::::: lwork done is 5 years); GC §34090 -:-:-:-:-:-:-:-:-:_::-:-:-:

W&S-069 Water Utility Correspondence Vulnerability Assessment Superseded si:iper.s~de8 Confidential; GC §34090 - 2 years ~:Z:years Water Analysis/ Reports & Sampling: <:<:::<:<:::::: i Bacteriological & Organics are required for 5 years; ...........

W&S-070 Water Utility Subject 5 years /$y~ars 140 CFR 141.33(a); 22 CCR §64470 (Bacteriological, Organics) ............ : : : : : : ~::::::::::::::::::: .............
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............. Department preference; a significant portion of water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i Water Analysis/ Reports & Sampling: . . . . . . . . . . . . . is supplied by untreated well water; Lead and Copper ............. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . are required for 12 years or 2 compliance cycles ............

W&S-071 Water Utility Water Analysis 4 years 14 years <1fx~~r:s> (Chemical, Pesticide, Lead & Copper, .·.·.·.·.·.·.·.·.·.·.·.·.· (some compliance cycles are nine years); Chemical .............

Radiological, Trihalomethanes, etc.) ............. is required for 10 years; 22 CCR 64400.20; 22 CCR ............. . . . . . . . . . . . . .
: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~: ~:. 164690.80; 40 CFR 141.33(a); 22 CCR §64470 ........... . . . . . . . . . . . . . . . . . . . . . . . . .

W&S-072 Water Utility Correspondence Water Conservation 2 years : Jy~aiS.: Department preference; GC §34090 et seq. .·.·.·.·.·.·.·.·.·.·.·.

W&S-073 Water Utility Report Water Pressure Charts 5 years $y~ar( •· Department Preference; GC §34090 et seq. .......... . . . . . . . . . . .

Water Quality Reports / Consumer Confidence Department preference; State law requires 12 years, W&S-074 Water Utility Reference 12 years p p· I Reports federal 10 years; 40 CFR 141.33(a); 22 CCR §644 70 I .·.·.

RECORDS RETENTION SCHEDULE: WATER & SEWER UTILITIES
SANTA CLARA, CA.

Page W&S-10
W&S No. Office of Record Type Records Description Retention I Disposition Comments I Reference Record ............. Inactive ............ . . . . . . . . . . . . .
(OFR) Active (Records
: : : : : : : totaJ::: ·: · I (in office) Center) R-~te@~~: I If the record is not listed here, refer to the Retention for Citv-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document+ 2 years), since destruction is normally performed by file folder.

Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods retention resumes after settlement or completion). ............ . . . . . . . . . . . . .

W&S-075 Water Utility Subject Water Standards and Specifications 5 years : :$years• · Department Preference; GC §34090 ............ . . . . . . . . . . . . . ·.·.·'"'···········-·.·.· . . . . . . . . . . . . . . . . . . . . . . . . . .

W&S-076 Water Utility Correspondence Water Usage Reports 2 years :~years>· Department preference; GC §34090 et seq. ......... . . . . . . . . . . . . . . . . . .

W&S-077 Water Utility Reference Well Status Reports & Well Production Reports p :::::::::::p:: Department preference; GC §34090 W&S-078 Water Reference Wells, Well Permits, Well Water Samples p :::::::::::p: Department preference; GC §34090 Utilities ..... . . . . . . . . . . . .

Work Orders I Service Requests CMMS ...........
. . . . . . . . . . . .

Depart. . ·.·.·.·.·.·.·.·.·.·.·.
. .......... . . . . . . . . . . . .

DATABASE (Computerized Maintenance ...........
. . . . . . . . . . . .

Providing . . . . . . . . . . . ............
. . . . . . . . . . .

W&S-079 Source Management System) Indefinite :::fridefitiifo Data is interrelated; GC §34090 Service/ ...........

Work (Hansen)
Depart.

Providing Work Orders / Service Requests - All Preliminary drafts (the database is the original); GC W&S-080 Non-Record None l\., Service I Information Entered in CMMS Database ::: , ·- - §34090 Work
Work Orders I Service Requests - NOT entered
Depart. in CMMS Database (or partial information
Providing entered into CMMS Database) City preference; CCP §§338 et seq., 340 et seq., W&S-081 Service/ Subject 5 years I J· ,::;
342, GC §§945.6, GC §34090
Work (Division providing service retains originals;
Division requesting service is considered a copy)
This material is protected by a copyright held by Gladwell Governmental Services Inc., but is also a public record, and will be duplicated and distributed upon a valid request for public _records pursuant to state law.

Resolution/Police Records Retention 2025 Page 1 of 2
Rev: 6/24/2025
RESOLUTION NO. _____

A RESOLUTION OF THE CITY OF SANTA CLARA, CALIFORNIA
RESCINDING THAT PORTION OF RESOLUTION 12-7965

APPLICABLE TO THE POLICE DEPARTMENT RECORDS

RETENTION SCHEDULE AND APPROVING AND ADOPTING

THE UPDATED RECORDS RETENTION SCHEDULE FOR THE

POLICE DEPARTMENT
WHEREAS, the purpose of the City’s Records Retention Schedule is to establish the categories of records created or received by City departments and to clearly establish retention periods for how long records will be retained by the City consistent with Federal and State laws; and WHEREAS, the City adopted a city-wide Records Retention Schedule for all departments including Police Department, August 28, 2012, by Resolution 12-7965; and WHEREAS, significant changes have been made to state regulations and laws regarding the retention of certain Police records, and the Department has adopted new technologies and procedures, which taken together require that the current portion of the City’s Records Retention Schedule pertaining to Police records be updated; and WHEREAS, the City Council now desires to approve and adopt the Updated Records Retention Schedule for the Police Department, attached hereto, for the orderly and lawful maintenance of the Police Department’s records..

NOW THEREFORE, BE IT RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:

1. That the portion of Resolution 12-7965 applicable to Police Department records is hereby rescinded; and

2. That the updated Police Department Record Retention Schedule, attached hereto and incorporated herein by reference, is hereby approved and adopted.

2. Effective date. This resolution shall become effective immediately.

I HEREBY CERTIFY THE FOREGOING TO BE A TRUE COPY OF A RESOLUTION PASSED

AND ADOPTED BY THE CITY OF SANTA CLARA, CALIFORNIA, AT A REGULAR MEETING THEREOF HELD ON THE 24TH DAY OF JUNE 2025, BY THE FOLLOWING VOTE:

Resolution/Police Records Retention 2025 Page 2 of 2
Rev: 6/24/2025
AYES: COUNCILORS:

NOES: COUNCILORS:

ABSENT: COUNCILORS:

ABSTAINED: COUNCILORS:

ATTEST: ______________________________

NORA PIMENTEL, MMC

ASSISTANT CITY CLERK

CITY OF SANTA CLARA
Attachments incorporated by reference:

1. Police Records Retention Schedule
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
25-707 Agenda Date: 6/24/2025

REPORT TO STADIUM AUTHORITY BOARD

SUBJECT
Action on Stadium Manager’s Request to Execute an Amendment No. 1 to the Agreement with Integrated Communication Systems to Increase the Not to Exceed Amount by $56,000, for a Total of $408,000 Over a Three-Year Term, for Fire Alarm Testing, Inspection, Maintenance, and Related Services at Levi’s Stadium

BOARD PILLAR
Ensure Compliance with Measure J and Manage Levi’s Stadium

BACKGROUND
As the Stadium Manager, Forty Niners Stadium Management Company, LLC, is responsible for maintaining “the Stadium in the Required Condition and operate the Stadium as a quality NFL and multi-purpose public sports, public assembly, exhibit and entertainment facility” as required by the Stadium Management Agreement between the Stadium Authority, Stadium Manager, and Forty Niners SC Stadium Company, LLC (StadCo).

In 2023, the Stadium Manager conducted a Request for Proposals (RFP) Process. The highestscoring proposer took exception to the terms and conditions agreed upon in their initial proposal response during the agreement execution stage. Representatives from the Stadium Manager and vendor attempted to resolve issues related to indemnity and liability provisions but could not mutually agree on the terms proposed by the vendor. The Stadium Authority Counsel reviewed the vendor’s proposed language and concurred with the Stadium Manager’s concerns. As such, the Stadium Manager recommended moving forward with the second-highest rated proposer in the Stadium Manager’s RFP process, Integrated Communication Systems (ICS). The Stadium Manager’s RFP provided the Stadium Manager the right to enter into an agreement with another proposer in the event the originally selected proposer defaults or fails to execute an agreement with the Stadium Manager.

On May 23, 2023, the Stadium Authority Board approved an agreement with Integrated Communication Systems (ICS) to provide fire alarm testing, inspection, maintenance, and related services at Levi’s Stadium (Agreement). The Agreement included an initial three-year term through March 31, 2026, with the option to extend the agreement for two additional one-year periods, in an amount not to exceed $115,000 for the first contract year, $117,000 for the second contract year, and $120,000 for the third contract year, for a total not to exceed amount of $352,000 over the three-year period. The Stadium Authority Board also authorized the Executive Director to approve the Stadium Manager’s exercise of the option to extend the agreement with the same basic terms and conditions for two additional one-year periods, subject to budget appropriations.

The Stadium Manager is requesting an approval of an Amendment No. 1 to the Agreement to City of Santa Clara Page 1 of 3 Printed on 6/20/2025
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25-707 Agenda Date: 6/24/2025
increase the contract amounts for Years two and three in the amounts of $16,000 and $40,000, respectively, resulting in a total not to exceed agreement amount of $408,000 over the three-year term with the option to extend the agreement for two additional one-year periods. As Year 2 of the agreement concluded on March 31, 2025, approval of this request will also include retroactive approval from the Stadium Authority Board.

The recommendation memo submitted by the Stadium Manager contains additional details regarding the request.

DISCUSSION
Regular testing of the fire alarm system is critical to the safe operation of the stadium. To maintain a consistent and safe operating environment for Non-NFL and NFL events, the vendor performs regular inspections of the fire alarm system, performs corrective maintenance as issues arise, and provides on-site response and emergency services as needed. Spending on fire alarm and smoke detector repairs has increased and exceeds the anticipated projections that were included during the original RFP process.

As such, the Stadium Manager is requesting to increase the agreement amount based on increased service needs. For Year 2, the Stadium Manager incurred an additional $14,000 in costs for timesensitive services that exceeded the original second contract year amount of $117,000 and is requesting an additional $2,000 to cover any late arriving invoices, for a total of $133,000. Due to increased expenditures, the Stadium Manager is also requesting an additional $40,000 for Year 3, for a total of $160,000.

Based on the documentation and information provided, staff recommends approval of the Stadium Manager’s request to execute an Amendment No. 1 to the Agreement to increase the contract amounts for contract years two and three in the amounts of $16,000 and $40,000, respectively, to ensure continuity of fire alarm system testing, inspection, and maintenance services at Levi’s Stadium. As noted in the background section, the Stadium Authority Board previously authorized the Executive Director to approve the Stadium Manager’s exercise of the option to extend the agreement with the same basic terms and conditions for two additional one-year periods, subject to budget appropriations.

The Stadium Authority Counsel’s Office has reviewed the Amendment No. 1 to the Agreement for comparison to the Stadium Authority’s customary language. Nothing in the proposed Amendment No. 1 or Agreement changes the Stadium Authority’s rights under the Management Agreement and specifically with respect to any dispute that may arise from the Stadium Manager’s obligations under the Management Agreement.

The Stadium Authority reserves all rights to confirm and dispute charges by and payments to the Stadium Manager during a fiscal year-end reconciliation/true-up, including but not limited to changes based on improper allocation, calculation, lack of support, or failure to comply with the Parties’ contracts or California law. The Stadium Authority may raise related questions before the fiscal yearend reconciliation/true-up, which the Stadium Manager agrees to assess and respond to in good faith.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California City of Santa Clara Page 2 of 3 Printed on 6/20/2025
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25-707 Agenda Date: 6/24/2025
Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(a) as it has no potential for resulting in either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment.

FISCAL IMPACT
The proposed Amendment No. 1 increases the total not to exceed amount by $56,000, from $352,000 to $408,000.

The Stadium Authority Fiscal Year (FY) 2025/26 Budget contains Shared Stadium Expenses (Shared Expenses) such as Security, Stadium Operations, Engineering, Guest Services, and Groundskeeping. Shared Expenses are split between the Stadium Authority and StadCo per the Stadium Lease between Stadium Authority and StadCo. There are sufficient funds in the FY 2025/26 Shared Stadium Expenses Engineering line item to cover Stadium Authority’s portion (50%) of outstanding expenses for the second contract year (up to $41,778) and the agreement cost for the third contract year (up to $80,000).

COORDINATION
This report has been coordinated with the Stadium Authority Counsel and Treasurer’s Offices.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> or at the public information desk at any City of Santa Clara public library.

RECOMMENDATION
Approve the Stadium Manager’s request to execute an Amendment No. 1 to the Agreement with Integrated Communication Systems (ICS) to increase the not to exceed amount to $133,000 for the second contract year and $160,000 for the third contract year, for a total not to exceed amount of $408,000 over the three-year period, with the option to extend the agreement for two additional oneyear periods, subject to budget appropriations.

Reviewed by: Chuck Baker, Assistant Executive Director
Approved by: Jovan D. Grogan, Executive Director

ATTACHMENTS

1. Agreement with ICS

2. Amendment No. 1 to the Agreement with ICS

3. Stadium Manager’s Recommendation Memo
City of Santa Clara Page 3 of 3 Printed on 6/20/2025
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Agreement No: 10172
1 LEVI’S STADIUM GENERAL SERVICES AGREEMENT

BY AND BETWEEN

STADIUM MANAGER
AND

INTEGRATED COMMUNICATION SYSTEMS
This Agreement for the Performance of Services (“Agreement”) is made and entered into on June 1, 2023 (“Effective Date”) by and between INTEGRATED COMMUNICATION SYSTEMS, a California corporation with its principal place of business at 6680 Via Del Oro, San Jose, CA 95119 (“Contractor”), and the FORTY NINERS STADIUM MANAGEMENT COMPANY LLC, a Delaware limited liability company (“Stadium Manager”), with its principal place of business at 4900 Marie P. DeBartolo Way, Santa Clara, CA 95054. Stadium Manager and Contractor may be referred to individually as a “Party” or collectively as the “Parties” or the “Parties to this Agreement.”

RECITALS
A. The CITY OF SANTA CLARA, a municipal corporation (“City”) and the SANTA CLARA STADIUM AUTHORITY, a joint exercise of powers entity, created through Government Code sections 6500 et seq. (the “Authority”), are parties to that certain Ground Lease dated March 28, 2012, as amended by that certain First Amendment to Ground Lease (Stadium Site) (as the same may be further amended from time to time, the “Ground Lease”), pursuant to which the Authority leases certain real property from the City upon which the Authority has developed and constructed a multi-purpose stadium (the “Stadium”).

B. The Authority and FORTY NINERS SC STADIUM COMPANY LLC, a Delaware limited liability company (“StadCo”), are parties to that certain Amended and Restated Stadium Lease Agreement dated March 28, 2012 as amended and restated as of June 19, 2013 (as the same may be further amended from time to time, the “Stadium Lease”), pursuant to which StadCo is granted the right during the term of the Stadium Lease to use and occupy the Stadium for the operation of an NFL franchise, subject to, and on the basis of, the terms, covenants and conditions set forth in the Stadium Lease.

C. StadCo and FORTY NINERS FOOTBALL COMPANY LLC, a Delaware limited liability company (“Team”), are parties to a certain Sublease Agreement dated March 28, 2012, as amended and restated as of June 19, 2013 (as the same may be further amended from time to time, the “Team Sublease”), pursuant to which, during the term of the Team Sublease, the Team shall play its NFL home games at the Stadium, subject to, and on the basis of, the terms, covenants and conditions set forth in the Team Sublease.

D. The Authority, StadCo, and Stadium Manager are parties to a certain Stadium Management Agreement effective as of March 28, 2012, as amended by that certain First Amendment to Stadium Management Agreement dated November 13, 2012, that certain Second Amendment to Stadium Management Agreement dated May 9, 2013, that certain Third Amendment to Stadium Management Agreement dated June 19, 2013, and that certain Fourth Amendment to Stadium Management Agreement dated March 18, 2014 (as the same may be further amended from time to time, the “Stadium Management Agreement”), pursuant to which the Stadium Manager will manage the operation of the Stadium year-round on behalf of the Authority and StadCo for the term and on the basis specified in the Stadium Management Agreement.

E. Pursuant to the Stadium Management Agreement, the Stadium Manager is required to maintain and operate the Stadium and areas surrounding the Stadium, and, accordingly, desires to secure the general services generally consisting of fire alarm testing, inspection, maintenance, and related services as more fully described in Exhibit A, entitled “Scope of Services” (the “Services”), attached hereto and incorporated herein by this reference.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
2 F. Contractor represents that it, and its subcontractors, if any, have the professional qualifications, expertise, necessary licenses / certifications / permits, and desire to provide the Services which meet objectives and requirements of Stadium Manager.

G. In accordance with the Stadium Management Agreement, the Stadium Manager is authorized to enter into this Agreement on behalf of the Authority and StadCo to engage Contractor to provide the Services. The Stadium Manager and Contractor desire to enter into this Agreement whereby Contractor will perform the Services subject to the terms and conditions of this Agreement, the Ground Lease, the Stadium Lease and the Stadium Management Agreement.

TERMS

1. DEFINITIONS.

A. Affiliate: shall mean any Person directly or indirectly controlling or controlled by or under direct or indirect common control with a Person. For purposes of this definition, “control” when used with respect to any entity means the power to direct the management and policies of such entity, directly or indirectly, whether through the ownership of voting securities, by contract or otherwise; and “controlling” and “controlled” have meanings correlative to the foregoing.

B. Additional Indemnitees: shall mean the Authority’s Affiliates (including without limitation, the Authority’s Board of Directors, the City, its City Council, and all City or Agency commissions, officers, employees, volunteers and agents), the Bayshore North Project Enhancement Authority, the Successor Agency to the Santa Clara Redevelopment Agency, StadCo and its Affiliates, the Team and any Additional Team (i.e., an additional NFL franchise that plays its “home” games at the Stadium) (and their respective Affiliates), Manager’s Affiliates (if not any of the previously mentioned Persons), each other tenant of the Stadium and each Event promoter, and any mortgagee, bond trustee or other financial institution from time to time holding a lien or indenture upon Manager’s interest in the Stadium, the Stadium Lease or the Stadium Management Agreement.

C. Default Rate: shall mean a rate per annum equal to the lesser of (i) fifteen percent (15.0%) and (ii) the maximum non-usurious rate permitted by applicable law.

D. Fiscal Year: shall mean the twelve (12) month period commencing April 1 of each year after the execution of this Agreement, except that the first Fiscal Year will commence on the Commencement Date of the Stadium Lease and end on the next following March 31.

If this Agreement expires or terminates on a date other than March 31 of a particular year, there shall be a partial last Fiscal Year ending on the date of such termination.

E. Hazardous Substance: shall mean, as of any date: (a) any petroleum or petroleum products, flammable explosives, radioactive materials, asbestos in any form that is or could become friable, urea formaldehyde foam insulation, and transformers or other equipment that contain dielectric fluid containing polychlorinated biphenyls (PCBs); (b) any chemicals or other materials or substances which as of such date are defined as or included in the definition of “hazardous substances,” “hazardous wastes,” “hazardous materials,” “extremely hazardous wastes,” “restricted hazardous wastes,” “toxic substances,” “toxic pollutants,” “contaminants,” “infectious wastes,” “pollutants” or words of similar import under any environmental law; and (c) any other chemical or other material or substance, DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
3 exposure to which or use of which as of such date is prohibited, limited or regulated under any environmental law.

F. Person: shall mean any individual, corporation, partnership, limited liability company, association, trust or other entity whatsoever.

2. EMPLOYMENT OF CONTRACTOR.

Stadium Manager hereby employs Contractor to perform the Services. Stadium Manager shall pay for all such Services which are consistent with the terms of this Agreement.

3. SERVICES TO BE PROVIDED.

A. The Recitals above and all of the exhibits and schedules referenced in this Agreement are attached and are incorporated herein by this reference.

B. Contractor promises and agrees to furnish to the Stadium Manager all labor, materials, tools, equipment, services, and incidental and customary work necessary to fully and adequately perform the Services as described in this Agreement including, without limitation, Exhibit A attached hereto.

C. Stadium Manager may, at its discretion, provide, or cause to be provided, during the Term designated office and storage space within the Stadium for use by Contractor. The location of such office and storage space shall be in the sole discretion of Stadium Manager, and Stadium Manager may direct that the office and storage space be moved to a new location within the Stadium from time to time as it deems necessary.

D. Except as expressly provided herein, Contractor shall be responsible for all costs and expenses incurred in performing the Services, including costs and expenses of maintaining, repairing and replacing any furniture, fixtures, equipment, or other tangible property and all applicable taxes, staffing (including all managerial and Event staff, if applicable), and training. As described in greater detail in Section 8.F hereof, Contractor agrees to fully abide by all sustainability and reuse programs established for or applicable to the Stadium, as each may be modified from time to time following the Effective Date.

E. Without limiting the generality of any other provision in this Agreement, Contractor’s provision of the Services shall be subject to the reasonable prior approval of Stadium Manager acting in conjunction with Contractor, including but not limited to staffing and the manner of Contractor’s performance. Contractor shall not offer exclusivity to any supplier without the prior written approval of Stadium Manager.

F. If at any time, Contractor fails or is otherwise prevented from providing all or any portion of the Services whether due to a suspension or termination of any licenses or permits or otherwise, then, in addition to any other right of Stadium Manager, Stadium Manager shall have the right, in its sole discretion, without the payment of any kind to Contractor, to provide through any available means the Services, or any portion thereof, until such time as Contractor has resumed its provision of the Services. In the event Stadium Manager exercises its rights pursuant to this Section, Contractor shall, and shall cause its employees to cooperate and assist Stadium Manager in providing the Services.

G. Notwithstanding the foregoing, and subject to any restrictions imposed by the Authority, including pursuant to the Stadium Lease and Stadium Management Agreement, the Stadium Manager and its designated agents reserve the right of access to all areas that Contractor is permitted to access, use and occupy hereunder for purposes of operating, inspecting, maintaining and repairing the Stadium (and all improvements therein or DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 --
Agreement No: 10172
4 thereon) and for the purpose of determining whether the terms, covenants and conditions contained in this Agreement are being fully and faithfully observed and performed by Contractor. Use of any space or property that Contractor is permitted to access, use and occupy hereunder for purposes other than the operations to be conducted under this Agreement, without prior written approval of Stadium Manager in its sole discretion, is prohibited. Contractor shall not interfere with any other contractor, licensee or employee of the Authority, Stadium Manager or any other person working at the Stadium.

4. COMMENCEMENT OF SERVICES.

Contractor shall begin providing the Services on the Effective Date. Contractor shall provide the Services as described in Exhibit A and shall complete all Services during the Term consistent with any milestones specified in this Agreement. The Parties may adjust any performance milestones, service schedules or commencement dates by mutual written agreement.

5. QUALIFICATIONS OF CONTRACTOR – STANDARD OF WORKMANSHIP.

A. Contractor represents and maintains that it has the necessary expertise in the professional calling to perform the Services, and its duties and obligations, expressed and implied, contained in this Agreement, and Stadium Manager expressly relies upon Contractor’s representations regarding its skills and knowledge. Contractor shall perform such Services and duties and obligations in conformance to and consistent with the professional standards of a specialist in the same discipline in the State of California.

B. Any plans, designs, specifications, estimates, calculations, reports, and other documents required to be furnished by Contractor under this Agreement shall be of a quality acceptable to Stadium Manager. To be accepted as provided under this Agreement, any such deliverable shall be a product of neat appearance and shall be well-organized, technically and grammatically correct, and checked, and shall identify the maker and checker. The minimum standard of appearance, organization, and content of the deliverable shall be that used by Stadium Manager for similar services.

6. TERM OF AGREEMENT.

The term of this Agreement (the “Term”) shall begin on the Effective Date and terminate on March 31, 2026 provided however, if this Agreement extends beyond a single fiscal year, the Term for subsequent fiscal years shall be conditioned upon approval of the Authority budget for the applicable fiscal year that includes the amounts due under this Agreement. All Services contained herein shall be completed prior to the end of the Term of this Agreement. Subject to the prior approval of the Stadium Authority, the Stadium Manager shall have the option, in its sole discretion, to extend the Term for two additional one (1) year periods by notifying Contractor in writing of Stadium Manager's desire to exercise said option prior to the expiration of the then-current Term.

7. WARRANTY.

Contractor expressly warrants that all Services covered by this Agreement shall be fit for the purpose intended, shall be free from defect, and shall conform to the specifications, requirements, and instructions upon which this Agreement is based. Contractor agrees to promptly replace or correct any incomplete, inaccurate, or defective Services at no further cost to Stadium Manager when defects are due to the negligence, errors, or omissions of Contractor. If Contractor fails to promptly correct or replace Services, Stadium Manager may make corrections or replace Services and charge Contractor for the cost incurred by Stadium Manager.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
5 8. PERFORMANCE OF SERVICES.

A. Contractor shall perform all Services in an efficient and expeditious manner and shall work closely with and be guided by Stadium Manager. Contractor shall be as fully responsible to Stadium Manager for the acts and omissions of its subcontractors, and of persons either directly or indirectly employed by them, as Contractor is for the acts and omissions of persons directly employed by it. Contractor will perform all Services in a safe manner and in accordance with all Applicable Laws and safety regulations, the policies and procedures issued by the Stadium Manager relating to the Services, the general operating procedures of the Authority, and any and all other applicable rules, regulations, policies and directives established or implemented by the Authority and/or Stadium Manager, the designees of either of them, or the NFL, from time to time, including scheduling rules, regulations and policies, related to the use or operation of the Stadium (collectively, “Stadium Policies”).

The term “Applicable Laws” as used in this Agreement shall mean any statute, law, treaty, rule, code, ordinance, regulation, permit, interpretation, certificate or order, whether now or hereafter existing, of any Governmental Authority, or any judgment, decision, decree, injunction, writ, order or like action of any court, arbitrator or other Governmental Authority, whether now or hereafter existing. The term “Governmental Authority” as used in this Agreement shall mean any federal, state, local or foreign governmental entity, authority or agency, court, tribunal, regulatory commission or other body, whether legislative, judicial or executive (or a combination or permutation thereof), and any arbitrator to whom a dispute has been presented under Applicable Laws or by agreement of the Parties with an interest in such dispute.

B. Contractor shall at all times maintain a sufficient number of qualified personnel at the Stadium and, if applicable, the Related Facilities (e.g., offsite parking areas) for the performance of all of Contractor’s obligations under this Agreement.

C. Contractor’s authorized personnel who are scheduled to work at events at the Stadium (“Events”) shall be provided with ingress to and egress from the Stadium through a gate or gates designated for such purpose by Stadium Manager, without charge, during all days on which Events are held and at all other times necessary to enable Contractor to prepare for Events and fulfill its responsibilities under this Agreement. Contractor shall be bound by and comply with all rules, policies and procedures relating to security and access rights, including requirements related to screening and identification of Contractor’s personnel, established from time to time by Stadium Manager. Nothing herein contained shall be held to limit or qualify the right of the Authority or Stadium Manager to a free and unobstructed use, occupation and control of the Stadium and ingress and egress for itself, its lessees and the public.

D. Contractor shall obtain on or before the Commencement Date and shall thereafter maintain throughout the Term, at its cost and in its name, all licenses and permits necessary for the performance of the Services and any and all other licenses and permits required to be obtained by Contractor by the terms of the Stadium Lease. Stadium Manager shall cooperate with Contractor in connection with applications submitted by Contractor for any and all licenses and permits and renewals thereof. Contractor shall not submit any application for a permit or license without first providing Stadium Manager a reasonable opportunity to review it. Contractor shall furnish Stadium Manager with copies of such licenses and permits and renewals thereof as are physically maintained at the Stadium, and all other licenses or permits otherwise required under Applicable Laws or this Agreement, and shall surrender all licenses and permits to Stadium Manager upon termination of this Agreement.

E. In the event that Contractor fails to obtain or maintain in full force and effect any material license or permit necessary for the performance of the Services, including upon a DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
6 suspension applicable to an Event or revocation thereof, (a) Stadium Manager shall have the right (but no obligation) to perform or have another Person perform the applicable obligation without compensation to Contractor and, whether or not Stadium Manager exercises that right or its termination rights, Contractor shall be responsible to Stadium Manager for the loss of income and all other damages, including consequential and special damages, suffered by Stadium Manager as the result of Contractor’s breach of this Agreement, including any loss of income; and (b) Contractor shall be considered in material breach of this Agreement, and Stadium Manager may, in addition to any other rights or remedies it may have, immediately terminate this Agreement.

F. Contractor shall comply in all respects with the Santa Clara Business and Commercial Recycling Program, as the same shall be amended from time to time, and shall, in partnership with Stadium Manager, prepare and implement a plan (the “Waste Reduction and Recycling Plan”) that targets 100% diversion of solid waste from all Events, including composting or other diversion of compostable organics. Contractor shall train its employees in the methods and objectives of the Waste Reduction and Recycling Plan and shall direct and cause its employees to not dispose of or discharge recyclables, compostables, waste, garbage, refuse or Hazardous Substances in any area in or outside the Stadium other than in areas specifically designated therefor. Contractor shall be responsible for expeditiously collecting, separating, recycling, bagging and delivering recyclables, compostables, trash and garbage generated within the Stadium Complex, and Contractor shall cause its employees to deposit such recyclables, compostables, trash and garbage in appropriate containers or equipment in the locations specified by Stadium Manager, whereupon Stadium Manager shall be responsible for the further delivery and ultimate disposal of such recyclables, compostables, trash and garbage. In addition, Contractor shall separate, compact and recycle the trash generated by Events on nonEvent days. Contractor shall take all action necessary to: (i) ensure that all such recyclables, compostables, trash and garbage are placed in bags and/or the appropriate receptacles or other containers (which receptacles and containers shall be provided by Contractor) that are durable for transport and not easily susceptible to breakage or leakage, (ii) notify Stadium Manager when the centralized Stadium recyclable, compostable and garbage receptacles are full and need to be emptied, (iii) prevent recyclables, compostables and trash from piling up around the outside of the receptacles and from using the Stadium receptacles in lieu of transferring the recyclables, compostables and trash to the required locations as described herein and (iv) ensure that recyclables, compostables and trash do not spill out prior to or during transport. Contractor agrees to and is fully committed to participating in the separation and recycling of refuse in the Stadium and to minimize the amount of non-recyclable and non-compostable refuse to be removed from the Stadium. All recyclable, compostable, trash and garbage receptacles within the areas controlled by Contractor shall be provided by Contractor and shall be cleaned and sanitized by Contractor in accordance with the standards reasonably set from time to time by the Authority and/or Stadium Manager, to ensure a consistently high standard of sanitation meeting or exceeding the standards set by the Santa Clara County Public Health Department and/or the City. Contractor will comply with all federal, state and local recycling and composting requirements and such recycling and composting programs implemented from time to time by the Authority and/or Stadium Manager and all rules and regulations applicable to the Stadium’s adherence to, and/or certification by, the Leadership in Energy and Environmental Design (LEED) Green Building Rating System. Contractor shall indemnify Stadium Manager and make Stadium Manager whole for any out of pocket costs incurred by Stadium Manager which are solely attributable to any negligence or intentional act or omission of Contractor or any of its employees with respect to the recycling or trash removal program, including the expense of returned or rejected recyclable, compostable and trash removals due to mixing or contaminating the trash flow in violation of Applicable Laws or specific directives provided to Contractor in writing as part of the Stadium’s sustainability and recycling, composting or trash removal programs. Stadium Manager will DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
7 determine the type, appearance and location of the recyclable, compostable and trash receptacles.

G. Contractor agrees not to use Hazardous Substances at the Stadium, except in accordance with Applicable Laws, and agrees to indemnify, defend, and hold the Indemnified Parties harmless for all Losses (as defined in Section 23.A below) arising out of its use, generation or storage of Hazardous Substances at the Stadium.

H. Contractors acknowledges and agrees that Services performed under this Agreement shall not create any right of lien for Contractor at the Stadium, which is a publicly owned building.

Contractor hereby waives and releases any right of lien against Stadium Manager, StadCo, the Authority, the City, and the Stadium for the Services or any other work performed by Contractor at the Stadium during the Term of this Agreement.

I. If required by Applicable Laws, Contractor shall file a payment bond for one hundred percent of the total amount payable hereunder with and approved by Stadium Manager.

9. MONITORING OF SERVICES.

Stadium Manager may monitor the Services performed under this Agreement to determine whether Contractor’s operations conform to Stadium operating policies and directives and to the terms of this Agreement. Stadium Manager may also monitor the Services to be performed to determine whether the Services are being conducted in accordance with applicable Stadium Policies, National Football League requirements, and Applicable Laws.

10. CORRECTION OF SERVICES.

Contractor agrees to correct any incomplete, inaccurate, or defective Services at no cost to Stadium Manager, when such defects are due to the negligence, errors, or omissions of Contractor. If any action of Contractor constitutes a breach, Stadium Manager may terminate this Agreement pursuant to the provisions described herein.

11. RESPONSIBILITY OF CONTRACTOR.

A. Contractor shall be responsible for the professional quality, technical accuracy, and coordination of the Services furnished by it under this Agreement. Neither Stadium Manager’s review, acceptance, nor payments for any of the Services required under this Agreement shall be construed to operate as a waiver of any rights under this Agreement or of any cause of action arising out of the performance of this Agreement and Contractor shall be and remain liable to Stadium Manager in accordance with Applicable Laws for all damages to Stadium Manager caused by Contractor failure to perform any of the Services furnished under this Agreement.

B. Any acceptance by Stadium Manager of plans, specifications, construction contract documents, reports, diagrams, maps, and other material prepared by Contractor shall not in any respect absolve Contractor from the responsibility Contractor has in accordance with customary standards of good professional practice in compliance with Applicable Laws.

C. Contractor shall comply and otherwise abide by, all emergency and security procedures and protocols of the Stadium Manager, the Authority, the City, the Team, the NFL and promoters of Events as the Stadium Manager or such other Persons shall adopt from time to time. Such procedures and protocols may include, without limitation, (i) employee patdown and screening, (ii) presentment by Contractor’s employees of identification cards or badges issued by Stadium Manager, which may include reporting criteria such as bar codes, “Mag Stripes”, “RFID” or other identifier systems; (iii) restricting access to certain DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 ---
Agreement No: 10172
8 parts of the Stadium to specified employees of Contractor as reasonably approved by the Stadium Manager (with respect to security clearance standards); and/or (iv) conduct by Contractor, at its sole expense, of Team-specified minimum background and such other security screening checks on all of Contractor's employees as the Stadium Manager shall request from time to time, which checks may vary as to job function.

D. Personnel.
i. Contractor shall hire, employ, train, supervise and discipline any and all persons necessary to provide the Services in accordance with the terms of this Agreement and shall use its best efforts to ensure that its employees continually practice the high standards of safety, courtesy and service customarily followed in the conduct of a first-class operation. Contractor shall use its best efforts to select qualified, competent and trustworthy employees. Any and all persons who furnish services under this Agreement, whether or not employed by Contractor prior to the Effective Date, are exclusively employees, subcontractors and/or non-affiliated third parties employed by Contractor and are not employees of the Authority, the City, StadCo or Stadium Manager. Such persons furnishing services under this Agreement shall be subject to appearance standards mutually acceptable to the parties hereto and as permitted by Applicable Laws, and shall wear, at all times while working at the Stadium, neat and clean uniforms provided by Contractor and approved by Stadium Manager. Such uniforms shall bear such lettering and insignia (including the name and logo of the Stadium, the Stadium naming rights sponsor, if required, and the location of the employee's assignment (e.g., a Club or Suite area)) as Stadium Manager may require and shall be of a design reasonably satisfactory to Stadium Manager. Contractor shall cause its employees to conduct themselves in a professional and courteous manner, and not to unreasonably disturb or interfere with Events. Contractor shall at all times maintain accurate records of the names, addresses, employment history and other legal identification of those to whom Contractor issues employee badges, uniforms or other identifying items to ensure the proper identification and legal working status of Contractor's employees at the Stadium. Contractor shall conduct such background and other security screening checks on its employees as Stadium Manager shall reasonably request from time to time and shall not knowingly hire any person who has been previously terminated by the Authority, StadCo, Stadium Manager or any of their respective Affiliates or contractors. Upon Stadium Manager's request, and so long as any such action shall not be contrary to law, Contractor shall immediately remove from the Stadium any employee, agent, contractor or invitee of Contractor and permanently revoke such person's access credentials.
ii. Intentionally Left Blank.
iii. Contractor shall conduct regularly scheduled employee training programs appropriate to the Services provided, including any programs specifically requested by Stadium Manager, for all of its employees working in the Stadium (the “Employee Training Programs”). The Employee Training Programs will be mandatory for all employees, agents and any subcontractors of Contractor and, at a minimum, will include customer service, guest interaction, security procedures and specific job skills training, and will be conducted in such frequency as may be approved or directed by Stadium Manager. Contractor shall cause all Employee Training Programs to be periodically reviewed (no less frequently than annually) and updated to the extent necessary to maintain the standard of service requested by Stadium Manager. All employees of Contractor shall also be required to attend such policy and procedures training sessions as may be held by the Stadium Manager, as well as the Stadium orientation tour and training conducted by the Stadium Manager. Contractor shall not permit any employee, agent or DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
9 subcontractor to work at an Event prior to his or her completion of the prescribed training sessions and Employee Training Programs.
iv. Contractor shall promptly notify Stadium Manager upon voluntary or involuntary termination of employment of its employees or contractors and ensure that each such terminated individual is denied further access to the Stadium. In no event shall the Authority, the City, StadCo or Stadium Manager be liable, and Contractor shall indemnify, protect, and hold the Authority, the City, StadCo and Stadium Manager harmless, for Contractor's record keeping (or lack of record keeping), including the legal identification and working status of Contractor's employees and subcontractors, or for any other matters relating to Contractor's employees or subcontractors.

12. COMPENSATION AND PAYMENT.

A. In consideration for Contractor’s performance of the Services in accordance with the requirements of this Agreement, Stadium Manager shall pay Contractor for all materials provided and services rendered by Contractor in the amount(s) set forth in Exhibit B, entitled “Contractor Compensation and Fees.”
B. Contractor will invoice Stadium Manager for fees as set forth in Exhibit B, subject to verification by Stadium Manager. Except as otherwise expressly provided in Exhibit B, Stadium Manager will pay Contractor within thirty (30) days of Stadium Manager’s receipt of a valid invoice.

13. TERMINATION OF AGREEMENT.

A. In addition to any other rights or remedies Stadium Manager may have, Stadium Manager may terminate this Agreement by written notice to Contractor if: (i) Contractor fails to correct to the reasonable satisfaction of Stadium Manager any condition created or controlled by Contractor that, in Stadium Manager’s reasonable judgment, poses a hazardous condition to occupants of the Stadium Complex, any of the Related Facilities (e.g., offsite parking areas), or any portion thereof, within twenty-four (24) hours after receipt of written notice from Stadium Manager; (ii) Contractor fails to perform any material obligation under this Agreement and such failure continues unremedied for a period of ten (10) days after receipt of written notice from Manager of the particular failure to perform (or thirty (30) days in the case that a remedy has commenced but cannot reasonably be accomplished in ten days); (iii) Contractor is placed into bankruptcy either voluntarily or involuntarily (and such involuntary proceeding is not dismissed within sixty (60) days), becomes financially insolvent, takes the benefit of any present or future insolvency statute, makes a general assignment for the benefit of creditors, or consents to the appointment of a receiver, trustee, or liquidator of all or substantially all of its property; (iv) Contractor transfers or permits a transfer of this Agreement in violation of Section 14; (v) Contractor fails to obtain and/or maintain required licenses and permits under Section 8.D; or (vi) Contractor fails to work cooperatively and in good faith with the Authority, Stadium Manager, any of their respective Affiliates or any of subcontractors of any of the foregoing.

Contractor and Stadium Manager acknowledge and agree that termination of this Agreement by Stadium Manager pursuant to this Section shall be “for cause.” B. Upon the termination or expiration of this Agreement, (1) Contractor shall immediately surrender possession of the Related Facilities, if any (including any and all leasehold and other improvements therein), uniforms, equipment (and related manuals and software) to Stadium Manager, (2) Contractor shall immediately assign to Stadium Manager or its designee(s) all right, title and interest of Contractor in and to all items purchased by Contractor in connection with the Services (including uniforms and equipment), DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
10 (3) Contractor shall make all payments required to be made by Contractor under this Agreement, (4) to the extent permitted by Applicable Laws, Contractor shall immediately surrender possession of and assign to Stadium Manager all permits and licenses acquired by Contractor in compliance with this Agreement and any Applicable Laws, and (5) all matters, rights and liabilities existing on the date of termination between the parties hereto shall be determined as of such termination date (except as described above), and discharged as promptly as possible thereafter, including any known claims for damages either party may have against the other for breach of the terms and conditions hereof. Any such surrender shall require delivery of possession in good condition, reasonable and ordinary wear and tear excepted and otherwise in compliance with the terms of this Agreement. Notwithstanding any termination or expiration of this Agreement, all liabilities and obligations of the parties will survive until they are fully satisfied.

C. If the Stadium is destroyed or otherwise rendered unusable for more than thirty (30) days for any reason (a “Casualty Event”), Stadium Manager shall give Contractor a notice within ninety (90) days after the Casualty Event stating that whether the Authority intends to rebuild or restore the Stadium. If the notice states that the Authority will not rebuild or restore the Stadium, this Agreement shall be terminated. If the notice states that the Authority intends to rebuild or restore the Stadium, the Parties’ obligations hereunder shall be abated during that period. If such notice states that the Authority reasonably believes that it will take longer than two (2) years to restore or rebuild the Stadium or, if a shorter amount of time, such amount of time is longer than the remainder of the Term, either party shall have the option of terminating this Agreement by written notice to the other at any time within one hundred and eighty (180) days after Stadium Manager gives such notice, and such termination shall be effective one hundred twenty (120) days after the other party’s receipt of such notice. Contractor shall not be entitled to any monetary or other damages or compensation from Stadium Manager in the event of a Casualty Event.

D. The Parties acknowledge and agree that in the event that any permit required to be obtained by Stadium Manager for the full performance of the Services is not obtained by within a reasonable amount of time following the Effective Date, Stadium Manager shall have the right in its sole discretion to terminate this Agreement upon written notice to Contractor. Upon such termination, the Parties shall mutually agree upon any remaining payment by or refund to Stadium Manager in good faith. In no event shall Stadium Manager be responsible for any labor or other costs for services not yet performed by Contractor at the time of the notice of termination

14. NO ASSIGNMENT OR SUBCONTRACTING OF AGREEMENT.

A. Stadium Manager and Contractor bind themselves and their successors and assigns to all covenants of this Agreement. This Agreement shall not be assigned or transferred by Contractor without the prior written approval of Stadium Manager. Contractor shall not hire subcontractors without express written permission from Stadium Manager.

B. Stadium Manager may sell, assign, pledge and otherwise transfer or encumber (each, a “transfer”) this Agreement and any or all of its rights and obligations hereunder to any other Person, including any source of or guarantor or insurer of financing or any trustee, collateral agent or other Person appointed in connection with such financing (each, a “Manager Assignee”), whether by security agreement, collateral assignment, transfer or otherwise; provided, that such transfer shall not relieve Stadium Manager of its obligations under this Agreement unless such Manager Assignee assumes in writing Stadium Manager’s obligations under this Agreement. Upon reasonable prior notice from Stadium Manager, Contractor shall make any payments due hereunder to such Manager Assignee and shall execute and deliver any documents that Stadium Manager or any Manager Assignee may reasonably request to acknowledge and confirm that upon any such DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
11 transfer, this Agreement will remain in full force and effect, will continue to be a legal, valid and binding obligation of Contractor enforceable in accordance with its terms (subject to applicable bankruptcy or insolvency laws and general principles of equity), and that (to the extent accurate and correct) neither Contractor, nor to Contractor’s knowledge, Stadium Manager is in material breach or violation of this Agreement.

C. Contractor acknowledges and agrees that, in the event the Stadium Management Agreement is terminated for any reason, the Authority and StadCo shall, in accordance with the Stadium Lease, employ a replacement manager for the Stadium, who shall, following the effective date of such employment, constitute the “Stadium Manager” for all purposes under this Agreement, provided, however, that for any period of time before a replacement manager is appointed, this Agreement may be assigned to the Authority or StadCo as deemed appropriate in the Stadium Manager’s sole discretion.

15. NO THIRD-PARTY BENEFICIARY.

This Agreement shall not be construed to be an agreement for the benefit of any third party or parties, except for the Authority, StadCo, and Team, and no other third party or parties shall have any claim or right of action under this Agreement for any cause whatsoever.

16. INDEPENDENT CONTRACTOR.

Contractor and all person(s) employed by or contracted with Contractor to furnish labor and/or materials under this Agreement are independent contractors and do not act as agent(s) or employee(s) of Stadium Manager, the Authority or StadCo. Contractor has full rights, however, to manage its employees in their performance of Services under this Agreement. All liabilities that may arise as a result of Contractor's status as an employer shall be borne exclusively by Contractor, including liability relating to payments required to be made under, and documents to be filed with respect to, the Federal Insurance Contribution Act and the Federal Unemployment Tax Act or any similar federal, state, city or local legislation or other Applicable Laws. Contractor is not authorized to bind Stadium Manager, the Authority or StadCo to any contracts or other obligations.

17. NO PLEDGING OF STADIUM MANAGER’S CREDIT.

Under no circumstances shall Contractor have the authority or power to pledge the credit of the Stadium Manager or any other of the Indemnified Parties or incur any obligation in the name of such Persons. Contractor shall save and hold harmless the Authority, StadCo, Stadium Manager, their respective Affiliates, and their respective officers, employees, boards and commissions for expenses arising out of any unauthorized pledges of credit by Contractor under this Agreement.

18. CONFIDENTIALITY OF MATERIAL.

All ideas, memoranda, specifications, plans, manufacturing procedures, data, drawings, descriptions, documents, discussions, or other information developed or received by or for Contractor and all other written information submitted to Contractor in connection with the performance of this Agreement shall be held confidential by Contractor and shall not, without the prior written consent of Stadium Manager, be used for any purposes other than the performance of the Services nor be disclosed to an entity not connected with performance of the Services. Nothing furnished to Contractor which is otherwise known to Contractor shall be deemed confidential.

Notwithstanding the above, the Contractor acknowledges that the Authority is a California public entity that is subject to the California Public Records Act. Information disclosed to Stadium Manager on behalf of the Authority regarding the Contractor's Services in connection with the performance of this Agreement may be subject to public disclosure in accordance with the Public Records Act, including this Agreement and its terms.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
12 19. NO USE OF STADIUM MANAGER NAME OR EMBLEM.

Contractor shall have no right to use the trademarks, symbols, trade names or other intellectual property of the Authority, Stadium Manager, Levi’s Stadium®, the San Francisco 49ers, or their respective Affiliates, or Stadium tenants or their Affiliates or other Event performers directly or indirectly, in connection with any production, promotion, service or publication, without the written approval of Stadium Manager.

20. OWNERSHIP OF MATERIAL.

All material, including information developed on computer(s), which shall include, but not be limited to, data, sketches, tracings, drawings, plans, diagrams, quantities, estimates, specifications, proposals, tests, maps, calculations, photographs, reports, and other material developed, collected, prepared, or caused to be prepared under this Agreement shall be the property of Stadium Manager, but Contractor may retain and use copies thereof. Stadium Manager shall not be limited in any way or at any time in its use of said material. However, Contractor shall not be responsible for damages resulting from the use of said material for work other than the Services, including, but not limited to, the release of this material to third parties.

21. RIGHT OF STADIUM MANAGER TO INSPECT RECORDS OF CONTRACTOR.

Stadium Manager, through its authorized employees, representatives, or agents shall have the right during the term of this Agreement and for three (3) years from the date of final payment for Services, to audit the books and records of Contractor for the purpose of verifying any and all charges made by Contractor in connection with Contractor compensation under this Agreement, including termination of Contractor. Contractor agrees to maintain sufficient books and records in accordance with generally accepted accounting principles to establish the correctness of all charges submitted to Stadium Manager. Any expenses not so recorded shall be disallowed by Stadium Manager.

Contractor shall submit to Stadium Manager any and all reports concerning its performance under this Agreement that may be requested by Stadium Manager in writing. Contractor agrees to assist Stadium Manager in meeting Stadium Manager’s reporting requirements with respect to Contractor’s Services hereunder.

22. FAIR EMPLOYMENT.

Contractor shall not discriminate against any employee or applicant for employment because of race, color, creed, national origin, gender, sexual orientation, age, disability, religion, ethnic background, or marital status, in violation of Applicable Law.

23. HOLD HARMLESS/INDEMNIFICATION.

A. Contractor shall indemnify, defend and hold harmless the Authority, Stadium Manager and the Additional Indemnitees, and their respective officers, directors, managers, members, partners, owners and employees (collectively, “Indemnified Parties”) from and against all losses, costs, suits, actions, claims, damages, amounts paid in settlement, liabilities, costs and expenses, including reasonable attorneys’ fees (collectively, “Losses”), resulting to, imposed upon, asserted against or incurred by any of them (including in any action between the parties) in connection with or arising out of (i) any breach by Contractor under this Agreement, (ii) any activity, inactivity, work or thing done or permitted by Contractor or its employees, agents or contractors in or upon the Stadium or Related Areas, including the performance of the Services, or (iii) any injury or damage to any Person or to the property of any Person caused by any action or omission of Contractor or its employees, agents or contractors.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
13 B. If any claim, demand, action or proceeding is made or commenced by any third party (a “Third Party Claims”) against any Indemnified Party, the Indemnified Party shall give Contractor prompt notice thereof; the failure to give such notice shall not affect the liability of Contractor under this Agreement except to the extent the failure materially and adversely affects the ability of Contractor to defend the Third Party Claim. Contractor shall have the right to assume the defense and resolution of the Third Party Claim, provided that (i) the Indemnified Party shall have the right to participate in the defense of the Third Party Claim at its own expense through counsel of its choice (control of the defense will remain with Contractor), (ii) Contractor shall not consent to the entry of any judgment or enter into any settlement that would require any act or forbearance on the part of the Indemnified Party or which does not unconditionally release the Indemnified Party from all liability in respect of the Third Party Claim or would otherwise bring dishonor or disrepute upon Authority, Stadium Manager, any of their respective Affiliates, without the prior written consent of the Indemnified Party, and (iii) the Indemnified Party may undertake the defense of the Third Party Claim, at Contractor’s expense, if Contractor fails to (A) assume the defense within ten (10) business days after notice from the Indemnified Party or (B) diligently prosecute the defense.

24. INSURANCE REQUIREMENTS.

During the term of this Agreement, and for any longer time period set forth in Exhibit C entitled “Insurance Requirements” and attached hereto and incorporated herein by this reference, Contractor shall purchase and maintain in full force and effect, at no cost to Stadium Manager insurance policies with respect to employees and vehicles assigned to the performance of Services under this Agreement with coverage amounts, required endorsements, certificates of insurance, and coverage verifications as required in Exhibit C.

25. AMENDMENTS.

This Agreement may be amended only with the written consent of both Parties.

26. INTEGRATED DOCUMENT.

This Agreement represents the entire agreement between Stadium Manager and Contractor. No other understanding, agreements, conversations, or otherwise, with any representative of Stadium Manager prior to execution of this Agreement shall affect or modify any of the terms or obligations of this Agreement. Any verbal agreement shall be considered unofficial information and is not binding upon Stadium Manager.

27. SEVERABILITY CLAUSE.

In case any one or more of the provisions in this Agreement shall, for any reason, be held invalid, illegal, or unenforceable in any respect, it shall not affect the validity of the other provisions, which shall remain in full force and effect.

28. WAIVER
Contractor agrees that waiver by Stadium Manager of any one or more of the conditions of performance under this Agreement shall not be construed as waiver(s) of any other condition of performance under this Agreement.

29. NOTICES.

All notices to the Parties shall, unless otherwise requested in writing, be sent to Stadium Manager addressed as follows:

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
14 Attention: Francine Hughes, Executive Vice President and General Manager Address: Forty Niners Stadium Management Company LLC
4900 Marie DeBartolo Way
Santa Clara, CA 95054
With a copy to: Legal Affairs
Forty Niners Stadium Management Company LLC
4949 Marie P. DeBartolo Way
Santa Clara, CA 95054
And to Contractor as follows:

Attention: Legal Department
Address: Integrated Communication Systems
6680 Via Del Oro
San Jose, CA 95119
If notice is sent via email, a signed, hard copy of the material shall also be mailed. The workday the email was sent shall control the date notice was deemed given if there is a computer-generated confirmation of receipt returned to the sender on the date of transmission. An email transmitted after 1:00 p.m. on a Friday shall be deemed to have been transmitted on the following Monday.

30. CAPTIONS.

The captions of the various sections, paragraphs, and subparagraphs of this Agreement are for convenience only and shall not be considered or referred to in resolving questions of interpretation.

31. LAW GOVERNING CONTRACT AND VENUE.

This Agreement shall be governed and construed in accordance with the statutes and laws of the State of California. The venue of any suit filed by either Party shall be vested in the state courts of the County of Santa Clara, or if appropriate, in the United States District Court, Northern District of California, San Jose, California.

32. DISPUTE RESOLUTION.

A. Unless otherwise mutually agreed to by the Parties, any controversies between Contractor and Stadium Manager regarding the construction or application of this Agreement, and claims arising out of this Agreement or its breach, shall be submitted to mediation within thirty (30) days of the written request of one Party after the service of that request on the other Party.

B. The Parties may agree on one mediator. If they cannot agree on one mediator, the Party demanding mediation shall request the Superior Court of Santa Clara County to appoint a mediator. The mediation meeting shall not exceed one day (eight (8) hours) provided the Parties may mutually agree to extend the time allowed for mediation under this Agreement.

C. The costs of mediation shall be borne by the Parties equally.

D. For any contract dispute, mediation under this section is a condition precedent to filing an action in any court. In the event of mediation which arises out of any dispute related to this Agreement, the Parties shall each pay their respective attorney’s fees, expert witness costs, and cost of suit through mediation only. In the event of litigation, the prevailing Party shall recover its reasonable costs of suit, expert’s fees, and attorney’s fees. If mediation DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
15 does not resolve the dispute, the Parties agree that the matter shall be litigated in a court of law, and not subject to the arbitration provisions of the Public Contract Code.

33. COMPLIANCE WITH ETHICAL STANDARDS.

By executing this Agreement, Contractor promises and agrees that it and all of its members, officers, employees, agents, subcontractors and authorized representatives will comply with the “Ethical Standards for Contractors Seeking to Enter into an Agreement with Stadium Manager” attached hereto as Exhibit D and incorporated herein by this reference.

34. CONFLICT OF INTERESTS.

This Agreement does not prevent either Party from entering into similar agreements with other parties. To prevent a conflict of interest, Contractor certifies that to the best of its knowledge, no Stadium Manager, StadCo, Team, Authority, or City officer, employee, or authorized representative has any financial interest in the business of Contractor and that no person associated with Contractor has any interest, direct or indirect, which could conflict with the faithful performance of this Agreement. Contractor is familiar with the provisions of California Government Code Section 87100 and following, and certifies that it does not know of any facts which would violate these code provisions. Contractor will advise Stadium Manager if a conflict arises.

35. LABOR COMPLIANCE REQUIREMENTS.

A. Contractor is aware of the requirements of California Labor Code Section 1720 et seq., and 1770 et seq., as well as California Code of Regulations, Title 8, Section 16000 et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. Since the Services are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws.

Stadium Manager shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement upon request. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request and shall post copies at Contractor’s principal place of business and at the project site.

Contractor shall defend, indemnify and hold the Indemnified Parties free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. Contractor and any subcontractor shall forfeit a penalty of up to $200 per calendar day or portion thereof for each worker paid less than the prevailing wage rates.

B. When Contractor employs workmen in an apprenticeable craft or trade, Contractor shall comply with the provisions of Section 1777.5 of the California Labor Code with respect to the employment of properly registered apprentices upon public works. The primary responsibility for compliance with said Section for all apprenticeable occupations shall be with Contractor. The Contractor or any subcontractor that is determined by the Labor Commissioner to have knowingly violated Section 1777.5 shall forfeit as a civil penalty an amount not exceeding $100 for each full calendar day of noncompliance, or such greater amount as provided by law.

C. Contractor is advised that eight (8) hours labor constitutes a legal day’s work. Pursuant to Section 1813 of the California Labor Code, Contractor shall forfeit a penalty of $25.00 per worker for each day that each worker is permitted to work more than eight (8) hours in any one calendar day and forty (40) hours in any one calendar week, except when payment for DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
16 overtime is made at not less than one and one half (1 1/2) times the basic rate for that worker.

D. Contractor and each subcontractor shall keep an accurate payroll record, showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by him or her in connection with the public work. The payroll records shall be certified and shall be available for inspection at all reasonable hours at the principal office of Contractor in the manner provided in Labor Code Section 1776. In the event of noncompliance with the requirements of this Section, Contractor shall have 10 days in which to comply subsequent to receipt of written notice specifying in what respects such Contractor must comply with this Section. Should noncompliance still be evident after such 10-day period, Contractor shall, as a penalty to Stadium Manager, forfeit not more than $100.00 for each calendar day or portion thereof, for each worker, until strict compliance is effectuated. The amount of the forfeiture is to be determined by the Labor Commissioner. A contractor who is found to have violated the provisions of law regarding wages on public works with the intent to defraud shall be ineligible to bid on public works contracts for a period of one to three years as determined by the Labor Commissioner. Upon the request of the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement, such penalties shall be withheld from progress payments then due. The responsibility for compliance with this Section is on Contractor. The requirement to submit certified payroll records directly to the Labor Commissioner under Labor Code Section 1771.4 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Section 1771.4.

E. Pursuant to Labor Code Sections 1725.5 and 1771.1, all contractors and subcontractors that wish to bid on, be listed in a bid proposal, or enter into a contract to perform public work must be registered with the Department of Industrial Relations. No bid will be accepted, nor any contract entered into without proof of the contractor’s and subcontractors’ current registration with the Department of Industrial Relations to perform public work. Contractor is directed to review, fill out and execute the “Public Works Contractor Registration Certification” attached hereto as Exhibit E and incorporated herein by this reference prior to Agreement execution. Notwithstanding the foregoing, the contractor registration requirements mandated by Labor Code Sections 1725.5 and 1771.1 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Sections 1725.5 and 1771.1.

F. This Agreement is subject to compliance monitoring and enforcement by the Department of Industrial Relations. It shall be the Contractor’s sole responsibility to evaluate and pay the cost of complying with all labor compliance requirements under this Agreement and applicable law. Any stop orders issued by the Department of Industrial Relations against Contractor or any subcontractor that affect Contractor’s performance of Services, including any delay, shall be Contractor’s sole responsibility. Any delay arising out of or resulting from such stop orders shall be considered Contractor caused delay subject to any applicable liquidated damages and shall not be compensable by the Stadium Manager.

Contractor shall defend, indemnify and hold the Indemnified Parties free and harmless from any claim or liability arising out of stop orders issued by the Department of Industrial Relations against Contractor or any subcontractor.

G. It shall be Contractor’s sole responsibility to comply with, and maintain adequate records of its adherence to, all applicable state prevailing wage requirement. Contractor is DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
17 responsible for maintaining and providing the following documentation to Stadium Manager for review and approval within the timeframes specified below. i. Division of Apprenticeship Standards (DAS) 140 Form (applicable if the compensation paid or to be paid to Contractor is $30,000 or more). Contractor, on behalf of itself and its subcontractors, must provide a copy of DAS 140 forms filed with the appropriate apprenticeship committee(s) the earlier of Contractor’s first application for payment for Services performed under this Agreement or ten (10) days of Agreement execution.
ii. DAS 142 Form (applicable if the compensation paid or to be paid to Contractor is $30,000 or more). Contractor, on behalf of itself and its subcontractors, must provide a copy of DAS 142 forms filed with the appropriate apprenticeship committee(s) or evidence of an approved exemption with its first application for payment for Services involving an apprenticeable craft or trade classification – additional DAS 142 forms or evidence of approved exemptions must be provided following this initial submission with future applications for payment in the event those applications are for Services involving an apprenticeable craft or trade classification not covered under the first application for payment. iii. California Apprenticeship Council (CAC) Form CAC-2; Training Fee Contributions (applicable if the compensation paid or to be paid to Contractor is $30,000 or more). Contractor, on behalf of itself and its subcontractors, must submit evidence of mandatory training contributions required under Labor Code Section 1777.5, as it may be amended from time to time, via submission of completed Form CAC-2 and/or confirmation of payment to a valid union trust fund with each application for payment submitted to Stadium Manager.
iv. Certified Payroll Records; Statement of Compliance. Contractor, on behalf of itself and its subcontractors, must submit complete payroll records on forms substantially similar to the Department of Industrial Relations Form A-1-131 with each application for payment submitted to Stadium Manager. Each set of certified payroll records submitted to Stadium Manager with any application for payment must be accompanied by a signed Statement of Compliance certifying the information on the certified payroll records is true and correct. For the period covered by any application for payment in which Contractor and its subcontractors did not perform Services, Contractor must additionally submit a signed Statement of Non-Performance certifying no work was performed. Contractors are advised the submission of electronic certified payroll records to the Department of Industrial Relations via the eCPR system is not an acceptable substitute to maintaining and providing full certified payroll records as required by this provision and applicable law.
v. Fringe Benefit Statement. Contractor, on behalf of itself and its subcontractors, must submit complete Fringe Benefit Statement(s) for the crafts and trade classifications utilized to perform the Services covered by any application for payment. All Fringe Benefit Statements must be submitted with the application for payment to which each applies.
vi. Demand for Compliance Records. At any time during or subsequent to the full performance of the Services under this Agreement and in addition to the obligations set forth above, Stadium Manager and/or the Authority may require Contractor to produce and or correct and re-submit any prevailing wage DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
18 compliance records, which must be reviewed and approved by Stadium Manager and/or the Authority, prior to full release of payment. vii. Withholding for Non-Compliance. In the event Contractor or any subcontractor is found not to be in compliance with the foregoing requirements for any application for payment whether for progress payments or final payment, Stadium Manager has the right to withhold up to ten percent (10%) of the amount owed to Contractor under the affected application for payment until full compliance is achieved.

Contractor acknowledges and agrees the foregoing amount is a reasonable estimate of the value of the documentation specified above. [Signatures continued on next page]
DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
19 IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their duly appointed representatives as of the Effective Date.

STADIUM MANAGER:

FORTY NINERS STADIUM MANAGEMENT COMPANY LLC
By:_________________________________
Name: Peter Wilhelm
Title: Chief Financial Officer

CONTRACTOR:

INTEGRATED COMMUNICATION SYSTEMS
By:_________________________________
Name: Aaron Colton
Title: President
DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 GOocuSigned by:
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9DD87D1CEC5C46E ...

Agreement No: 10172
20 EXHIBIT A

SCOPE OF SERVICES
Contractor shall provide the following services at the Stadium during the Term, as directed by Stadium Manager:

A. Overview
a. Contractor will provide Stadium Manager fire alarm testing, inspections, and maintenance services as specified in this Exhibit A and at the rates contained in Exhibit B, both of which are attached and incorporated into the Agreement, at Levi’s Stadium for a multiyear period beginning June 1, 2023 through March 31, 2026, as requested by Stadium Manager; provided however, if the services extend beyond a single fiscal year, the term for subsequent fiscal years shall be conditioned upon approval of the Santa Clara Stadium Authority budget for the applicable fiscal year that includes the amounts due under this Agreement. b. Testing, maintenance and inspection work will occur throughout the year at Levi’s Stadium located at 4900 Marie P. DeBartolo Way in Santa Clara, CA 95054. Testing, inspection and maintenance services are required on a recurring schedule. The Parties shall mutually agree upon the time and date for Contractor or a subcontractor of Contractor to perform and complete the Services at the Stadium during the Term.

B. General Requirements
a. Contractor must possess the appropriate certification(s), and experience with the EST3 fire alarm systems to perform the Services. Contractor’s responsibilities will include performing fire alarm testing, inspection, and maintenance in accordance with both NFPA-72, California Fire Code, as they may be amended from time to time, and other applicable guidelines. Contractor’s will coordinate in advance with Stadium Manager all testing, inspection, and maintenance that Contractor performs under this Agreement.
b. Contractor will adhere to the prevailing wage and reporting requirements referenced in the Agreement and Exhibit G (“Prevailing Wage”), which is attached and incorporated into this Agreement.
c. Contractor shall perform the work described herein and shall furnish all labor, equipment, tools, special skills and materials required to perform the Services. d. Contractor shall provide Stadium Manager and maintain a current list of emergency numbers for 24-hour emergency response. Contractor shall initiate remedial action with one (1) hour of notification. Stadium Manager will determine what circumstances constitute an emergency in its sole discretion.
e. Contractor shall provide the following categories of work:
i. Regular semi-annual and annual testing, inspection, and maintenance ii. Corrective maintenance items found on regular testing and inspections iii. Emergency services
iv. On-site response
v. Parts cost for modules, batteries, devices, switches, detectors, relays vi. Provide parts for corrective maintenance – provide a percentage off manufacturers’ list price
vii. Repair and Programming of alarm logic
C. Minimum Qualifications
a. Contractor must possess, and continue to possess throughout the Term, the following minimum qualifications to be perform the Services under this Agreement:
i. Current C-10 Electrical Contractor License;
DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
21 ii. EST3 Fire Alarm certification;
iii. Knowledge regarding all other current alarm systems defined below; iv. State of California Fire/Life/Safety technician certification; v. State of California electrician certification;
vi. Knowledge regarding NFPA-72 and California Fire Code; vii. Successfully have provided similar Fire Alarm Testing, Maintenance and Inspection services for a minimum of five (5) years for public assembly venues with a capacity of at least 20,000 patrons utilizing EST3 fire alarm systems. viii. Contractor’s personnel providing onsite service must have a minimum of three (3) years’ experience in providing similar Fire Alarm Testing, Maintenance and Inspection services to public assembly venues referenced in item 7 above.

D. System Description
a. Contractor must be, and remain throughout the Term, knowledgeable regarding, and familiar with, EST3 fire alarm systems, including: modular hardware and software components, network components and rail modules (LRMs).

E. Preventive Maintenance
a. Contractor will be responsible for performing the work detailed in the Preventive Maintenance section of the EST3 Installation and Service Manual. The Preventive Maintenance section of the EST3 Installation and Service Manual provides a scope for preventative maintenance governed by NFPA-72; however, Levi’s Stadium was designed and permitted under the 2010 California Building Code (CBC) as amended by local amendments adopted by the City of Santa Clara. Contractor may propose additional testing and maintenance work to Stadium Manager based on contractor’s experience with similar systems, but such work will be subject to prior authorization by Stadium Manager. Contractor is responsible for being thoroughly familiar with the EST3 preventative maintenance requirements, as well as any other requirements from the NFPA, and the California Fire Code, as they may be amended from time to time. b. Unless Stadium Manager has existing stock or replacement parts, Contractor will provide necessary replacement of deficient or inoperable devices, including for those deficient or inoperable devices found during the course of system testing, inspection or preventative maintenance, or those devices that have failed during operation in connection with its maintenance responsibilities. Contractor must only use original replacement components manufactured by the original equipment manufacturer or other compatible components to preserve U.L. Listings and meet NFPA requirements.

F. Emergency Services & Onsite Response
a. Contractor will make emergency service response between scheduled tests available 24 hours a day/seven (7) days a week to minimize system down time. Stadium Manager will determine what circumstances constitute an emergency in its sole discretion. Contractor will provide support via a telephone response within (thirty) 30 minutes of being notified of an emergency, and Contractor’s service technicians shall be onsite within four (4) hours. Contractor will handle non-emergency calls, as determined by Stadium Manger, the next business day.

G. Levi’s Stadium Alarm Detail
a. Contractor will provide the Services, including fire alarm testing, inspection and maintenance work, for the fire alarm system devices referenced below:

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
22 FIRE ALARM SYSTEM DEVICES QUANTITY
Alarm 4
Auxiliary 442
Control 207
Indicating 1889
Initiating 841
Monitor 157
Supervisory 164
Kitchen Ansul Systems 55
TOTAL DEVICES 3,759
H. Service Delivery
Annual Testing: Testing of all devices on the fire alarm system (required once per year) shall be performed during normal business hours Monday through Friday, 7:30 a.m. to 4:30 p.m.

Semi-Annual Testing: Water Flow, Valve Tamper Devices and Batteries (required every six months) shall be performed during normal business hours.

1. Inspection times shall be between the hours of 7:30 a.m. to 4:30 p.m.

2. Test all common area notification appliance devices (Horns, Horn/Strobes, Strobes)

3. Test common area supervisory alarms, water flow switches, temper switches, back flow preventer switches, and PIV switches

4. Test common area pull stations, heat detectors, smoke detectors, duct detectors

5. Loading test batteries on remote power supplies and fire alarm control panel

6. Prepare and submit reports
All deficiencies must be corrected within 90 days of the initial inspection.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
23 EXHIBIT B

CONTRACTOR COMPENSATION AND FEES
The Parties mutually agree that as consideration for the Services contained in this Agreement, Stadium Manager shall compensate Contractor upon the completion (and verification of the completion by Stadium Manager) of the Services contained in Exhibit A in accordance with the compensation terms specified below.

Item Description
6/1/2023 - 3/31/2024
Year One
Pricing
4/1/2024 - 3/31/2025
Year Two
Pricing
4/1/2025 to 3/31/2026
Year Three
Pricing
1 Fire Alarm Annual
Inspection, Testing,
Inspection and
Maintenance Services
(lump sum)
$85,100.00 $87,683.00 $90,343.00
2 Semi Annual Fire Alarm
Testing, Inspection and
Maintenance Services
$11,808.00 $12,162.00 $12,526.00
3 Labor Rates for NonContracted, Scheduled
Work
Straight Time
Overtime at 1.5 times
Double Time
$165.00 per hour
$250.00 per hour
$330.00 per hour
$175.00 per hour
$265.00 per hour
$350.00 per hour
$185.00 per hour
$275.00 per hour
$370.00 per hour
Labor Rates for Non-Contracted Scheduled Work and Description of Labor Rates:

1. Normal business hours are Monday through Friday – 7:00 a.m. to 4:00 p.m.

2. All service requests are 2 hours minimum plus drive time

3. Work performed before 7:00 a.m. and after 4:00 p.m. is considered overtime and shall be charged

1.5 times the hourly rate

4. Over 8 hours worked in a day shall be charged 1.5 times the hourly rate

5. Over 40 hours worked in a week shall be charged 1.5 times the hourly rate

6. Work on Saturdays shall be charged 1.5 times the hourly rate

7. Sundays and holidays shall be charged double the hourly rate Reimbursable Expenses for Non-Contracted Work:

1. Materials shall be provided at MSRP less 10%

2. Parking/toll

3. CAD Drawing/Prints

4. Shipping Cost
Such reimbursable expenses shall be approved by Stadium Manager prior to expenses being incurred.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
24 Total Not to Exceed Amount for Three Years: $352,000 Year One – 6/1/23 through 3/31/24 - $115,000 inclusive of cost for additional services as required.

Year Two – 4/1/24 through 3/31/25 - $117,000 inclusive cost for additional services as required.

Year Three – 4/1/25 through 3/31/26 - $120,000 inclusive of cost for additional services as required.

The pricing list above will govern all of services provided by Contractor to Stadium Manager during the Term. Unless specified in the agreement, any and all additional costs, including taxes, shipping, handling, and any subcontractor costs, shall be at Contractor’s sole expense and Contractor shall have no right to invoice Stadium Manager or any third-party for any additional costs incurred by Contractor in the performance of the Services under this Agreement.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
25 EXHIBIT C

INSURANCE REQUIREMENTS
At all times during the term hereof, Contractor shall keep and maintain in full force and effect the following types of insurance coverage and/or bonds:

1. Commercial general liability insurance, including property damage, against liability for personal injury, bodily injury, death and damage to property occurring in or about the property in the amount of Two Million Dollars ($2,000,000) per occurrence and Four Million Dollars ($4,000,000) in the aggregate.

2. Automobile liability in the amount of One Million Dollars ($1,000,000) with respect to owned, hired and non-owned vehicles.

3. Workers compensation insurance, as required by applicable law. Contractor is directed to review and execute the “Contractor’s Certification Regarding Worker’s Compensation” attached hereto as Exhibit F and incorporated herein by this reference prior to Agreement execution.

4. Employer’s liability in the amount of One Million Dollars ($1,000,000) each accident, One Million Dollars ($1,000,000) each employee, by disease, and One Million Dollars ($1,000,000) policy aggregate by disease.

5. Liability insurance covering claims arising out of errors and omissions by vendors rendering professional services, in the amount of One Million Dollars ($1,000,000) each occurrence including contractual liability coverage, with all coverage retroactive to the earlier of the date of agreement or commencement of Contractor’s services.

6. Umbrella or excess liability insurance in the amount of Two Million Dollars ($2,000,000) providing excess coverage over general liability, auto liability, and employer’s liability specified above.

The above stated limits may be achieved by a combination of primary and excess/umbrella coverage. Any deductible or self-insured retention amounts are the sole responsibility of the Contractor. Contractor is responsible for insuring any equipment brought to Stadium. Stadium Manager shall have no liability for such equipment.

All insurance policies and bonds required to be maintained by Contractor shall be issued by insurers or sureties (as the case may be) reasonably satisfactory to client, authorized to do business in the state of California and having an AM Best rating and financial size category of A-/VII or better. All policies of the vendor shall be (i) primary and non-contributing with respect to any policies carried by client; (ii) with respect to liability insurance only, a provision including Stadium Manager, Santa Clara Stadium Authority, Forty Niners SC Stadium Company LLC and Forty Niners Football Company LLC as Additional Insured; (iii) a waiver by the insurer of any right to subrogate against Stadium Manager (iv) a severability of interest or endorsement; (v) a provision that the insurer will not cancel or change the coverage provided by such without giving the Stadium Manager thirty (30) days' prior written notice; and (vi) general liability be an "occurrence form" policy. Any policy of insurance required to be carried by Contractor that names Stadium Manager as Additional Insured shall not be subject to a deductible or self-insured retention, it being the intent of the parties that such insurance shall fully and completely insure such additional insured entities for all loss or expense; if any such policy has a deductible or self-insured retention clause applicable to these operations, Contractor shall provide evidence that insurance carrier shall pay without regard to such deductible or self-insured retention.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
26 EXHIBIT D

ETHICAL STANDARDS FOR CONTRACTORS SEEKING TO ENTER INTO AN AGREEMENT WITH

STADIUM MANAGER
Termination of Agreement for Certain Acts.

A. Stadium Manager may, at its sole discretion, terminate this Agreement in the event any one or more of the following occurs:

1. If a Contractor1 does any of the following:
a. Is convicted2 of operating a business in violation of any Applicable Law; b. Is convicted of a crime punishable as a felony involving dishonesty3; c. Is convicted of an offense involving dishonesty or is convicted of fraud or a criminal offense in connection with: (1) obtaining; (2) attempting to obtain; or, (3) performing a public contract or subcontract;
d. Is convicted of any offense which indicates a lack of business integrity or business honesty which seriously and directly affects the present responsibility of a Stadium Manager contractor or subcontractor; and/or,
e. Made (or makes) any false statement(s) or representation(s) with respect to this Agreement.

2. If fraudulent, criminal or other seriously improper conduct of any officer, director, shareholder, partner, employee or other individual associated with Contractor can be imputed to Contractor when the conduct occurred in connection with the individual’s performance of duties for or on behalf of Contractor, with Contractor’s knowledge, approval or acquiescence, Contractor’s acceptance of the benefits derived from the conduct shall be evidence of such knowledge, approval or acquiescence. 1 For purposes of this Agreement, the word “Consultant” (whether a person or a legal entity) also refers to “Contractor” and means any of the following: an owner or co-owner of a sole proprietorship; a person who controls or who has the power to control a business entity; a general partner of a partnership; a principal in a joint venture; or a primary corporate stockholder [i.e., a person who owns more than ten percent (10%) of the outstanding stock of a corporation] and who is active in the day to day operations of that corporation. 2 For purposes of this Agreement, the words “convicted” or “conviction” mean a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere within the past five (5) years. 3 As used herein, “dishonesty” includes, but is not limited to, embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, failure to pay tax obligations, receiving stolen property, collusion or conspiracy.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
27 B. Stadium Manager may also terminate this Agreement in the event any one or more of the following occurs:

1. Stadium Manager determines that Contractor no longer has the financial capability4 or business experience5 to perform the terms of, or operate under, this Agreement; or

2. If Stadium Manager determines that Contractor fails to submit information, or submits false information, which is required to perform or be awarded a contract with Stadium Manager, including, but not limited to, Contractor’s failure to maintain a required State-issued license, failure to obtain a Stadium Manager business license (if applicable), or failure to purchase and maintain bonds and/or insurance policies required under this Agreement.

C. In the event a prospective Contractor (or bidder) is ruled ineligible (debarred) to participate in a contract award process or a contract is terminated pursuant to these provisions, Contractor may appeal the action to the Authority by filing a written request with the Authority Secretary within ten (10) days of the notice given by Stadium Manager to have the matter heard. The matter will be heard within thirty (30) days of the filing of the appeal request with the Authority Secretary.

Contractor will have the burden of proof on the appeal. Contractor shall have the opportunity to present evidence, both oral and documentary, and argument. 4 Contractor becomes insolvent, transfers assets in fraud of creditors, makes an assignment for the benefit of creditors, files a petition under any section or chapter of the federal Bankruptcy Code (11 U.S.C.), as amended, or under any similar law or statute of the United States or any state thereof, is adjudged bankrupt or insolvent in proceedings under such laws, or a receiver or trustee is appointed for all or substantially all of the assets of Contractor.
5 Loss of personnel deemed essential by Stadium Manager for the successful performance of the obligations of Contractor to Stadium Manager.

DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Agreement No: 10172
28 EXHIBIT E

PUBLIC WORKS CONTRACTOR REGISTRATION CERTIFICATION
Pursuant to Labor Code Sections 1725.5 and 1771.1, all contractors and subcontractors that wish to bid on, be listed in a bid proposal, or enter into a contract to perform public work must be registered with the Department of Industrial Relations. See http://www.dir.ca.gov/Public-Works/PublicWorks.html for additional information.

No bid will be accepted, nor any contract entered into without proof of the contractor’s and subcontractors’ current registration with the Department of Industrial Relations to perform public work.

Contractor hereby certifies that it is aware of the registration requirements set forth in Labor Code Sections 1725.5 and 1771.1 and is currently registered as a contractor with the Department of Industrial Relations.6 Name of Contractor:

DIR Registration Number:

DIR Registration Expiration:_________________________
Small Project Exemption: _____ Yes or _____ No
Unless Contractor is exempt pursuant to the small project exemption, Contractor further acknowledges:
 Contractor shall maintain a current DIR registration for the duration of the project.  Contractor shall include the requirements of Labor Code Sections 1725.5 and 1771.1 in its contract with subcontractors and ensure that all subcontractors are registered at the time of bid opening (or contract execution where no bid occurred) and maintain registration status for the duration of the Agreement.
 Failure to submit this form or comply with any of the above requirements may result in a finding that the bid is non-responsive.

Name of Contractor
Signature
Name and Title
Dated

6 If the Agreement is exempt from the contractor registration requirements pursuant to the small project exemption under Labor Code Sections 1725.5 and 1771.1, please mark “Yes” in response to “Small Project Exemption.” DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Aaron Colton, President
06/30/2024
5/24/2023
ICS Integrated Communication Systems
1000001138
ICS Integrated Communication Systems
Agreement No: 10172
29 EXHIBIT F
CONTRACTOR’S CERTIFICATION REGARDING WORKER’S COMPENSATION I, the undersigned Contractor, am aware of the provisions of Section 3700 et seq. of the California Labor Code, which require every employer to be insured against liability for Worker’s Compensation or to undertake self-insurance in accordance with the provisions of the Code, and I, the undersigned Contractor, agree to and will comply with such provisions before commencing the performance of the Services on this Agreement.

Name of Contractor:

By: _________________________
Signature
_________________________
Name (Print)
_________________________
Title (Print)
DocuSign Envelope ID: AE6A7E3F-D59A-4685-B90D-CBFCF257B092 Aaron Colton
President
ICS Integrated Communication Systems
Amendment No. 1

Page 1 of 5 ends

City Council and Authorities ConcurrentJune 24, 2025

City Council and Authorities Concurrent
June 24, 2025