6.6 The City shall not pay for time associated with administrative or billing -related tasks, including but not limited to preparing responses to Work Requests, addressing billing issues, or communicating with auditors.
6.7 If there are no discrepancies or deficiencies in the submitted invoice and Consultant has submitted all required certified payroll, City shall process the invoice for payment.
6.8 Invoices and related payment documentation are public records and are not confidential, even if marked as confidential when submitted by Consultant.
Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit C-Insurance Requirements Page 1
Rev. 09-28-18
EXHIBIT C
INSURANCE REQUIREMENTS
Without limiting the Contractor’s indemnification of the City, and prior to commencing any of the Services required under this Agreement, the Contractor shall provide and maintain in full force and effect during the period of performance of the Agreement and for twenty-four (24) months following acceptance by the City, at its sole cost and expense, the following insurance policies from insurance companies authorized to do business in the State of California. These policies shall be primary insurance as to the City of Santa Clara so that any other coverage held by the City shall not contribute to any loss under Contractor’s insurance. The minimum coverages, provisions and endorsements are as follows:
A. COMMERCIAL GENERAL LIABILITY INSURANCE
1. Commercial General Liability Insurance policy which provides coverage at least as broad as Insurance Services Office form CG 00 01. Policy limits are subject to review, but shall in no event be less than, the following:
$1,000,000 Each Occurrence
$2,000,000 General Aggregate
$2,000,000 Products/Completed Operations Aggregate
$1,000,000 Personal Injury
2. Exact structure and layering of the coverage shall be left to the discretion of Contractor; however, any excess or umbrella policies used to meet the required limits shall be at least as broad as the underlying coverage and shall otherwise follow form.
3. The following provisions shall apply to the Commercial Liability policy as well as any umbrella policy maintained by the Contractor to comply with the insurance requirements of this Agreement:
a. Coverage shall be on a “pay on behalf” basis with defense costs payable in addition to policy limits;
b. There shall be no cross liability exclusion which precludes coverage for claims or suits by one insured against another; and c. Coverage shall apply separately to each insured against whom a claim is made or a suit is brought, except with respect to the limits of liability.
B. BUSINESS AUTOMOBILE LIABILITY INSURANCE
Business automobile liability insurance policy which provides coverage at least as broad as ISO form CA 00 01 with policy limits a minimum limit of not less than one million dollars ($1,000,000) each accident using, or providing coverage at Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit C-Insurance Requirements Page 2
Rev. 09-28-18
least as broad as, Insurance Services Office form CA 00 01. Liability coverage shall apply to all owned (if any), non-owned and hired autos.
C. WORKERS’ COMPENSATION
1. Workers’ Compensation Insurance Policy as required by statute and employer’s liability with limits of at least one million dollars ($1,000,000) policy limit Bodily Injury by disease, one million dollars ($1,000,000) each accident/Bodily Injury and one million dollars ($1,000,000) each employee Bodily Injury by disease.
2. The indemnification and hold harmless obligations of Contractor included in this Agreement shall not be limited in any way by any limitation on the amount or type of damage, compensation or benefit payable by or for Contractor or any subcontractor under any Workers’ Compensation Act(s), Disability Benefits Act(s) or other employee benefits act(s).
3. This policy must include a Waiver of Subrogation in favor of the City of Santa Clara, its City Council, commissions, officers, employees, volunteers and agents.
D. PROFESSIONAL LIABILITY
Professional Liability or Errors and Omissions Insurance as appropriate shall be written on a policy form coverage specifically designed to protect against negligent acts, errors or omissions of the Contractor. Covered services as designated in the policy must specifically include work performed under this agreement. Coverage shall be in an amount of not less than two million dollars ($2,000,000) per claim or two million dollars ($2,000,000) aggregate. Any coverage containing a deductible or self-retention must first be approved in writing by the City Attorney’s Office.
E. COMPLIANCE WITH REQUIREMENTS
All of the following clauses and/or endorsements, or similar provisions, must be part of each commercial general liability policy, and each umbrella or excess policy.
1. Additional Insureds. City of Santa Clara, its City Council, commissions, officers, employees, volunteers and agents are hereby added as additional insureds in respect to liability arising out of Contractor’s work for City, using Insurance Services Office (ISO) Endorsement CG 20 10 11 85, or the combination of CG 20 10 03 97 and CG 20 37 10 01, or its equivalent.
2. Primary and non-contributing. Each insurance policy provided by Contractor shall contain language or be endorsed to contain wording making it primary insurance as respects to, and not requiring contribution Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit C-Insurance Requirements Page 3
Rev. 09-28-18
from, any other insurance which the indemnities may possess, including any self-insurance or self-insured retention they may have. Any other insurance indemnities may possess shall be considered excess insurance only and shall not be called upon to contribute with Contractor’s insurance.
3. Cancellation.
a. Each insurance policy shall contain language or be endorsed to reflect that no cancellation or modification of the coverage provided due to non-payment of premiums shall be effective until written notice has been given to City at least ten (10) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice shall be given at least ten (10) days prior to the effective date of non-renewal.
b. Each insurance policy shall contain language or be endorsed to reflect that no cancellation or modification of the coverage provided for any cause save and except non-payment of premiums shall be effective until written notice has been given to City at least thirty (30) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice shall be given at least thirty (30) days prior to the effective date of non- renewal.
4. Other Endorsements. Other endorsements may be required for policies other than the commercial general liability policy if specified in the description of required insurance set forth in Sections A through E of this Exhibit C, above.
F. ADDITIONAL INSURANCE RELATED PROVISIONS
Contractor and City agree as follows:
1. Contractor agrees to ensure that subcontractors, and any other party involved with the Services, who is brought onto or involved in the performance of the Services by Contractor, provide the same minimum insurance coverage required of Contractor, except as with respect to limits. Contractor agrees to monitor and review all such coverage and assumes all responsibility for ensuring that such coverage is provided in conformity with the requirements of this Agreement. Contractor agrees that upon request by City, all agreements with, and insurance compliance documents provided by, such subcontractors and others engaged in the project will be submitted to City for review.
2. Contractor agrees to be responsible for ensuring that no contract used by any party involved in any way with the project reserves the right to charge City or Contractor for the cost of additional insurance coverage required Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit C-Insurance Requirements Page 4
Rev. 09-28-18
by this Agreement. Any such provisions are to be deleted with reference to City. It is not the intent of City to reimburse any third party for the cost of complying with these requirements. There shall be no recourse against City for payment of premiums or other amounts with respect thereto.
3. The City reserves the right to withhold payments from the Contractor in the event of material noncompliance with the insurance requirements set forth in this Agreement.
G. EVIDENCE OF COVERAGE
Prior to commencement of any Services under this Agreement, Contractor, and each and every subcontractor (of every tier) shall, at its sole cost and expense, provide and maintain not less than the minimum insurance coverage with the endorsements and deductibles indicated in this Agreement. Such insurance coverage shall be maintained with insurers, and under forms of policies, satisfactory to City and as described in this Agreement. Contractor shall file with the City all certificates and endorsements for the required insurance policies for City’s approval as to adequacy of the insurance protection.
H. EVIDENCE OF COMPLIANCE
Contractor or its insurance broker shall provide the required proof of insurance compliance, consisting of Insurance Services Office (ISO) endorsement forms or their equivalent and the ACORD form 25-S certificate of insurance (or its equivalent), evidencing all required coverage shall be delivered to City, or its representative as set forth below, at or prior to execution of this Agreement.
Upon City’s request, Contractor shall submit to City copies of the actual insurance policies or renewals or replacements. Unless otherwise required by the terms of this Agreement, all certificates, endorsements, coverage verifications and other items required to be delivered to City pursuant to this Agreement shall be mailed to:
EBIX Inc.
City of Santa Clara, Department of Public Works
P.O. Box 100085 – S2 or 1 Ebix Way
Duluth, GA 30096 John’s Creek, GA 30097
Telephone number: 951-766-2280
Fax number: 770-325-0409
Email address: [email protected]
I. QUALIFYING INSURERS
All of the insurance companies providing insurance for Contractor shall have, and provide written proof of, an A. M. Best rating of at least A minus 6 (A- VI) or shall be an insurance company of equal financial stability that is approved by the City or its insurance compliance representatives.
Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit C-Insurance Requirements Page 5
Rev. 09-28-18
EXHIBIT C-06 Professional Service Contract.doc
Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit D-Labor Compliance Page 1
Rev. 09-28-18
EXHIBIT D
LABOR COMPLIANCE ADDENDUM
This Agreement is subject to the requirements of California Labor Code section 1720 et seq. requiring the payment of prevailing wages, the training of apprentices, and compliance with other applicable requirements.
Prevailing Wage Requirements
Contractor shall be obligated to pay not less than the General Prevailing Wage Rate, which can be found at www.dir.ca.gov and are on file with the City Clerk’s office, which shall be available to any interested party upon request. Contractor is also required to have a copy of the applicable wage determination posted and/or available at each job site.
Specifically, contractors are reminded of the need for compliance with Labor Code Section 1774-1775 (the payment of prevailing wages and documentation of such), Section 1776 (the keeping and submission of accurate certified payrolls) and 1777.5 in the employment of apprentices on public works projects. Further, overtime must be paid for work in excess of 8 hours per day or 40 hours per week pursuant to Labor Code Section 1811-1813.
Special prevailing wage rates generally apply to work performed on weekends, holidays and for certain shift work. Depending on the location of the project and the amount of travel incurred by workers on the project, certain travel and subsistence payments may also be required. Contractors and subcontractors are on notice that information about such special rates, holidays, premium pay, shift work and travel and subsistence requirements can be found at www.dir.ca.gov .
Only bona fide apprentices actively enrolled in a California Division of Apprenticeship Standards approved program may be employed on the project as an apprentice and receive the applicable apprenticeship prevailing wage rates. Apprentices who are not properly supervised and employed in the appropriate ratio shall be paid the full journeyman wages for the classification of work performed.
As a condition to receiving progress payments, final payment and payment of retention on any and all projects on which the payment of prevailing wages is required, Contractor agrees to present to City, along with its request for payment, all applicable and necessary certified payrolls (for itself and all applicable subcontractors) for the time period covering such payment request. The term “certified payroll” shall include all required documentation to comply with the mandates set forth in Labor Code Section 1720 et seq, as well as any additional documentation requested by the City or its designee including, but not limited to: certified payroll, fringe benefit statements and backup documentation such as monthly benefit statements, employee timecards, copies of wage statements and cancelled checks, proof of training contributions (CAC2 if applicable), and apprenticeship forms such as DAS-140 and DAS-142.
Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit D-Labor Compliance Page 2
Rev. 09-28-18
In addition to submitting the certified payrolls and related documentation to City, Contractor and all subcontractors shall be required to submit certified payroll and related documents electronically to the California Department of Industrial Relations.
Failure to submit payrolls to the DIR when mandated by the project parameters shall also result in the withholding of progress, retention and/or final payment.
No contractor or subcontractor may be listed on a bid proposal for a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)].
No contractor or subcontractor may be awarded a contract for public work on a public works project, unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5. Contractors MUST be a registered “public works contractor” with the DIR AT THE TIME OF BID. Where the prime contract is less than $15,000 for maintenance work or less than $25,000 for construction alternation, demolition or repair work, registration is not required.
All contractors/subcontractors and related construction services subject to prevailing wage, including but not limited to: trucking, surveying and inspection work must be registered with the Department of Industrial Relations as a “public works contractor”.
Those you fail to register and maintain their status as a public works contractor shall not be permitted to perform work on the project.
Should any contractor or subcontractors not be a registered public works contractor and perform work on the project, Contractor agrees to fully indemnify the City for any fines assessed by the California Department of Industrial Relations against the City for such violation, including all staff costs and attorney’s fee relating to such fine.
This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations.
Audit Rights
All records or documents required to be kept pursuant to this Agreement to verify compliance with this Addendum shall be made available for audit at no cost to City, at any time during regular business hours, upon written request by the City Attorney, City Auditor, City Manager, or a designated representative of any of these officers. Copies of such records or documents shall be provided to City for audit at City Hall when it is practical to do so. Otherwise, unless an alternative is mutually agreed upon, the records or documents shall be made available at Contractor’s address indicated for receipt of notices in this Agreement.
Enforcement
City shall withhold any portion of a payment; including the entire payment amount, until certified payroll forms and related documentation are properly submitted, reviewed and found to be in full compliance. In the event that certified payroll forms do not comply Design Professional Agreement with Brown Reynolds Watford Architects, Inc./Exhibit D-Labor Compliance Page 3
Rev. 09-28-18
with the requirements of Labor Code Section 1720 et seq., City may continue to hold sufficient funds to cover estimated wages and penalties under the Agreement.
Based on State funding sources, this project may be subject to special labor compliance requirements of Proposition 84.
The City is not obligated to make any payment due to Contractor until Contractor has performed all of its obligations under these provisions. This provision means that City can withhold all or part of a payment to Contractor until all required documentation is submitted. Any payment by the City despite Contractor’s failure to fully perform its obligations under these provisions shall not be deemed to be a waiver of any other term or condition contained in this Agreement or a waiver of the right to withhold payment for any subsequent breach of this Addendum.
City or the California Department of Industrial Relations may impose penalties upon contractors and subcontractors for failure to comply with prevailing wage requirements.
These penalties are up to $200 per day per worker for each wage violation identified; $100 per day per worker for failure to provide the required paperwork and documentation requested within a 10-day window; and $25 per day per worker for any overtime violation.
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
26-654 Agenda Date: 6/23/2026
REPORT TO COUNCIL
SUBJECT
Action to Authorize the City Manager to Negotiate and Execute Agreements with Hinderliter, De Llamas, & Associates dba HdL Companies and HdL Coren and Cone for Sales, Use, Tax Audit and Recovery Services; Property Tax Audit and Management Services; Transient Occupancy Tax Audit Services; and Santa Clara Tourism Improvement District Assessment Audit and Compliance Services
BACKGROUND
The City receives revenues from (a) sales, use, and transactions tax, (b) property tax, (c) transient occupancy tax (TOT), and (d) Community Facilities District and Santa Clara Tourism Improvement District special assessment fees. The two largest revenue sources for the City’s General Fund are property tax and sales tax with revenues expected to total approximately $108 million and $76 million in FY 2026/27, respectively. The City is also projected to receive TOT revenues of approximately $31 million in FY 2026/27.
To ensure that the City is receiving all the revenues from the County of Santa Clara and the State of California, the Finance Department uses third-party consultants to audit tax records and recover misallocated revenues. The current agreements for tax audit and recovery services expire on June 30, 2026.
DISCUSSION
Pursuant to City Code Section 2.105.140(c), a formal Request for Proposals (RFP) was conducted, with the award recommendation based on “best value.”
On January 6, 2026, the City released an RFP seeking proposals from qualified firms to provide the following services: (1) Sales, Use and Transaction Tax Audit and Recovery Services; (2) Property Tax Audit and Management Services; (3) Transient Occupancy Tax Audit and Compliance Services; and (4) Santa Clara Tourism Improvement District Assessment Audit and Compliance Services. Firms were allowed to submit proposals for any or all of the service categories. The RFP was published on the City’s e-procurement system. Four proposals were received as follows:
· HdL Companies
· HdL Coren and Cone
· Neumo MuniServices
· The Pun Group
Proposals were evaluated based on criteria including experience and qualifications, proposed approach and methodology, and cost. Based on the evaluation, HdL Companies was determined to provide the best value to the City for Sales, Use and Transaction Tax Audit and Recovery Services; City of Santa Clara Printed on 6/19/2026Page 1 of 5
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26-654 Agenda Date: 6/23/2026
Transient Occupancy Tax Audit and Compliance Services; and Santa Clara Tourism Improvement District Assessment Audit and Compliance Services. HdL Coren and Cone was determined to provide the best value to City for Property Tax Audit and Management Services. (1) Sales, Use, and Transaction Tax Audit and Recovery Services The proposed agreement with Hinderliter, De Llamas & Associates dba HdL Companies (HdL Companies) provides sales, use, and transaction tax recovery services. The agreement has a five- year term starting on July 1, 2026 and ending on June 30, 2031, with a total not-to-exceed compensation amount of $1,600,000.
HdL Companies’ fees are based on a percentage of revenue recovered from the California Department of Tax and Fee Administration for misallocated sales, use and transaction taxes. The contingency-based compensation for recovered revenues is outlined in Table 1 below.
Table 1 - Sales, Use, and Tax and Recovery Services Contingency-Based Compensation Tier Recovered
Revenue¹
Contingency Fee
1 $1 - $2.5 Million 13% of Recovered Revenue
2 over $2.5 Million 10% of Recovered Revenue
1 Recovered revenue shall
be the cumulative amount
recovered during the full
term of the Agreement
(July 1, 2026 through June
30, 2031).
Given the uncertainty regarding sales tax recoveries, staff is requesting authorization for the City Manager or designee to increase the maximum compensation, as necessary, to account for additional revenue resulting from the contingency-based compensation structure. Any additional expense would be offset by the additional sales tax revenue recovered by the consultant.
In addition, HdL Companies will provide sales tax management services, which include identifying and maximizing use tax recovery opportunities, analyzing and reporting quarterly sales tax data and trends, providing technical training and advisory services, and maintaining exportable data systems and mapping capabilities to support the City’s revenue management and tax allocation services. This service will be provided at no cost to the City for the first 12 months of the Agreement. Beginning July 1, 2027, the rate will be $1,000 per month, subject to annual increases not to exceed 5%. Additional services may be provided on time-and-materials basis. These rates may be adjusted annually and must be substantiated by HdL Companies to the satisfaction of the City. (2) Property Tax Audit and Management Services
The proposed agreement with HdL Coren & Cone provides comprehensive property tax management services, including audit and recovery of misallocated property taxes, ongoing monitoring of secure and unsecured tax rolls, and analysis of property tax trends. The agreement also includes access to a web-based property tax database to support staff in analyzing and managing property tax data.
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26-654 Agenda Date: 6/23/2026
The agreement has a five-year term starting on July 1, 2026, and ending on June 30, 2031, with a total not-to-exceed compensation amount of $200,000.
Compensation under the agreement consists of a quarterly base fee for ongoing services and a 25% contingency fee on net new revenues recovered as a result of the audit efforts. The base fee is subject to annual adjustments based on the Consumer Price Index (CPI). For purposes of estimating total compensation, a 5% annual increase has been assumed for Years 2 through 5.
The estimated compensation is summarized in Table 2 below:
Table 2 - Cost Summary for Property Tax Services
Description Amount
Year 1 Base Fee $25,000
Years 2-5 Estimated Base Fee $113,141
Additional Property Tax Related Services $21,859
Estimated Contingency Fee $40,000
Total Not-to-Exceed Compensation $200,000
Contingency fees are dependent on actual recoveries and are not guaranteed. Historically, the City has experienced little to no recoveries related to secured property tax misallocations, as such allocations are generally coded correctly. However, misallocations related to unsecured parcels may occur and, while infrequent, can result in significant recoveries. Accordingly, staff is requesting authority for the City Manager to execute amendments to increase the maximum compensation, as needed, in the event that contingency-based recoveries exceed the current estimate. (3) Transient Occupancy Tax Audit and Compliance Services and Santa Clara Tourism Improvement District Assessment Audit and Compliance Services The proposed agreement with Hinderliter, De Llamas & Associates dba HdL Companies provides comprehensive Transient Occupancy Tax (TOT), Community Facilities District (CFD), and Santa Clara Tourism Improvement District (SCTID) administration and audit services, including tax registration database management, online filing and payment processing, customer support, and reporting services. HdL Companies will conduct regular audits, analyze tax administration procedures, and ensure accurate filings of TOT/CFD/SCTID returns.
Compensation includes a one-time implementation fee of $5,000 and an annual administration fee of $950 per property. Table 3 summarizes the total cost based on the City’s current inventory of 35 lodging properties. The administration fee will increase annually in accordance with the percentage change in the Consumer Price Index, not to exceed 3% annually.
Table 3 - TOT/CFD/SCTID Compensation Summary
Description Amount
One Time Implementation Fee $5,000
Year 1 Cost $33,250
Year 2 Cost $34,248
Year 3 Cost $35,275
Year 4 Cost $36,333
Year 5 Cost $37,423
Additional TOT/CFD/SCTID Related Services $48,471
Total $230,000
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26-654 Agenda Date: 6/23/2026Description Amount
One Time Implementation Fee $5,000
Year 1 Cost $33,250
Year 2 Cost $34,248
Year 3 Cost $35,275
Year 4 Cost $36,333
Year 5 Cost $37,423
Additional TOT/CFD/SCTID Related Services $48,471
Total $230,000
Additional lodging properties may be added during the term of the agreement which will result in increases to the annual administration costs. Accordingly, staff is requesting authority for the City Manager to increase the agreement maximum compensation, as necessary, to account for additional lodging properties added during the term of the agreement.
Out of the total maximum compensation of $230,000, $48,471 is reserved for additional TOT/CFD/SCFTID-related services. These services may include supplemental auditing support for short-term rental operators, such as AirBNB and VRBO, that are not currently included in the City’s inventory of lodging properties. Any additional services requested by the City will be provided on time -and-materials basis. These rates may be adjusted annually and must be substantiated by the HdL Companies to the satisfaction of the City.
ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to section 15378(b)(5) of Title 14 of the California Code of Regulations as the proposed services are administrative activities that will not result in either a direct or indirect physical change in the environment.
FISCAL IMPACT
Funding for audit services is included in FY 2026/27 Adopted Budget for the Finance Department. If the contingency-based audit recovery services for Sales Tax and Property Tax exceed the budgeted levels, budget adjustments will be brought forward, offset by the additional revenue generated from the audits.
COORDINATION
This report has been coordinated with the Department of Finance and the City Attorney’s Office.
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] or at the public information desk at any City of Santa Clara public library.
RECOMMENDATION
1. Authorize the City Manager or designee to execute an agreement with Hinderliter, De Llamas & Associates DBA HdL Companies for sales, use, and transaction tax recovery services for a five- City of Santa Clara Printed on 6/19/2026Page 4 of 5
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26-654 Agenda Date: 6/23/2026
year term starting on July 1, 2026 and ending on June 30, 2031, with a maximum compensation of $1,600,000, subject to the appropriation of funds and the review and approval as to form by the City Attorney;
2. Authorize the City Manager or designee to negotiate and execute an agreement with Hinderliter, De Llamas & Associates DBA HdL Companies for Transient Occupancy Tax (TOT), Community Facilities District (CFD), and Santa Clara Tourism Improvement District (SCTID) administration and audit services for a five-year term starting on July 1, 2026 and ending on June 30, 2031, with a maximum compensation of $230,000, subject to the appropriation of funds and the review and approval as to form by the City Attorney;
3. Authorize the City Manager or designee to execute an agreement with HdL Coren & Cone for comprehensive property tax management services for a five-year term starting on July 1, 2026 and ending on June 30, 2031, with a maximum compensation of $200,000, subject to the appropriation of funds and the review and approval as to form by the City Attorney; and
4. Authorize the City Manager or designee to take any actions necessary to implement and administer the agreements, and to negotiate and execute future amendment(s) to: (a) increase the maximum compensation under the agreements identified in Recommendations No. 1 and No. 3, as necessary, to account for additional revenue resulting from contingency-based compensation structure, and identified in Recommendation No. 2, as necessary, to account for additional properties added during the term of the agreement, (b) add or delete services associated with the services, (c) adjust rates in accordance with the agreements’ rate adjustment provisions, and (d) make de minimis changes, subject to the appropriation of funds and the review and approval as to form by the City Attorney.
Reviewed by: Kenn Lee, Director of Finance
Approved by: Jovan D. Grogan, City Manager
ATTACHMENTS
1. Agreement - HdL Companies - Sales, Use and Transaction Tax Services
2. Agreement - HdLCC - Property Tax Services
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Agreement with HdL Companies – Sales, Use and Transactions Tax Audit & Recovery Services Page 1 Rev. 07-01-18
EBIX Insurance No. S200005156
AGREEMENT FOR SERVICES
BETWEEN THE
CITY OF SANTA CLARA, CALIFORNIA,
AND
HINDERLITER, DE LLAMAS & ASSOCIATES DBA HDL COMPANIES
PREAMBLE
This Agreement (“Agreement”) dated ___________________ (“Effective Date”) is entered into between the City of Santa Clara, California, a chartered California municipal corporation (“City”) and Hinderliter, De Llamas & Associates dba HdL Companies, a California corporation (“Consultant”). City and Consultant may be referred to individually as a “Party” or collectively as the “Parties” or the “Parties to this Agreement.”
RECITALS
A. City desires to secure the services (“S ervices”) more fully described in this Agreement, at Exhibit A, entitled “Scope of Services”;
B. Consultant represents that it, and its subcontractors, if any, have the professional qualifications, expertise, necessary licenses and desire to provide certain goods and/or required services of the quality and type which meet objectives and requirements of City; and,
C. The Parties have specified herein the terms and conditions under which such services will be provided and paid for.
In consideration of the above Recitals and the mutual covenants contained therein, the Parties agree as follows:
AGREEMENT TERMS AND CONDITIONS
1. AGREEMENT DOCUMENTS
The documents forming the entire Agreement between City and Consultant will consist of these Terms and Conditions and the following Exhibits, which are hereby incorporated into this Agreement by this reference:
Exhibit A – Scope of Services
Exhibit B – Schedule of Fees
Exhibit C – Insurance Requirements
Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies – Sales, Use and Transactions Tax Audit & Recovery Services Page 2 Rev. 07-01-18
This Agreement, including the Exhibits set forth above, contains all the agreements, representations and understandings of the Parties, and supersedes and replaces any previous agreements, representations and understandings, whether oral or written. In the event of any inconsistency between the provisions of any of the Exhibits and the Terms and Conditions, the Terms and Conditions will govern and control.
2. TERM OF AGREEMENT
Unless otherwise set forth in this Agreement or unless this paragraph is subsequently modified by a written amendment to this Agreement, the term of this Agreement will begin on July 1, 2026 and terminate on June 30, 2031.
3. SCOPE OF SERVICES & PERFORMANCE SCHEDULE
Consultant will perform those Services specified in Exhibit A within the time stated in Exhibit A. Time is of the essence.
4. WARRANTY
Consultant expressly warrants that all materials and services covered by this Agreement will be fit for the purpose intended, will be free from defect and will conform to the specifications, requirements and instructions upon which this Agreement is based. Consultant agrees to promptly replace or correct any incomplete, inaccurate or defective Services at no further cost to City when defects are due to the negligence, errors or omissions of Consultant. If Consultant fails to promptly correct or replace materials or services, City may make corrections or replace materials or services and charge Consultant for the cost incurred by City.
5. QUALIFICATIONS OF CONSU LTANT - STANDARD OF CARE
Consultant represents and maintains that it has the expertise in the professional calling necessary to perform the Services, and its duties and obligations, expressed and implied, contained herein, and City expressly relies upon Consultant’s representations regarding its skills and knowledge. Consultant will perform such Services and duties in conformance to and consistent with the professional standards of a specialist in the same discipline in the State of California.
6. COMPENSATION AND PAYMENT
In consideration for Consultant’s complete performance of Services, City will pay Consultant for all materials provided and Services rendered by Consultant in accordance with Exhibit B, entitled “SCHEDULE OF FEES.” The maximum compensation of this Agreement is One Million Six Hundred Thousand Dollars ($1,600,000), subject to budget appropriations, which includes all payments that may be authorized for Services and for expenses, supplies, materials and equipment required to perform the Services. All work performed or materials provided in excess Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies – Sales, Use and Transactions Tax Audit & Recovery Services Page 3 Rev. 07-01-18
of the maximum compensation will be at Consultant’s expense. Consultant will not be entitled to any payment above the maximum compensation under any circumstance.
7. TERMINATION
A. Termination for Convenience. City will hav e the right to terminate this Agreement, without cause or penalty, by giving not less than Thirty (30) days’ prior written notice to Consultant.
B. Termination for Default. If Consultant fails to perform any of its material obligations under this Agreement, in addition to all other remedies provided by law, City may terminate this Agreement immediately upon written notice to Consultant.
C. Upon termination, each Party will assist the other in arranging an orderly transfer and close-out of services. As soon as possible following the notice of termination, but no later than ten (10) days after the notice of termination, Consultant will deliver to City all City information or material that Consultant has in its possession.
8. ASSIGNMENT AND SUBCONTRACTING
City and Consultant bind themselves, their successors and assigns to all covenants of this Agreement. This Agreement will not be assigned or transferred without the prior written approval of City. Consultant will not hire subcontractors without express written permission from City.
Consultant will be as fully responsible to City for the acts and omissions of its subcontractors, and of persons either directly or indirectly employed by them, as Consultant is for the acts and omissions of persons directly employed by it.
9. NO THIRD PA RTY BENEFICIARY
This Agreement will not be construed to be an agreement for the benefit of any third party or parties and no third party or parties will have any claim or right of action under this Agreement for any cause whatsoever.
10. INDEPENDENT CONTRACTOR
Consultant and all person(s) employed by or contracted with Consultant to furnish labor and/or materials under this Agreement are independent contractors and do not act as agent(s) or employee(s) of City. Consultant has full rights to manage its employees in their performance of Services under this Agreement.
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11. CONFIDENTIALITY OF MATERIAL
All ideas, memoranda, specifications, plans, manufacturing procedures, data, drawings, descriptions, documents, discussions or other information developed or received by or for Consultant and all other written information submitted to Consultant in connection with the performance of this Agreement will be held confidential by Consultant and will not, without the prior written consent of City, 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 Consultant which is otherwise known to Consultant or becomes generally known to the related industry will be deemed confidential.
12. OWNERSHIP OF MATERIAL
All material, which will include, but not be limited to, data, sketches, tracings, drawings, plans, diagrams, quantities, estimates, specifications, proposals, tests, maps, calculations, photographs, reports, designs, technology, programming, works of authorship and other material developed, collected, prepared or caused to be prepared under this Agreement will be the property of City but Consultant may retain and use copies thereof. City will not be limited in any way or at any time in its use of said material. However, Consultant will not be responsible for damages resulting from the use of said material for work other than Project, including, but not limited to, the release of this material to third parties.
13. RIGHT OF CITY TO INSPECT RECORDS OF CONSULTANT
City, through its authorized employees, representatives or agents will have the right during the term of this Agreement and for four (4) years from the date of final payment for goods or services provided under this Agreement, to audit the books and records of Consultant for the purpose of verifying any and all charges made by Consultant in connection with Consultant compensation under this Agreement, including termination of Consultant. Consultant agrees to maintain sufficient books and records in accordance with generally accepted accounting principles to establish the correctness of all charges submitted to City. Any expenses not so recorded will be disallowed by City. Consultant will bear the cost of the audit if the audit determines that there has been a substantial billing deviation in excess of five (5) percent adverse to the City.
Consultant will submit to City any and all reports concerning its performance under this Agreement that may be requested by City in writing. Consultant agrees to assist City in meeting City’s reporting requirements to the State and other agencies with respect to Consultant’s Services hereunder.
14. HOLD HARMLESS/INDEMNIFICATION
A. To the extent permitted by law, C onsultant agrees to protect, defend, hold harmless and indemnify City, its City Council, commissions, officers, employees, volunteers and agents from and against any claim, injury, liability, loss, cost, Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies – Sales, Use and Transactions Tax Audit & Recovery Services Page 5 Rev. 07-01-18
and/or expense or damage, including all costs and attorney’s fees in providing a defense to any such claim or other action, and whether sounding in law, contract, tort, or equity, in any manner arising from, or alleged to arise in whole or in part from, or in any way connected with the Services performed by Consultant pursuant to this Agreement – including claims of any kind by Consultant’s employees or persons contracting with Consultant to perform any portion of the Scope of Services – and will expressly include passive or active negligence by City connected with the Services. However, the obligation to indemnify will not apply if such liability is ultimately adjudicated to have arisen through the sole active negligence or sole willful misconduct of City; the obligation to defend is not similarly limited.
B. Consultant’s obligation to protect, defend, indemnify, and hold harmless in full City and City’s employees, will specifically extend to any and all employment- related claims of any type brought by employees, contractors, subcontractors or other agents of Consultant, against City (either alone, or jointly with Consultant), regardless of venue/jurisdiction in which the claim is brought and the manner of relief sought.
C. To the extent Consultant is obligated to provide health insurance coverage to its employees pursuant to the Affordable Care Act (“Act”) and/or any other similar federal or state law, Consultant warrants that it is meeting its obligations under the Act and will fully indemnify and hold harmless City for any penalties, fines, adverse rulings, or tax payments associated with Consultant’s responsibilities under the Act.
D. The Parties expressly agree that this Section 14 (HOLD HARMLESS/INDEMNIFICATION) will survive the expiration or early termination of the Agreement.
15. INSURANCE REQUIREMENTS
During the term of this Agreement, and for any time period set forth in Exhibit C, Consultant will provide and maintain in full force and effect, at no cost to City, insurance policies as set forth in Exhibit C.
16. WAIVER
Consultant agrees that waiver by City of any one or more of the conditions of performance under this Agreement will not be construed as waiver(s) of any other condition of performance under this Agreement. Neither City’s review, acceptance nor payments for any of the Services required under this Agreement will be constructed 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.
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17. NOTICES
All notices to the Parties will, unless otherwise requested in writing, be sent to City addressed as follows:
City of Santa Clara
Attention: Finance Department
1500 Warburton Avenue
Santa Clara, CA 95050
and by e-mail at [email protected]
And to Consultant addressed as follows:
HdL Companies
120 S. State College Blvd., Suite 200
Brea, CA 92821
and by e-mail at [email protected]
The workday the e-mail was sent will control the date notice was deemed given.
An e-mail transmitted after 1:00 p.m. on a Friday will be deemed to have been transmitted on the following business day.
18. COMPLIANCE WITH LAWS
Consultant will comply with all applicable laws and regulations of the federal, state and local government, including but not limited to “The Code of the City of Santa Clara, California” (“SCCC”). In particular, Consultant’s attention is called to the regulations regarding Campaign Contributions (SCCC Chapter 2.130), Lobbying (SCCC Chapter 2.155), Minimum Wage (SCCC Chapter 3.20), Business Tax Certificate (SCCC section 3.40.070), and Food and Beverage Service Worker Retention (SCCC Chapter 9.60), as such Chapters or Sections may be amended from time to time or renumbered. Additionally, Consultant has read and agrees to comply with City’s Ethical Standards
(http://santaclaraca.gov/home/showdocument?id=58299).
19. CONFLICTS OF INTEREST
Consultant certifies that to the best of its knowledge, no City officer, employee or authorized representative has any financial interest in the business of Consultant and that no person associated with Consultant has any interest, direct or indirect, which could conflict with the faithful performance of this Agreement. Consultant is familiar with the provisions of California Government Code section 87100 and Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies – Sales, Use and Transactions Tax Audit & Recovery Services Page 7 Rev. 07-01-18
certifies that it does not know of any facts which would violate these code provisions.
Consultant will advise City if a conflict arises.
20. FAIR EMPLOYMENT
Consultant will not discriminate against any employee or applicant for employment because of race, sex, color, religion, religious creed, national origin, ancestry, age, gender, marital status, physical disability, mental disability, medical condition, genetic information, sexual orientation, gender expression, gender identity, military and veteran status, or ethnic background, in violation of federal, state or local law.
21. NO USE OF CITY NAME OR EMBLEM
Consultant will not use City’s name, insignia, or emblem, or distribute any information related to services under this Agreement in any magazine, trade paper, newspaper or other medium without express written consent of City.
22. GOVERNING LAW AND VENUE
This Agreement will 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 will 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.
23. SEVERABILITY CLAUSE
In case any one or more of the provisions in this Agreement will, for any reason, be held invalid, illegal or unenforceable in any respect, it will not affect the validity of the other provisions, which will remain in full force and effect.
24. AMENDMENTS
This Agreement may only be modified by a written amendment duly authorized and executed by the Parties to this Agreement.
25. COUNTERPARTS
This Agreement may be executed in counterparts, each of which will be deemed to be an original, but both of which will constitute one and the same instrument.
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The Parties acknowledge and accept the terms and conditions of this Agreement as evidenced by the following signatures of their duly authorized representatives.
CITY OF SANTA CLARA, CALIFORNIA
a chartered California municipal corporation
Approved as to Form: Dated:
GLEN R. GOOGINS
City Attorney
J ŌVAN D. GROGAN
City Manager
City of Santa Clara
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax:
(408) 241-6771
“CITY”
HINDERLITER, DE LLAMAS & ASSOCIATES DBD HDL CPANIES
a California corporation
Dated:
By (Signature):
Name: Andy Nickerson
Title: President/CEO
Principal Place of
Business Address:
120 S. State College Blvd., Suite 200
Brea, CA 92821
Email Address: [email protected]
Telephone: 714-879-5000
Fax:
“CONSULTANT”
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Agreement with HdL Companies/Exhibit A-Scope of Services Page 1 Rev. 07-01-18
EXHIBIT A
SCOPE OF SERVICES
SALES, USE AND TRANSACATION TAX AUDIT RECOVERY SERVICES
1. BACKGROUND
Sales tax is one of the City’s largest General Fund revenue sources, and one of its most volatile. The City's current sales tax rate is 9.125 percent, of which the City of Santa Clara receives one percentage point. The City’s sales tax collections have fluctuated over the years due to local, regional and national economic cycles as well as changes in the makeup of businesses in Santa Clara. The business-to-business sector is the City’s largest sales tax generator, representing between 40% - 50% of the City’s sales receipts. Sales tax revenues are budgeted at $75.9 million in FY 2026/27.
2. SALES TAX AUDIT SERVICES
2.1 Conduct Audits. Consultant will examine all sales and use tax records of the California Department of Tax and Fee Administration (CDTFA) pertaining to sales and use tax collected by the CDTFA on behalf of the City. Consultant will perform ongoing sales tax audits to identify and correct "point of sale" and use tax distribution errors and thereby generate previously unrealized sales and use tax revenue for the City. The cost of these services is included in Consultant’s Contingency Fees, as described in Exhibit B, unless otherwise specified.
Consultant’s sales and use tax audit services will include the following distinct types of audits and services, at a minimum:
2.1.1. Nexus Field Audits. Consultant will conduct field inventories of the City’s businesses and industrial areas to identify businesses located within the City that appear to be under-reporting revenues or are not on the CDTFA allocations roles. Consultant will utilize specially trained field auditors to complete physical canvassing and evaluation of sales/use tax generating businesses located in the City to detect misallocations as a result of errors including but not limited to: registration errors, including erroneous consolidation of multiple outlets, misreporting of point of sale from an erroneous location, and delays in reporting new outlets.
2.1.2. Tax Area Code (TAC)/Permit Audits. Consultant will review every active account on the CDTFA’s allocation roles reporting $50 or more in local tax to ensure proper TAC assignment. A complete TAC review will be performed at least once every 3-6 months.
2.1.3. Deviation Assessment Audits. On a quarterly basis, Consultant will review Consultant’s statewide allocation database to identify all accounts for which there has been a substantial change in allocation pattern. The Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies/Exhibit A-Scope of Services Page 2 Rev. 07-01-18
review is applied to direct allocations and to county pools to allow for a broad view and understanding of misallocations within a given quarter.
2.1.4. Use Tax Errors and Opportunities. On a quarterly basis, Consultant will analyze the tax allocation pools of the State of California and all counties to identify instances where a taxpayer may have misidentified a transaction as use tax rather than sales tax. Consultant will provide additional specialized review to identify direct allocations opportunities of local use tax, including but not limited to opportunities available pursuant to CDFTA Regulations 1802(d), 1699.6, and 1521.
2.1.5. Accounts Payable Audits. Upon the request of the City, at no additional cost, Consultant will review the City’s purchasing activity to identify specific individual transactions that may qualify for direct allocation of local use tax or transactions tax. Consultant will support the City with the preparation of appropriate forms, schedules, and supporting documentation to facilitate capture of these funds, and will provide assistance preparing and filing the City’s tax returns.
2.1.6. Quarterly Distribution Report Audits. On a quarterly basis, upon receipt and processing of allocation data from CDTFA, Consultant will review all significant accounts on the City’s allocation roll to identify and correct any reporting errors that may have caused a misallocation of local sales or use tax. Consultant will summarize its findings in a Quarterly Distribution Report (QDR) with the local allocation amount reflected by sales tax permit number.
2.1.7. Regulation 1699 Evaluations. Consultant will use its proprietary methods to find companies that should be taking out permits so that those revenues are allocated to the City.
2.2. Reporting Error Correction Services
2.2.1. Development of Correction Data. Consultant will utilize an audit team with specialized training to contact target businesses identified through the audit services to determine whether a point-of-sale/use reporting error exists. Interviews will be conducted in a business friendly, non-intrusive manner that emphasizes cooperation and protection of confidentiality.
Consultant will provide information requested by the business that may assist the business in completing and filing corrected tax returns, but will not provide legal or tax preparation advice, nor file returns on behalf of the business. Consultant will maintain confidentiality of all taxpayer/business information in accordance with applicable state and local laws.
2.2.2. Documentation. Businesses contacted by telephone will be provided with a follow-up questionnaire or written confirmation of findings. Consultant will Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies/Exhibit A-Scope of Services Page 3 Rev. 07-01-18
file this documentation with the petition to minimize CDTFA processing time.
2.2.3. City Review: On a quarterly basis, Consultant will provide the City and CDTFA with a report of all revenue recovery work in progress. The quarterly report will include an electronic Work Authorization which, once approved, will include active links to copies of all inquiries filed with the CDTFA on the City’s behalf. This information will be archived and accessible to authorized users at any time through Consultant’s client portal. Additionally, Consultant will keep City apprised of any additional oral or written communication with CDTFA on any matter directly impacting the City.
These reports will also contain quarterly invoices that list, at a minimum, the business name, audit period start date, permit number, cumulative local allocation amount received by the City and the amount due to Consultant.
Consultant will also track all eligible quarters to be invoiced based on the actual tax return quarter (not payment distribution quarter, which can contain multiple quarters) and reconcile with the QDR from the CDTFA, which will be provided with Consultant’s invoice. The City reserves the right to verify and approve all reconciliations prior to payment.
2.2.4. Preparation and Submittal of Corrections: Consultant will prepare petitions (CDTFA Form 549-S or 549-L) notifying CDTFA of the existence and nature of misallocations. Consultant will respond to negative findings by CDTFA with timely reconfirmation documentation in order to preserve the City’s original Dates of Knowledge (defined as the quarters during which Consultant notifies the CDTFA of the existence of a misallocation).
Consultant will coordinate corrective action with businesses and CDTFA and represent the City before state officials, boards, commissions and committees for the purpose of correcting sales tax distribution errors. This includes representing the City at hearings before the CDTFA related to incorrect allocations of tax. All correspondence and hearing materials will be documented and submitted to the City for record retention.
2.2.5. Continuous Follow-Up: Consultant will actively monitor and follow-up on audit case inventory by maintaining an ageing report, updated monthly, and appropriate follow-up on cases that are taking an inordinate amount of time to correct.
2.3. Audit Schedule
The table below provides a summary of the frequency of the audit services described above. Any changes to these frequencies are subject to the City’s review and written authorization.
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Audit Category Frequenc y
Nexus Audit Within thirty (30) days of contract
execution.
Tax Area Code/Permit Audits Minimum once ever y 3-6 months Deviation Assessment Audits Minimum once per quarte r
Use Tax Errors and Opportunities Minimum once per quarte r Accounts Payable Audits As requested by the City
Quarterly Distribution Report Audits Minimum once per quarte r Regulation 1699 Evaluations Minimum once every 3 – 6 months
3. SALES TAX MANAG EMENT SERVICES
On an ongoing basis, unless otherwise specified below, Consultant will provide the following sales tax management services. The cost of these services is included in Consultant’s Sales Tax Management Services Fees, as described in Exhibit B, unless otherwise specified.
3.1. Use Tax Maximization. Identify businesses that mi ght present potential self- assessed use tax opportunities, meet with businesses to advise on sub- permits and reporting procedures, and provide materials and advice on purchasing companies and direct payment permits.
3.1.1. Upon the request of the City, at no additional cost, Consultant will assist with inserting provisions in conditional use permits and development agreements to guarantee that use tax maximization procedures are followed and will monitor projects and subcontractors to make certain that sales tax is properly allocated back to Santa Clara.
3.1.2. Consultant will identify additional opportunities for the City to recover or maximize local allocation on purchase transactions subject to use tax.
Consultant will prepare the necessary documentation to facilitate recovery, including assistance in preparing and filing the returns. Consultant will also assist the City in analyzing City vendors for potential use tax opportunities and will identify purchases over $500,000 that qualify for use tax self- accrual.
3.2. Provide Sales and Use Tax Data. On a quarterly basis, a principal of Consultant will analyze City data, meet with appropriate City officials to review Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies/Exhibit A-Scope of Services Page 5 Rev. 07-01-18
trends and make recommendations regarding the budget implications of the year’s data. This will include current and historical sales tax data on sales tax remittances at the payor level and with the following data types: fiscal year and quarter of remittance (to understand trends in cash received); fiscal year and quarter of revenue earned (to understand trends in economic activity); high level economic sector (e.g. general retail, business-to-business) and more detailed subsector identifier (e.g. apparel stores) and/or four-digit NAICS code and CDTFA category if possible to facilitate comparisons; address, organized into geocode or other neighborhood designation; and name of owner or permit holder.
3.2.1. Consultant will perform data validation and scrubbing techniques on an ongoing basis to fix business addresses and re-categorize merchants as appropriate. Consultant will create and group businesses into additional categories and classifications, not provided by the CDTFA, to better track new and emerging economic trends.
3.2.2. Upon the request of the City, and provided as an additional service, a principal of Consultant will meet with committees of the City Council, advisory committees, and other groups to explain sales tax regulations, economic trends and legislative proposals that will impact the City’s tax base.
3.2.3. Upon the request of the City, at no additional cost, Consultant will provide sales tax estimates for proposed projects, assist with budget projections and answer sales and use tax questions related to economic development, budgeting and related revenue collection.
3.2.4. Upon the request of the City, and provided as an additional service, , Consultant will conduct technical seminars for City personnel on California sales and use tax processes. Seminars will cover the fundamentals of direct payment permits, purchasing corporations and maximizing “use tax” from construction projects.
3.2.5. Data will be maintained and produced in a format allowing the City to export data into a Microsoft Access and/or Excel-compatible format allowing for integration of various databases, such as business license and property tax. Consultant will provide City staff with training on the use of any proprietary data management software system at no additional cost. Consultant will also provide comparable aggregate quarterly sales and use tax data by economic segment for the state as a whole and for as many California counties and Bay Area cities as possible.
3.2.6. Data will be updated quarterly as soon as possible following receipt from the CDTFA while maintaining an option to retrieve historical sales tax remittances data for all payors regardless of their current tax payment status. Consultant will either provide geographical data mapping capability Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Companies/Exhibit A-Scope of Services Page 6 Rev. 07-01-18
in its proprietary system or provide City staff with address data in a format which would allow staff to export and map data.
3.3. Reporting Services
3.3.1. Consultant will provide quarterly sales tax reports by individual businesses, business type and geographic areas specified by the City.
Reports will include major sales tax producers by both rank and category, analysis of sales tax activity by category, business or geographic areas specified by the City. Retailer information will be provided in grouped form or in business-by-business detail. Reports will be provided in conjunction with the quarterly meeting with the Consultant’s Principal.
3.3.2. Consultant will provide quarterly analyses and reports on the City's sales and use tax trends in relationship to the State and surrounding market region.
3.3.3. Quarterly sales tax reports are provided on both a cash and adjusted basis. Cash reports reconcile to CDTFA payments and are necessary for any revenue sharing agreements that the City might have in place.
Reports on an adjusted basis shift payment aberrations into the quarter where the sales occurred to accurately show the City’s true economic trends.
3.3.4. Consultant will provide City with unlimited access to its quarterly updated web-based sales tax system to facilitate “in-house” analysis and printing of reports. This system will allow City staff to search, print, and export sales tax data, including archived quarterly sales tax reports, and search all sales tax producers by business name, address, CDTFA account number, and current and historical sales tax allocations. The reporting will also provide a further breakdown of data into business types for the City beyond the NAICS codes.
3.3.5. Consultant will provide a report with the history of new revenue discovered vs. fees charged to the City.
3.3.6. Consultant will provide City staff with training on the use of its web-based sales tax system and will provide ongoing system upgrades, at no additional cost.
3.3.7. Consultant will provide the City with specialized charts and data tables, presentation data and presenters for public meetings and events.
3.3.8. The Consultant will provide a non-confidential newsletter to support management’s efforts to inform and engage the public.
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3.4. Sales and Use Tax Projections
3.4.1. Twice annually, Consultant will provide annual, 3-year and 5-year forecasts of the City’s general Sales Tax and Prop 172 Sales Tax.
Projection reports will be provided according to the following schedule:
3.4.1.1. An initial report will be provided in January of each year, based on 3rd Quarter data from the prior year.
3.4.1.2. A mid-year report will be provided in April of each year, based on 4th Quarter data from the prior year.
3.4.1.3. Consultant will factor out payment aberrations that skew the base revenue and factor in known changes such as new or closed businesses.
3.4.2. A 10-year forecast report is available upon the request of the City, subject to an additional cost.
3.5. Legislative Support Services
Upon the request of the City, Consultant will provide the following legislative support activities.
3.5.1. Consultant will serve as the City’s resource and provide assistance, resolution, and follow-up services on sales and use tax related questions, legislative and regulation issues, and economic development.
3.5.2. Consultant will prepare legislative updates to keep City apprised of all proposed changes to regulatory language in CDTFA regulations or other proposals that may impact local revenues. Additionally, Consultant will provide Issue Updates that address specific issues such as Sales Tax Participation Agreements, legal decisions or regulatory changes.
3.5.3. Consultant will take action, subject to City review and approval, on measures that threaten and delay revenue cash flows to the City. This could include attending legislative hearings and explaining to the City the potential effect of proposed legislation on the City.
3.5.4. Consultant will advocate and provide problem-solving and resolution assistance to the City on issues as needed and as requested by the City.
Consultant will work with City staff to develop language for review and approval by the City, prior to distribution, that would preserve, protect and enhance City revenues.
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4. COMPLIANCE WITH FEDERAL, ST ATE & LOCAL RULES & REGULATIONS Pursuant to Section 7056 of the State of California Revenue and Taxation Code which specifically limits the disclosure of confidential taxpayer information contained in the records of the CDTFA, Consultant will comply with the following conditions:
4.1 All data, records, and reports relating to the sales and use tax whether in existence at the execution date of the agreement hereof or compiled thereafter in the course of performing the services, will be treated by Consultant and its subcontractors as the exclusive property of the City of Santa Clara, and the furnishing of such records, or access to such items by, the City of Santa Clara and/or its subcontractors, and taxpayers will not grant any express or implied interest in or license to the Consultant and/or its subcontractors relating to such records other than as is necessary to perform and provide the services to the City of Santa Clara. Upon request by the City of Santa Clara any time and from time to time and without regard to the default status of the parties under the agreement, Consultant and/or its subcontractors will promptly deliver to the City of Santa Clara the records in electronic format and in such hard copy as exists on the date of the request by the City of Santa Clara.
4.2 Consultant will ensure that appropriate security protections are in place to store, process, or transmit City data that are sensitive or confidential in nature.
4.3 Consultant will disclose information contained in, or derived from those sales, use or transactions and use tax records only to an officer or employee of the City who is authorized by resolution to examine the information.
4.4 Consultant is prohibited from performing consulting services for a retailer, as defined in California Revenue & Taxation Code Section 6015, during the term of the agreement.
4.5 Consultant is prohibited from retaining the information contained in or derived from those sales or transactions and use tax records, after the contract has ended. Information obtained by examination of CDTFA records will be used only for purposes related to collection of local sales and use tax or for other governmental functions of the City as set forth by resolution adopted pursuant to Section 7056 (b) of the Revenue and Taxation Code. The resolution will designate the Consultant as a person authorized to examine sales and use tax records and certify that the terms of contract meet the requirements set forth above and in Section 7056 (b), (1) of the Revenue and Taxation Code.
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5. DELIVERABLES
The specific deliverables to be provided to the City pursuant to the provision of Services include, but are not limited to, the following:
5.1. Quarterly Reports based on CDFTA data
5.2. Quarterly sales tax meetings
5.3. Quarterly audit reports with quarterly sales tax recovery invoices
5.4. Access to Consultant’s web-based sales tax application
5.5. Monthly HeadLines e-new Service
5.6. Quarterly Consensus Forecast and Webinar
5.7. Sales Tax White Papers and Legislative Updates
5.8. Copies of petition forms (CDTFA-549-S), spreadsheets, and supporting documenting on file with CDFTA.
5.9. Copies of appeals documentation filed with either the CDTFA Appeals Bureau or Office of Tax Appeals (OTA)
5.10. Annual Recovery Reports
5.11. Biannual Projection Reports
6. ADDITIONAL SERVICES
Upon request by the City, the Consultant may provide additional services related to those within this Agreement but not expressly described in this Scope of Services, including but not limited to preparation of a ten-year projection report, Transaction Tax audit and monitoring services, special meetings described in Section 3.2.2, and facilitation of technical seminars described in 3.2.4.
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EXHIBIT B
SCHEDULE OF FEES
1. SALES TAX AUDIT SERVICES
1.1. The City’s compensation to Consultant for providing sales tax audit services is contingent on the amount of revenue recovered by Consultant, in accordance with the fee schedule below. This fee will constitute the full and complete compensation for such services and will include all direct and indirect costs incurred by Consultant, including but not limited to personnel, travel, subcontracting, and software.
Tier Recovered Revenue¹ Contingency Fee
1 $1 - $2.5 Million 13% of Recovered Revenue
2 over $2.5 Million 10% of Recovered Revenue
¹Recovered Revenue will be the cumulative amount recovered during the full term of the Agreement (July 1, 2026 through June 30, 2031).
1.2 Consultant will limit the number of quarters to which a Contingency Fee can apply to no more than six (6) consecutive reporting quarters, commencing with the first quarter in which the County receives the recovered revenue and no more than nine (9) quarters total, including retroactive quarterly adjustments.
One Hundred Percent (100%) of all new revenue generated by Consultant will flow to the City after completion of the six (6) quarters.
2. SALES TAX MA NAGEMENT SERVICES
The City’s compensation to Consultant for sales tax management services will be One Thousand Dollars ($1,000) per month, commencing July 1, 2027, and continuing throughout the term of the Agreement. In no event will the City be charged for such services prior to July 1, 2027.
Beginning July 1, 2028, and annually thereafter for the duration of the Agreement, the monthly fee will increase in accordance with the percentage change in the Consumer Price Index for the preceding twelve-month period, not to exceed 5%.
3. ADDITIONAL SERVICES
3.1. Ten-year projection. Upon the request of the City, Consultant will prepare a ten-year projection report for a fixed fee of $2,500 per report.
3.2 Additional services. Additional services requested by the City will be performed on a time-and-materials basis or for a negotiated fixed fee, Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 I I
authorized in writing by the City. In either case, compensation will be based on the hourly rates listed below.
Additional services that result in the maximum compensation of this Agreement to be exceeded will require a formal amendment to the Agreement. No additional services will be performed without prior written authorization from the City.
4. RATE ADJUSTMENTS
Adjustments to Consultant’s hourly rates may be negotiated no more than once annually. Consultant will submit any proposed rate adjustments in writing to the City at least ninety (90) days prior to the requested effective date. Rate increases will be made in accordance with the percentage change in the Consumer Price Index, not to exceed 5%. Any proposed rate adjustments are subject to approval by the City and must be substantiated by the Consultant to the satisfaction of the City.
Position Hourly Rate
Principal $325
Programmer $295
Senior Analyst $245
Analyst $195
5. INVOICE AND PAYMENT
Consultant will bill the City for Services as further described below. All invoices, regardless of the category of service provided, will be provided on an invoice and in a format approved by the City and subject to verification and approval by the City.
City will pay Consultant within thirty (30) days of receipt of an approved invoice, unless otherwise stated below.
5.1. Sales Tax Audit Services
5.1.1. Audit fees will be billed only after completion of the audit, submittal of corrections to the CDTFA, and receipt of revenues to the City. Consultant will not bill for audit services until City has actually received said monies.
Further, if during the billing cycle, a taxpayer receives a refund for overpayment of taxes generated during that cycle, Consultant will credit back any proportionate share of the fee that may have been levied.
5.1.2. Invoices will be submitted on a quarterly basis after the City has received the revenue from the audit correction. At a minimum, invoices will include the name, address, and sales tax registration number of each company, and the specific amount of revenue allocated by the CDTFA to the City for those businesses.
Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77
5.1.3. If a misallocation correction involves additional revenue from a company that had already been partially allocating revenues to the City, the City and Consultant will agree in writing, prior to billing, the methodology for identifying the incremental revenue attributable to Consultant’s work.
5.2. Sales Tax Management Services
Beginning July 1, 2027, Consultant will bill City on a monthly basis for Sales Tax Management Services providing during the preceding month.
5.3 Additional Services
For additional services provided on a time and materials basis, Consultant will bill City on a monthly basis for services provided during the preceding month. For additional services provided on a fixed fee basis, Consulting will bill the City according to payment milestones established during negotiations and authorized in writing by the City.
6. ADDITIONAL PAYMENT PROVISIONS
6.1. Pre-Payment. City will not be required to pay a deposit or any other form of pre-payment prior to Consultant beginning the Services.
6.2. Billing for Billing. The City will not pay for time associated with administrative or billing-related tasks, including but not limited to preparing responses to Work Requests, addressing billing issues, or communicating with auditors.
6.3. Payment Limited to Satisfactory Work. Consultant is not entitled to any payments until the City concludes that the Services and/or any furnished deliverables have been satisfactorily performed.
6.4. Accurate Invoice. Invoices will be accurate, itemized, and submitted in a form acceptable to the City. If an invoice is incomplete or inaccurate, the City may return it to Consultant for correction and resubmittal before payment can be processed. Consultant will not charge the City any interest, late fees, or penalties on any outstanding or delayed invoices due to inaccurate billing.
6.5. Payment. If there are no discrepancies or deficiencies in the submitted invoice , City will process the invoice for payment.
6.6. Confidential. Invoices and related payment documentation are public records and are not confidential, even if marked as confidential when submitted by Consultant.
Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77
EXHIBIT C
INSURANCE REQUIREMENTS
Without limiting the Consultant’s indemnification of the City, and prior to commencing any of the Services required under this Agreement, the Consultant will provide and maintain in full force and effect during the period of performance of the Agreement and for twenty-four (24) months following acceptance by the City, at its sole cost and expense, the following insurance policies from insurance companies authorized to do business in the State of California. These policies will be primary insurance as to the City of Santa Clara so that any other coverage held by the City will not contribute to any loss under Consultant’s insurance. The minimum coverages, provisions and endorsements are as follows:
A. COMMERCIAL GENERAL LIABILITY INSURANCE
1. Commercial General Liability Insurance policy which provides coverage at least as broad as Insurance Services Office form CG 00 01. Policy limits are subject to review, but will in no event be less than, the following:
$1,000,000 Each Occurrence
$2,000,000 General Aggregate
$2,000,000 Products/Completed Operations Aggregate
$1,000,000 Personal Injury
2. Exact structure and layering of the co verage will be left to the discretion of Consultant; however, any excess or umbrella policies used to meet the required limits will be at least as broad as the underlying coverage and will otherwise follow form.
3. The following provisions will apply to the Commercial Liability policy as well as any umbrella policy maintained by the Consultant to comply with the insurance requirements of this Agreement:
a. Coverage will be on a “pay on behalf” basis with defense costs payable in addition to policy limits;
b. There will be no cross liability exclusion which precludes coverage for claims or suits by one insured against another; and c. Coverage will apply separately to each insured against whom a claim is made or a suit is brought, except with respect to the limits of liability.
Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77
B. BUSINESS AUTOMOBILE LIABILITY INSURANCE
Business automobile liability insurance policy which provides coverage at least as broad as ISO form CA 00 01 with policy limits of not less than one million dollars ($1,000,000) each accident using, or providing coverage at least as broad as, Insurance Services Office form CA 00 01. Liability coverage will apply to all owned (if any), non-owned and hired autos.
C. WORKERS’ COMPENSATION
1. Workers’ Compensation Insurance Policy as required by statute and employer’s liability with limits of at least one million dollars ($1,000,000) policy limit Bodily Injury by disease, one million dollars ($1,000,000) each accident/Bodily Injury and one million dollars ($1,000,000) each employee Bodily Injury by disease.
2. The indemnification and hold harmless obligations of Consultant included in this Agreement will not be limited in any way by any limitation on the amount or type of damage, compensation or benefit payable by or for Consultant or any subcontractor under any Workers’ Compensation Act(s), Disability Benefits Act(s) or other employee benefits act(s).
3. This policy must include a Waiver of Subrogation in favor of the City of Santa Clara, its City Council, commissions, officers, employees, volunteers and agents.
D. PROFESSIONAL LIABILITY
Professional Liability or Errors and Omissions Insurance as appropriate will be written on a policy form coverage specifically designed to protect against negligent acts, errors or omissions of the Consultant. Covered services as designated in the policy must specifically include work performed under this agreement. Coverage will be in an amount of not less than one million dollars ($1,000,000) per claim or two million dollars ($2,000,000) aggregate. Any coverage containing a deductible or self-retention must first be approved in writing by the City Attorney’s Office.
E. COMPLIANCE WITH REQUIREMENTS
All of the following clauses and/or endorsements, or similar provisions, must be part of each commercial general liability policy, and each umbrella or excess policy.
1. Additional Insureds. City of S anta Clara, its City Council, commissions, officers, employees, volunteers and agents are hereby added as additional insureds in respect to liability arising out of Consultant’s work for City, using Insurance Services Office (ISO) Endorsement CG 20 10 11 85, Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77
or the combination of CG 20 10 03 97 and CG 20 37 10 01, or its equivalent.
2. Primary and non-contributing. Ea ch insurance policy provided by Consultant will contain language or be endorsed to contain wording making it primary insurance as respects to, and not requiring contribution from, any other insurance which the indemnities may possess, including any self-insurance or self-insured retention they may have. Any other insurance indemnities may possess will be considered excess insurance only and will not be called upon to contribute with Consultant’s insurance.
3. Cancellation.
a. Each insurance policy will contain language or be endorsed to reflect that no cancellation or modification of the coverage provided due to non-payment of premiums will be effective until written notice has been given to City at least ten (10) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice will be given at least ten (10) days prior to the effective date of non-renewal.
b. Each insurance policy will contain language or be endorsed to reflect that no cancellation or modification of the coverage provided for any cause save and except non-payment of premiums will be effective until written notice has been given to City at least thirty (30) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice will be given at least thirty (30) days prior to the effective date of non- renewal.
4. Other Endorsements. Other endorsements may be required for policies other than the commercial general liability policy if specified in the description of required insurance set forth in Sections A through E of this Exhibit C, above.
F. ADDITIONAL INSURA NCE RELATED PROVISIONS
Consultant and City agree as follows:
1. Consultant agrees to ensure that subcontractors, and any other party involved with the Services, who are brought onto or involved in the performance of the Services by Consultant, provide the same minimum insurance coverage required of Consultant, except as with respect to limits. Consultant agrees to monitor and review all such coverage and assumes all responsibility for ensuring that such coverage is provided in conformity with the requirements of this Agreement. Consultant agrees that upon request by City, all agreements with, and insurance compliance Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77
documents provided by, such subcontractors and others engaged in the project will be submitted to City for review.
2. Consultant agrees to be responsible for ensuring that no contract used by any party involved in any way with the project reserves the right to charge City or Consultant for the cost of additional insurance coverage required by this Agreement. Any such provisions are to be deleted with reference to City. It is not the intent of City to reimburse any third party for the cost of complying with these requirements. There will be no recourse against City for payment of premiums or other amounts with respect thereto.
3. The City reserves the right to wit hhold payments from the Consultant in the event of material noncompliance with the insurance requirements set forth in this Agreement.
G. EVIDENCE OF COVERAGE
Prior to commencement of any Services under this Agreement, Consultant, and each and every subcontractor (of every tier) will, at its sole cost and expense, provide and maintain not less than the minimum insurance coverage with the endorsements and deductibles indicated in this Agreement. Such insurance coverage will be maintained with insurers, and under forms of policies, satisfactory to City and as described in this Agreement. Consultant will file with the City all certificates and endorsements for the required insurance policies for City’s approval as to adequacy of the insurance protection.
H. EVIDENCE OF COMPLIANCE
Consultant or its insurance broker will provide the required proof of insurance compliance, consisting of Insurance Services Office (ISO) endorsement forms or their equivalent and the ACORD form 25-S certificate of insurance (or its equivalent), evidencing all required coverage will be delivered to City, or its representative as set forth below, at or prior to execution of this Agreement.
Upon City’s request, Consultant will submit to City copies of the actual insurance policies or renewals or replacements. Unless otherwise required by the terms of this Agreement, all certificates, endorsements, coverage verifications and other items required to be delivered to City pursuant to this Agreement will be mailed to:
EBIX Inc.
City of Santa Clara Finance Department
P.O. Box 100085 – S2 or 1 Ebix Way
Duluth, GA 30096 John’s Creek, GA 30097
Telephone number: 951-766-2280
Fax number: 770-325-0409
Email address: [email protected]
Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77
I. QUALIFYING INSURERS
All of the insurance companies providing insurance for Consultant will have, and provide written proof of, an A. M. Best rating of at least A minus 6 (A- VI) or will be an insurance company of equal financial stability that is approved by the City or its insurance compliance representatives.
Docusign Envelope ID: 96B96662-9603-8DB3-83BC-D262E36BAD77 Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 1 of 21 Rev. 07-01-18
EBIX Insurance No. S200003738
AGREEMENT FOR SERVICES
BETWEEN THE
CITY OF SANTA CLARA, CALIFORNIA,
AND
HDL COREN & CONE
PREAMBLE
This Agreement (“Agreement”) dated ________________ (“Effective Date”) is entered into between the City of Santa Clara, California, a chartered California municipal corporation (“City”) and HdL Coren & Cone, a California corporation (“Consultant”). City and Consultant may be referred to individually as a “Party” or collectively as the “Parties” or the “Parties to this Agreement.”
RECITALS
A. City desires to secure the services (“S ervices”) more fully described in this Agreement, at Exhibit A, entitled “Scope of Services”;
B. Consultant represents that it, and its subcontractors, if any, have the professional qualifications, expertise, necessary licenses and desire to provide certain goods and/or required services of the quality and type which meet objectives and requirements of City; and,
C. The Parties have specified herein the terms and conditions under which such services will be provided and paid for.
In consideration of the above Recitals and the mutual covenants contained therein, the Parties agree as follows:
AGREEMENT TERMS AND CONDITIONS
1. AGREEMENT DOCUMENTS
The documents forming the entire Agreement between City and Consultant will consist of these Terms and Conditions and the following Exhibits, which are hereby incorporated into this Agreement by this reference:
Exhibit A – Scope of Services
Exhibit B – Schedule of Fees
Exhibit C – Insurance Requirements
This Agreement, including the Exhibits set forth above, contains all the agreements, representations and understandings of the Parties, and supersedes Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 2 of 21 Rev. 07-01-18
and replaces any previous agreements, representations and understandings, whether oral or written. In the event of any inconsistency between the provisions of any of the Exhibits and the Terms and Conditions, the Terms and Conditions will govern and control.
2. TERM OF AGREEMENT
Unless otherwise set forth in this Agreement or unless this paragraph is subsequently modified by a written amendment to this Agreement, the term of this Agreement will begin on July 1, 2026 and terminate on June 30, 2031.
3. SCOPE OF SERVICES & PERFORMANCE SCHEDULE
Consultant will perform those Services specified in Exhibit A within the time stated in Exhibit A. Time is of the essence.
4. WARRANTY
Consultant expressly warrants that all materials and services covered by this Agreement will be fit for the purpose intended, will be free from defect and will conform to the specifications, requirements and instructions upon which this Agreement is based. Consultant agrees to promptly replace or correct any incomplete, inaccurate or defective Services at no further cost to City when defects are due to the negligence, errors or omissions of Consultant. If Consultant fails to promptly correct or replace materials or services, City may make corrections or replace materials or services and charge Consultant for the cost incurred by City.
5. QUALIFICATIONS OF CONSU LTANT - STANDARD OF CARE
Consultant represents and maintains that it has the expertise in the professional calling necessary to perform the Services, and its duties and obligations, expressed and implied, contained herein, and City expressly relies upon Consultant’s representations regarding its skills and knowledge. Consultant will perform such Services and duties in conformance to and consistent with the professional standards of a specialist in the same discipline in the State of California.
6. COMPENSATION AND PAYMENT
In consideration for Consultant’s complete performance of Services, City will pay Consultant for all materials provided and Services rendered by Consultant in accordance with Exhibit B, entitled “SCHEDULE OF FEES.” The maximum compensation of this Agreement is Two Hundred Thousand Dollars ($200,000), subject to budget appropriations, which includes all payments that may be authorized for Services and for expenses, supplies, materials and equipment required to perform the Services. All work performed or materials Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 3 of 21 Rev. 07-01-18
provided in excess of the maximum compensation will be at Consultant’s expense. Consultant will not be entitled to any payment above the maximum compensation under any circumstance.
7. TERMINATION
A. Termination for Convenience. City will have the right to terminate this Agreement, without cause or penalty, by giving not less than Thirty (30) days’ prior written notice to Consultant.
B. Termination for Default. If Consultant fails to perform any of its material obligations under this Agreement, in addition to all other remedies provided by law, City may terminate this Agreement immediately upon written notice to Consultant.
C. Upon termination, each Party will assist the other in arranging an orderly transfer and close-out of services. As soon as possible following the notice of termination, but no later than ten (10) days after the notice of termination, Consultant will deliver to City all City information or material that Consultant has in its possession.
8. ASSIGNMENT AND SUBCONTRACTING
City and Consultant bind themselves, their successors and assigns to all covenants of this Agreement. This Agreement will not be assigned or transferred without the prior written approval of City. Consultant will not hire subcontractors without express written permission from City.
Consultant will be as fully responsible to City for the acts and omissions of its subcontractors, and of persons either directly or indirectly employed by them, as Consultant is for the acts and omissions of persons directly employed by it.
9. NO THIRD PA RTY BENEFICIARY
This Agreement will not be construed to be an agreement for the benefit of any third party or parties and no third party or parties will have any claim or right of action under this Agreement for any cause whatsoever.
10. INDEPENDENT CONTRACTOR
Consultant and all person(s) employed by or contracted with Consultant to furnish labor and/or materials under this Agreement are independent contractors and do not act as agent(s) or employee(s) of City. Consultant has full rights to manage its employees in their performance of Services under this Agreement.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 4 of 21 Rev. 07-01-18
11. CONFIDENTIALITY OF MATERIAL
All ideas, memoranda, specifications, plans, manufacturing procedures, data, drawings, descriptions, documents, discussions or other information developed or received by or for Consultant and all other written information submitted to Consultant in connection with the performance of this Agreement will be held confidential by Consultant and will not, without the prior written consent of City, 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 Consultant which is otherwise known to Consultant or becomes generally known to the related industry will be deemed confidential.
12. OWNERSHIP OF MATERIAL
All material, which will include, but not be limited to, data, sketches, tracings, drawings, plans, diagrams, quantities, estimates, specifications, proposals, tests, maps, calculations, photographs, reports, designs, technology, programming, works of authorship and other material developed, collected, prepared or caused to be prepared under this Agreement will be the property of City but Consultant may retain and use copies thereof. City will not be limited in any way or at any time in its use of said material. However, Consultant will not be responsible for damages resulting from the use of said material for work other than Project, including, but not limited to, the release of this material to third parties.
13. RIGHT OF CITY TO INSP ECT RECORDS OF CONSULTANT
City, through its authorized employees, representatives or agents will have the right during the term of this Agreement and for four (4) years from the date of final payment for goods or services provided under this Agreement, to audit the books and records of Consultant for the purpose of verifying any and all charges made by Consultant in connection with Consultant compensation under this Agreement, including termination of Consultant. Consultant agrees to maintain sufficient books and records in accordance with generally accepted accounting principles to establish the correctness of all charges submitted to City. Any expenses not so recorded will be disallowed by City. Consultant will bear the cost of the audit if the audit determines that there has been a substantial billing deviation in excess of five (5) percent adverse to the City.
Consultant will submit to City any and all reports concerning its performance under this Agreement that may be requested by City in writing. Consultant agrees to assist City in meeting City’s reporting requirements to the State and other agencies with respect to Consultant’s Services hereunder.
14. HOLD HARMLESS/INDEMNIFICATION
A. To the extent permitted by law, Cons ultant agrees to protect, defend, hold harmless and indemnify City, its City Council, commissions, officers, employees, volunteers and agents from and against any claim, injury, Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 5 of 21 Rev. 07-01-18
liability, loss, cost, and/or expense or damage, including all costs and attorney’s fees in providing a defense to any such claim or other action, and whether sounding in law, contract, tort, or equity, in any manner arising from, or alleged to arise in whole or in part from, or in any way connected with the Services performed by Consultant pursuant to this Agreement – including claims of any kind by Consultant’s employees or persons contracting with Consultant to perform any portion of the Scope of Services – and will expressly include passive or active negligence by City connected with the Services. However, the obligation to indemnify will not apply if such liability is ultimately adjudicated to have arisen through the sole active negligence or sole willful misconduct of City; the obligation to defend is not similarly limited.
B. Consultant’s obligation to protect, defend, indemnify, and hold harmless in full City and City’s employees, will specifically extend to any and all employment-related claims of any type brought by employees, contractors, subcontractors or other agents of Consultant, against City (either alone, or jointly with Consultant), regardless of venue/jurisdiction in which the claim is brought and the manner of relief sought.
C. To the extent Consultant is obligat ed to provide health insurance coverage to its employees pursuant to the Affordable Care Act (“Act”) and/or any other similar federal or state law, Consultant warrants that it is meeting its obligations under the Act and will fully indemnify and hold harmless City for any penalties, fines, adverse rulings, or tax payments associated with Consultant’s responsibilities under the Act.
D. The Parties expressly agree that this Section 14 (HOLD HARMLESS/INDEMNIFICATION) will survive the expiration or early termination of the Agreement.
15. INSURANCE REQUIREMENTS
During the term of this Agreement, and for any time period set forth in Exhibit C, Consultant will provide and maintain in full force and effect, at no cost to City, insurance policies as set forth in Exhibit C.
16. WAIVER
Consultant agrees that waiver by City of any one or more of the conditions of performance under this Agreement will not be construed as waiver(s) of any other condition of performance under this Agreement. Neither City’s review, acceptance nor payments for any of the Services required under this Agreement will be constructed 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.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 6 of 21 Rev. 07-01-18
17. NOTICES
All notices to the Parties will, unless otherwise requested in writing, be sent to City addressed as follows:
City of Santa Clara
Attention: Finance Department
1500 Warburton Avenue
Santa Clara, CA 95050
and by e-mail at [email protected]
And to Consultant addressed as follows:
HdL Coren & Cone
Paula Cone
and by e-mail at [email protected]
The workday the e-mail was sent will control the date notice was deemed given.
An e-mail transmitted after 1:00 p.m. on a Friday will be deemed to have been transmitted on the following business day.
18. COMPLIANCE WITH LAWS
Consultant will comply with all applicable laws and regulations of the federal, state and local government, including but not limited to “The Code of the City of Santa Clara, California” (“SCCC”). In particular, Consultant’s attention is called to the regulations regarding Campaign Contributions (SCCC Chapter 2.130), Lobbying (SCCC Chapter 2.155), Minimum Wage (SCCC Chapter 3.20), Business Tax Certificate (SCCC section 3.40.070), and Food and Beverage Service Worker Retention (SCCC Chapter 9.60), as such Chapters or Sections may be amended from time to time or renumbered. Additionally Consultant has read and agrees to comply with City’s Ethical Standards (http://santaclaraca.gov/home/showdocument?id=58299).
19. CONFLICTS OF INTEREST
Consultant certifies that to the best of its knowledge, no City officer, employee or authorized representative has any financial interest in the business of Consultant and that no person associated with Consultant has any interest, direct or indirect, which could conflict with the faithful performance of this Agreement. Consultant 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. Consultant will advise City if a conflict arises.
20. FAIR EMPLOYMENT
Consultant will not discriminate against any employee or applicant for employment because of race, sex, color, religion, religious creed, national origin, Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 7 of 21 Rev. 07-01-18
ancestry, age, gender, marital status, physical disability, mental disability, medical condition, genetic information, sexual orientation, gender expression, gender identity, military and veteran status, or ethnic background, in violation of federal, state or local law.
21. NO USE OF CITY NAME OR EMBLEM
Consultant will not use City’s name, insignia, or emblem, or distribute any information related to services under this Agreement in any magazine, trade paper, newspaper or other medium without express written consent of City.
22. GOVERNING LAW AND VENUE
This Agreement will 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 will 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.
23. SEVERABILITY CLAUSE
In case any one or more of the provisions in this Agreement will, for any reason, be held invalid, illegal or unenforceable in any respect, it will not affect the validity of the other provisions, which will remain in full force and effect.
24. AMENDMENTS
This Agreement may only be modified by a written amendment duly authorized and executed by the Parties to this Agreement.
25. COUNTERPARTS
This Agreement may be executed in counterparts, each of which will be deemed to be an original, but both of which will constitute one and the same instrument.
The Parties acknowledge and accept the terms and conditions of this Agreement as evidenced by the following signatures of their duly authorized representatives.
CITY OF SANTA CLARA, CALIFORNIA
a chartered California municipal corporation
Dated: Approved as to Form: -------------
GLEN R. GOOGINS
City Attorney
"CITY"
JOVAN D. GROGAN
City Manager
City of Santa Clara
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax: (408) 241-6771
HDL COREN AND CONE
a California corporation
Dated: _-..JJ...\Z-LE..¼~.t.44-"'-1M~'U~L------
By (Signature): ~ UJu..c
Name: Paula Cc:Me
Title: President
Principal Place of 120 S. State College Blvd., Suite 200 Business Address: Brea CA 92821 __ ....._ _____________ _ Email Address: [email protected]
Telephone: 714-879-800 x 307
Fax: 714-845-7364
"CONSULTANT"
Agreement with HdL Coren & Cone - Property Tax Audit & Management Services Rev. 07-01-18
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 9 of 21 Rev. 07-01-18
EXHIBIT A
SCOPE OF SERVICES
1. BACKGROUND
Property tax is the largest General Fund revenue source for the City, representing approximately 30% of revenues. Under Proposition 13, the assessed valuation of properties held by the same owner from year to year is adjusted each year by the lesser of 2.0% or the percent change in the October to October California Consumer Price Index (CCPI). Beyond the 2% inflation adjustment, growth in property tax receipts is driven by reassessments upon the sale of properties and new construction projects being added to the tax rolls. Overall, property tax revenue for FY 2025/26 is budgeted at $101.2 million. The City receives $10.19 of every $100 collected.
2. PROPERTY TAX MANAGEMENT SERVICES
2.1. General Services
2.1.1. Contractor will provide comprehensive property tax management services to ensure the complete and accurate receipt, recording, allocation, and reporting of property tax revenues and to maintain and enhance the City’s property tax revenue base.
2.1.2. Represent the City for purposes of examining records pertaining to property tax to identify and confirm any errors/omissions that are resulting in deficient payment of tax revenues to the City.
2.1.3. For each error/omission i dentified and confirmed, prepare documentation to substantiate and facilitate recovery of revenue due from prior periods plus applicable interest and penalties.
2.1.4. Meet with designated City official(s) as necessary to review findings and recommendations.
2.1.5. Provide detailed analysis of t he City’s property taxes, including a summary of annual performance, description of performance by property type, identification of major increases or decreases in property values and largest property tax payers, comparison with prior year performance, identification of pending appeals, discussion of real estate trends and property sales history (including price and number of transactions), and property tax revenue forecasting for the current year and the upcoming ten (10) years.
2.1.6. Provide additiona l assistance as necessary to support the City in recovering and preventing tax allocation errors/omissions.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 10 of 21 Rev. 07-01-18
2.1.7. Prepare and forward to the appropriate parties’ requests for corrective action and revenue recovery for misallocation.
2.2. Audit Method and Approach
2.2.1. Identification and Correction of Errors
2.2.1.1. Contractor will perform a comprehensive analysis of all secured parcels and unsecured assessments
within the City and Successor Agency to identify
errors resulting in the misallocation of property taxes.
2.2.1.2. Contractor will audit the secured and unsecured property tax rolls two ways, which will include a
countywide analysis to find parcels miscoded to other
jurisdictions and a review of the parcels within the
City, County or Successor Agency to verify that each
parcel is coded to the appropriate taxing entity.
2.2.1.3. The analysis will ident ify all parcels on both the secured and unsecured tax rolls and verify that parcel
assessed valuations and the resulting taxes are
correctly allocated to the City or its Successor
Agency. The review will include the lien date secured
and unsecured data for the current tax year as well as
historical data back for a total of two (2) tax years and be performed no less than every other year.
2.2.1.4. Contractor will utilize appropriate technology, methodologies, and qualified personnel to conduct the
analysis, including the use of specialized computer
software, assessor maps, City GIS maps, City
records, other pertinent documents, and field
investigations.
2.3. Reports and Analytical Services
2.3.1. Contractor will provide a variety of reports detailing property and revenue trends for the City and for custom defined geographic areas. Such reports will support budgeting, planning, economic development and public information needs, and may include, but are not limited to, listings of the top 25, 50, 100-property owner/taxpayer listings, multiple ownership properties, non-owner occupied parcels, identification of property ownership transfers for tracking of reassessments. Contractor will also provide quarterly reports of successful, pending, and historical assessment appeals.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 11 of 21 Rev. 07-01-18
2.3.2. Contractor will reconcile the annual Auditor/Controller Assessed Valuations Report and will furnish a breakdown of assessed values within the City and Successor Agency.
2.3.3. Contractor will utiliz e available property tax data sets to identify potential areas of unrecognized or underallocated revenue and provide analytical support to assist the City in evaluating such opportunities.
2.3.4. Contractor will pr ovide reports based on the current year lien date on an annual, quarterly or monthly basis, as appropriate and as directed by the City.
2.3.5. Contractor will provide the following reports as requested by the City:
2.3.5.1. A five-year history of the values within the City, and custom (city defined) geographic areas
2.3.5.2. A listing of the lar gest value changes, positive and negative between tax years
2.3.5.3. An annual parcel listi ng of properties with parcel number changes between tax years identifying parcel
splits and combines
2.3.5.4. A listing of the majo r property owners for the City including the combined assessed values of their
property and property use code designation
2.3.5.5. A listing and summary of property transfers which occurred since the lien date ordered by month
2.3.5.6. A listing of parcels that have not changed ownership since the enactment of Proposition 13
2.3.5.7. A comparison of property within the City by county use-code designation
2.3.5.8. A multiple year comp arison of growth by use code designation over a 5-year period
2.3.5.9. A listing by parcel of new construction activity to identify non-residential parcels with new construction
activity and to provide reports for use in the City's
preparation of Proposition 4 and 111 State
Appropriation Limit calculations
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 12 of 21 Rev. 07-01-18
2.3.5.10. An estimate of property tax revenue anticipated to be received for the current fiscal year by the City based
upon the initial information provided by the County
and subject to modification; this estimate will not be
used to secure the indebtedness of the City.
2.3.5.11. Analyses based on geo areas designated by the City to include assessed valuations and square footage
computations for use in economic analysis and
community development planning
2.3.5.12. Tracking of Proposition 8 reductions and restorations
2.3.5.13. Median sale price dat a for current year and prior years for comparison
2.3.5.14. Five-year budget projecti ons for the city general fund, Successor Agency, special districts, and Vehicle
License Fee in Lieu revenues; this report is interactive for tax modeling
2.3.5.15. Newsletter summary for public and elected
distribution
2.4. Information Provided Annually or Monthly
2.4.1. Contractor will prepare annual reports including a listing of property tax appeals filed on properties in the city and former RDA project areas. These reports are prepared for both the City General Fund and Successor Agency and include a history of all appeals filed, the disposition of those appeals, successful appeals, pending appeals, and a report to assist the City/Successor Agency in determining the potential impact of pending appeals.
2.4.2. Contractor will pr ovide access to a listing of property transfers that have occurred since the last report through the software application described in this Agreement. Such data will be updated on a monthly basis, and will include the name of the new owner/seller of the property, new mailing address if not the situs address, the date of sale, the sale price when verified, document number, and transaction type.
2.4.3. Contractor will provide a quarterly report identifying the average and median single family sale prices, which will include the same data for other client agencies within the same County, where available.
2.5. Property Tax Application and Database
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 13 of 21 Rev. 07-01-18
2.5.1. Contractor will provide t he City with access to a web-based software application for the purpose of accessing City’s property tax data. Contractor will update the data on a monthly basis to reflect changes in ownership, updated appeals filings, and deed recordings.
2.5.2. Contractor will provide all modifications, enhancements, upgrades, and new releases of the software at no additional cost to the City during the term of the Agreement.
2.5.3. Contractor will prov ide initial training to City staff within two months after the execution of the Agreement regarding the use of the software application and related property tax management and audit services. Contractor will provide additional training annually for new staff or as refresher training. Any additional training sessions requested by the City beyond such annual training may be provided at the hourly fees set forth in Exhibit B.
2.5.4. Contractor will pr ovide access to a user manual within the software application and will make support staff available Monday through Friday, 8 a.m. to 5 p.m. to answer questions and assist City staff on the use of the software. Assistance will be available either by phone or via email.
2.5.5. Contractor will grant the City a site license for the software application with no limit to the number of users. Contractor will not charge an annual maintenance fee for the software.
2.6. Successor Agency Services
2.6.1. Contractor will prepare annual tax increment projections and, as requested, cash flow analysis for the Successor Agency by project area.
2.6.2. Contractor will review Redevelopment Obligation Payment Schedules (ROPS) as requested.
2.6.3. Contractor will provide property tax information to the Oversight Board at the direction of the Successor Agency.
2.6.4. Contractor will pr ovide access to the Oversight Board to City and former redevelopment agency documents at the direction of the Successor Agency.
2.6.5. Contractor will monitor the County distribution of tax-sharing revenues to the taxing entities of the former redevelopment agency.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 14 of 21 Rev. 07-01-18
2.6.6. Contractor will provide advice and consultation on the City/Successor Agency’s preparation of required reports, such as revenue projections; review of Recognized Obligation Payment Schedules (ROPS), submittals to the Oversight Board and/or County or State agencies, and new or revised legislative requirements.
2.6.7. Contractor will analyze legisl ative and judicial matters impacting Redevelopment Property Tax Trust Fund (RPTTF) revenues to the Successor Agency and to the City.
2.7. ONGOING SUPPORT AND CONSULTATION
2.7.1. Contractor will serve as a res ource to the City on questions relating to property tax administration, including being available "on-call" to assist with any property tax issues. On-going consultation would include, but not be limited to inquiries resolved through use of the City data base. Contractor will respond to all requests for information based upon the County’s property tax data sets at no additional cost.
2.7.2. Any services requested by the City that require substantial additional research, development of special reports, or additional computer programming will be considered optional services at additional cost and will be performed only upon prior written authorization by the City.
2.7.3. Contractor attendance at Cit y and/or Successor Agency meetings will be provided as requested by the City and will be compensated as an additional service.
2.8. Timeline for Property Tax Analysis and Audit Services
2.8.1. Contractor will obtain County assessment roll data on an annual basis, typically available in or about July.
2.8.2. Contractor will make the softw are application available to the City via the internet within 30 days of the execution of the Agreement.
Parcel data will be updated monthly to include the most current ownership information due to parcel transfers.
2.8.3. Contractor will co mplete and submit the first secured audit to the Assessor no later than 60 days from the execution of the Agreement .
2.8.4. Contractor will perform subsequent audits no less than once every two years and submit such audits no later than March 1
st of the
applicable year.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 15 of 21 Rev. 07-01-18
2.8.5. Contractor will complete unsecured property tax audits within 120 days of receipt of the County assessment rolls and submit such audits to the County Assessor for corrective action. Contractor will provide the City with copies of all submittals simultaneously with submission to the County Assessor.
2.8.6. Contractor will perform data collection from the County Assessor's and Auditor Controller's offices, typically occurring in August and September each year. Contractor will provide preliminary reports to the City no later than January 31 of each year.
2.8.7. Contractor will in corporate final tax ratio percentages as released by the County Auditor Controller's office, typically in February or March. Contractor will prepare and deliver final reports to the City no later than April 30 of each year.
2.9. Legislative Updates
2.9.1. Contractor will m onitor and report on issues related to property tax and coordinate with City staff regarding enacted or proposed changes that may impact the City’s property tax revenues and administration.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 16 of 21 Rev. 07-01-18
EXHIBIT B
SCHEDULE OF FEES
1. MAXIMUM COMPENSATION
The total maximum compensation the City will pay the Consultant under this Agreement will not exceed Two Hundred Thousand Dollars ($200,000) during the term of the Agreement. Any additional fees, costs and expenses requested by the City that would exceed the preceding maximum amount will be addressed in an Amendment to the Agreement.
All services or work under this Agreement will be compensated in accordance with this Exhibit B.
2. STANDARD AND CONTINGENCY FEES
Based on the number of 30,334 parcels within the City, Contractor’s fees will be as follows:
Description Amount
Base Fee for Standard
Property Tax Services
$6,250 per quarter (up to 40,000 parcels). The
Base Fee includes all services described in
Exhibit A.
Contingency Fee 25% of net tax revenues actually received by the City in the audits performed over the period
allowable by State statute (current year and
three (3) prior lien date years). Net tax
revenues mean the taxes received by the City
throu
gh Consultant’s audit efforts.
Software Access Included at no additional cost.
The Base Fixed Fee will be adjusted annually by the Consumer Price Index (CPI) for All Urban Consumers (CPI-U), San Francisco-Oakland-Hayward, CA, All Items.
Consultant will not be reimbursed for any expenses incurred in the performance of this Agreement, unless previously approved in writing by the City.
3. ADDITIONAL SERVICES
The following hourly rates will only be utilized to the extent the City requests Contractor to perform services outside the defined scope of services. Any additional services will require prior written approval by the City.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 17 of 21 Rev. 07-01-18
Position Hourl y Rate
Partner $250
Principal $225
Programmer $200
Associate $175
Senior Analyst $125
Analyst $90
Administrative $70
4. INVOICING
Consultant will bill the City for Services on an invoice and in a format approved by the City and subject to verification and approval by the City. City will pay Consultant within thirty (30) days of City’s receipt of an approved invoice.
5. ADDITIONAL PAYMENT PROVISIONS
5.1. Pre-Payment. City will not be required to pay a deposit or any other form of pre-payment prior to Consultant beginning the Services.
5.2. Billing for Billing. The City will not pay for time associated with administrative or billing-related tasks, including but not limited to preparing responses to Work Requests, addressing billing issues, or communicating with auditors.
5.3. Payment Limited to Satisfactory Work. Consultant is not entitled to any payments until the City concludes that the Services and/or any furnished deliverables have been satisfactorily performed.
5.4. Accurate Invoice. Invoices will be accurate, itemized, and submitted in a form acceptable to the City. If an invoice is incomplete or inaccurate, the City may return it to Consultant for correction and resubmittal before payment can be processed. Consultant will not charge the City any interest, late fees, or penalties on any outstanding or delayed invoices due to inaccurate billing.
5.5. Payment. If there are no discrepancies or deficiencies in the submitted invoice , City will process the invoice for payment.
5.6. Confidential. Invoices and related payment documentation are public records and are not confidential, even if marked as confidential when submitted by Consultant.
Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 18 of 21 Rev. 07-01-18
EXHIBIT C
INSURANCE REQUIREMENTS
Without limiting the Consultant’s indemnification of the City, and prior to commencing any of the Services required under this Agreement, the Consultant will provide and maintain in full force and effect during the period of performance of the Agreement and for twenty-four (24) months following acceptance by the City, at its sole cost and expense, the following insurance policies from insurance companies authorized to do business in the State of California. These policies will be primary insurance as to the City of Santa Clara so that any other coverage held by the City will not contribute to any loss under Consultant’s insurance. The minimum coverages, provisions and endorsements are as follows:
A. COMMERCIAL GENERAL LIABILITY INSURANCE
1. Commercial General Liability Insurance policy which provides coverage at least as broad as Insurance Services Office form CG 00 01. Policy limits are subject to review, but will in no event be less than, the following:
$1,000,000 Each Occurrence
$2,000,000 General Aggregate
$2,000,000 Products/Completed Operations Aggregate
$1,000,000 Personal Injury
2. Exact structure and layering of the co verage will be left to the discretion of Consultant; however, any excess or umbrella policies used to meet the required limits will be at least as broad as the underlying coverage and will otherwise follow form.
3. The following provisions will apply to the Commercial Liability policy as well as any umbrella policy maintained by the Consultant to comply with the insurance requirements of this Agreement:
a. Coverage will be on a “pay on behalf” basis with defense costs payable in addition to policy limits;
b. There will be no cross liability exclusion which precludes coverage for claims or suits by one insured against another; and c. Coverage will apply separately to each insured against whom a claim is made or a suit is brought, except with respect to the limits of liability.
B. BUSINESS AUTOMOBILE LIABILITY INSURANCE
Business automobile liability insurance policy which provides coverage at least as broad as ISO form CA 00 01 with policy limits a minimum limit of not less than one million dollars ($1,000,000) each accident using, or providing coverage at Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 19 of 21 Rev. 07-01-18
least as broad as, Insurance Services Office form CA 00 01. Liability coverage will apply to all owned (if any), non-owned and hired autos.
C. WORKERS’ COMPENSATION
1. Workers’ Compensation Insurance Policy as required by statute and employer’s liability with limits of at least one million dollars ($1,000,000) policy limit Bodily Injury by disease, one million dollars ($1,000,000) each accident/Bodily Injury and one million dollars ($1,000,000) each employee Bodily Injury by disease.
2. The indemnification and hold harmless obligations of Consultant included in this Agreement will not be limited in any way by any limitation on the amount or type of damage, compensation or benefit payable by or for Consultant or any subcontractor under any Workers’ Compensation Act(s), Disability Benefits Act(s) or other employee benefits act(s).
3. This policy must include a Waiver of Subrogation in favor of the City of Santa Clara, its City Council, commissions, officers, employees, volunteers and agents.
D. PROFESSIONAL LIABILITY
Professional Liability or Errors and Omissions Insurance as appropriate will be written on a policy form coverage specifically designed to protect against negligent acts, errors or omissions of the Consultant. Covered services as designated in the policy must specifically include work performed under this agreement. Coverage will be in an amount of not less than one million dollars ($1,000,000) per claim or two million dollars ($2,000,000) aggregate. Any coverage containing a deductible or self-retention must first be approved in writing by the City Attorney’s Office.
E. COMPLIANCE WITH REQUIREMENTS
All of the following clauses and/or endorsements, or similar provisions, must be part of each commercial general liability policy, and each umbrella or excess policy.
1. Additional Insureds. City of S anta Clara, its City Council, commissions, officers, employees, volunteers and agents are hereby added as additional insureds in respect to liability arising out of Consultant’s work for City, using Insurance Services Office (ISO) Endorsement CG 20 10 11 85, or the combination of CG 20 10 03 97 and CG 20 37 10 01, or its equivalent.
2. Primary and non-contributing. Ea ch insurance policy provided by Consultant will contain language or be endorsed to contain wording making it primary insurance as respects to, and not requiring contribution Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 20 of 21 Rev. 07-01-18
from, any other insurance which the indemnities may possess, including any self-insurance or self-insured retention they may have. Any other insurance indemnities may possess will be considered excess insurance only and will not be called upon to contribute with Consultant’s insurance.
3. Cancellation.
a. Each insurance policy will contain language or be endorsed to reflect that no cancellation or modification of the coverage provided due to non-payment of premiums will be effective until written notice has been given to City at least ten (10) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice will be given at least ten (10) days prior to the effective date of non-renewal.
b. Each insurance policy will contain language or be endorsed to reflect that no cancellation or modification of the coverage provided for any cause save and except non-payment of premiums will be effective until written notice has been given to City at least thirty (30) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice will be given at least thirty (30) days prior to the effective date of non- renewal.
4. Other Endorsements. Other endorsements may be required for policies other than the commercial general liability policy if specified in the description of required insurance set forth in Sections A through E of this Exhibit C, above.
F. ADDITIONAL INSURA NCE RELATED PROVISIONS
Consultant and City agree as follows:
1. Consultant agrees to ensure that subcontractors, and any other party involved with the Services, who is brought onto or involved in the performance of the Services by Consultant, provide the same minimum insurance coverage required of Consultant, except as with respect to limits. Consultant agrees to monitor and review all such coverage and assumes all responsibility for ensuring that such coverage is provided in conformity with the requirements of this Agreement. Consultant agrees that upon request by City, all agreements with, and insurance compliance documents provided by, such subcontractors and others engaged in the project will be submitted to City for review.
2. Consultant agrees to be responsible for ensuring that no contract used by any party involved in any way with the project reserves the right to charge City or Consultant for the cost of additional insurance coverage required Agreement with HdL Coren & Cone – Property Tax Audit & Management Services Page 21 of 21 Rev. 07-01-18
by this Agreement. Any such provisions are to be deleted with reference to City. It is not the intent of City to reimburse any third party for the cost of complying with these requirements. There will be no recourse against City for payment of premiums or other amounts with respect thereto.
3. The City reserves the right to wit hhold payments from the Consultant in the event of material noncompliance with the insurance requirements set forth in this Agreement.
G. EVIDENCE OF COVERAGE
Prior to commencement of any Services under this Agreement, Consultant, and each and every subcontractor (of every tier) will, at its sole cost and expense, provide and maintain not less than the minimum insurance coverage with the endorsements and deductibles indicated in this Agreement. Such insurance coverage will be maintained with insurers, and under forms of policies, satisfactory to City and as described in this Agreement. Consultant will file with the City all certificates and endorsements for the required insurance policies for City’s approval as to adequacy of the insurance protection.
H. EVIDENCE OF COMPLIANCE
Consultant or its insurance broker will provide the required proof of insurance compliance, consisting of Insurance Services Office (ISO) endorsement forms or their equivalent and the ACORD form 25-S certificate of insurance (or its equivalent), evidencing all required coverage will be delivered to City, or its representative as set forth below, at or prior to execution of this Agreement.
Upon City’s request, Consultant will submit to City copies of the actual insurance policies or renewals or replacements. Unless otherwise required by the terms of this Agreement, all certificates, endorsements, coverage verifications and other items required to be delivered to City pursuant to this Agreement will be mailed to:
EBIX Inc.
City of Santa Clara Finance Department
P.O. Box 100085 – S2 or 1 Ebix Way
Duluth, GA 30096 John’s Creek, GA 30097
Telephone number: 951-766-2280
Fax number: 770-325-0409
Email address: [email protected]
I. QUALIFYING INSURERS
All of the insurance companies providing insurance for Consultant will have, and provide written proof of, an A. M. Best rating of at least A minus 6 (A- VI) or will be an insurance company of equal financial stability that is approved by the City or its insurance compliance representatives.
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
26-418 Agenda Date: 6/23/2026
REPORT TO COUNCIL
SUBJECT
Action to Authorize the City Manager to Negotiate and Execute Amendments to the Agreement with Tucker Construction, Inc. for Encampment Cleanup Services to Exercise Option Years and to Increase the Total Not-to-Exceed Maximum Compensation and Approve the Related Budget Amendment
BACKGROUND
Encampment debris contributes to visual blight, odors, stormwater pollution, and other aesthetic and safety concerns in surrounding neighborhoods. The City must follow stringent procedures to protect both the rights of individuals impacted by encampment cleanups and the safety of the personnel performing the cleanup services. Encampment cleanups often entail sending notifications prior to and after cleanup, storage and distribution of personal property, and employee safety training to deal with potential job site hazards. Due to these complexities, it is necessary to contract with an experienced vendor to ensure the City can clean up encampments swiftly before they grow in size or become health risks.
The Police Department (PD), Community Development Department (CDD), and Department of Public Works (DPW) coordinate extensively to remove encampments at City-maintained properties throughout Santa Clara. PD coordinates with CDD to provide resources to individuals in need of assistance and works with them to clear personal belongings from sites before abatement. PD and DPW determine a date and time for the anticipated cleanup activity and DPW coordinates with the vendor to perform the cleanup services.
In June 2024, the City Council authorized the City Manager to execute an agreement with Tucker Construction (Tucker) for citywide encampment cleanup services following a competitive Request for Proposals process (RTC 24-1511, Attachment 1). The agreement includes an initial one-year term beginning July 1, 2024 and ending June 30, 2025, with up to four additional one-year options to extend the agreement through June 30, 2029 (Attachment 2). Current option year 1 of 4 is set to end on June 30, 2026. The maximum compensation authorized for the initial term and option year 1 is $250,000.
DISCUSSION
Since contract execution in 2024, Tucker has provided encampment cleanup services in accordance with the agreement. Maintaining continuity of these services is essential to minimize encampment debris which contributes to visual blight, odors, stormwater pollution, and other aesthetic and safety concerns in surrounding neighborhoods.
The City Manager’s Office has communicated the need to increase the number of encampment cleanups from 12 per year to 24 per year. Additional off-schedule cleanups have also increased to City of Santa Clara Printed on 6/19/2026Page 1 of 4
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26-418 Agenda Date: 6/23/2026
address cleanups outside of the scheduled monthly cleanups. Funding levels allocated for the current agreement are insufficient to carry out the increased number of encampment cleanups.
To continue these services beyond June 30, 2026, staff requests authorization to increase the agreement’s not-to-exceed amount to $1,135,453 to cover the costs through the remaining three one -year option periods and associated contingency. Table 1 below provides a summary of the costs under the agreement.
Table 1 - Cost Summary
Term Amount
Initial 1-Year Term (7/1/24 - 6/30/25) $81,268
Option Year 1 (7/1/25 - 6/30/26) $168,732
Option Year 2 (7/1/26 - 6/30/27) $213,000
Option Year 3 (7/1/27 - 6/30/28) $219,390
Option Year 4 (7/1/28 - 6/30/29) $225,972
Subtotal $908,362
Contingency (25%) $227,091
Total Not-to-Exceed Maximum Compensation $1,135,453
Option Year 2 reflects an increase of approximately 26% based on the higher anticipated activity level, while Years 3 through 4 assume annual price increases of 3%. Tucker may request adjustments to the rates; however, Tucker must demonstrate to the satisfaction of the City that any increase is warranted. All price adjustments are subject to the City’s written approval.
A contingency is included to account for unanticipated needs and potential increases in service demands over the term of the agreement. Staff will manage expenditures throughout the full term based on operational needs, allocating funds as needed, provided that the total compensation does not exceed the authorized amount.
Upon approval, staff will amend the contract to include additional compensation for the option years and will provide notice of the City’s intent to exercise the option to Tucker Construction, as applicable.
Tucker Construction will be required to pay prevailing wages under the terms of the agreement.
ENVIRONMENTAL REVIEW
Awarding the subject agreement with I Tucker does not constitute a "project" within the meaning of the California 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 as a reasonably foreseeable indirect physical change in the environment. Notwithstanding the foregoing, any abatement activities performed pursuant to the Agreement may be categorically exempt under CEQA Guidelines sections 15301 (Existing Facilities), 15304 (Minor Alterations to Land), and 15321 (Enforcement Actions by Regulatory Agencies), depending on the site and work required.
FISCAL IMPACT
As part of the adoption of the FY 2026/27 and FY 2027/28 Biennial Capital Budget, the operating budget for DPW included $114,444 for the encampment cleanups. Due to the increased number of City of Santa Clara Printed on 6/19/2026Page 2 of 4
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26-418 Agenda Date: 6/23/2026
cleanups, the FY 2026/27 appropriation is insufficient to cover the costs of Option Year 2 of $266,250, including contingency. Staff recommends the following budget amendment to increase the budget by $151,806, offset by the use of the unrestricted ending fund balance, as detailed below.
Budget Amendment
FY 2026/27
Current Increase/
(Decrease)
Revised
General Fund
Expenditure
Department of Public Works -
Materials, Services, Supplies
$7,395,881 $151,806 $7,547,687
Fund Balance
Unrestricted Ending Fund Balance $3,939,253 ($151,806) $3,787,447 Funding for future option years remains subject to Council appropriation and will be included as part of the annual budget process.
COORDINATION
This report has been coordinated with the Finance Department and City Attorney’s Office.
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] or at the public information desk at any City of Santa Clara public library.
RECOMMENDATION
1. Determine that the proposed actions are exempt from CEQA pursuant to Sections 15301 (Existing Facilities), 15304 (Minor Alterations to Land), and 15321 (Enforcement Actions by Regulatory Agencies) of Title 14 of California Code of Regulations;
2. Authorize the City Manager or designee to execute amendments to the agreement with Tucker Construction, Inc. for homeless encampment cleanup services, to increase the maximum compensation up to $1,135,453, subject to the appropriation of funds and final review and approval as to form by the City Attorney;
3. Authorize the City Manager or designee to take any actions as necessary to implement and administer the agreement with Tucker Construction, Inc., including exercising up to the remaining three additional one-year options through June 30, 2029, and to negotiate and execute future amendment(s) to (a) add or delete services consistent with the scope of services, (b) adjust rates consistent with market conditions, and (c) make de minimis changes, subject to the above maximum compensation limit and final review and approval as to form by the City Attorney; and
4. Approve the FY 2026/27 budget amendment in the General Fund, increasing the Department of Public Works budget in the amount of $151,806 and decreasing the unrestricted ending fund balance in the amount of $151,806 (five affirmative Council votes required for the use of City of Santa Clara Printed on 6/19/2026Page 3 of 4
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26-418 Agenda Date: 6/23/2026
unused balances).
Reviewed by: Craig Mobeck, Director of Public Works
Approved by: Jovan Grogan, City Manager
ATTACHMENTS
1. RTC 24-1511
2. Original Agreement with Tucker Construction, Inc.
City of Santa Clara Printed on 6/19/2026Page 4 of 4
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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
24-1511 Agenda Date: 6/4/2024
REPORT TO COUNCIL
SUBJECT
Action on Award of Agreement to Tucker Construction, Inc. for Encampment Cleanup Services
COUNCIL PILLAR
Deliver and Enhance High-Quality Efficient Services and Infrastructure
BACKGROUND
Encampment debris contributes to visual blight, odors, stormwater pollution, and other aesthetic and safety concerns in surrounding neighborhoods. The City must follow stringent procedures to protect both the rights of individuals impacted by encampment cleanups and the safety of the personnel performing the cleanup services. Encampment cleanups often entail sending notifications prior to and after cleanup, storage and distribution of personal property, and employee safety training to deal with potential jobsite hazards. Due to these complexities, it is necessary to contract with an experienced vendor to ensure the City can clean up encampments swiftly before they grow in size or become health risks.
The Police Department (PD), Community Development Department (CDD), and Department of Public Works (DPW) coordinate extensively to remove encampments at City-maintained properties throughout Santa Clara. PD coordinates with CDD to provide resources to individuals in need of assistance and works with them to clear personal belongings from sites before abatement. PD and DPW determine a date and time for the anticipated cleanup activity and DPW coordinates with the vendor to perform the cleanup services. The purchase order with the current vendor is set to expire on July 1, 2024.
DISCUSSION
Pursuant to City Code Section 2.105.140(d), a formal Request for Bids (RFB) was conducted as the solicitation method for this project with award to the lowest responsive and responsible bidder. On February 22, 2024, staff published the RFB for Homeless Encampment Cleanup Services on the City’s e-procurement platform. Four responsive bids were received by the deadline. Bidders were required to submit their hourly rates and a percentage markup for miscellaneous materials, equipment, and third-party services. The low bid is determined by multiplying the rates by DPW’s estimated quantities of usage. The estimated total for each bidder is listed below:
Bidder Name
Estimated Total
Tucker Construction, Inc. $ 87,732
Dillard Environmental Services $ 90,080
ServiceMaster Restoration Services $ 93,408
OFRS Inc. $ 100,800
City of Santa Clara Printed on 5/31/2024Page 1 of 3
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24-1511 Agenda Date: 6/4/2024
Staff recommends awarding an agreement to Tucker Construction, Inc. (Tucker) for submitting the lowest responsive and responsible bid. Tucker will provide homeless encampment cleanup services as requested by DPW and in accordance with the detailed scope of services outlined in the agreement. In addition, Tucker will coordinate the storage of personal items found during the cleanup and hold them for thirty days to allow owners to claim their property.
Before commencing work, Tucker will be required to provide the City with a not-to-exceed estimated cost of the clean-up. The City will be invoiced in arrears at fixed rates for the services. These rates are all-inclusive and include wages, overhead, general and administrative expenses, profit, tools, and most equipment needed for the clean-up. However, dumpsters, portable bathroom facilities, third- party services, and any heavy equipment that may be required and not owned by the contractor will be invoiced at the contractor’s actual cost, plus a 20 percent markup.
The initial term of the agreement is one year, with the City having the option to extend it for four additional one-year terms. Annual price adjustments may be allowed after the initial term if requested and justified by the contractor and approved by the City. Prevailing wages will be paid under this agreement.
ENVIRONMENTAL REVIEW
Awarding the subject agreement with Tucker does not itself constitute a “project” within the meaning of the California 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 as a reasonably foreseeable indirect physical change in the environment. Notwithstanding the foregoing, any abatement activities performed pursuant to the Agreement may be categorically exempt under CEQA Guidelines sections 15301 (Existing Facilities), 15304 (Minor Alterations to Land), and 15321 (Enforcement Actions by Regulatory Agencies), depending on the site and work required.
FISCAL IMPACT
The total not-to-exceed amount for the initial term of the agreement is $110,000, which includes a 25 percent (approximate) continency above the bid price. The contingency is included because the quantities used for determining low bids were estimates and could be higher based on the level of need. The FY 2024/25 and FY 2025/26 Proposed Capital Budget includes a recommendation to adjust the Operating budget to include $110,000 for homeless encampment cleanups in the Department of Public Works departmental budget.
COORDINATION
This report has been coordinated with the Finance Department, Police Department, and City Attorney’s Office.
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.
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24-1511 Agenda Date: 6/4/2024
RECOMMENDATION
1. Determine the proposed actions are exempt from CEQA pursuant to Sections 15301 (Existing Facilities), 15304 (Minor Alterations to Land), and 15321 (Enforcement Actions by Regulatory Agencies) of Title 14 of California Code of Regulations;
2. Authorize the City Manager to execute an agreement with Tucker Construction, Inc. for homeless encampment cleanup services for an initial one-year term starting on or around July 1, 2024 and ending on or around June 30, 2025, with a not-to-exceed maximum compensation of $110,000, in a final form approved by the City Attorney; and
3. Authorize the City Manager to exercise up to four one-year options to extend the term of the agreement through June 31, 2029 and to approve annual reasonable market price adjustments, subject to the appropriation of funds, in a final form approved by the City Attorney.
Reviewed by: Craig Mobeck, Director of Public Works
Approved by: Jovan D. Grogan, City Manager
ATTACHMENTS
1. Agreement with Tucker Construction
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EBIX Insurance No. S200002163
AGREEMENT FOR SERVICES
BETWEEN THE
CITY OF SANTA CLARA, CALIFORNIA,
AND
TUCKER CONSTRUCTION, INC.
PREAMBLE
This Agreement is entered into between the City of Santa Clara, California, a chartered California municipal corporation (City) and Tucker Construction, Inc., a California corporation, (Contractor). City and Contractor may be referred to individually as a "Party" or collectively as the "Parties" or the "Parties to this Agreement."
RECITALS
A. City desires to secure the services more fully described in this Agreement, at Exhibit A, entitled "Scope of Services";
8. Contractor represents that it, and its subcontractors, if any, have the professional qualifications, expertise, necessary licenses and desire to provide certain goods and/or required services of the quality and type which meet objectives and requirements of City; and,
C. The Parties have specified herein the terms and conditions under which such services will be provided and paid for.
The Parties agree as follows:
AGRE:EMENT TERMS AND CONDITIONS
1. AGREEMENT DOCUMENTS
The documents forming the entire Agreement between City and Contractor shall consist of these Terms and Conditions and the following Exhibits, which are hereby incorporated into this Agreement by this reference:
Exhibit A- Scope of Services
Appendix A 1 - Examples of Tools, Equipment , and Third-Party Services Appendix A2 - Guidelines for Property Identification
Appendix A3 - Notice of Planned Clean-up and Order to Vacate City Property Appendix A4 - Notice of Recovered Property
Appendix AS - Inventory Sample
Agreement with Tucker Construction, Inc.
Rev. 07-01-18
Exhibit B - Schedule of Fees
Exhibit C - Insurance Requirements
Exhibit D - Labor Compliance Addendum
Exhibit E - Notice of Exercise of Option to Extend Agreement Form This Agreement, including the Exhibits set forth above, contains all the agreements, representations and understandings of the Parties, and supersedes and replaces any previous agreements, representations and understandings, whether oral or written. In the event of any inconsistency between the provisions of any of the Exhibits and the Terms and Conditions, the Terms and Conditions shall govern and control.
2. TERM OF AGREEMENT
A Unless otherwise set forth in this Agreement or unless this paragraph is subsequently modified by a written amendment to this Agreement, the initial term of this Agreement shall begin on July 1, 2024 and terminate on June 30, 2025.
S. After the Initial Term, the City reserves the right, at its sole discretion, to extend the term of this Agreement for up to four (4) additional one-year term through June 30, 2029 ("Option Periods"), subject to the appropriation of funds. See Exhibit D for Notice of Exercise of Option to Extend Agreement Form.
3. SCOPE OF SERVICES & PERFORMANCE SCHEDULE
Contractor shall perform those Services specified in Exhibit A within the time stated in Exhibit A. Time is of the essence.
4. WARRANTY
Contractor expressly warrants that all materials and 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 City when defects are due to the negligence, errors or omissions of Contractor. If Contractor fails to promptly correct or replace materials or services, City may make corrections or replace materials or services and charge Contractor for the cost incurred by City.
Agreement with Tucker Construction, Inc.
Rev. 07-01-18
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5. QUALIFICATIONS OF CONTRACTOR - STANDARD OF CARE
Contractor represents and maintains that it has the expertise in the professional calling necessary to perform the Services, and its duties and obligations , expressed and implied, contained herein, and City expressly relies upon Contractor's representations regarding its skills and knowledge. Contractor shall perform such Services and duties in conformance to and consistent with the professional standards of a specialist in the same discipline in the State of California.
6. COMPENSATION AND PAYMENT
In consideration for Contractor's complete performance of Se-rvices, City shall pay Contractor for all materials provided and Services rendered by Contractor in accordance with Exhibit 8, entitled "SCHEDULE OF FEES." The maximum compensation of this Agreement is set forth in Section 1 of Exhibit B, subject to budget appropriations ,. which includes all payments that may be authorized for Services and for expenses , supplies, materials and equipment required to perform the Services. All work performed or materials provided in excess of the maximum compensation shall be at Contractor 's expense. Contractor shall not be entitled to any payment above the maximum compensation under any circumstance.
7. TERMINATION
A. Termination for Convenience. City shall have the right to terminate this Agreement, without cause or penalty, by giving not less than Thirty (30) days' prior written notice to Contractor .
B. Termination for Default. If Contractor fails to perform any of its material obligations under this Agreement , in addition to all other remedies provided by law, City may terminate this Agreement immediately upon written notice to Contractor .
C. Upon termination, each Party shall assist the other in arranging an orderly transfer and close~out of services. As soon as possible following the notice of termination, but no later than ten (10) days after the notice of termination, Contractor will deliver to City all City information or material that Contractor has in its possession .
8. ASSIGNMENT AND SUBCONTRACTING
City and Contractor bind themselves , their successors and assigns to all covenants of this Agreement. This Agreement shall not be assigned or transferred without the prior written approval of City. Contractor shall not hire subcontractors without express written permission from City.
Agreement with Tucker Construction 1 Inc.
Rev. 07-01-18
P.age3
Contractor shall be as fully responsibfe to City 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.
9. NO THIRD PARTY BENEFICIARY
This Agreement shall not be construed to be an agreement for the benefit of any third party or parties and no third party or parties shall have any claim or right of action under this Agreement for any cause whatsoever .
10. INDEPENDENT CONTRACTOR
Contractor and all person(s) employed by or contracted with Contracto r to furnish labor and/or materials under this Agreement are independent contractors and do not act as agent(s) or employee(s) of City. Contractor has full rights to manage its employees in their performance of Services under this Agreement.
11. CONFIDENTIALITY OF MATERIAL
All ideas, memoranda, specifications, plans, manufacturing procedures, data, drawings, descriptions, documents , discussions or other information deve loped 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 City , 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 or becomes generally known to the related industry shall be deemed confidential.
12. OWNERSHIP OF MATERIAL
All material, which shall include, but not be limited to, data, sketches, tracings, drawings, plans, diagrams, quantities, estimates , specifications, proposals , tests, maps, calculations, photographs, reports, designs, technology, programming, works of authorship and other material developed, collected, prepared or caused to be prepared ·under this Agreement shall be the property of City but Contractor may retain and use copies thereof. City shall not be limited in any way or at any time in its. use of said material. However, Contractor shall not be respons·ible for damages resulting from the use of said material for work other than Project, including, but not limited to, the release of this material to third parties.
13. RIGHT OF CITY TO INSPECT RECORDS OF CONTRACTOR
City, through its authorized employees, representatives or agents shall have the right during the term of this Agreement and for four (4) years from the date of final payment for goods or services provided under this Agreement, 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 With Tucker Construction , Inc.
Rev. 07-01-18
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Agreement, including termination of Contractor. Contractor agrees to maintain sufficient books and records in accordance with 9enerally accepted accounting principles to establish the correctness of all charges submitted to City. Any expenses not so recorded shall be disallowed by City. Contractor shall bear th~ cost of the audit if the audit determines that there has been a substantial billing deviation in excess of five (5) percent adverse to the City.
Contractor shall submit to City any and all reports concerning its performance under this Agreement that may be requested by City in writing. Contractor agrees to assist City in meeting City's reporting requirements to the State and other agencies with respect to Contractor's Services hereunder.
14. HOLD HARMLESS/INDEMNIFICATION
A. To the extent permitted by law, Contractor agrees to protect, defend, hold harmless and indemnify City, its City Council, commissions , officers, employees, volunteers and agents from and against any claim, injury, liability, loss, cost, and/or expense or damage, including all costs and attorney's fees in providing a defense to any such daim or other action, and whether sounding in law1 contract, tort, or equity , in any manner arising from, or alleged to arise in whole or in part from, or in any way connected with the Services performed by Contractor pursuant to this Agreement - including claims of any kind by Contractor 's employees or persons contracting with Contractor to perform any portion of the Scope of Services - and shall expressly include passive or active negligence by City connected with the Services. However, the obligation to indemnify shall not apply if such liability is ultimately adjudicated to have arisen through the sole a~tive negligence or sole willful misconduct of City; the obligation to defend is not similarly limited.
B, Contractor's obligation to protect, defend, indemnify, and hold harmless in full City and City's employees, shall specifically extend to any and all employment-related claims of any type brought by employees, contractors, subcontractors or other agents of Contractor, against City (either alone, or jointly with Contractor}, regardless of venue/jurisdiction in which the claim is brought and the manner of relief sought.
C. To the extent Contractor is obligated to provide health insurance coverage to its employees pursuant to the Affordable Care Act ("Act") and/or any other similar federal or state law, Contractor warrants that it is meeting its obligations under the Act and will fully indemnify and hold harmless City for any penalties, fines, adverse rulings, or tax payments associated with Contractor's responsibilities under the Act.
Agreement with Tucker Construction, Inc.
Rev. 07-01-18
15. I NSURANCE REQUIREMENTS
During the term of this Agreement , and for an.y time period set forth in Exhibit C, Contractor shall provide and maintain in full force and effect, at no cost to City, insurance policies as set forth in Exhibit C.
16. WAIVER
Contractor agrees that waiver by City 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 Agreemen t. Neither City's review, acceptance nor payments for any of the Services required under this Agreement shall be constr ucted 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.
17. NOTICES
All notices to the Parties shall, unless otherwise requested in writing , be sent to City addressed as follows:
City of Santa Clara
Attention: Department of Public Works
1500 Warburton Avenue
Santa Clara, CA 95050
and by email at [email protected]
And to Contractor addressed as follows:
Tucker Construction, Inc.
Attention : Mark Tucker
1725-D Little Orchard Street
San Jose, CA 95125
and by e-mail at tucker@tuckercon .com
The workday the e-mail was sent shall contro l the date notice was deemed given .
An e-mail transmitted after 1 :00 p.m. on a Friday shall be deemed to have been transmitted on the following business day.
18. COMPLIANCE WITH LAWS
Contractor shall comply with all appllcab le laws and regulations of the federa l, state and local government, including but not limited to "The Code of the City of Santa Clara , California" ("SCCC"). In particular , Contractor 's attention is called to the regulations regarding Campa ign Contributions (SCCC Chapter 2.130) , Lobbying (SCCC Chapter 2.155), Minimum Wage (SCCC Chapter 3.20), Business Tax Certificate (SCCC section 3.40.060) , and Food and Beverage Service Worker Retention (SCCC Chapter 9.60), as such Chapters or Sections may be amended from time to time or renumbered. Additionally Contractor has Agreement with Tucker Construction, Inc.
Rev. 07-01-18
read and agrees to comply with City's Ethical Standards (http://santaclaraca.gov/home/showdoc ument?id=58299).
19. CONFLICTS OF INTEREST
Contractor certifies that to the best of its knowledge, no 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 fami liar 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 City if a conflict arises.
20. FAIR EMPLOYMENT
Contractor shall not discriminate against any employee or applicant for employment because of race, sex, color, religion, religious creed, national origin, ancestry, age, gender, marital status, physical disability, mental disability, medical condition, genetic informatio n, sexual orientation, gender expression, gender identity, military and veteran status, or ethnic background, ln violation of federal, state or local law.
21 . NO USE OF CITY NAME OR EMBLEM
Contractor shall not use City's name, insignia, or emblem, or distribute a ny information related to services under this Agreement in any magazine, trade paper, newspaper or other medium without express written consent of City.
22. GOVERNING LAW 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 appropr iate, in the United States District Court, Northern District of California, San Jose, California.
23. SEVERABILITY CLAUSE
In case any one or more of the provisions in this Agreement shall, for any reason, be held invalid, illegal or unenforceab le in any respect, it shall not affect the validity of the other provisions, which shall remain in full force and effect.
24. AMENDMENTS
This Agreement may only be modified by a written amendment duly authorized and executed by the Parties to this Agreement.
Agreement with Tucker Construction, Inc.
Rev. 07-01-18
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25. COUNTERPARTS
This Agreement may be executed in counterparts, each of which shall be deemed to be an original, but path of which shall constitute one and the same instrument.
The Parties acknowledge and accept the terms and conditions of this Agreement as evidenced by the following signatures of their duly authorized representatives.
Approved as to Form:
~r\-t---L/'
GLEN R. GOGGINS
City Attorney
CITY OF SANTA CLARA, CALIFORNIA
a chartered California municipal corporation
Dated: 0 /Ii /c'(
~ }?-: JO N . GAN
~er
"CITY"
City of Santa Clara
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax: (408) 241-6771
TUCKER CONSTRUCTION, INC.
a California corporation
Dated: , ""' <"'- / 2 l-
----+----- ~--::=-- .,.-,....---------
By (Signature): ---....,............-MJ~ __ \ _ ...... _t_. _-l._..s_-_____ __ _ Name: Tucker ---- ------ -------
Ti tie: _P_re_s_id_e_n_,_t,_S_e_c_re_ta_ry--"--'-, _an_d_T_re_a_s_ur_e_r ___ _ Principal Place of 1725-D Little Orchard Street
Business Address: San Jose, CA 95125 ---~ ------------- Em a ii Address: _t_u_c_ke_r~@_.,_t_u_ck_e_r_co_n_._co_m ______ __ _ Telephone: ......;(,_4_08_.)_2_8_7-_1_42_4 _ ____ _____ _ Fax: (408)287-1448 ___,___.,_"_C_O.,..,.NT,-c-RA----,-C_T_O_R--,-,--11 ---------- Agreement with Tucker Construction, Inc.
Rev. 07-01-18
EXHIBIT A
SCOPE OF SERVICES
The Services to be performed for the City by the Contractor under this Agreement are set forth below.
1. INTRODUCTION
As directed by City, Contractor shall provide turnkey homeless encampment site cleanups as described herein, with the goal of keeping parks and public space free of encampments in order to protect the environment and provide safe use of public areas.
2. DOCUMENTS
.This Attachment contains the following Appendices:
2.1. Appendix A1 - Examples of Tools, Equipment, and Third-Party Services
2.2. Appendix A2 - Guidelines for Property ldentificaUon
2.3, Appendix A3 - Notice of Planned Cleanup and Order to Vacate City Property (subject to change, verify with PD staff prior to postjng)
2.4. Appendix A4 - Notice of Recovered Property
2.5. Appendix AS - Inventory Sample
3. CITY RESPONSIBILITIES
3.1. General
3.1.1. City shall determire the location requiring clean up.
3.1.2. The Department of Public Works (DPW) and the Santa Clara Police Department (PD) (collectively the "City") will coordinate with Contractor to determine the appropriate date and time for the anticipated cleanup activity.
3.1.3. City shall issue a work order and provide a minimum one week notice to Contractor.
3.1.4. City will provide a representative to serve as a point of contact to approve and issue work orders, to address any Contractor issues or questions that may arise during the course of a cleanup , and supervise Contractor's activities.
Agreement with Tucker Construction, lnc./Exhibit A-Scope of SeNices Rev. 07-01-18
3.2. Initial Outreach
Prior to posting, and if reasonably possible, PD will contact individuals present at the location to:
3.2.1. Advise of community, health, environmental concerns associated with storage and encampments.
3.2.2. Advise of the City's intent to conduct cleanup activities at that location, and explain the process used (provide expected date, if known).
3.2.3. Coordinate with, or provide information related to, agencies or other organizations that may provide supportive services such as medical services, shelter options, or housing assistance.
3.2.4. Encourage individuals present to remove their property and provide free bags for their use.
3.2.5. Document location, date of visit, description of conditions, number of individuals present, information provided, and any other pertinent information.
3.3. During Cleanup
3.3.1. Upon first arrival, PD will conduct a site check to make sure that no individuals remain on site. If individuals are present at the site, PD will verbally inform them of the posted cleanup and give tl1em thirty (30) minutes (or other reasonable period of time) to gather their belongings and vacate the site. PD will provide an officer present at the site until such time as all individuals present at the site have vacated it and, depending upon the expected length of the activity, remain on-call.
3.3.2. If the individuals present are willing to voluntarily provide their names, PD will record such names so that returning stored items later is more efficient.
4. CONTRACTOR RESPONSJBILITIES
4.1. Notice of Planned Cleanup
4.1.1. Contractor shall post notices at various locations denoting the approximate exterior perimeter of the site and place a copy at/on each tent, structure or other evidence of encampment. The notices will be placed in locations and in quantities sufficient to reasonably ensure visibility. Notices must be posted no less than seventy-two (72) hours, and not more than five (5) days, prior to the expected cleanup date.
Contractor shall photograph posted notices to document time and location of posting.
Agreement with Tucker Construction, lnc./Exhibit A-Scope of Services Rev. 07-01-18
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4.2. 24 Hours Prior Cleanup
4.2.1. Twenty-four hours prior to cleanup, Contractor shall check weather forecast for date of cleanup, through National Weather Service. If inclement weather is predicted (extreme cold or heat, greater than 50% chance of rain, etc.), then Contractor will cancel the cleanup. As soon as reasonably possible, Contractor will take down notices of the cleanup. PD will work with Contractor to reschedule the cleanup and re-notice.
4.3. Cleanup
4.3.1. Contractor shall cleanup encampment sites as assigned by City. Cleanup duties shall include surveying sites, collecting debris, dismantling temporary structures, removing trash, and disposing of all debris at a permitted solid waste disposal or Class Ill landfill facility .
4.3.2. Contractor shall coordinate the disposal of materials excluded from solid waste disposal facilities found at abatement sites such as hazardous waste, universal waste, medical waste, and other such items at a site permitted to accept such material. Contractor may provide these services directly or through a licensed subcontractor.
4.3.3. Contractor shall follow best practices and work procedures to safely manage any hazardous materials that may be found on the job site, including soiled personal hygiene items , syringes, and other materials which could pose a health threat.
4.3.4. Contractor shall supply all labor, materials, tools, heavy machinery and equipment, vehicles , protective clothing, protective gear, portable bathroom facilities , and other supplies that may be required to remove all debris, litter, and waste as listed in Appendix A 1. Such equipment, toolsi and protective gear shall be sufficient for all conditions including jobsites that may be located in heavy foliage, poison oak, steep embankments, next to train tracks, by creeks and rivers , and other areas requiring alertness to the environment and pre-planning to prevent injury or illness.
4.3.5. Contractor shall coordinate with the City on a project-by-project basis to determine the scope for each encampment cleanup. The scope will estab lish the project start date, period of work, size/scope of the job, work location, the name and title of the onsite Contractor representative, and the estimated not-to-exceed cost of the cleanup in accordance with established rates of the contract. Additional specific instructions will be given by the City at the work location.
4.3.6. Contractor shall be responsible to provide an on-site supervisor/manager for abatement crews and ensure all necessary safety procedures are followed. This individual will also serve as the Agreement with Tucker .Construction, lnc./Exhibit A-Scope of Services Rev. 07-01-18
City contact for all projects. City will not pay for more than one (1) supervisor unless agreed upon in writing.
4.3.7. Contractor shall photograph the encampment site and surrounding area identified by City staff before and after the cleanup ta document the condition of the site and the date of the cle~nup. Photographs of cleanup will be provided to PD electronically after completion of the cleanup.
4.3.8. Contractor shall immediately contact PD in the event that weapons are found at the encampment.
4.3.9. Contractor shall trim shrubs and vegetation as required in a work order issued by the City, provided that such abatement is consistent with any permits required to perform cleanups along watercourses , including but not limited to, any permits required by the California Regional Water Quality Control Board, the U.S. Army Corps of Engineers, or the California Department of Fish and Wildlife .
4.3.10. Contractor shall be familiar with the areas and verify with the City designated representative that the abatement site is within the City's jurisdiction . Encampments may be located on properties shared by the City or other agencies . Contractor is expected to be famlliar with the area and verify the jobsite is within the City's jurisdiction. In the event that access to the jobsite is restricted, Contractor shall coordinate entry with the City.
4.3.11. Contractor shall notify the City when the work is complete and provide a cleanup report to City representative.
4.3.12. In the event that an adjacent homeless encampment is discovered in the general area during the course of a project, Contractor shall immediately notify the City's designated representative. Contractor shall not perform any abatement on the adjacent site unless and uhtil all procedural guidelines have been complied with for the adjacent site and the City has authorized the additional work.
4.3.13. Contractor shall provide a representative, if requested by City, ta attend regional encampment cleanup coordination meetings that involve mult1ple agencies, jurisdictions , and/or special interest organizations.
4.3.14. City reserves the right to cancel any given project if the City deems, in its sole discretion , that unsafe conditions (such as inclement weather) ex.ist at the site on the day of a planned event. The City will attempt to provide Contractor with at least 24-hour notice of any project cancellation .
Agreement with Tucker Constructioh, lnc./Exhibit A-Scope of Services Rev. 07-01 -18
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4.3.15. Contractor shall perform work in a timely and efficient manner, and conduct themselves in a courteous and business-like fashion at all times.
4.3.16. Contractor shall obtain, maintain, and comply with all permits required to perform cleanups along watercourses , including but not limited to, any permits required by the Ca'lifornia Regional Water Quality Control Board, the U.S. Army Corps of Engineers, or the California Department of Fish and Wildlife.
4.3.17. Contractor shall track data related to each encampment cleanup and provide detailed monthly reports to the City.
4.3.18. The work shall be completed between Monday-Friday, and during normal business hours.
4.4. Sorting and Tagging Personal Property
4.4.1. Contractor shall provide industrial grade bags and tags and, with City supervision, sort items that may include litter, debris and waste at the site and identify and tag certain items as "personal property". Refer to Appendix A2 for Guidelines for Property Identification.
4.4.2. In the sorting process , Contractor will: (a) open any bag, purse, backpack , or suitcase to verify the contents , but will not sort each item inside, (b) cut open or disassemble any structure or tent in order to verify the contents< but will not sort each item inside and (c) consider trash any structure or tent that required cutting or disassembling in order to inspect the inside without entry.
4.4.3. Once a site is sorted the Contractor will photograph the personal property to document what is being placed in storage (the "photo inventory"). A sign or board indicating the date; location of the containers will be placed in the photograph with the property.
Contractor will then place all personal property in clear plastic tubs or bags marked with the date and location of abatement. Contractor will load the personal property into a truck to be transported for storage at Contractor's facility. Appendix A5 shows a sample inventory list.
4.5. Claims on Property During the Cleanup
4.5.1. If individuals are present and request immediate return of key personal effects (such as ID, medications, etc.), Contractor shall be reasonable .
Individuals should not be aHowed to interfere with the cleanup, but Contractor may return these types of basic or critica l personal items.
Agreement with Tucker Construction , lnc./Exhipit A-Scope of Services Rev. 07-01-18
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4.5.2. Contractor will request the name of any individual claiming property.
Any returned item will be photographed and noted on the photo inventory list with the name of the individual who collected it.
4.6. Posting Notice After Cleanup
4.6.1. Once the site is safe for individuals to return to it, Contractor shall post and photograph a notice stating the retrieval storage location. See Appendix A4 for the template of the required notice.
4.7. Guidelines for Return of Property
4.7.1. Upon receipt of a phone call or email regarding an item collected at an abatement, Contractor will review the photo inventory list for the date and location of the abatement for the reported item. If the item can be located, Contractor shall, retrieve the item from storage ~nd drop off the item(s) with staff at a specified location for collection by the caller.
4.7.2. The specified location for collection by the caller shall be provided by the Contractor.
4.7.3. If an individual cannot locate his/her items, and disputes the City's/Contractor's disposal of it, Contractor may direct the individual to file a claim with the City Clerk's Office.
4.7.4. It is understood and expected that many stored items will not contain identifying information; therefore, if a claimant reasonably describes an item to be retrieved (and that item has no ownership identifier on it), then the item can be released to the claimant. To a certain extent, the process operates on the "honor system,"
4.8. Disposal after Storage Period
4.8.1. Contractor shall store items for ninety (90) days after the cleanup date.
4.8.2. If property is unclaimed after 90 days, PD may dispose of it as unclaimed surplus property in accordance with the City Code (SCCC
2.105.310).
4.8.3. Contractor shall provide PD copies of al! documents (photographs, notices, logs, etc.,) at the conclusion of the 90-day storage period.
City's record retention period for all documents related to the cleanup is a minimum of three (3) years.
4.9. Safety and Training
4.9.1. Safety and appropriate training/licensi ng are critical requirements for the Contractor.
Agreement with Tucker Construction. lnc./Exhibit A-Scope of Services Rev. 07-01-18
Page6
4.9.2. Contractor shall comply with all safety rules, protocols, and licensing requirements mandated by the State of California.
4.9.3. Jobsites can be in heavy foliage, poison oak, steep embankments, next to train tracks, by creeks and lakes, and other areas requiring alertness to the environment and pre-planning to prevent injury or illness. Contractor shall perform a hazard assessment and provide all training and supplies necessary.
4.9.4. Contractor shall be OSHA certified to operate any heavy equipment required to complete the encampment cleanup work, including trash compactors, bulldozers, graders, or other ground moving equipment.
4.9.5. Contractor shall conform to all applicable occupational safety and health standards, rules, regulations, and orders established by the State of California. Contractor shall provide all safety equipment, materia ls, and training to its employees as required. Contractor shall provide its employees with appropriate safety apparel. This apparel shall include hardhats, safety glasses, vests, gloves, and leather (or adequate ly puncture resistant) boots.
4.9.6. Contractor shall be trained annually in OSHA's Bloodborne Pathogen Standard 1910.1030. This training must be supplemented with precautions regarding West Nile Virus, hanta virus, Hepatitis A, and histoplasmosis. Employees must have work procedures to be able to safely manage urine, feces, soiled personal hygiene items, syringes, and other materials which could pose a health threat. Wearing Personal Protective Equipment (PPE) and following other protocols established for this situation must be followed. Contractor will coordinate disposal of these wastes and syringes with the City.
4.9.7. Contractor shall provide copies of any training records and licenses required by the City.
Agreement with Tucker Construction, lnc./Exhibit A-Scope of Services Rev. 07-01-1 8
APPENDIXA1 TO ATTACHMENT A
EXAMPLES OF TOOLS, EQUIPMENT, AND THIRD-PARTY SERVICES
A: Examples of tools and equipment provided by Contractor (and included in Contractor's Rates in Section 2.1 of Exhibit B):
Clothing Supplied by Workers: Hand Tools:
• Boots - high top leather uppers • Rakes
• Long sleeve shirts • Shovels
• Longs pants • Pitch forks
• Tarps
• Garbage cans
• Plastic bags
• Hammers
• Pry-bars
• Knives
• Weed trimmer
• Weed mower
• Chainsaw
• Brooms
Maintenance Items: Bio Supplies:
• Identifying shirts or vests • PPE clothing
• First aid kit • Eye protection
• Drinking water • Face protection
• Toilet provisions • Red bags
• Hazard notices
• Red second containment for transport
• Cleaning materials including bleach
• Shovels
Personal Protection Items: Heavy Equipment, if needed:
• Gloves • Small skid steer tractor
• Hardhats • Backhoe loader
• Dust masks • Dump trucks
• Goggles • Other vehicles
• Sunscreen
• Insect Repellant
• Bite treatment cream
• Poison oak exposure cream
B. Examples of additional equipment, materials, and third-party services at Contractor's actual cost plus % markup (Section 2.1 of Exhibit B) • Boom rental
• Dumpsters
• Portable toilet
Agreement with Tucker Construction, lnc./Exhiblt A-Scope of Services/Appendix A1 Rev. 07-·01-18
APPENDIX A2 TO ATTACHMENT A
GUIDELINES FOR PROPERTY IDENTIFICATION
Unless an item is trash or poses an immediate threat to public heaJth or safety, it should be retained for storage as potential personal property.
Items that are arranged in a manner that suggests ownership (e.g., items that are neatly folded or stacked, stored off the ground , hung, or clearly on display or packed in bag or box) should be retained for storage.
If there is any uncertainty regarding whether an item should be thrown away or stored, it should be stored.
Prescription medication and similar usable medical items (that appear to be safe to handle) are not waste and should be stored or given to the individual.
Examples of personal property of apparent value that should be stored may include cloth ing, shoes, jackets, tents, sleeping bags, bed rolls, blankets, backpacks/bags, bicycles , tools , watches/jewelry, electronics, toiletries , eyeglasses , purses, personal papers/1dentificatron documents , photographs , books and baby strollers .
Examples of items that are trash or pose a threat to public health or safety and will not be stored: The following are examples of conditions that will cause an item (including those examples listed above) to be immediately disposed of:
• Dirty or Soiled: items that smell of bodily waste or other contaminants or other hazardous materials, are stained with urine or other bodily waste , or are infested with fleas, bed bugs, rats or other vectors
• Perishable: open food or personal products that Will spoil or rot in storage • Contaminated: items used for hygiene or that present a risk of biohazard (i.e. sharps or other medical/pharmaceutical materials, used toothbrushes , hairbrushes, washcloths , bandages , sponges , and underwear) • Hazardous or Explosive: items that could corrode or burn in storage (i.e. car batteries, gasoline tanks, and propane tanks)
• Broken or Disassembled: items that are broken, damaged , or stripped of parts and have no apparent utility in their present condition (i.e. electronics stripped for copper, bike parts, flat tires , torn up clothes)
• Weapons: weapons, drugs or other contraband will be given to the PD • Obvious Trash: Food/beverage wrappers, tissue/paper napkins, etc.
Agreement with Tucker Construction, lnc./Exhibit A-Scope of Servtces/Appendix A2 Rev. 07-01 -18
APPENDIX A3 TO ATTACHMENT A
WARNING
Per the Santa Clara Municipal Code
9.30.040- Removal of Personal Property From City Property You have 72 hours to remove your
belongings. Any personal property not
removed in 72 hours may be classified as
refuse and thrown away. Personal
property not classified as ref use shall be
stored by the City for ninety (90) days.
Posted by the City of Santa Clara on:
DA TE/Tllv1E/ID#
Santa Clara Police Department
Questions call: 408-615-4745
Agreement with Tucker Construction, lnc./Exhibit A-Scope of Services/AppendixA3 Page 1 Rev. 07-01-18
APPENDIX A4 TO ATTACHMENT A
NOTICE OF RECOVERED
PROPERTY
PLEASE TAKE NOTICE:
On [date], the City of Santa Clara conducted a clean-up of [LOCATION]. Items deemed to be refuse were disposed of.
Certain items of personal property not deemed refuse were collected and are being stored pending retrieval by the rightful owners.
Individuals wishing to reclaim personal property
collected by the City as part of the clean--up project
may do so by contacting
[ person and title ]
[ address]
phone number]
PERSONAL PROPERTY COLLECTED BY THE CITY
WILL BE STORED, WITHOUT CHARGE, FOR NINETY
(90) DAYS FOLLOWING [ DATE OF CLEAN-UP].
AFTER NINETY (90) DAYS, ANY UNCLAIMED
PROPERTY WILL BE DISPOSED OF.
Agreement with Tucker Construction, lnc./Exhibit A-Scope of Services/Appendix A4 Page 1 Rev. 07-01-18
APPENDIX AS TO ATTACHMENT A
INVENTORY SAMPLE
Location:
DPW Project Manager:
Date Noticed:
Date Clean Up Started/Completed:
End of 90~Day Storage:
Bag Specific Item Owner Claimed
or Location Description Info. Date (If eppllcable)
Box
(and/or cross reference to clean up (If appllcabl e, (tf appli cable) photo ln~entoty) Include as much
#
detall as
possible)
Claimant
Signature
(If appllc.iblc)
Agreement with Tucker Construction, lnc./Exhibit A-Scope of Services/Appe ndix AS Rev. 07-01-18
Date of
Disposal
(If appllcob lo;
rntaln all
documontation}
Page ·1
EXHIBIT B
SCHEDULE OF FEES
1. MAXIMUM COMPENSATION
The maximum amount payable for all products and services provided under this Agreement shall not exceed One Hundred Ten Thousand Dollars ($110,000). No additional services will be performed unless both Parties execute amendment outlining the services requested and the compensation agreed for such services.
2. PRICING
2.1. Compensation shall be paid to Contractor on a time and material basis as listed below.
Category Hourly Rate1
Pre-Cleanup Rate:
Post notices, take pictures for documentation, etc. $91.50 Cleanup Rates:
Supervisor $137
Laborer (non-hazardous) $91.5
Laborer (hazardous) $131
Trucker $98.50
Landscape Cleanup $91.50
Post-Cleanup
Take personal items to storage, coordinate return of $91 .50 personal items, etc.
%
20%
1See Section 4 below for hourly rate adjustments .
2.2. Prior to the commencement of work, Contractor shall provide City with a not to exceed estimated cost of the clean-up. Contractor shall notify City, with as much advanced notice as possible , if it is determined that the estimate will be exceeded.
2.3. The hourly labor rates are fully loaded and include wages, overhead costs, general and administrative costs, and profit. Overhead costs shall include all hand tools, power tools, consumables , and related items that may be required to perform each clean-up . Refer to Appendix A1 for examp les of tools and equipment.
Agreement with Tucker Constructioh, lnc./Exhibit B-Schedule of Fees Rev. 07-01-18
2.4. In the event that additional tools, equipment, and/or third-party services are required for a clean-up, Contractor shall obtain pre-approval from the City describing the additional requirement and the associated cost. City shall reimburse Contractor for any pre-approved additional charge at Contractor's actual cost, plus a maximum of 20% markup.
3. PRICING AND OPTION RENEWALS
3.1. Pricing is fixed for the Initial Term of the Agreement.
3.2. Price Adjustments: Contractor may request adjustments to compensation rates prior to any one~year option to renew the Agreement after the Initial Term.
Price increase requests must be tied to CPI, PPI, or relevant industry specific index. Request for a price increase must be fully documented by Contractor and are subject to City's approval.
4. INVOICING PROCEDURE
4.1. At the conclusion of each encampment clean-up, the City shall pay Contractor in arrears within thirty (30) days of a properly completed invoice in a form acceptable to the City.
4.2. The invoice shall itemize the number of employees assigned to the clean-up, the actual hours worked for each employee, and the hourly rate as quoted above, and the extend cost which is the hourly labor rate times the total hours worked. Actual hours worked shall only include clean-up work at the encampment, and shall not include time for travel to the job-site, or any incidental time that is not directly related to the clean-up. If any additional tools, equipment, and/or third-party services were required for the clean-up, then supporting documentation must be provided with the invoice to document the cost to the vendor.
5. COMPENSATION ADJUSTMENT
5.1. Contractor may request adjustments to the hourly labor rates effective July 1 of each year during the term of the agreement. Contractor shall provide information justifying reasons for any increase, and City shall not unreasonably withhold approval of any increase provided the renewal quote for ongoing services does not exceed 3%, except to reflect an increase to the prevailing wage that is greater. Contractor must provide wages and benefits information to establish the amount paid to their workers to justify an adjustrnent that is greater than 3%. In no event will an adjustment greater than 3% be allowed for general and administrative expenses, overhead expenses, and profit.
Agreement with Tucker Construction, lnc,/Exhibit B-Scl1edule of Fees Rev. 07-01-18
Page2
EXHIBIT C
INSURANCE REQUIREMENTS
Without limiting the Contractor's indemnification of the City, and prior to commencing any of the Services required under this Agreement, the Contractor shall provide and maintain in full force and effect, at its sole cost and expense, the following insurance policies with at .least the indicated coverages, provisions and endorsements:
A. COMMERCIAL GENERAL LIABILITY INSURANCE
1. Commercial General Liability Insurance policy which provides coverage at least as broad as Insurance Services Office form CG 00 01. Policy limits are subject to review, but shall in no event be less than, the following:
$5,000,000 Each occurrence
$5,000,000 General aggregate
$5,000,000 Products/Completed Operatrons aggregate
$5,000,000 Personal Injury
2. Exact structure and layering of the coverage shall be left to the discretion of Contractor; however, any excess or umbrella policies used to meet the required limits shall be at least as broad as the underlying coverage and shall otherwise follow form.
3. The following provisions shall apply to the Commercial Liability policy as well as any umbrella policy maintained by the Contractor to comply with the insurance requirements of this Agreement:
a. Coverage shall be on a "pay on behalf' basis with defense costs payable in addition to policy limits:
b. There shall be no cross liability exclusion which precludes coverage for claims or suits by one insured against another; and c. Coverage shall apply separately to each insured against whom a claim is made or a suit is brought, except with respect to the limits of liability.
B. BUSINESS AUTOMOBILE LIABILITY INSURANCE
Business automobile liability insurance policy which provides coverage at least as broad as ISO form CA 00 01 with policy limits a minimum limit of not less than one million dollars ($1,000,000) each accident using, or providing coverage at least as broad as, Insurance Services Office form CA 00 01. Liability coverage shall apply to all owned, non-owned and hired autos.
Agreement with Tucker Cor,structlon , lnc./Exhibit C-lnsurance Requirements Rev. 07-01-18
C. WORKERS' COMPENSATION
1. Workers' Compensation Insurance Po icy as required by statute and employer's liability with limits of at least one million dollars ($1,000,000) policy limit Bodily Injury by disease, one million dollars ($1,000,000) each accident/Bodily Injury and one million dollars ($1,000,000) each employee Bodily Injury by disease.
2. The indemnification and hold harmless obligations of Contractor included in this Agreement shall not be limited in any way by any limitation on the amount or type of damage, compensation or benefit payable by or for Contractor or any subcontractor under any Workers' Compensation Act(s), Disability Benefits Act(s) or other employee benefits act(s).
3. This policy must include a Waiver of Subrogation in favor of the City of Santa Clara, its City Council, commissions, officers, employees) volunteers and agents.
0 . COMPLIANCE WITH REQUIREMENTS
All of the following clauses and/or endorsements , or similar provisions, must be part of each commercial general 'liability policy, and each umbrella or excess policy.
1. 2.
3. Additional Insureds. City of Santa Clara, its City Council, commissions, officers, employees, volunteers and agents are hereby added as additional insureds in respect to liability arising out of Contractor's work for City, using Insurance Services Office (ISO) Endorsement CG 20 10 11 85 or the combination of CG 20 10 03 97 and CG 20 37 1 O 01 , or its equivalent.
Primary and non-contributing. Each insurance policy provided by Contractor shall contain language or be endorsed to contain wording making. it primary insurance as respects to, and not requiring contribution from, any other insurance which the Indemnities may possess, including any self-insurance or self-insured retention they may have. Any other insurance Indemnities may possess shall be considered excess insurance only and shall not be called upon to contribute with Contractor's insurance.
Cancellation.
a. Each insurance policy shall contain language or be endorsed to reflect that no cancellation or modification of the coverage provided due to non-payment of premiums shall be effective until written notice has been given to City at least ten {10) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice shall be given at least ten (10) days prior to the effective date of non-renewal.
Agreement with Tucker Construction, lnc./Exhibit C-lnsurance Requirements Rev, 07-01-18
Page2
4. b. Each insurance policy shall contain language or be endorsed to reflect that no cancellation or modification of the coverage provided for any cause save and except non-payment of premiums shall be effective until written notice has been given to City at least thirty (30) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice shall be given at least thirty (30) days prior to the effective date of non renewal.
Other Endorsements. Other endorsements may be required for policies other than the commercial general liability policy if specified in the description of required insurance set forth in Sections A through D of this Exhibit C, above.
E. ADDITIONAL INSURANCE RELATED PROVISIONS
Contractor and City agree as follows:
1. Contractor agrees to ensure that subcontractors, and any other party involved with the SeNices who is brought onto or involved in the performance of the SeNices by Contractor, provide the same minimum insurance coverage required of Contractor, except as with respect to limits. Contractor agrees to monitor and review all such coverage and assumes all responsibility for ensuring that such coverage is provided in conformity with the requirements of this Agreement. Contractor agrees that upon request by City, all agreements with, and insurance compliance documents provided by, such subcontractors and others engaged in the project will be submitted to City for review.
2. Contractor agrees to be responsible for ensuring that no contract used by any party involved in any way with the project reserves the right to charge City or Contractor for the cost of additional insurance coverage required by this Agreement. Any such provisions are to be deleted with reference to City. It is not the intent of City to reimburse any third party for the cost of complying with these requirements . There shall be no recourse against City for payment of premiums or other amounts with respect thereto.
3. The City reserves the right to withhold payments from the Contractor in the event of material noncompliance with the insurance requirements set forth in this Agreement.
F. EVIDENCE OF COVERAGE
Prior to commencement of any Services under this Agreement, Contractor, and each and every subcontractor (of every tier) shall, at its sole cost and expense , provide and maintain not less than the minimum insurance coverage with the endorsements and deductibles indicated in this Agreement. Such insurance coverage shall be maintained with insurers, and under forms of policies, Agreement w ith Tucker Construction, lnc./Exhibit C~lnsurance Requirements Rev. 07-01-18
Page3
satisfactory to City and as described in this Agreement. Contractor shall file with the City all certificates and endorsements for the required insuran ce policies for City's approval as to adequacy of the insurance protection.
G. EVIDENCE OF COMPLIANCE
Contractor or its insurance broker shall provide the required proof of insurance compliance, consisting of Insurance Services Office (ISO) endorsement forms or their equivalent and the ACORD form 25-S certificate of insurance (or its equivalent), evidencing all required coverage shall' be delivered to City, or its representative as set forth below, at or prior to execution of this Agreement.
Upon City's request, Contractor shall submit to City copies of the actual insurance policies or renewals or replacements. Unless otherwise required by the terms of this Agreement , all certificates, endorsements, coverage verifications and other items required to be delivered to City pursuant to this Agreement shall be emailed to:
[email protected]
Or mailed to:
EBIX Inc.
City of Santa Clara Department of Public Works
P.O. Box 100085- S2
Duluth, GA 30096
Telephone number: 951-766-2280
Fax number: 770-325-0409
H. QUALIFYING INSURERS
All of the insurance companies providing insurance for Contractor shall have, and provide written proof of, an A. M. Best rating of at least A minus 6 (A- VI) or shall be an insurance company of equal financial stability that is approved by the City or its insurance compliance representatives.
Agreement with Tucker Construction, lnc./Exhibit C~lnsurance Requirements Rev. 07-01-18
Page4
EXHIBIT D
LABOR COMPLIANCE ADDENDUM
This Agreement is subject to the requirements of California Labor Code section 1720 et seq. requiring the payment of prevailing wages, the training of apprentices, and compliance with other applicable requirements .
I. Prevailing Wage Requirements
1 . Contractor shall be obligated to pay not less than the General Prevailing Wage Rate, which can be found at www.dir.ca.gov and are on file with the . City Clerk's office, which shall be available to any interested party upon request. Contractor is also required to have a copy of the applicable wage determination posted and/or available at each job site.
2. Specifically , contractors are reminded of the need for compliance with Labor Code Section 1774-1775 (the payment of prevailing wages and documentation of such), Section 1776 (the keeping and submission of accurate certified payrolls) and 1777.5 in the employment of apprentices on public works projects. Further, overtime must be paid for work in excess of 8 hours per day or 40 hours per week pursuant to Labor Code Section 1811-1813 .
3. Special prevailing wage rates generally apply to work performed on weekends, holidays and for certain shift work. Depending on the location of the project and the amount of travel incurred by workers on the project, certain travel and subsistence payments may also be required.
Contractors and subcontractors are on notice that information about such special rates, holidays, premium pay, shift work and travel and subsistence requirements can be found at www.dir .ca.gov.
4. Only bona fide apprentices actively enrolled in a California Division of Apprenticeship Standards approved program may be employed on the project as an apprentice and receive the applicable apprenticeship prevailing wage rates. Apprentices who are not properly supervised and employed in the appropriate ratio shall be paid the full journeyman wages for the classification of work performed.
5. As a condition to receiving progress payments , final payment and payment of retention on any and all projects on which the payment of prevailing wages is required, Contractor agrees to present to City, along with its request for payment, all applicable and necessary certified payrolls (for itself and all applicable subcontractors) for the time period covering such payment request. The term "certified payroll" shall include all required documentation to comply with the mandates set forth in Labor Code Section 1720 et seq, as well as any additional documentation requested by the City or its designee including, but not limited to: certified Agreement with Tucker Construction, lnc./Exhibit O-Labor Compliance Rev. 07-01-18
payroll, fringe benefit statements and backup documentation such as monthly benefit statements, employee timecards, copies of wage statements and cancelled checks, proof of training contributions (CAC2 if applicable), and apprenticeship forms such as DAS-140 and DAS-142.
6. In addition to submitting the certified payrolls and related documentation to City, Contractor and all subcontractors shall be required to submit certified payroll and related documents electronically to the California Department of Industrial Relations. Failure to submit payrolls to the DIR when mandated by the project parameters shall also result in the withholding of progress, retention and/or final payment.
7. No contractor or subcontractor may be listed on a bid proposal for a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1 (a)].
8. No contractor or subcontractor may be awarded a contract for public work on a public works project, unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5. Contractors MUST be a registered "public works contractor" with the DIR AT THE TIME OF BID. Where lhe prime contract is less than $15,000 for maintenance work or less than $25,000 for construction alternation, demolition or repair work, registration is not required.
9. All contractors/subcontractors and related construction services subject to prevailing wage, including but not limited to: trucking, surveying and inspection work must be registered with the Department of Industrial Relations as a "public works contractor'' . Those you fail to register and maintain their status as a public works contractor shall not be permitted to perform work on the project.
10. Should any contractor or subcontractors not be a registered public works contractor and perform work on the project , Contractor agrees to fully indemnify the City for any fines assessed by the California Department of Industrial Relations against the City for such violation, including all staff costs and attorney's fee relating to such fine.
11. This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations.
J. Audit Rights
All records or documents required to be kept pursuant to this Agreement to verify compliance with this Addendum shall be made available for audit at no cost to City, at any time during regular business hours, upon written request by the City Attorney, City Auditor, City Manager, or a designated representative of any of these officers. Copies of such records or documents shall be provided to City for audit at City Hall when it is Agreement with Tucker Construction, lnc./Exhibit D-Labor Compliance Rev, 07-01-18
practical to do so. Otherwise, unless an alternative is mutually agreed upon, the records or documents shall be made available at Contractor's address indicated for receipt of notices in this Agreement.
K. Enforcement
1. City shall withhold any portion of a payment; including the entire payment amount, until certified payroll forms and related documentation are properly submitted) reviewed and found to be in full compliance. In the event that certified payroll forms do not comply with the requirements of Labor Code Section 1720 et seq., City may continue to hold sufficient funds to cover estimated wages and penalties under the Agreement.
2. Based on State funding sources, this project may be subject to special labor compliance requirements of Proposition 84.
3. The City is not obligated to make any payment due to Contractor until Contractor has performed all of its obligations under these provisions. This provision means that City can withhold all or part of a payment to Contractor until all required documentation is submitted. Any payment by the City despite Contractor's failure to fully perform its obligations under these provisions shall not be deemed to be a waiver of any other term or condition contained in this Agreement or a waiver of the right to withhold payment for any subsequent breach of this Addendum.
City or the California Department of Industrial Relations may impose penalties upon contractors and subcontractors for failure to comply with prevailing wage requirements.
These penalties are up to $200 per day per worker for each wage violation identified; $100 per day per worker for failure to provide the required paperwork and documentation requested within a 10-day window; and $25 per day per worker for any overtime violation.
Agreement with Tucker Construction, lnc./Exhibit D-Labor Compliance Rev. 07-01-18
EXHIBIT E
NOTICE OF EXERCISE OF OPTION TO EXTEND AGREEMENT
AGREEMENT TITLE:
CONTRACTOR:
DATE:
Pursuant to Section _ of the Agreement referenced above, the City of Santa Clara hereby exercises its option to extend the term under the following provisions:
I OPTION NO. # of#
NEW OPTION TERM
I Begin date:
End date:
□ CHANGES IN RATE OF COMPENSATION
I Percentage change in CPI upon which adjustment is based:
Pursuant to Section_ of the Agreement the rates of compensation are hereby adjusted as follows:
(use attachment if necessary)
I MAXIMUM COMPENSATJON for New Option Term:
For the option term exercised by this Notice, City shall pay Contractor an amount not to exceed the amount set forth above for Contractor's services and reimbursable expenses, if any .. The undersigned signing on behalf of the City of Santa Clara hereby certifies that an unexpended appropriation is available for the term exercised by this Notice, and that funds are available as of the date of this signature.
Approved as to Form:
GLEN R. GOOGINS
City Attorney
Dated:
JOVAN D. GROGAN
City Manager
City of Santa Clara
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax: (408) 241-6771
Agreement with Tucker Construction , lnc./Exhibit E-Notice of Option to Extend Agreement Rev. 07-01-18
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
26-196 Agenda Date: 6/23/2026
REPORT TO COUNCIL
SUBJECT
Action on a Resolution Ordering the Vacation of an Underground Electric Easement at 4880 Great America Parkway
BACKGROUND
On November 13, 2013, the Architectural Committee approved the construction of a 170,689 SF office building (Project) at 4800-4900 Great America Parkway (Property) for The Sobrato Organization (Owner). The Project was conditioned to vacate the existing underground electric easement (SC15,092) on the Property as it conflicts with the new building footprint. A conditional building permit release was issued on August 1, 2014 to allow for the issuance of the building permit with the condition that the easement be vacated prior to the final building inspection or occupancy.
For reasons unknown, the building permit was finalized, but the easement was not vacated. On September 29, 2025, the Owner reached out to the City to request the outstanding easement be vacated as a cleanup item for their property.
DISCUSSION
Due to the development of the Property, the existing Underground Electric Easement encumbering the Property has been determined to be excess and is no longer necessary. The Owner has requested that the City vacate the subject easement to clear this unnecessary encumbrance on the Property. Any relevant facilities previously within said easement have already been removed or abandoned. Silicon Valley Power, the only department that may have an interest in the easement concurs that the easement is eligible to be vacated. Staff has reviewed this proposal and found that the easement is no longer necessary for public purposes and therefore recommend that it be vacated pursuant to California Streets and Highways Code Section 8333(c).
ENVIRONMENTAL REVIEW
The potential environmental impacts of the Project were addressed in the Mitigated Negative Declaration prepared for the Project and was approved by the Architectural Committee on November 13, 2013.
FISCAL IMPACT
There is no additional cost to the City other than staff time and expense.
COORDINATION
This report has been coordinated with the City Attorney’s Office and Silicon Valley Power.
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 City of Santa Clara Printed on 6/19/2026Page 1 of 2
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26-196 Agenda Date: 6/23/2026
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] or at the public information desk at any City of Santa Clara public library.
RECOMMENDATION
1. Adopt a Resolution Ordering the Vacation of an Underground Electric Easement at 4880 Great America Parkway [APN 104-04-115 (2025-26)]; and
2. Authorize the Recordation of the Resolution.
Reviewed by: Craig Mobeck, Director of Public Works
Approved by: Jovan Grogan, City Manager
ATTACHMENTS
1. Resolution
City of Santa Clara Printed on 6/19/2026Page 2 of 2
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Resolution ordering the Vacation of Easement Page 1 of 2 Rev. Rev: 7/27/2023 SC25-0070
RECORD WITHOUT FEE PURSUANT
TO GOV’T CODE SECTION 6103
Recording Requested by:
Office of the City Attorney
City of Santa Clara, California
When Recorded, Mail to:
Office of the City Clerk
City of Santa Clara
1500 Warburton Avenue
Santa Clara, CA 95050
Form per Gov’t Code Section 27361.6 [SPACE ABOVE THIS LINE FOR RECORDER’S USE]
RESOLUTION NO. __________
A RESOLUTION OF THE CITY OF SANTA CLARA,
CALIFORNIA, ORDERING THE VACATION OF AN
UNDERGORUND ELECTRIC EASEMENT AT 4880 GREAT
AMERICA PARKWAY [APN 104-04-115 (2025-26)]
WHEREAS, the City of Santa Clara currently possesses the described Underground Electric Easement in Exhibit A and shown on Exhibit B, which Exhibits are incorporated herein by reference. Said Easement was dedicated by that certain document as mentioned in said Exhibits; and,
WHEREAS, pursuant to Section 8333 of the California Streets and Highways Code, the City Council “may summarily vacate a public service easement” in any of the following cases:
(a) The easement has not been used for the purpose for which it was dedicated or acquired for five consecutive years immediately preceding the proposed vacation. (b) The date of dedication or acquisition is less than five years, and more than one year, immediately preceding the proposed vacation, and the easement was not used continuously since that date.
(c) The easement has been superseded by relocation, or determined to be excess by the easement holder, and there are no other public facilities located within the easement.
NOW THEREFORE, BE IT RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:
Resolution ordering the Vacation of Easement Page 2 of 2 Rev. Rev: 7/27/2023 SC25-0070
1. That said Easement described and shown in said Exhibits has been superseded by relocation, or determined to be excess by the easement holders, and there are no other public facilities located within the easement.
2. That said Easement described and shown in said Exhibits in the City are hereby vacated pursuant to California Streets and Highways Code Section 8333.
3. That the vacation hereby releases all easement rights and interest of the City referred in said Exhibits to the current property owner(s).
4. 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 ___ DAY OF _________, 20__, BY THE FOLLOWING VOTE:
AYES: COUNCILORS:
NOES: COUNCILORS:
ABSENT: COUNCILORS:
ABSTAINED: COUNCILORS:
ATTEST: __________________________
NORA PIMENTEL, MMC
ASSISTANT CITY CLERK
CITY OF SANTA CLARA
Attachments incorporated by reference:
1. Exhibits A and B
K:\Engineering\Engineering\5-LPD\DOC\SC25-0070 Res vac easement.doc December 23, 2025
Project No. A16180-1
EXHIBIT “A”
LEGAL DESCRIPTION
VACATION OF UNDERGROUND ELECTRIC EASEMENT
APN 104-04-115 (2025-26)
ALL OF THAT UNDERGROUND ELECTRIC EASEMENT AS DESCRIBED IN THAT CERTAIN EASEMENT DEED, RECORDED ON NOVEMBER 5, 1981, IN BOOK G434 AT PAGE 697, OFFICIAL RECORDS OF SANTA CLARA COUNTY.
AS SHOWN ON EXHIBIT “B” ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF.
CONTAINING 1,505 SQUARE FEET, OR 0.0346 ACRES, MORE OR LESS.
DESCRIPTION PREPARED BY KIER & WRIGHT CIVIL ENGINEERS & SURVEYORS, INC.
KELLY S. JOHNSON, P.L.S. 9126
LLY YYYYYYYYYY S. JJJJJJJJJJJJOHOHOHOHOHOHOHOHOHOHOHOO NSNSNSNSNSNSNSNSNSNSSNN ONONONONONNONONNNNNN ,
P.L.S.
9 12/23/2025
DATE
SC25-0070
No. 9126
GREAT AMERICA PARKWAY
(A PUBLIC STREET)
OLD GLORY LANE
(A PUBLIC STREET)
OLD IRONSIDES DRIVE
(A PUBLIC STREET)
PARCEL 39
(393 M 18)
SC25-0070
EXHIBIT "B"
SANTA CLARA, CALIFORNIA
DATE
SCALE
BY
JOB NO.
SHEET
DEC., 2025
1" = 100'
DFH
A16180-1
1 OF 1
LEGEND ABBREVIATIONS
A AREA PROPERTY LINES
CENTER LINES
---------- U.G.E.E. LINES
U.G.E.E. UNDERGROUND ELECTRIC EASEMENT
M MAPS
- - - - - - - - - - EXISTING EASEMENTS SQ. FT. SQUARE FEET IP>@~irl@~ IP> ffi\~~~IL ®~
(l®I !Ml 'ill)
APN 104-04-152 (2025-26)
10.00' U.G.E.E.
1 I (393 M 18)
I I I APN 104-04-115 (2025-26)
I
I
I
I
I
I
I
I
I
I :
I
I
I
I : 1 I 10.00' U.G.E.E. BEING VACATED I
I I
(G434 O.R. 697) I I
: A=1,505 SQ. FT. j
==,==='=J I _________ ./
----------------- - -
-------
0 50' 100' 200'
Scale 1" = 100 ft
- KIER+WRIGHT
3350 Scott Boulevard, Building 22 Phone: (408) 727-6665 Santa Clara, California 95054 www.kierwright.com
VACATION OF UNDERGROUND
ELECTRIC EASEMENT
Z: \20 16\A 16180- 1 \ DWG\SURVEY\PLATS\A 16180- 1- PD- UGEE-VACA TI ON.dwg 12- 23- 25 12: 53: 36 PM dhenderson City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
26-607 Agenda Date: 6/23/2026
REPORT TO COUNCIL
SUBJECT
Action on a Resolution Approving and Adopting the Updated Records Retention Schedule for All City Departments
BACKGROUND
The current Citywide Records Retention Schedule (“Schedule”) was adopted by the City Council on August 28, 2012, under Resolution 12-7965. The Schedule was divided into City-wide and department-specific schedules that defined the requirements for categorization of records and the respective retention periods for those categories.
The Records Retention Schedule provides a description of the type of records each department maintains, indicates which department is the office of record for files retained, and states the length of time the records will be held, any statutory guidelines related to maintaining records, and the final disposition of the records, if any.
The Schedule is administered by the City Clerk’s Office and ensures the protection and efficient administration of the official records for the City of Santa Clara. This program assures the accessibility of information to the public, protects the City’s vital records, and provides a methodology for the periodic disposal of obsolete records. The Schedule must be compliant with various state laws, in alignment with industry best practices, cost effective, structured to appropriately preserve vital and historical City records, and be “user-friendly” for City staff. Since the time of adoption in 2012, technology and legislative changes have not been incorporated into the Schedule. Legislative guidelines continue to be followed, and the Schedule requires updates to reflect current practice.
Approval of the proposed new Resolution will rescind the 2012 Resolution 12-7965 as well as the separate Records Retention Schedule specifically for the Police Department dated June 24, 2025 (25 -9459), and serves to provide the City with up-to-date requirements and rules for managing the records of all City departments combined (including the Police Department).
DISCUSSION
In 1968, the California State Legislature adopted the California Public Records Act (“CPRA”) which requires the inspection or disclosure of governmental records to the public upon request, unless exempted by law. This law did not provide a distinction between what is a record and what is not a record. In addition, CPRA did not tell the City how long each record, once defined, had to be retained. Absent a clear definition and clear rules for retaining records, the City has prepared for the Council’s consideration the formal documents that define what a record is for the City and how long those records are to be retained.
The proposed Records and Information Management Policy clearly defines what a record is for the City of Santa Clara and the rules the City will follow in managing both its records and general City of Santa Clara Printed on 6/19/2026Page 1 of 3
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26-607 Agenda Date: 6/23/2026
City of Santa Clara and the rules the City will follow in managing both its records and general information. The Records Retention Schedule identifies what types of records the City creates and/or receives in the normal course of doing business and how long these record types will be retained by the City.
The Records Retention Schedule was created in collaboration with each department and each department has had the opportunity to review and edit the document to meet the department’s business needs. The Records Retention Schedule has also been reviewed by the City Attorney’s Office to ensure compliance with all pertaining federal and state laws and requirements.
In March 2025, the City contracted a professional services agreement with Kaizen InfoSource LLC (Kaizen), to prepare a new Records and Information Management Policy and a new Records Retention Schedule for the City Of Santa Clara. Kaizen met with each department and the City Attorney’s Office to obtain the requirements and needs for each department.
Kaizen had previously worked with the Police Department to identify their records and how long each category of record should be retained. The Police Department Records Retention Schedule was adopted by Council on June 24, 2025. The Police Department category of records has now been included in this newer version for adoption so that the City has one Records Retention Schedule for the entire City.
As required under the Brown Act and CPRA, there is a need to have a Records Management Program that is compliant, professional, cost effective, preserves vital and historical City records, and guarantees its citizens access to public records of the City. The City of Santa Clara needs a modern Records Retention Schedule, as well as a Records and Information Management Policy that will support City in managing its records. These new governance documents will not only increase government transparency but will also minimize legal risk to the City.
Departments may, for operational necessity, establish an internal guideline allowing retention of a particular type of document for a longer period of time, but may not shorten retention period.
ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(b)(5) in that it is a governmental organizational or administrative activity that will not result in direct or indirect changes in the environment.
FISCAL IMPACT
Adoption of the Citywide Retention Schedule has no fiscal impact.
COORDINATION
The report was coordinated with the City Clerk’s Office, Citywide Departments, and City Attorney’s Office.
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 City of Santa Clara Printed on 6/19/2026Page 2 of 3
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26-607 Agenda Date: 6/23/2026
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] or at the public information desk at any City of Santa Clara public library.
RECOMMENDATION
Adopt a Resolution approving a new Citywide Records Retention Schedule including the Santa Clara Police Department and Rescind Resolutions 25-9459 (adopting a Records Retention Schedule for the Santa Clara Police Department) and 12-7965 (Old Citywide and Departmental Retention Schedule).
Prepared by: Nora Pimentel, Assistant City Clerk
Reviewed by: Sujata Reuter, Assistant City Attorney
Approved by: Jovan Grogan, City Manager
ATTACHMENTS
1. Citywide Records Retention Schedule
2. Records and Information Management Policy
3. Resolution
City of Santa Clara Printed on 6/19/2026Page 3 of 3
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City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments 001 Accounts Payable and Receivable
Records and information related to the accounting of monies paid or received by the City, as well as the
Mendota Community Corporation (MCC), including payment for financial obligations.
Aging Reports
AR Memos
Asset Forfeiture Funds
Bankruptcy Notices
Cash Management Records (cash disbursement, cash register receipts, cash rec
eipts, petty cash )
Coll
ections and Bad Debt
Confidential Payment Supporting Information (that does not go to Finance) Credit Memos
Donations (monetary, in-kind )
Ex
pense Reports, Reimbursements for Employees and Officials (including travel)
FEMA/DHS Reimbursements
Form 1099 and Form W-9 Records
Fund Transfers (inter-departmental memos, etc. )
Invoices
and Vouchers
Payables
Purchasing Card Expense Reconciliation/Allocations
Receivables (including deposit forms)
Reclass Forms and Vouchers
Reconciliations
Refunds
Request Forms
Restitution Files from the County
Sales and Use Taxes Paid
Tax Payments and Revenue (e.g., transient occupancy taxes, gas taxes, property
taxes, utility user taxes )
Util
ity Billing
All Departments 6Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 18 CFR 125.3(11) - (5Y)
US - 26 CFR 31.6001-1(e)(2) - (5Y)
US - 26 USC 6531 - (LA6Y)
US - 48 CFR 4.705-1 - (4Y; 2Y)
002 Agreements, Contracts and Leases - Goods and Services Executed agreements and contracts for goods and services (which includes all types of contra
cts, such as an agreement, franchise, lease, JPA, MOA, MOU and associated ancillary documents, between the City and other parties.
Addendums and Amendments
Attachments / Exhibits
Bids, Awards (including responses to RFPs, RFQs, and RFBs, evaluation sheets,
quotations )
Bonds
Ce
rtificates of Insurance and Endorsements
Change Orders
Compliance with City Purchasing Requirements
Concessions
Disclosures
Exhibits
Franchises
Letters of Intent
Notices of Intent
Price Lists
Proposals, Quotations
Proof of Insurance Certificates
Purchase Orders
Receiving Reports
Requisitions
Receiving Reports
Specifications
Statements of Work (SOWs)
Successful Requests for Proposal (RFP)
Warranties
All Departments While Active+4Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 29 CFR 516.5 - (3Y)
US - 48 CFR 4.705-1(b) - (4Y)
US - 48 CFR 4.705-3(f) - (4Y)
Santa Clara Municipal Code 17.30.010 - (MAINT)
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year Prepared by Kaizen InfoSource Page 1
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 003 Audits - Internal, External and Administration
Records and information related to both internal and external audits of City activities and administration
of auditing activities, including reviewing and documenting operational, compliance, or financial information created as a part of an audit.
Annual Audit Reports
Audit Files, Plans
Audit Schedules
Audit Workpapers
Auditors Reports
General Purpose Financial Audits, Single Audits
Management Responses
Responses
All Departments 6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1(e)(2) - (5Y)
US - 26 USC 6531 - (LA6Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
004 Bond Proceeds Drawdown
Records and information supporting debt proceeds drawdown requests for capital improv
ement program (CIP) project reimbursements for potential Internal Revenue Service (IRS) audits.
Drawdown Requests
Reimbursements
All Departments While Active+10Y CA - CCP 336a - (LA6Y) CA - CCP 337.5 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 26 USC 6531 - (LA6Y)
005 Community Assistance, Engagement, Outreach and Public Relations Records and information regarding external-facing services, communications, advertising and press
relations materials, including documentation of outreach activities/events held in cooperation or for the benefit of City staff and for the local community, including:
- Annual ComicCon
- Mobile Shower & Laundry Services
- Adopt-A-Spot/Creek Cleanup
NOTE: For Police Department outreach records, see category 110.
Applications
Brochures, Flyers
City Hall News Documents
City Manager Updates
Community Event and Services Records
Community Meeting Documents ( agendas, minutes,
corre
spondence )
FAQs
News
Releases/Media Advisories
Newsletter
PowerPoint Presentations
Press Releases
Public / Media Inquiries
Public Information / Outreach / Education
Public Surveys
Registrations
Sister City Program(s)
Social Media Documentation
Training Offered to the Public ( e.g., fire extinguisher use ) Volunteer Do
cumentation (sign-up sheets, application forms, waiver
forms )
All Departme
nts 4Y CA - CCP 337 - (LA4Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(42) - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
Prepared by Kaizen InfoSource Page 2
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 006 Department Administration
General internal administrative records of City departments, including:
- Docum
entation of department internal activities
- Routine department reports
- Information captured on a log or a list
- Correspondence, memos, notes and emails that do not require acknowledgment and do not pertain to another category
- Special projects
- Unsuccessful applications, including those for grant funding Ad Hoc Committees and Subcommittees
Constituent Correspondence
Department Administrative Documents ( budgets, budget memos, calen
dars, committees, goals, objectives, meeting agendas, meeting minutes, meeting tapes/recording, plans, spreadsheets ) Departm
ent Awards and/or Community Accolades
Department Generated Routine Studies / Reports
Department Project Files
Employee Communication Letters ( announcements, new programs, notices )
Fuel Car
d Authorizations
Gifts Received by the City
Internal Committees / Employee Committees
Inter-departmental Receipts
Letters Signed by City Officials
Logs and Lists (e.g., emergency contacts )
Organiza
tion Charts
Photos
Routine Correspondence
Safety Team Meeting Minutes
Shipping and Receiving Records
All Departments While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
007 Emergency Management
All documentation for dealing with preparation for and responses to emergencies, disasters and/or syste
m failures for City facilities. Includes the Emergency Operations Center.
Business Continuity Plans
Business Response Plans ( hazardous materials, hazardous waste, hazardous
spills )
Emergen
cy Communication
Disaster Recovery Plan
Drill Records and Employee Training
Emergency Contact Lists, Employee Lists, Roster of Workers Emergency Evacuation Procedures
Emergency Operation Plans
Emergency Operations Center
Emergency Preparedness
Emergency Response Programs
Evacuation Plans
Hazard/Risk Mitigation Plans (Cal-Arp, etc. )
All Departme
nts While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
008 Employee Training
All documents related to general and specialized technical education and training taken by officials,
paid employees and unpaid volunteers, beyond what is required for position.
Includes:
- Compliance (including for CIP, SWPPP, SPCC, NERC, UST) - Ethics
- FEMA/SEMS/CSTI
- Fire Extinguisher
- First Aid/CPR
- Harassment
- IT Training (The Learning Café Classes)
- Privacy
- Safety (including for Asbestos Workers, OSHA, CalOSHA) - Specialized Equipment
- Child Protective Services & Boundaries
Briefing/Unit Training
Certification Records
Compliance Training
Individual Education, Development
All Departments Separation+5Y CA - 8 CCR 3203(b)(2) - (1Y) CA - GOV 34090 - (2Y)
CA - GOV 53235.2(b) - (5Y)
CA - GOV 53237.2(b) - (5Y)
CA - HSC 25505(a)(4) - (3Y)
CA - LAB 6401.9(e) - (1Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (2Y)
US - NERC Standard CIP-004-7 - (AC+3Y)
US - NERC Standard PER-005-2 - (Audit Closeout+3Y)
Santa Clara Municipal Code 2.80.045 - (MAINT)
Santa Clara Municipal Code 2.80.050 - (MAINT)
Prepared by Kaizen InfoSource Page 3
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 009 Employee Training Materials, Courses, Scheduling
Documentation regarding the content of courses and schedules for training offered to employees
, officials and volunteers.
Attendance Lists
Presentation Materials
PowerPoint Slide Decks
Rosters
Sign-in Sheets
Testing/Qualifications
Training Bulletins
All Departments Superseded+5Y CA - 8 CCR 3203(b)(2) - (AC+1) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
CA - GOV 53235.2(b) - (5Y)
CA - GOV 53237.2(b) - (5Y)
US - 29 CFR 1602.14 - (1Y)
Santa Clara Municipal Code 2.80.045 - (MAINT)
Santa Clara Municipal Code 2.80.050 - (MAINT)
010 Grants and External Funding Sources
Documents the application, evaluation, awarding, administration, monitoring, reporting, and status of gr
ants and other funding sources in which the City is the recipient, grantor, allocator, or administrator, other than HUD grants (for HUD grants see 06 6). Includes:
- Community Grants
- Combined Federal, State, Local Grants
- Federal Grants
- Local Grants
- State Grants
Applications (including project proposals )
Audit
s
Award Notification
Funding Requests
Grant Administration
Grant Evaluations
Grant Funding
Grant Reconciliation Reports
Grant Reimbursement Documents
Monitoring Visit Letters (and related correspondence )
Payroll (c
ertified, Davis Bacon )
Program
Rules, Regulations, Procedures
Reports to Funding Agencies
Required Financial Reports (e.g., SF-425)
Semi-annual Labor Reports
All Departments While Active+7Y CA - GOV 8546.7 - (CL+3Y) CA - GOV 34090 - (2Y)
CA - Office of Emergency Services 2019 Subrecipient Handbook §11210 - (AC+7Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
NOTE: If a grant requires longer retention, its specific requirements will take precedence.
011 Historical Documents, Events, and Collections
Records and information documenting the history and significant milestones of the City.
Awards
to the City
Biographies of City Officials
Census Information
City Seal and Logo
City Incorporation
City Publications
City-Owned Property Records
Elections (historic, significant )
Executiv
e, City Official Communications, Speeches, Videos
Historic Districts
Historical Events, Artifacts, Architecture, Designations, Projects Memorial Programs
Photo Collections
Significant News Clippings, Releases
All Departments Permanent* CA - GOV 34090 - (2Y)
*Note: Only those records determined to have significant and ongoing long-term usefulness and value to the City will be designated as historical or archival.
012 Legislative Administrative Records
Administrative documents associated with meetings and activities of the City's legislative bodies, as
well as documentation of non-legislative commissions, committees and task forces.
Activity Reports
Agendas
Annual Administrative Reports
Commendations
General Correspondence
Memos to Council
Presentations
Proclamations
Staff Reports
All Departments 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 4
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 013 Payroll
Records and information related to the accounting of payroll earnings, deductions, and issuanc
e. This also includes records and information reflecting all earnings and benefits paid to each employee, including:
- Name, address, SSN
- Total amount and date of payments
- Period of service covered for each
- Withholding
- Tax collected
- Administrative support for use of electronic timekeeping system Adjustments (including requests, request forms, queries and supporting document
s )
Benefit and
Deduction Payments (including invoices, reports, interface files ) Bi-Weekly
Direct Deposit and Positive Pay Interface Files
Bi-Weekly Payroll Processing Binders (time and labor )
Checks (off-
cycle, stale dated )
Deduction A
uthorizations, Registers, and Reports
Deferred Compensation Reports
Direct Deposit Documentation (authorization forms, ESS direct deposit verificati
ons )
Federal Labor St
andards Act (FLSA) Analyses
Garnishments
IRS Lock-In Letters
Overtime Authorizations
Password Reset Requests
Payroll Adjustments
Payroll
Payroll and Timekeeping Memos (including related action items ) Payro
ll Taxes and Withholding Forms (DE-4, electronic W-2 consent, W-2, W-4 ) Payro
ll Registers
PERS Reporting
Processed Repayment Agreements
Processing Reports, Reports to Government
Reconciliations (general ledger (GL), military pay )
Retroactive
Payments/Deductions (HR authorizations and calculation ) Salary S
chedules (including calculations )
Separation Rec
ords (lists, payoffs )
Time
keeping Records (timecards, as-needed employee timesheets, extra help request
s, DOT timesheets, prior period adjustments, FLSA report, payroll reclass forms )
All Departments 6Y* CA - 2 CCR 570.5 - (5Y)
CA - 2 CCR 571(b)(1)(E) - (5Y)
CA - 8 CCR 11040(7)(c) - (3Y)
CA - 22 CCR 1085-2(c) - (4Y)
CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
CA - LAB 226a - (3Y)
CA - LAB 1174(d) - (3Y)
CA - LAB 1197.5(e) - (3Y)
CA - UIC 1132 - (LA3Y)
US - 20 CFR 655.760 - (3Y)
US - 26 CFR 31.6001-1(e)(2) - (5Y)
US - 26 USC 6531 - (LA6Y)
US - 29 CFR 516.5 - (3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1620.32 - (2Y)
US - 29 CFR 1627.3(a) - (3Y)
US - 29 USC 436 - (5Y)
US - 48 CFR 4.705-2 - (4Y; 2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
*Note: Payroll records of the Mayor and members of City Council are retained for 10 years.
014 Policies and Procedures
All administrative documentation of City policies and procedures.
Acronyms
Admini
strative Policies
Administrative Regulations
Directives (including City Manager memos )
Gener
al Orders
Guidelines
Handbooks
Policies
Procedure Manuals
Procedures
Program / Initiative Plans
Standards
All Departments While Active+3Y CA - GOV 34090 - (2Y)
US - 26 CFR 301.6501(a)-1 - (3Y)
US - 29 CFR 1602.14 - (AC+1Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
015 Procurement - RFP, RFQ, RFI, Bids Not
Awarded
Records and information received in response to the City's requisitioning of goods services, or real pro
perty, but where the purchase order, contract, or agreement was not awarded.
Bids (unaccepted, rejected )
Exhibits
Price Lis
ts
Quotations
Requisitions
Scorecards
Specifications
Unsuccessful Invitation for Bids (IFB)
Unsuccessful Requests for Information ( RFI)
Unsuccessful Requests for Proposal ( RFP )
Unsuc
cessful Requests for Quote ( RFQ )
All Departme
nts While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 5
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 016 Public Notices
Records documenting compliance with laws requiring public notice of government activities, excluding a
gendas and legislative body-related documents. Subjects may include assessments, elections, land use changes, public meetings and hearings, sale of property, and others.
Affidavits of Mailing
Affidavits of Posting
Affidavits of Publication/Legal Notices
Maddy Act Lists and Notices
Public Hearing Notices
Public Meeting Notices
Publication Documents
Vacancy Notices
All Departments 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
017 Real Estate Financial Transactions
Records and information related to the ownership, acquisition, disposition, transfer of, lease of, inf
rastructure and facilities including grant deeds, owned by or used by the City.
Acquisitions
Appraisals
Attachments
Buildings
Capital Improvements
Community Development Block Grant ( CDBG ) Property
Deeds
of Trust
Development Agreements
Dispositions
Easements
Land
Loan Agreements
Mortgages
Possessory Interest
Promissory Notes
Regulatory Agreement
Right of Way
Sales
Subdivision Improvement Agreements (SIAs)
Title Reports
Valuation Information
All Departments Permanent CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090(a) - (PR)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
018 Service Requests, Issues, and Complaints
Documentation regarding complaints and requests for service received by City department
s.
Complaints and Inquiries and Related Correspondence
Follow-up Investigations
Issues Log
Municipal Services Call Recordings
Trouble Reports
Work Orders
All Departments 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
019 Strategic Planning
Records and information relating to financial planning.
Business
Plans
Consolidated Action Plans
Council Priorities
Financial Plans
Forecasts
Strategic Plans
All Departments 2Y CA - GOV 34090 - (2Y)
020 Building Plans, Building Permits, Fire Plans, Fire Permits - Permit Never Issued Applications for building or fire permits, with associated documents, where the application is abandone
d or cancelled.
Addressing Forms
Applications (and related correspondence )
CF1R
Form
Drawings
Owner Authorization Letters
Permit Cancellation Form
Proof of Ownership/Escrow Documents
Refund Supporting Documents
Structural Calculations
Waste C&D Form
Building
Fire
Current Year+2Y CA - CBC 105.5.1 - (1Y)
CA - CFC 105.2.3 - (180D; 270D)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 6
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 021 Building Plans, Building Permits, Fire Plans, Fire Permits, Appeals and Decisions Records and information documenting the building or fire services provided by the City regula
ting private property.
Addressing Paperwork
Alternate Materials and Methods of Construction
Appeals
Building Inspections
Building Permits (issued, active, history )
Building Plans
- Commercial & Residential
Certificates of Occupancy
Compaction and Soil Reports
Correction Notices
Design and Construction Standards
Developer Fee's and Waivers
Electric Meter Releases
Environmental Impact Reports (EIRs)
Building Permits (issued, active, history )
Gas Meter Re
leases
Modifications and Related Tests
Owner Authorization Letters
Smoke and Carbon Monoxide Certification
Special Inspection Final Affidavit Letter
Special Testing Agreement
Temporary Certificate of Occupancy
Building
Fire
Permanent CA - CBC 107.5 - (Completion+180D)
CA - CFC 105.2.3 - (180D; 270D)
CA - CRC R106.5 - (Completion+180D)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 17974.1(e) - (MAINT)
CA - HSC 19850 - (LI)*
CA - HSC 50515.10(b) - (MAINT)
* Life of Building
022 Code Enforcement
Records and information documenting compliance with City codes, including such issues as:
- Abandone
d shopping carts
- Fire code violations
- Graffiti
- Home occupations
- Illegal dumping
- Prohibited signage
- Property maintenance
- Vacant/abandoned buildings
- Vehicle related, e.g., abandoned, parking
- Weed abatement
- Yard/garage sales
Administrative Citations
Administrative Enforcement Orders
Audio Recordings of Hearings
Certificates of Nuisance and Abatement
Citations (and related documents )
Complia
nce with Conditions of Approval
Inspections / Enforcement (business, residential)
Investigations
Notices
of Noncompliance
Notices of Violation
Photographs
Violations
Building
Fire
Housing
Planning
Police
Public Works - Streets
Water & Sewer
4Y CA - CCP 329 - (LA2Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide Santa Clara Municipal Code 2.80.050 - (MAINT)
Santa Clara Municipal Code 9.05.025 - (LA1Y)
NOTE: Records for repeat offenders may be retained longer to document a history of violations
Prepared by Kaizen InfoSource Page 7
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 023 Technical Documents & Standards, Real Property Maps and Record Drawings Final standards, technical requirements, maps, record drawings and geographical information
pertaining to City infrastructure.
Aerial Photos
Assessor Parcel Maps
Annexations
Benchmarks
Block Books
Building Site Determination
Center Line Ties
Construction Drawings
Drainage
Flood Hazard Boundary Maps (FHBMs)
Geographic Information System (GIS)
Grading Plan Drawings
Improvement Plans, Drawings
Lot Line Adjustments
Lot Numbers
Parcel Mergers
Parcels, Plats
Record of Survey Maps
Rights of Way
Site Maps
Sphere of Influence
Street Address Files
Subdivisions
Technical Documents and Standards
Tentative Maps
Tracts
Utility Maps
Building
Planning
Public Works
Permanent CA - CCP 337.15 - (LA10Y)
CA - GOV 34090(a) - (PR)
CA - HSC 19850 - (LI)*
US - 44 CFR 60.3(b)(5) - (MAINT)
* Life of Building, Asset or Facility
024 Assignment Management
Documentation associated with administration and management of requests for assistance receiv
ed by the City Attorney's office, including actions taken.
Assignment Binders
Assignment Log
City Attorney Current Year+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
025 Legal Advice and Opinions
Official written legal advice and/or opinions prepared by the City Attorney.
Amicus
Briefs
Attorney Opinions
Legal Memorandum
City Attorney While Active+10Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
026 Litigation Files - Eminent Domain Orders
Records generated for or related to litigation where an eminent domain order has been issued
and carried out.
Court Orders
Judgments
Related Correspondence
City Attorney Permanent CA - CCP 315 - (LA10Y)
CA - CCP 318 - (LA5Y)
CA - CCP 319 - (LA5Y)
CA - CCP 337 - (LA4Y)
CA - CCP 338 - (3Y)
CA - GOV 911.2 - (LA6M; LA1Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 8
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 027 Risk Management - Insurance Coverage
Records detailing the City's general coverage against property damage and liability, including
renewal submission information, insurance quotes, broker correspondence, and oversight of third party administrators.
Binding Information
Broker Correspondence
California Joint Powers Insurance Authority ( CJPIA )
Certific
ates of Insurance
Completed Applications
Excess Insurance Authority (EIA)
Flood Insurance
Insurance Policies
Insurance Quotes
Insurance Submissions
Liability Insurance
Renewal Strategy
Third Party Administrator (TPA) Management Records
City Attorney While Active+6Y CA - 22 CCR 3267-2 - (MAINT) CA - CCP 337 - (LA4Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(12) - (AC+6Y)
028 Litigation Files - Ancillary Documents
Records generated for or related to cases or action before a judicial, arbitral, or administrativ
e officer or body but not directly related to the final resolution of the case.
Alternative Dispute Resolution (ADR) Documents
Correspondence
Discovery
Exhibits
Lawsuits
Memos
Notes
Pleadings
Prosecutions
Research
Subpoenas (civil subpoenas and criminal subpoenas, service of legal docu
ments )
City Attor
ney
City Clerk
Final Resolution+10Y CA - 2 CCR 11013 - (FR+4Y)
CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 911.2 - (LA6M; LA1Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - LAB 5410 - (LA5Y)
CA - RTC 19704 - (LA6Y)
CA - UIC 1132 - (LA3Y)
US - 26 USC 6531 - (LA6Y)
US - 26 USC 6532 - (LA2Y)
US - 29 USC 255 - (LA2Y)
US - 29 USC 626(d) - (LA300D)
US - 42 USC 2000e-5(e) - (LA180D; LA300D)
US - 42 USC 2000e-5(f) - (LA180D)
029 Litigation Files - Charging and Resolution Documents Records generated for or related to cases or action before a judicial, arbitral, or administrativ
e officer or body where the case has been resolved.
Claims
Complaints
Court Orders
Court Rulings/Decisions
DIsmissals
Judgments
Releases
Settlements
Verdicts
Writs
City Attorney
City Clerk
Final Resolution+25Y CA - 2 CCR 11013 - (FR+4Y)
CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 911.2 - (LA6M; LA1Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - LAB 5410 - (LA5Y)
CA - RTC 19704 - (LA6Y)
CA - UIC 1132 - (LA3Y)
US - 26 USC 6531 - (LA6Y)
US - 26 USC 6532 - (LA2Y)
US - 29 USC 255 - (LA2Y)
US - 29 USC 626(d) - (LA300D)
US - 42 USC 2000e-5(e) - (LA180D; LA300D)
US - 42 USC 2000e-5(f) - (LA180D)
Prepared by Kaizen InfoSource Page 9
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 030 Insurance Claims by the City
Records detailing claims lodged by the City for damages to City property.
Acciden
t/Incident Reports
Actuarial Reports
Annual Audit of Open Claims
Appraisals
Claims Against the City
Claims By the City
Closing Letters
Damage Estimate Reports
Supporting Documentation
Insurance Claims, Appraisals, Reports, Settlements
Investigations
City Attorney
Finance
Final Resolution+5Y CA - CCP 337 - (LA4Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 34090 - (2Y)
031 Administrative Citation Appeals Records
Records and information resulting from oversight of appeals to administrative citations, regardle
ss of which City department or other local agency originally issued the appeal.
Department Responses
Evidence
Final Decision Statements
Hearings
City Clerk Current Year+2Y CA - GOV 911.2 - (LA6M; LA1Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802(a) - (LA1Y)
032 Agreements, Contracts and Leases - Construction, Improvements to City Real Property and City Fac
ilities and Infrastructure
Executed agreements and contracts for construction and/or improvements to the City's real propert
y and facilities, including Encroachment Permit Agreements but not including projects related to affordable housing (see Record No. 082).
Addendums and Amendments
Attachments / Exhibits
Bids, Awards (including responses to RFPs, RFQs, and RFBs, evaluation sheets,
quotations )
Bonds
Ce
rtificates of Insurance and Endorsements
Change Orders
Compliance with City Purchasing Requirements
Construction Drawings
Construction Notices (including notices of award, notices of completion, etc. )
Disc
losures
Escrow Bid Documents*
Exhibits
Letters of Intent
Memoranda of Agreement (MOAs)
Preliminary Notices (from third-party subcontractors)
Price Lists
Professional Services Agreements
Proposals, Quotations
Proof of Insurance Certificates
Purchase Orders
Receiving Reports
Requisitions
Report to Council (RTC)
Specifications
Statements of Work (SOWs)
Successful Requests for Proposal (RFP)
Warranties
City Clerk Permanent CA - CCP 315 - (LA10Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090(a) - (PR)
US - 2 CFR 200.334 - (CL+3Y)
US - 18 CFR 125.3(22) - (CL+6Y)
US - 18 CFR 125.3(25) - (6Y)
US - 48 CFR 4.705-3(h) - (4Y)
Santa Clara Municipal Code 17.30.010 - (MAINT)
033 Appointments to Boards and Commissions
Staff records related to appointments and membership made by authorized elected officials to counc
ils, committees, boards, and commissions.
Applications (appointed, unsuccessful )
Inter
view Notes
Letters of Appointment
Letters of Recommendation
Oaths of Office
Resumes
City Clerk Term of Office+2Y CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 10
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 034 Election Records - Administrative Files
Documentation of the administration of City elections as well as the submission and proces
sing of initiatives, referenda, recalls, or ballot measures, excluding petitions.
Ballot Measure (initiatives, arguments for/against, full text, rebuttals, impartial ana
lyses )
Cancel
led Affidavits of Registration
City Attorney Opinion
Election Correspondence
Election Results
Research Notes
Rosters of Voters
City Clerk 5Y CA - ELEC 17000 - (5Y)
CA - ELEC 17300 - (5Y)
CA - GOV 81009(f) - (4Y)
035 Election Records - Candidates Not Elected
Campaign statements and election documentation for candidates who are not elected.
Campaign
Disclosures
Campaign Statements
Nomination Papers
City Clerk 5Y CA - ELEC 17100(a) - (Term of Office+4Y)
CA - GOV 81009(b) - (5Y)
CA - GOV 84616(b) - (4Y)
036 Election Records - Committee Campaign Forms
Campaign statements for Political Action Committees, General Purpose Committees and related FPPC
campaign reports, public financing reports and forms.
FPPC Series 400 Forms
Public Financing Vouchers
Public Financing Reimbursement Claims
City Clerk 7Y CA - GOV 81009(e) - (7Y)
037 Election Records - Initiative, Recall, or Referendum Petitions Petitions for initiative, referendum, or recall, whether successful or not.
Petitions (initiativ
es, recall or referendum ) City Clerk 8M CA - ELEC 17200 - (8 Months) CA - ELEC 17400 - (8 Months)
038 Election Records - Officeholders, Candidates Elected, and Supporting Committees Campaign statements and election documentation for candidates who are elected or appointed to C
ity offices, their controlled and supporting committees, and officeholders.
Campaign Disclosures
Campaign Statements (candidates, candidate-controlled
committees,
primarily-formed committees in support, officeholders ) Nomination
Papers
City Clerk Permanent CA - ELEC 17100(a) - (Term of Office+4Y) CA - GOV 81009(b) - (PR)
039 FPPC Forms - Mandated Reporting
Forms mandated by state law related to related to conflict of interest, receipt and redistr
ibution of gifts and honoraria, ceremonial roles, and holding of multiple positions for certain employees, elected or appointed officials, or consultants.
Form 700
Form 801
Form 802
Form 803
Form 804
Form 805
Form 806
City Clerk 7Y CA - GOV 81009(e) - (7Y)
Prepared by Kaizen InfoSource Page 11
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 040 Legislative Records - Audio/Video Records
Audio and Video Recordings of City legislative bodies subject to the Brown Act, including:
- Ad Hoc
Committees
- Americans with Disabilities Act (ADA) Committee
- Architectural Review Committee
- Bicycle Pedestrian Advisory Committee
- Board of Library Trustees
- City Council
- Civil Service Commission
- Cultural Commission
- Historical and Landmarks Commission
- Parks and Recreation Commission
- Planning Commission
- Salary Setting Commission
- Senior Advisory Commission
- Subdivision Committee
- Various Task Forces
- Youth Commission
Audio and Video Recordings City Clerk 2Y CA - GOV 54953.5(b) - (30D) 041 Lobbyist Registration and Activity Disclosures
Registration records and reports disclosing lobbyist activity required by the Lobbyist Registr
ation Act.
Lobbyist Quarterly Activity Reports
Lobbyist Registration
Lobbyist Registration Termination
Training Records
City Clerk While Active+3Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
CA - GOV 86106 - (2Y)
CA - GOV 86110 - (MAINT)
US - 11 CFR 102.9(c) - (3Y)
US - 11 CFR 104.14(b) - (3Y)
Santa Clara Municipal Code 2.155.100 - (MAINT)
042 Records, Information Management
Documentation of the compliance with Records and Information Management policy and proced
ures.
Certificates of Destruction
Inactive Records Storage Information
Lists of Stored / Destroyed Records
Records Transfers ( to storage, to other depts. )
City Clerk 10Y
CA - CCP 315 - (LA10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
043 Grand Jury Reports Pertaining to City Operations
Official reports issued by a grand jury pertaining to City operations, as well as related corre
ctive actions.
Corrective Action Plans
Grand Jury Reports
City Clerk
City Manager
While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
044 Capital Project Files - Administrative Documents
Records and information related to the administration of public works, Capital Improvement Program (
CIP) and Engineering & Capital Projects for City facilities and infrastructure.
Bid and Proposal Documents (list of bidders, openings, proposals, RFIs, RFPs
, summaries )
Certifie
d Payrolls
Construction Management Logs
Daily Inspection Diary
Developer Payment / Trusts (Contractor's Trusts)
Engineering Comments
Estimates
Notices to Proceed
Plan Check Comments
Progress Meetings
Project Administration
Project Schedules
City Clerk
Electric Utility
Parks & Recreation
Public Works
Water & Sewer
While Active+10Y CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - 14 CCR 15095 - (Reasonable)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 18 CFR 125.3(17) - (AC+5Y)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
Prepared by Kaizen InfoSource Page 12
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 045 Recorded Documents
Records and information pertaining to those original key documents recorded by the County on behalf
of the City.
Abandonments
Address Records
Annexations
Certificate of Correction
Conveyances from the City ( deeds, easements,
abando
nments/vacations )
Conv
eyances to the City (deeds, easements, dedications )
Deeds
De
tachments
Easements (emergency vehicle access easement, sidewalk
easement, stree
t light easement, pedestrian access easements,
public access easements, storm drain easements, underground electric easement, water utility easement )
Grant De
eds
Irrevocable Offers to Dedicate
Liens
Rights-of-Way
Vacations
City Clerk
Housing & Community
Services
Permanent CA - CCP 337.15 - (LA10Y)
CA - GOV 34090(a) - (PR)
046 Legislative and Advisory Body Records
Records of all action taken by City legislative and advisory bodies taken during public and closed
sessions meetings, including those subject to the rules of the Brown Act. Such bodies include:
- Ad Hoc Committees
- Americans with Disabilities Act (ADA) Committee
- Architectural Review Committee
- Bicycle Pedestrian and Advisory Committee
- Board of Library Trustees
- City Council
- Civil Service Commission
- Cultural Commission
- Historical and Landmarks Commission
- Parks and Recreation Commission
- Planning Commission
- Salary Setting Commission
- Senior Advisory Commission
- Subdivision Committee
- Various Task Forces
- Youth Commission
Agenda Packets
Agendas
Annual Reports
Bylaws
City Charter
City Codes
City-wide Plans/Programs Adopted
Formation Documents
Meeting Minutes
Minute Books & Index
Municipal Code
Ordinances
Resignation Letters
Resolutions
City Clerk
Human Resources
Planning
Public Works - Engineering
Permanent CA - GOV 34090(e) - (PR)
047 Public Information Requests
Records requested by the public, required for provision to the public, and related inquiries.
Collec
tion Lists
Formal Public Records Requests
Inquiries
Local Appointments List (Maddy Act)
Subpoenas duces tecum
Subpoenas for Records (other than for City legal actions) City Clerk
Police
While Active+2Y CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 13
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 048 Economic Development Programs and Services
Records and information documenting the City's economic development programs and redev
elopment successor programs including marketing, events and customer relationships management.
Business Incentive Programs ( grants, funding )
Business
Recruitment Programs
Climate Action Plan
Community Activities
Demographics
Economic Development Programs
Economic Development Strategy
Emergency Funding
Job Connect and Listings
Job Fairs and Recruitment
Marketing (website)
On-the-Job Training for Adults and Youth
Outreach
Signa
ge and Facade Program
Workforce Statistics and Data
City Manager While Active+4Y CA - CCP 337 - (LA4)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502 - (CL+4Y)
049 Real Estate Acquisition and Management
Records and information pertaining to the oversight and administration of acquiring and maintaining C
ity real estate assets.
Appraisal Reports
Deeds
Related Correspondence
Title Insurance
City Manager Permanent CA - CCP 315 - (LA10Y)
CA - CCP 318 - (LA5Y)
CA - CCP 337 - (4Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
US - 48 CFR 4.705-1 - (4Y)
050 Redevelopment/Successor Agency Official Reports
Official reports issued by the former Santa Clara Redevelopment Agency or the Successor agency to the Sant
a Clara Redevelopment Agency.
Annual Report to State
Due Diligence Reviews
Enforceable Obligation Payment Schedule (EOPS)
Excess Bond Proceeds
Prior Period Adjustment Records
Recognized Obligation Payment Schedule (ROPS)
State Controllers Report
State Department of Finance Determination Letter
Statement of Indebtedness
Successor Agency Property Management Plans
City Manager Bond Payoff+4Y CA - GOV 34090 - (2Y)
CA - HSC 34177(n) - (1Y)
US - 24 CFR 570.502 - (CL+4Y)
051 Funding Districts
Records and information documenting the formation and operations of the City's funding districts.
, includ
ing:
- Parking Maintenance District
- Quimby
- Lawrence Station
- Stadium Authority Community Facilities District
Continuing Disclosures
Debt Reporting
District Formation Documents
City Manager
Community Services
Finance
Parks and Recreation
Police
Public Works - Facility
Services
Public Works - Streets
Permanent CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090(a) - (PR)
CA - GOV 60201 - (PR)
Prepared by Kaizen InfoSource Page 14
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 052 Electrical Power Generation
Records and information associated with the generation of electricity, power generation facilities, the sal
e of electricity, and associated federal and state licenses.
FERC Licenses
Power Generation Agreements
Power Generation Regulatory Reports
Power Monitoring
Switching Orders
Electric Utility While Active+25Y CA - CCP 337 - (LA4Y) CA - CCP 338 - (LA3Y)
CA - GOV 34090 - (2Y)
US - 16 USC 825 – (MAINT)
US - 18 CFR 125.3 - (25Y)
* Exception: Documentation associated with relicensing of SVP's Grizzley Power Plant, as well as any other power plant that has a FERC license, to be retained for 40 years.
053 Electrical Power Trading
Records and information associated with the generation and sale of electricity.
CAP-Tra
de Documentation
Carbon Allowances
Commodity (gas, electric ) Purchase and Sales
Energy Stor
age Service Agreements
Natural Gas Transactions
Pathing Sheets
Power Generation Agreements
Power Purchase Agreements
Power Sale Agreements
Resource Adequacy Agreements
Renewable Energy Credits (RECs)
Transmission Trades
WSPP Confirmations
Electric Utility While Active+10Y CA - 17 CCR 95105(a) - (10Y) CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 34090 - (2Y)
US - 16 USC 825 – (MAINT)
US - 18 CFR 125.3(3) - (FR+4Y)
054 Electrical Power Transmission and Distribution
Records and information associated with transmission and distribution of City electricity, including
substations.
Complaints and Responses
Maps (patrols, inspections )
Repair
s (street lights, power poles, transformers )
Work
Orders
Electric Utility While Active+5Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 34090 - (2Y)
US - 16 USC 825 – (MAINT)
US - 18 CFR 125.3(13.1)(d) - (3Y)
US - 18 CFR 125.3(13.1)(3) - (3Y)
US - 18 CFR 125.3(14)(a-b) - (3Y)
US - 18 CFR 125.3(14)(c) - (Life of Transformer)
US - 18 CFR 125.3(14)(d) - (MAINT)
US - 18 CFR 125.3(15) - (5Y)
US - 40 CFR 761.180 - (Life of Transformer + 3Y)
055 Electrical Utilities Compliance
Records and documentation demonstrating compliance with laws and regulations for electrica
l utilities in the following areas:
- Cybersecurity
- Data requests
- Environmental
- Health and safety
- Inspections and CPUC Audits
- NERC and FERC
- Reporting to various regulatory agencies including BAAQMD, CEC, City of San Jose, CUPA, DTSC, EPA, and other departments within the City of Santa Clara Cal e-GGRT Reports
CARB Reports
Correspondence with Regulatory Agencies
EIA Reports
Electricity Service Orders (on/off)
Environmental Standards/Plans ( e.g., stormwater pollution preven
tion plans, spill prevention control and countermeasures ) Incident Repor
ts and Remediation
Reports to Federal and State Regulatory Commissions
SMARTS
WECC/NERC Audit Evidence
Electric Utility While Active+10Y CA - 17 CCR 95105(a) - (10Y) CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 16 USC 825 – (MAINT)
US - 18 CFR 125.3(4) – (5Y)
US - 18 CFR 125.3(29) - (AC+4Y)
US - 18 CFR 125.3(41) - (5Y)
US - 40 CFR 98.3(g) - (3Y)
Prepared by Kaizen InfoSource Page 15
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 056 Electrical Utilities Customer Management
Records and information of SVP's interactions with, management of, and planning for its utility customer
s.
Customer Energy Audits
List Serve Notifications (such as power quality events ) Long Term
Planning Documents & Plans (e.g., electric vehicle
bluepr
int & electrification mitigation plan )
Meeting N
otes (e.g., with large customers or discovery calls )
Meter Rec
ord Cards
Outage Notifications (unplanned and planned )
Rebate D
ocuments (including applications )
Utility
Rates
Electric Utility While Active+6Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(29) - (AC+4Y)
US - 18 CFR 125.3(30) - (S+6Y)
US - 18 CFR 125.3(31) - (1Y)
US - 18 CFR 125.3(39) – (3Y)
057 Electrical Utilities Engineering System Planning
Records and information pertaining to SVP's activities to plan for its engineering systems.
Amount of
Paid Capacity at a Site (load ramp )
Any Old Will S
erve Letters
Design Plans and As-Builts
System Impact Studies
System Modeling Studies
Transmission Planning Process (TPP) Documents
Electric Utility Life of Facility CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(13.1) - (3Y)
US - 18 CFR 125.3(21) - (Life of Facility)
US - 18 CFR 125.3(39) - (3Y)
058 Electrical Utilities Management
Records and information associated with planning and managing the City's electrical serv
ices system, including:
- Audits
- Benchmarking
- Conservation programs
- Installation and maintenance of meters
- Power outages
- Rebates
- Solar projects
Electricity Service Orders (on/off )
Incident Repor
ts and Remediation
Industrial Wastewater Permit (DVR)
Inspection Maps
Internal Inspection Records (related to line patrols, substations ) Invento
ries (equipment, materials, meters)
Power Plant Operating Permits (BAAQMD, CeC )
Reports
to Federal and State Regulatory Commissions
Statistical Reports
Underground Service Alerts (USA)
Electric Utility While Active+6Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 16 USC 825 – (MAINT)
US - 18 CFR 125.3(4) - (5Y)
US - 18 CFR 125.3(15) - (5Y)
US - 18 CFR 125.3(19) - (5Y)
US - 18 CFR 125.3(27) - (6Y)
US - 18 CFR 125.3(28) - (3Y)
US - 18 CFR 125.3(38) - (5Y)
US - 18 CFR 125.3(39) - (3Y)
059 Hazardous Materials & Hazardous Waste - Monitoring and Remediation Planning, monitoring and contingency/emergency action plans for hazardous materials, hazardous
waste, emergency and spill response, natural and exposure emergencies, notifications and response; environmental action plans and supporting documentation; hazardous communications plans, including labeling, MSDS controls, training programs and procedures.
Correspondence with Regulatory Agencies
Emergency Response Programs
Employee Hazardous Chemical Exposure
Hazardous Material Incident Reports
Hazardous Substances Manifests
Hazardous Waste
Material Safety Data Sheets (MSDS )
Propos
ition 65 Monitoring
Site Mitigation
Toxic Substance Inventory
Electric Utility
Fire
Parks & Recreation
Public Works
Water & Sewer
While Active+30Y CA - 8 CCR 3204(d) - (CL+30Y)
CA - 22 CCR 66262.40 - (3Y)
CA - 22 CCR 66263.22 - (3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 25160.8(c)(3)(D) - (AC+3Y)
US - 29 CFR 1910.1020 - (CL+30Y)
Prepared by Kaizen InfoSource Page 16
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 060 Capital Project Files - Permanent Documents
Records and information related to the analysis, design, development, planning, construc
tion and maintenance of public works, Capital Improvement Program (CIP) and Engineering & Capital Projects for City facilities and infrastructure.
ADA Plans
Assessments
Capacity (water, wastewater ) Fees
Certific
ates of Compliance/Notice of Non-Compliance
Daily Inspections and Progress Meetings
E.I.R., Notice of Determination, Categorical Exemptions Encroachment Permits, Certificates
Field Inspections, Closures
Final Improvement Plans/As-Built Plans
Master Plans (Sanitary Sewer, Storm Drain System, etc.) NPDES Permits
Photos/Pictures
Project Plans and Permits
Real Estate Appraisals
Reports: (Geotechnical, Soil, Drainage, Stormwater, Sewer, and Traffic)
Spe
cifications, Calculations, Change Orders
Studies and S
urveys
Underground Utilities Maps
Electric Utility
Parks & Recreation
Public Works
Water & Sewer
Permanent CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - 14 CCR 15095 - (Reasonable)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
061 Asset Management and Maintenance
Records related to the management and maintenance of City assets, including equipment and flee
t vehicles:
- Irrigation (parks, public green space)
- Landscaping
- Playground equipment
- Pump Stations
- Traffic signals
- Streetlights
- Swimming Pools
- Trees
- Vehicles/Fleet
Calibration Records
Chemical Readings
Equipment Certifications
Equipment Inspections
Inventory of City Trees
Maintenance and Repair Work Orders
Maintenance Inspection Reports ( equipment, trees )
Maintenan
ce Reports
Pressure Vessel Certifications or Permits
Pesticide Applications
Repair Records
Smog Reports
Tree Trimming Schedules
Vehicle Safety Checks
Vehicle Titles (pink slips )
Work
Orders
Electric Utility
Parks & Recreation
Public Works - Engineering
Public Works - Fleet
Public Works -
Maintenance & Operations
Public Works - Streets
Water & Sewer
Life*+4Y CA - 3 CCR 6624(g) - (2Y)
CA - 22 CCR 65523(e) - (2Y)
CA - 22 CCR 66266.130(c)(5) - (3Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 4216.2(f) - (3Y)
CA - GOV 34090 - (2Y)
CA - HSC 25250.18(b) - (3Y)
CA - HSC 44019(b) - (3Y)
CA - VEH 34505.5(c) - (2Y)
US - 18 CFR 125.3(15) - (5Y)
* Life of Asset
062 Bank Account Information
Records and information related to banking authorities, activities, transactions and corre
spondence. This category includes reconciliations.
Bank Account Administration
Bank Statements
Checks, Canceled
Check Registers, Journals
Corrections / Returns / Adjustments
Credit Card Merchant Activity Statements
Deposit Permits, Deposits
Reconciliations
Signature Cards
Finance 5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(36) - (3Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 48 CFR 4.705-1 - (4Y)
063 Business Licenses
Records and information documenting the issuance of City business licenses.
Annual Busi
ness Tax Certificates
Business Licenses (affidavits, applications, fees, financial history, reports )
Finance W
hile Active+4Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 17
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 064 Customer Account Information - Utilities
Records and information for customers of City utilities services.
Accoun
t Setup
Closed Accounts
Customer Complaints
Customer History (address files, applications, meter changes ) Customer
Service Records
Turn-on/Turn-off Requests
Uncollected Amounts
Finance While Active+4Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(3) - (AC+4Y)
US - 18 CFR 125.3(29) - (AC+4Y)
065 Debt Management
Records and information relating to City debt issuances of all types and for all departments.
Arbitrage
Reports
California Debt and Investment Advisory Commission (CDIAC) Filings (and related documents )
CDIA
C Annual Debt Transparency Reports (ADTR)
Continuing Disclosure Documents ( including supplemental information an
d no-default certificates )
Cost of
Issuance Documents (including copies of agreements and
invoic
es )
Credit Ra
ting Agency Rating Reports
Debt Management Policy
Financing Analyses
Monthly Fiscal Agent Statements
Transcripts of Debt Issuances by Each Series
Finance Maturity*+10Y CA - CCP 336a - (LA6Y)
CA - CCP 337.5 - (LA10Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
*Maturity includes cancellation and redemption
066 Financial Reporting - Internal
Annual and periodic financial reports, whether required by regulations or generated to track financ
ial transactions and achievements by the City.
Cashier's Report
Debt Report
Deferred Compensation Reports
FHRMS Report
Revenue/Expenditures Reports
Utility Billing Reports
Finance 6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(33) - (5Y)
US - 26 CFR 1.1461-2 - (CU+1Y)
US - 26 USC 6531 - (LA6Y)
067 Financial Reporting - Official
Official financial reports of the City.
AB1600 R
eport
AB2854 Sales Tax Sharing Report
Annual Report of Financial Transactions To State
Audited Financial Statements
CalPERS Reports and Retirement Plans
COVID-related FEMA Projects
Equitable Sharing Agreement and Certification to DOJ
Monthly Financial Reports
Monthly Investment Reports
PFFC Tax Return
Possessory Interest Report
Public Safety Sales Tax AB2788 Filing to County of Santa Clara Quarterly SLFEF Compliance Report to Depart of the Treasury Underground Tank Report
Finance 10Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(35) - (3Y)
US - 26 CFR 1.1461-2 - (CU+1Y)
US - 26 USC 6531 - (LA6Y)
068 Fixed Assets
Fixed asset records and information related to the ownership, transfer, acquisition, dispositio
n, or improvement of fixed assets (including machinery and equipment, infrastructure, and vehicles) owned by or used by the City.
Acquisitions
Amortization
Asset Retirement Records
Asset Tags
Capital Asset Records
Capital Improvements
Depreciation Schedules
Dispositions
Fixed Asset Ledger
Fixed Asset Reports
Fixed/Capital Asset Accounting
Transfers
Finance Life*+25Y CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(22) - (LI*+6Y)
US - 18 CFR 125.3(24) - (25Y)
US - 26 USC 6531 - (LA6Y)
Santa Clara Municipal Code 2.105.030 - (MAINT)
* Life of Asset
Prepared by Kaizen InfoSource Page 18
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 069 General Ledger, Journal Entries, Budget Adjustments Records and information related to the transfer of charges between accounts and summarie
s of account information, including year end summaries of general ledger transactions.
Account Ledgers
Balance Sheets
Budget Adjustments
Cash Journal Entries
Chart of Accounts
Downloads / Data Exports
Expenditure Reports
General Ledger
Journal Entries, Journal Vouchers, and Backup Documentation Revenue
Sub-Ledgers
Summary Reports
Trial Balance
Year-End / Account Detail History Report
Finance 10Y CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(19) - (5Y)
US - 18 CFR 125.3(6) - (10Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 26 USC 6531 - (LA6Y)
070 Investments and Treasury
Records and information relating to City investment activities.
Certific
ates of Deposit (CDs )
Money Mark
et Investment Statements
Financial Investment Planning
Investment Reporting and Portfolio Management
Investment Reports (monthly, etc. )
Joint Powe
rs Authority (JPA ) Pool Investment Fund Statements
Local Agency Investment Fund ( LAIF ) Statements
Quarterly Investment Committee Reports
Security Instruments
Third Party Trustee Account Statements
Finance Maturity*+5Y CA - CCP 336 - (LA5Y)
CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
* Maturity includes cancellation and redemption
071 Unclaimed Funds
Records and information pertaining to unclaimed or outstanding checks not cashed by recipient
.
Uncashed Checks
Unclaimed Funds
Finance 3Y CA - CCP 1519 - (3Y)
CA - GOV 34090 - (2Y)
072 Budget and Financial Planning
Records and information regarding the development of City budgets and plans.
Budget Planni
ng Documents
Budget Presentations
Five-Year Capital Improvement Plans
Minimum Wage Rate Bulletins
Municipal Fee Schedules
Program / Initiative Plans
Revenue/Expenditure Reports
Ten-year Forecasts
Finance 4Y CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(39) - (3Y)
Santa Clara Municipal Code 3.20.060 - (MAINT)
073 Fire Academy and Volunteers
Records and information documenting the activities of the City-run Fire academy and any volun
teer programs.
Applications
Course Syllabus
Reports
Testing Materials
Fire 4Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - State Fire Training Procedures Manual 5.1.11(A) - (4Y) CA - State Fire Training Procedures Manual 5.1.11(B) - (4Y) 074 Station Activity Records
Records and information created and maintained by the department for activities at the fire station.
Equ
ipment and station maintenance logs
Fire Incident Logs
Station Logs
Fire 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 19
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 075 Compliance and Regulatory Reporting
Official non-financial reports issued by City organizations to comply with regulatory requirem
ents.
AB-939 Reports
Annual Asbestos Notification
CUPA Self-Audit Documentation
EEO-4 Reports
IRS Form 1095-C
Labor Reports
OSHA 300 Reports
Reports to Regulatory Agencies
Fire
Human Resources
Public Works - Streets
Water & Sewers
6Y CA - 2 CCR 11013(c)(1) - (4Y)
CA - 8 CCR 14300.33(a) - (CU+5Y)
CA - 14 CCR 18811.4(a)(4) - (3Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 26 USC 6056 - (1Y)
US - 29 CFR 405.9 - (5Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.30 - (3Y)
US - 29 CFR 1904.33 - (5Y)
076 Short-Term Permits Issued
Documentation of permits issued by the City for the short-term purposes and activities within the City limits.
- Fire co
de permits (e.g., assembly, candles, fireworks, fire hydrant use, open flames) - Garage sales
- Party tents
- Sewer discharge permits
- Special events
- Temporary barricades
- Temporary event permits (Xmas tree lots, pumpkin patches) - Temporary signs
- Temporary use permits
- Transportation permits (traffic control, wide load, etc.) - Tree Removals
(For permits issued by the Police Department, see category 114) Applications
Backup Documentation
Fingerprints
Renewals
Fire
Planning
Public Works - Engineering
Water & Sewer
While Active+5Y CA - CCP 337 - (4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 13.10.430 - (5Y)
077 Case Files - Fire Investigations
Records and information associated with arson investigations.
Case Fil
es
Evidence Files
Fire Origin and Cause Investigation Reports
Investigations
Photographs
Fire
Police
Permanent CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
CA - PEN 799 (PR)
CA - PEN 800 (LA6Y)
CA - PEN 801 - (LA3Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
078 Fire and Police Dispatch Telephone and Radio Communications Records Routine daily recording of telephone communications and all radio communications relating to the operation
s of the department.
Audio Telephone Recordings
Audio Radio Recordings
911 Call Recordings
Fire
Police
6M* CA - GOV 34090.6 - (Routine Audio: 100D)
Santa Clara Municipal Code 2.80.050 - (MAINT)
* Note: If recordings are evidence in any criminal prosecution, the recording becomes part of the case file. In the event that the recordings are evidence in any claim filed or any pending litigation, they shall be preserved until pending litigation is resolved.
Prepared by Kaizen InfoSource Page 20
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 079 Incident Responses and Reports
Records and information associated with department responses to fires and emergency inciden
ts, including ambulance responses to medical emergencies.
Death Declarations
Emergency Medical Services Forms
Emergency Services
False Alarm Reports
Hazardous Waste Spills
Incident Reports
Investigation Files and Reports
Mandated Reporting: Child Abuse, Elder Abuse
Narcotic Inventory
Patient Care Reports (PCRs )*
Refus
al of Treatment/Release of Liability Forms
Strike Team Records
Suspicious Activity Reports ( SARs )
Fire
Police
7Y
CA - California Fire Code, 104.7 - (5Y)
CA - 13 CCR 1100.7 - (3Y)
CA - 17 CCR 1469(a)(11) - (CL+4Y)
CA - 22 CCR 70751(c) - (7Y)*
CA - CCP 340.5 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 11191 - (3Y)
US - 21 CFR 1304.04(a) - (2Y)
* PCRs for minors must be retained for AC+7Y or until the minor reaches the Age of Majority Status (18Y), whichever is longer.
080 Fire Equipment
Records and information associated with fire protection and emergency response equipment.
App
aratus and Maintenance Records
Certification Binder
Equipment Checks
Inventories (apparatus, equipment, fixture )
Fire
Public Wor
ks - Fleet
Life*+2Y CA - 8 CCR 3203(b)(1) - (1Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1910.157 - (Life of extinguisher)
* Life of Equipment
081 Fire Prevention, Inspections and Programs
Records and information associated with Fire Inspection activities.
Commer
cial Facility Files
Fire Education
Fire Flow / Hydraulic Model Requests
Fire Permits (fire alarms, sprinklers )
Inspection File
and Reports (business, residential, aboveground fuel
tanks
, underground fuel tanks )
Knox
Box Program Records (site map, original hold harmless
agreemen
t, inventory update forms )
Lien an
d Cost Recovery Information
Fire
Water & Sewer
Life*+5Y CA - CFC 104.7 - (5Y or Life of Structure or Activity, whichever is longer) CA - 19 CCR 401(b) - (5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 25270.5(a) - (3Y)
CA - HSC 25503(d)(2) - (3Y)
CA - HSC 25511(b) - (3Y)
CA - HSC 25537 - (3Y)
* Life of Structure or Activity
082 Affordable Multi-Family Housing Development and Monitoring Records and information associated with the City's efforts to improve the availability of below ma
rket residential units and inclusionary/affordable housing resources. Includes administrative review and monitoring of long-term development agreements that incorporate requirements for low-cost housing.
(Also see related categories for loans, developments, grants, etc.) Agreements and Amendments
Analyses
Annual Plans
Applications
Attachments / Exhibits
Bonds
Correspondence
Developer Compliance Documents ( construction, pre-conversion, coven
ant, deeds of trust, promissory notes, marketing plans, certificates of insurance )
Draw-d
own Plans
Grant & Loan Documentation
Implementation Plans
Letters of Intent
Monitoring Files
Notices
Proposals, Quotations
Statements of Work (SOWs )
Success
ful Requests for Proposal ( RFP )
Warra
nties
Housing & Community
Services
Closed*+5Y CA - 25 CCR 7721 - (MAINT)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 5.514(h) - (5Y)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 908.101 - (AC+3Y)
* Closes when loan ends and/or all restrictions have been released Prepared by Kaizen InfoSource Page 21
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 083 Housing & Urban Development (HUD) Grant Project Files Records and information associated with CDBG, HOME, and HOME-ARP projects. (Also see
related categories for loans, developments, grants, etc.) Applications
Awards
Bid Packets
Project Files
Housing & Community
Services
Closed+5Y CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)
084 Housing Funding Assistance to Homeowners
Records and information regarding programs that provide financial assistance to home owners
, including:
- Neighborhood Conservation and Improvement Program (NCIP) grants and loans - Below Market Purchase (BMP) Program
- First-Time Homebuyer (FTHB) Program
(Also see related categories for loans, developments, grants, etc.) Applications
Correspondence
Grant Documentation
Loan Documentation
Monitoring Files
Notices
Housing & Community
Services
Closed*+5Y CA - 25 CCR 7721 - (MAINT)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 5.514 - (5Y)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 908.101 - (AC+3Y)
* Closes when loan is fully paid or a reconveyance is issued, whichever occurs later
085 Reconveyances and Releases of Affordable Housing Restrictions Records of reconveyances of property ownership back to homeowners or developers when loans ar
e fully paid and/or all affordable housing restrictions have expired. (Also see related categories for loans, developments, grants, etc.) Reconveyance Files
Releases of Restrictions
Housing & Community
Services
Permanent CA - 25 CCR 7721 - (MAINT)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 5.514 - (5Y)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 908.101 - (AC+3Y)
086 Benefit Plans and Programs
Benefit Plans established to provide employee benefits and associated administrative docume
nts.
COBRA Rates, Records, Histories
Employee Benefit Plans (e.g. medical, dental, vision, EAP, FMLA, etc. )
Group Insu
rance Cost Data
Retirement Plans
Summary Plan Descriptions
Human Resources Life*+6Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1627.3(b)(2) - (T+1Y)
US - 29 CFR 4007.10(a)(1) - (6Y)
US - 29 CFR 4041.5 - (LI*+6Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
*Life of Plan or Benefit
087 Civil Rights Complaint Records
Records of complaints received, actions taken, and associated documentation.
Board of
Review Packets
Civil Rights Complaints
EEO Case Files
EEO Complaints
Exhibits
Investigation Files
Human Resources While Active+4Y CA - 2 CCR 11013(c) - (AC+4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (AC+4Y)
CA - GOV 12965 - (LA2Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 22
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 088 Employee Benefit Files
Employee election (selection), enrollment or termination forms and related correspondence, including
transmissions to carriers of additions, changes, claims and deletions (includes employee medical records subject to HIPAA requirements).
Benefits Files, Enrollments, Appeals
Beneficiary Designations
Death Claims, Life Event Documents
Disability Claims
Employment Status Changes (authorizations, terminations, confirm
ations, status changes, coverage changes )
Flex
ible Spending Enrollment
Life Insurance Notification Letters/EOI
Premium Information
Required Benefits Reporting
Retiree Medical Benefit Claims and Reimbursements
Supplemental Forms
Unemployment Claims and Appeals
Human Resources While Active+6Y CA - 2 CCR 11013(c) - (AC+4Y) CA - 22 CCR 1085-2 - (CU+4Y)
CA - GOV 12946 - (AC+4Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 301.6501(a)(1) - (CU+3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1602.30 - (3Y)
US - 29 CFR 1602.31 - (AC+2Y)
US - 29 CFR 4007.10(a)(1) - (6Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (T+1Y)
089 Employee Hazardous Exposure and Medical Records
Documents pertaining to medical and hazardous exposure records of City staff, City officials,
and others performing work on behalf of the City.
NOTE: May include employee medical information subject to HIPAA requirements.
ADA Compliance and Reasonable Accommodation
Drug Testing
Exposure Files
Exposure Monitoring
Field Exposure
Fitness for Duty
Medical Leaves of Absence
Medical Records
Pre-employment Medical Exams
Vaccination Records
Human Resources Separation+30Y CA - 8 CCR 3204(d) - (T+30Y) CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y; T+4Y)
CA - GOV 34090 - (2Y)
CA - 29 CFR 1904.33 - (CU+5Y)
US - 29 CFR 1910.95(m)(3)(ii) - (T)
US - 29 CFR 1910.1020(d) - (T+30Y)
090 Labor Relations Grievances
Documentation related to labor grievances filed under current collective bargaining agreeme
nts.
Grievance Files/Commission Hearing
Grievance/Hearing Logs
Union Grievances
Human Resources Final Resolution+4Y CA - CCP 337 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 12965 - (LA2Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1602.31 - (CL+2Y)
US - 29 USC 255 - (LA2Y)
091 Labor Relations Negotiations
Documentation related to the negotiations between labor unions for collective bargaining purpos
es.
Confidential Memos
Costing
Ground Rules
Handouts
Information Requests
Miscellaneous Information
Notes
Proposals - City
Proposals - Union
Human Resources While Active+4Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
US - 29 CFR 516.5(b) - (3Y)
092 Salary, Compensation
Documentation of job classification compensation.
Clas
sification Studies
Compensation Plans, Planning, Analysis
Cost of Living Adjustments
Job Descriptions
Salary Range History
Salary Surveys
Human Resources 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (2Y)
Santa Clara Municipal Code 2.80.015 - (2Y)
093 Work Authorizations and Supporting Documentation
Employment eligibility verification forms collected for active employees and supporting docume
ntation regarding immigration status.
I-9 Documents Human Resources Termination+3Y CA - GOV 34090 - (2Y) US - 20 CFR 655.760 Subpart H - (T+1Y)
US - 8 CFR 274a.2 - (3Y or T+1Y, whichever is longer)
Prepared by Kaizen InfoSource Page 23
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 094 Worker Compensation Records
Documents pertaining to work-related injuries and related claims for workers' compen
sation.
NOTE: May include employee medical information subject to HIPAA requirements.
Claims and Incident Files
Workers Compensation
Human Resources While Active+6Y CA - 8 CCR 10102 - (Injury+5Y or Closed+1Y) CA - 8 CCR 14300.33 - (5Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y; T+4Y)
CA - GOV 34090 - (2Y)
CA - 29 CFR 1904.33 - (CU+5Y)
095 Personnel Records
All documents related to paid employees (full and part-time), unpaid volunteers, and interns including
but not limited to:
- selection/hiring
- assignments
- promotion
- demotion
- transfer
- layoff / recall / out-placement
- separation / discharge / resignation
- pay rates / other terms of compensation
- work authorizations
- leave records
Applications
Awards, Commendations, Certificates
DMV Records (pull notices )
Employee Dr
iver Qualification Files
Employee Policy Acknowledgements
Individual Education, Development, Training Records
Job Offer Letters, Conditional Offers of Employment
LiveScan Records ( hired staff )
New Hir
e Checklist
Oaths of Office
Performance Evaluations, Reviews or PIPs
Personnel Action Forms (PAF )
Recogn
ition
Volunteer Acknowledgements, Waivers, Executed Policy Receipts Human Resources
Police
Separation+5Y CA - 2 CCR 11013(c) - (AC+4Y)
CA - GOV 12946 - (T+4Y)
CA - GOV 34090 - (2Y)
CA - LAB 1198.5(c)(1) - (T+3Y)
CA - LAB 2810.8(b)(4) - (3Y)
CA - VEH 1808.1(c) - (1Y)
US - 29 CFR 825.500(b) - (3Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (AC+2Y)
US - 29 CFR 1627.3(b) - (T+1Y)
US - 41 CFR 60-1.12(a) - (AC+2Y)
US - 41 CFR 60-741.80 - (AC+2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
096 Recruitment
Records and information related to recruitment of qualified persons for both paid and unpaid pos
ition with the City, whether full time or temporary, including:
- Applications and related records of candidates interviewed but not hired or accepted - Applications received but not acted upon
Applications, CVs, Resumes ( rejected, unsolicited )
Applica
nt Tracking Records (hired, rejected )
Drug Tes
ting, Pre-Hire Screening - candidates not hired/accepted Eligible Lists
Job Postings, Announcements
Job Requisition Requests
Job Specifications
LiveScan Records ( unsuccessful candidates )
Miscellane
ous Hiring Process Notes
Personal History Statement (PHS)
Position Information
Offers - Conditional and Formal
Rating Sheets
Temporary Staffing
Test Results
Test and Examination Materials
Unpaid Interns (rejected )
Volunteers
(rejected )
Human R
esources
Police
4Y CA - 2 CCR 11013(c)(2) - (4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1602.31 - (2Y)
US - 29 CFR 1627.3(b)(1) - (1Y)
US - 41 CFR 60-741.44(f)(4) - (3Y)
US - 41 CFR 60-741.44(k) - (3Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
Prepared by Kaizen InfoSource Page 24
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 097 Employee Health & Safety
Documents related to the protection of employee health and safety and employee drug scre
ening.
NOTE: May include employee medical information subject to HIPAA requirements.
Accident (Injury or Illness) Investigation Reports
Bloodborne Pathogen/Exposure Control Plan
Covid Contact Tracing
Emergency Action Plans
Employee Safety Training Records
Ergonomic Evaluations
Health and Safety Bulletins
Health & Safety Reviews
Lockout/Tagout (LOTO)
New Hire Health & Safety Orientation Checklist Forms
Public Access Defibrillation
Reports (Unsafe Conditions, Hazards, Hazard Correction, Workp
lace Violence)
Safety Committee (employee suggestions and responses, safety letters/memos
, meeting minutes )
Safety I
nspections
Human Resources 5Y CA - 8 CCR 3203(b)(1) - (1Y)
CA - 8 CCR 5157 - (1Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - LAB 6401.7 - (MAINT)
CA - LAB 6409.6(f) - (5Y)
CA - LAB 6410 - (MAINT)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (AC+2Y)
US - 29 CFR 1904.33 - (5Y)
US - 29 CFR 1910.95(m)(3)(i) - (2Y)
US - 49 CFR 382.401(b)(1) - (5Y)
098 Application, System Maintenance
Technical documentation related to management of City technology processes, applica
tions, or systems.
Business, Functional Requirements
Change Requests
System, Application Maintenance Documentation
(hardware/operating system requirements, monitoring logs, opera
ting manuals )
Information Tec
hnology Life*+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
*Life of Application.
099 Library Operations
Records related to the operations and programs of the City's public Library.
Arti
st Releases
Circulation Records
Correspondence and Communication
Disruptive Patrons
Outreach
Overdue Records
Patron Requests
Reports
Library While Active+4Y CA - CCP 335.1 - (LA2Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
100 Facility Rentals
Records and information documenting rental arrangements for the City's facilities, including those fo
r:
- Meeting rooms
- Event and party rentals
- Picnic areas
- Sports fields
- Agnews Campus auditorium and mansion
- Mission City Center for Performing Arts
- Triton Museum of Art
Applications (approved, unapproved )
Insuranc
e Certificates
Permits
Releases of Liability
Reports
Library
Parks & Recreation
Public Works - Streets
While Active+4Y CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 25
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 101 Cemetery Administration
Records and information documenting administration of the Mission City Memorial Park.
Burial I
ndex
Burial Permits
Cremation Index
Deed Books
Graves
Interment
Interment Cards
Maps of Gravesites
Niches
Owner Information
Plot Books
Plot Locations/Relocations
Repurchase of Graves
Statement Books
Parks & Recreation Permanent CA - BPC 7686.5 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 8110 - (MAINT)
Santa Clara Municipal Code 2.135.610 - (MAINT)
102 Parks and Recreation Programs and Services
Records and information documenting the City's parks and recreational programs and serv
ices, including those for:
- Preschool
- Program/Class/Leagues
- Senior Center
- Special Events
- Sports Team Rosters
- Summer Camp
- Swim Centers
- Youth & Teen Center
Applications (programs, scholarships )
Mandated
Reporting: Child or Elder Abuse
Program/Event Evaluations
Recreation Schedules
Registrations/Withdrawal Reports and Forms
Reservations and Waivers
Scholarship Award Records
Parks & Recreation While Active+4Y CA - CCP 337 - (LA4Y) CA - 22 CCR 65523 - (2Y)
CA - 22 CCR 101221 - (AC+3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
103 Maintenance and Inspection Records
Reports of inspections of maintenance performed on City facilities and infrastructure including
:
- Buildings
- Janitorial
- Parking Lots
- Parks
- Sewers
- Streets
- Sidewalks
- Storm Drains
- Water
Backflow Inspections
Elevator Certificates
Facility Inspection Reports
Graffiti Removal
Facility Inspections
Reports
Street Striping and Signing
Street Sweeping Maps
Work Orders
Parks & Recreation
Public Works - Facility
Services
Public Works - Streets
Water & Sewers
5Y CA - 22 CCR 65523 - (2Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 4216.2(f) - (3Y)
CA - GOV 34090 - (2Y)
US - 18 CFR 125.3(15) - (5Y)
Prepared by Kaizen InfoSource Page 26
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 104 Planning and Zoning Services
Records and information pertaining to the activities of the planning division, including zoning.
Bou
ndaries
CEQA Documents
Design Review
Development Plans
General Plans
Land Use Studies
Master Plans and Specific Plans
Planning Permit Application Files (annexations, appeals, develop
ment applications and permits, entitlements, land use
permits, planned development, variances, zoning, rezoning, map amendments )
Planning Re
view Case Files (notices, neighbor letters, plans )
Street Nami
ng Documents (new or changes )
Zoning Cle
arances
Planning Permanent CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12981 - (1Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)
105 Criminal Registrations - Adult Arsonists and Sex Offenders Records for those required to register as sex offenders or adult arsonists.
Case Fil
es
Reports
Police Life* CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 290(d) - (Tier 1 - 10Y; Tier 2 - 20Y; Tier 3 - Life of Offender) CA - PEN 457.1(b)(2) - (Life of Arsonist)
Santa Clara Municipal Code 2.80.050 - (MAINT)
* Life of the offender
106 Criminal Registrations - Gangs
Records for those required to register as gang violence offenders.
Case Fil
es
Reports
Police Current Year+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 186.32(c) - (5Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
107 Criminal Registrations - Juvenile Arsonists
Records for those juveniles required to register as arsonists.
Complia
nce History
Offender Information
Offense Information
Registration Information
Reporting Requirements
Police Age 25 or SEAL+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 457.1(d) - (Upon reaching age of 25 or when records are sealed)
CA - WIC 781(d) - (SEAL+5Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
108 Non-Criminal Police Incident Reports
Records and information of suspicious circumstances, overdoses, reports of assistance granted to out
side agencies, reports of incidents taken at Levi Stadium, and any other non- criminal police reports not described elsewhere.
Reports
Statements
Police Current Year+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 (2)
Santa Clara Municipal Code 2.80.050 - (MAINT)
109 Parking Enforcement and Traffic Control
Records and information of the Police Department's activities to enforce parking ordinances and con
trol City traffic.
Parking Citations
Payment Information
Residential Parking Permits
Police 4Y CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802 - (LA1Y; LA2Y; LA3Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
Prepared by Kaizen InfoSource Page 27
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 110 Police - Community Outreach, Engagement, and Public Relations Records and information regarding internal and external-facing communications, adver
tising and press relations materials, including documentation of outreach activities/events held in cooperation or for the benefit of Police Department staff and for the local community, including:
- Coffee with a Cop
- Community Policing
- National Night Out
- Police Citizens' Academy
- Resources for Schools
- Chiefs Advisory Committee
Applications
Brochures, Flyers
Equipment Demonstrations
FAQs
Flyers
Media Packets
Newsletter
PowerPoint Presentations
Press Releases
Public / Media Inquiries
Public Information / Outreach / Education
Public Surveys
Publicity Files
Registrations
Social Media Documentation
Speeches
Tours
Police 4Y CA - CCP 337 - (LA4Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
111 Police - Complaints, Internal Investigations - No Sustained Finding of Misconduct Documentation of complaints received, formal inquiries, and investigations, including those by Intern
al Affairs, involving Police department employees (includes officer involved shootings) where this is no sustained finding of misconduct.
Actions Taken
Citizen Complaints
Personnel Complaint Packet
Statistics and Reports
Police Completion of
Investigation+5Y
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (5Y, where there is not a sustained finding of misconduct)
CA - VEH 2547 - (3Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
112 Police - Complaints, Internal Investigations - Sustained Finding of Misconduct Documentation of complaints received, formal inquiries, and investigations, including those by Intern
al Affairs, involving Police department employees (includes officer involved shootings) where this is a sustained finding of misconduct.
Citizen Complaints
Departmental Actions
Police Final Resolution+15Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (4Y)
CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (15Y, where there is a sustained finding of misconduct)
CA - VEH 2547 - (3Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
Prepared by Kaizen InfoSource Page 28
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 113 Police - General Support and Administrative Records Records of general department support activities and administrative reports received and/or generate
d in the routine course of law enforcement activities and not associated with a case number.
Activity Reports
Annual Summaries
Citizen's Academy
Daily Bulletins
Donations (monetary, in-kind )
Hospi
tal Mandated Reports
Logs (booking, incidents, gun/narcotics destruction, training ) Juv
enile Detention Logs
LiveScan Research ( for non-City organizations )
Military
Equipment Reports
NIBRS Reports
Official Department Correspondence
Organization Charts
Published Reports
Racial Identity and Profiling Act Data
Regulatory Reports
Ride-Along Program Records ( waiver forms )
Shift Ros
ters
Statistics (criminal, non-criminal )
Traff
ic Stops Reporting
Vehicles Assignments
Watch Commander Reports
Police 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
Santa Clara Municipal Code 2.80.080 - (1Y)
114 Police - Permits Issued
Documentation of permits issued by the Police department for activities including those for:
- Adult Book Stores
- Alarms (residential, commercial)
- Bicycles
- Bingo Establishments
- Closing-out Sales
- Concealed Weapon
- Curb Painters
- Firearm Dealers
- Food Trucks
- Massage Establishments
- Mobile Food Trucks
- Motor Funeral Escort Drivers
- Pawn/Second-hand Dealers
- Private Security
- Public Entertainment
- Residential Parking
- Solicitor/Peddler/Street Vending
- Taxicabs/Pedicabs
- Tow Drivers
(For permits issued by other departments, see category 076) Applications
Complaints
Fees Collected
Renewals
Police While Active+4Y CA - CCP 337 - (LA4Y)
CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
Santa Clara Municipal Code 5.05.250 - (1Y)
Santa Clara Municipal Code 5.30.090 - (2Y)
Santa Clara Municipal Code 5.35.060 - (1Y)
Santa Clara Municipal Code 5.35.370 - (1Y)
Santa Clara Municipal Code 5.35.470 - (1Y)
Santa Clara Municipal Code 5.40.090 - (1Y)
Santa Clara Municipal Code 5.75.190 - (1Y)
Santa Clara Municipal Code 8.40.030 - (1Y)
115 Police - Seized or Unclaimed Property Records
Records documenting tracking and management of physical property seized by the Police department
, or collected by the Police department but unclaimed, and not assigned to a case number or considered as evidence in a criminal investigation.
Notice to Claim Property Letters
Property Dispositions
Property Receipts
Purge Manifest
Police 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide Santa Clara Municipal Code 2.80.050 - (MAINT)
Prepared by Kaizen InfoSource Page 29
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 116 Police Case Files - Assaults on Police Officers
Records and information created in the documenting of a felony or misdemeanor assault of a police o
fficer with or without weapons.
Reports
Statements
Police While Active+6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 (2)
CA - PEN 800 - (LA6Y)
CA - PEN 801 - (LA3Y)
CA - PEN 802 - (LA1Y; LA2Y; LA3Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
Santa Clara Municipal Code 2.80.050 - (MAINT)
117 Police Case Files - Dead Bodies
Records, crime reports and evidence associated with investigations of dead bodies, whether
by natural causes or found.
Reports
Statements
Police While Active+10Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
CA - PEN 799 - (PR)
Santa Clara Municipal Code 2.80.050 - (MAINT)
* Case is active until body has been identified and cause of death determined. If determination is made that the death was a homicide, records are recategorized as "Felony Murder/Homicide" case files (see "Police Case Files - Felony Murder/Homicide, Capital Offenses, Child Abuse, Elder Abuse, and Violations of Public Trust" below). 118 Police Case Files - Domestic Violence
Records, crime reports and evidence associated with investigations and served protective orders
for domestic violence.
Criminal Protective Orders
Reports
Restraining Orders
Statements
Police While Active+10Y CA - CCP 340.15 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
CA - PEN 13710 - (MAINT)
Santa Clara Municipal Code 2.80.050 - (MAINT)
119 Police Case Files - Felonies, Excluding Murder/Homicide, Capital Offenses, Crimes of Sexual Violence, Chi
ld Abuse, Elder Abuse, and Violations of Public Trust
Records, crime reports and evidence associated with felony violations of laws, excluding homicide a
nd capital violations.
Case Files
Reports
Police While Active*+6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - PEN 799 - (MAINT)
CA - PEN 800 - (LA6Y)
CA - PEN 801 - (LA3Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
Santa Clara Municipal Code 2.80.050 - (MAINT)
* Case becomes inactive when it has been adjudicated, all appeals exhausted or all time served.
120 Police Case Files - Felony Murder/Homicide, Capital Offenses, Child Abuse, Elder Abus
e, and Violations of Public Trust
Records, crime reports and evidence associated with capital felony violations of laws, including
homicide, child abuse, elder abuse, embezzlement of public funds, 5150 cases, mental health, or falsification of public documents.
Case Files
Reports
Police Permanent CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
Santa Clara Municipal Code 2.80.050 - (MAINT)
No limitation on commencement of action; PC §261, 286, 288, 288a, 288.5, 289, 289.5, and 799.
Prepared by Kaizen InfoSource Page 30
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 121 Police Case Files - Misdemeanors, Infractions
Records, crime reports and evidence of misdemeanors and infractions, including traffic inciden
ts and parking/moving citations and appeals.
Appeals
Case Files
Reports
Police 3Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802 - (LA1Y; LA2Y; LA3Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
Santa Clara Municipal Code 2.80.050 - (MAINT)
122 Police Case Files - Missing Persons, Protective Custody and Runaways Records, crime reports and evidence associated with missing persons and runaways.
Case Fil
es
Reports
Police While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide Santa Clara Municipal Code 2.80.050 - (MAINT)
* Case remains active until solved
123 Police Case Files - Sealing of Records
Records of court orders to seal records.
Case Fil
es
Reports
Police SEAL*+3Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 851.8 - (SEAL+3Y)
CA - PEN 851.90 - (MAINT)
CA - WIC 781.5(a) - (SEAL+3Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
*SEAL = Date Records Sealed
124 Police Case Files - Stolen Property
Records, crime reports and evidence associated with stolen property.
Case Fil
es
Reports
Police While Active+3Y CA - CCP 338(c) - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
Santa Clara Municipal Code 2.80.050 - (MAINT)
* Case remains active until solved
125 Police Case Files - Traffic Collisions - Fatal
Records, crime reports and evidence associated with traffic collisions involving fatalities.
Case Fil
es
Reports
Police Permanent CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
CA - Law Enforcement Evidence and Property Management Guide, 4th Edition (2022)
Santa Clara Municipal Code 2.80.050 - (MAINT)
126 Police K-9 Records
Records documenting the acquisition, assignment and care of the Police Department's K-9 unit.
Acquisitio
n Records
Assignment and Ownership Records
K-9 Program Records
Maintenance and Care
Police Life*+3Y CA - CCP 338 - (LA3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
*Life of the animal.
Prepared by Kaizen InfoSource Page 31
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 127 Police Routine Body-Worn Camera Records
Recordings of routine body-worn camera (BWC) video monitoring to include time and date of video
, location of video and other related information not assigned to a case.
Body-Worn Camera Recordings ( body cam, BWC ) Police 60D * CA - PEN 832.18(b)(5)(A) - (60D) Santa Clara Municipal Code 2.80.050 - (MAINT)
*Note: 60 day retention is for non-evidentiary recordings, only.
Evidentiary recordings become part of the case file.
*Exception: If the recording is of an incident involving the use of force by a peace officer or an officer-involved shooting, or it is relevant to a formal or informal complaint against a law enforcement officer or a law enforcement agency, the recording should be retained for applicable retention period.
128 Police Routine Body-Worn Camera Video - Records of Access and Deletion of Recordings
Re
cords and logs of access and subsequent deletion of body-worn camera video recor
dings.
Access Log
Deletion Logs
Reason for Access
Video File information
Police Permanent CA - PEN 832.18(b)(5)(E) - (PR)
Santa Clara Municipal Code 2.80.050 - (MAINT)
129 Police Routine Data Collection and Video Records
Recordings of routine audio and video monitoring, other than body-worn camera recor
dings, to include time and date of recording, location, and other related information.
Automated License Plate Reader
Building Surveillance Recordings
Interview Rooms
Routine ECD Downloads
Police 1Y* CA - GOV 34090.6 - (Routine Video: 1Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
*Note: If recordings are evidence in any criminal prosecution, the recording becomes part of the case file. In the event that the recordings are evidence in any claim filed or any pending litigation, they shall be preserved until pending litigation is resolved.
130 Security, Access Operations
Records and information regarding physical access controls and protection for City buildings
and facilities.
Access Controls
Access Reports
Building Security Forms
Daily Activity Logs
Facility Key Lists/Logs
Key Cards
Security Guards
Transaction Logs
Visitor's Logs
Police
Public Works - Facility
Services
2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
Santa Clara Municipal Code 2.80.050 - (MAINT)
131 Encroachments
Records documenting long-term encroachments upon City property, public right-of-way, public eas
ement, or by the City on the property of others that are not stored in a project file. (For Executed Encroachment Permit Agreements, see Record No. 032).
Certificates of Compliance
Encroachment Permits and Related Documents
Private Encroachments in Public Right-of-Way Documents
Rights of Entry Documents
Public Works - Engineering While Active+10Y CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
Prepared by Kaizen InfoSource Page 32
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 132 Traffic and Transportation Design and Planning
Records and information of activities impacting City streets and traffic, as well as transporta
tion projects and efforts to manage traffic circulation and plan for upcoming improvements, including
- Bicycle and pedestrian program
- Highway corridors
- Parking restrictions
- Signs and street markings
- Studies and surveys
- Traffic calming programs
- Traffic signals
Parking Plans
Rights-of-Way
Shared Mobility Permits
Speed Surveys
Traffic Counts
Impact Studies
Shared Mobility Permits
Traffic Management Plans
Traffic Signal Studies
Transportation Planning
Warrants and Justification Memos
Work Orders
Public Works - Engineering While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
133 Building, Property Management
Records and information regarding the structure of City buildings.
As-Built Bluep
rints
Construction Records
Electrical Wiring Schematics
Floor Plans
Property Inventory
Utility Consumption Tracking
Public Works - Engineering
Public Works - Facility
Services
Life*+10Y CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)*
* LI = Life of Building or Facility
134 Fuel Management
Records related to the storage and management of fuel for City vehicles.
Califo
rnia Air Resources Board Certificate
Fuel Pump Maintenance and Testing
Fuel Reports, Billing Reports, Journals, Fuel Tickets
Fuel Tank Integrity Testing
Fuel Tank Maintenance (aboveground, below ground )
Public Wor
ks - Fleet Life*+5Y CA - 23 CCR 2712 - (LI)*
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GC 34090 - (2Y)
CA - HSC 25283.5(a)(3) - (MAINT)
CA - HSC 25285 - (5Y)
CA - HSC 25292(b)(4) - (1Y)
CA - HSC 25293 - (MAINT)
* LI - Life of Tank
Exceptions - For testing and maintenance of underground storage tanks, the following exceptions apply:
- Monitoring and maintenance records - retain 3Y
- Release detection system, such as written performance claims, calibration, and maintenance records - retain 5Y
- Records pertaining to a cathodic protection system - retain 6.5Y 135 Solid Waste and Storm Drainage Management and Services Records and information associated with the City's solid waste services and maintenance of the Cit
y's storm drain system.
Inventories (equipment, materials, meters, pipes )
Pollution Con
trol Permits
Storm Drains
Storm Water Monitoring
Water Runoff Testing
Weight Tickets
Public Works - Streets While Active+5Y CA - CCP 338 - (LA3Y) CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 25244.19 - (4Y)
CA - HSC 25244.20 - (4Y)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
US - 40 CFR 122.44(i)(4)(ii) - (3Y)
Prepared by Kaizen InfoSource Page 33
City of Santa Clara
Citywide Records Retention Schedule
Record No. Record Name and Description Example Records Office of Record Retention Legal Citations and Comments
ACRONYMS USED IN LEGAL CITATIONS
AC = While Active CU = Current Year CL = Closed D = Day FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year 136 Water and Sewer Management and Services
Records and information associated with the maintenance of sewer and water systems for the Cit
y.
- Water Conservation (rain barrel rebate program, water-saving devices, solar water heating)
- Water service connections
- Water meters, cross connections, fees and billing
- Recycled water pipelines, meters, connections, fees and billing - Sewer connections, fees and billing
- Sewer service calls
- Hydrant flushing and sewer jetting
Air Quality Permits
Backflow Prevention and Testing
Complaints and Problem Resolution Records
Environmental Conservation, Programs
Generator Operation Logs
Inventories (equipment, materials, meters, pipes )
Irrigation (ma
nagement, plans, SCVWD )
Pollution Con
trol Permits
Underground Service Alerts ( USA )
Video Footag
e (sewer line inspections )
Waste
Water (lab groups, reports to state )
Water Sam
pling and Testing
Work Orders and Service Requests
Water & Sewers While Active+5Y CA - CCP 338 - (LA3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 25244.19 - (4Y)
CA - HSC 25244.20 - (4Y)
US - 40 CFR 122.21(p) - (3Y)
US - 40 CFR 122.41(j) - (3Y)
US - 40 CFR 122.44(i)(4)(ii) - (3Y)
Prepared by Kaizen InfoSource Page 34
City of Santa Clara
Records and Information Management Policy
1 INTRODUCTION
This Records and Information Management (RIM) Policy is the governance document defining the rules for managing the City of Santa Clara’s (the “City”) records and information (RIM).
This RIM Policy communicates what rules the City will follow in managing its paper and electronic records and information in compliance with laws , regulations, and good business practices. The rules within th is Policy apply to the conten t of the information, not the tools used to create it or media on which it resides.
Below is the list of rules the City will follow.
RECORDS AND INFORMATION MANAGEMENT POLICY
A. Ownership
Records and information created or received in the conduct of the City’s business by staff, by contractors acting on behalf of the City, or by elected and appointed officials are the exclusive property of the City. City records and information are subject to compliance with this Policy, the ass ociated Records Retention Schedule , and any other City polic ies or procedures.
B. Authenticity
The City is committed to creating and maintaining complete, accurate, and trustworthy records and information that document its business activities. Deliberately creating false or misleading records or information regarding the City’s activities is strictly prohibited. City records and information should not contain language that is intentionally misleading, , inaccurate, or fraudulent.
C. Classification
Records and information, both paper and electronic, are to be created, saved, and managed with the appropriate classification that enables their efficient and shared access, appropriate application of retention, and secure protection.
D. Retention
Records are to be retained in accordance with the Records Retention Schedule. When records complete their retention period, regardless of their format, they shall be deleted or disposed of in compliance with City procedures.
E. Storage
Hardcopy records and information no longer considered active may be transferred to designated storage facilities to fulfill retention requirements. Hardcopy records scanned and uploaded into the City’s records repository in accordance with City procedures that meet the City’s criteria shall become the official version of the document for retention and City of Santa Clara
Records and Information Management Policy
2 evidentiary purposes.
Electronic records no longer considered active and those that have passed their retention may be transferred to approved repositories or moved offline to fulfill retention requirements. Regardless of
where records are stored, they must be accessible by City employees for business purposes and in response to requests from the public.
Records and information that is owned by the City should not be transferred to or stored in any unauthorized locations or on personal devices. Work done on a personal device on behalf of the City is the property of the City and should be transferred to a City repository.
F. Availability
Records and information must be available for future business and to support litigation and investigations, as necessary, regardless of storage location.
Records that are determined to be “public” are to be made available for the public to obtain in accordance with the California Public Records Act, Government Code s §§7920.000 through 7931.000.
G. Electronic Communication
Unless otherwise required by contract or law, including data privacy laws, electronic communication, including emails, email threads, text messaging, instant messaging, chatter, social media and any other form of electronic communication tha t may be used to conduct City business, are subject to this Policy and other rules of the City, and are the exclusive property of the City.
Email messaging is required to be conducted using City systems. Emails sent or received for the purpose of City governance or business are considered City property and must be maintained in City systems and in compliance with this Policy and, if they are records, in compliance with the Records Retention Schedule. Use of City systems and equipment must comply with a ll Information Technology Department policies including, but not limited to, City of Santa Clara Information Security Policy, City Information Technology Acceptable Use Policy, and CMD 116 Use of City Resources, and Non -Confidential Nature of Information of City Equipment.
Although Electronic Communication may seem to be less formal than other written communication, the same definition of Records applies, as do the rules for storage and retention. Electronic Communication that meets the definition of a record is to be stored on City systems only.
City of Santa Clara
Records and Information Management Policy
3 H. Records of Exiting Employees, Volunteers and Contractors
When an employee, volunteer, or contractor leaves the City, the exiting individual’s supervisor, manager or City Manager designee is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the records and information of the exiting employee, volunteer, or contractor , which shall extend for the appropriate retention period following the individual’s departure from the City.
I. Suspending Retention Requirements
Records and information relevant to litigation or an investigation and subject to a Legal Hold are to be retained and preserved until further notice from the City Attorney, regardless of the retention period set forth in the Records Retention Schedule.
Records and information subject to a Public Records Act request are to be retained and preserved until the request has been completed. Note that even records that have passed retention cannot be destroyed if a Public Records Request has been submitted to the City.
J. Information Protection
Disaster recovery backup media are exact copies of an operating system, associated application and data created for the sole purpose of recovering data in the event of a disaster or business disruption and are not subject to the requirements of the Records Retention Schedule. Backups serve as a level of protection for electronic systems and the data that is stored on those systems and are not the official repository of the subject data and documents, are temporary and frequently modified, constitute Working Documents reflecting frequent updates, and are therefore not subject to the retention requirements of the Records Retention Schedule.
DEFINITIONS
Records
Records are either defined specifically in applicable statutes, Municipal Code, City business practices, or, in the absence of specific practices, a record is the document or information generated as the final output of a business process or business decision.
City of Santa Clara
Records and Information Management Policy
4 Working Documents
Not all information or data is a record. Some information is collected or created in order to complete a task or to enable the creation of a record, but the City is not obligated by law to retain it. This type of information is classified as Working Documents. Working Records are not subject to retention requirements. Examples of Working Documents are included in Attachment A.
Electronic Communication
Electronic Communication is a document created or received via an electronic messaging system, including any attachments that may be transmitted with the message, along with its descriptive transmission metadata.
Electronic Messaging System
Electronic Messaging System is one or more computer networks, hardware, and software applications used to create, receive, and transmit messages and other documents electronically.
POLICY REVIEW
This Policy and the accompanying Records Retention Schedule may be amended or modified from time to time, as necessary, to account for changes in legal, regulatory, or operational requirements.
REFERENCES
Records Retention Schedule
Records and Information Management Glossary of Terms
City of Santa Clara
Records and Information Management Policy
5 ATTACHMENT A
Examples of Working Documents
Identical copies of documents,
Extra copies of printed or processed materials kept only for convenience or reference (e.g. copies of expense reports once they have been paid), Miscellaneous notices of employee meetings, holiday notices, reference materials, and hand-written notes,
Working templates used to create contracts or other final documents, System backups,
Notes, working papers, or drafts assembled or created in the preparation of other documents, worksheets (e.g., rough drafts of letters, memoranda, or reports), Catalogs, trade journals, unsolicited marketing materials, and other publications or papers received from external companies or agencies that may be used for reference purposes, but that require no action, and are not part of an official record, and
Research or data collected that is later incorporated into a final document and is not required for preparation of an official record.
Resolution/Citywide Records Retention 2026 Page 1 of 2
Rev: 6/23/2026
RESOLUTION NO. _____
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA CLARA RESCINDING RESOLUTIONS 12-7965 AND
25-9459 AND APPROVING AND ADOPTING THE
UPDATED CITYWIDE RECORDS RETENTION
SCHEDULE FOR ALL CITY DEPARTMENTS INCLUDING
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 including the California Government Code 6250 et seq “Public Records Act”; 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, the City adopted a Records Retention Schedule for the Police Department only on June 24, 2025, by Resolution 25-9459; and
WHEREAS, other City departments have determined what categories of records they have and how long categories are to be retained in accordance with federal and state regulations and laws; and
WHEREAS, the proposed updated Records Retention Schedule has combined the Police Department with the other City departments for one single Citywide Records Retention Schedule that identifies all City records and how long each of these categories of records will be retained and reflects technological and legislative changes since 2012, and WHEREAS, future updates and changes to the Records Retention Schedule will be reviewed and approved in coordination by City departments, the City Clerk’s Office, and the City Attorney in compliance with laws and regulations.
NOW THEREFORE, BE IT RESOLVED BY THE CITY OF SANTA CLARA AS FOLLOWS:
1. Resolution 12-7965 is hereby rescinded.
2. Resolution 25-9459 is hereby rescinded.
Resolution/Citywide Records Retention 2026 Page 2 of 2
Rev: 6/23/2026
3. The Record Retention Schedule to be applied City-wide, including the Police Department, attached hereto, 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 23rd DAY OF JUNE 2026, BY THE FOLLOWING VOTE:
AYES: COUNCILORS:
NOES: COUNCILORS:
ABSENT: COUNCILORS:
ABSTAINED: COUNCILORS:
ATTEST: ______________________________
NORA PIMENTEL, MMC
ASSISTANT CITY CLERK
CITY OF SANTA CLARA
Attachments incorporated by reference:
1. Citywide Records Retention Schedule
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
26-696 Agenda Date: 6/23/2026
REPORT TO COUNCIL
SUBJECT
Action to Approve the Modifications to Classified Position Specifications and Adopt a Resolution Approving and Adopting Updated Salary Plans for Classified Positions
BACKGROUND
Sections 4 and 6 of the Personnel and Salary Resolution require City Council approval of the creation of new classifications, the combining or other modification of existing classifications, and the deletion of existing classifications.
Modifications to the Legal Office Specialist (Job Code 519) Class Specification The Human Resources Department and the City Attorney’s Office coordinated to update the Legal Office Specialist III (Job Code 519) class specification and retitle it to Legal Office Specialist (Job Code 519).
These modifications were approved by Unit 578 prior to approval by the Civil Service Commission on June 11, 2026.
Addition of the Assistant Training Officer - 80 Hour (Job Code 233) Class Specification Currently, there is an Assistant Training Officer (Job Code 233S) classification. However, the current salary plan only provides for a salary range for the 24-hour shift Assistant Training Officer. The Human Resources Department and the Fire Department coordinated to add the Assistant Training Officer - 80 Hour (Job Code 233) class specification to the salary plan. The salary range is consistent with other Santa Clara Firefighters, International Association of Firefighters, Local 1171 (Unit 1) classifications that have both a 24-hour shift and a 80-hour shift.
Adoption of a Resolution Approving and Adopting the Updated Classified Salary Plan Section 9 of the Personnel and Salary Resolution requires City Council approval of compensation plans for classified positions. In addition, the City of Santa Clara contracts with the California Public Employees’ Retirement System (CalPERS) to provide retirement benefits for employees in both classified and unclassified positions. When the City makes modifications to the salary schedules for its classified, unclassified or as-needed positions, the City Council must approve and adopt the publicly available salary schedules to comply with the CalPERS requirements stated in California Code of Regulations (CCR) section 570.5. If the City Council does not approve these resolutions, the City will be non-compliant with CalPERS record keeping and reporting requirements. The City of Santa Clara is a contracting agency with CalPERS and is required to comply with its requirements.
The proposed Council action satisfies these applicable requirements.
City of Santa Clara Printed on 6/19/2026Page 1 of 4
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26-696 Agenda Date: 6/23/2026
The updated classified salary plans reflect the negotiated and Council approved Cost of Living Adjustments (COLA) included in each agreement for the Police Officers Association (hereafter, “Unit 2”); the Engineers of the City Of Santa Clara (hereafter, “Unit 4”); and the Public Safety Non-Sworn Employees Association (hereafter, “Unit 10). All classifications that are covered by the listed bargaining units, shall receive an automatic wage increase as described below effective July 5, 2026.
DISCUSSION
Modifications to the Legal Office Specialist (Job Code 519) Class Specification - with an annual salary range of $93,902.28 - $119,658.60. The City Attorney’s Office coordinated with the Human Resources Department to update the class specification for Legal Office Specialist (Job Code 519).
The Legal Office Specialist is a confidential clerical classification assigned to the City Attorney’s Office. This classification supports the work of the City Attorney and other Attorneys and staff members in the City Attorney’s Office. An incumbent in this classification is expected to possess considerable expertise in legal procedures, confidentiality, and must exercise considerable tact, discretion, and sound independent judgment in the performance of duties with a relatively high consequence of error. Performs related duties as assigned. The requested approval does not modify the salary ranges for the classification.
Addition of the Assistant Training Officer - 80 Hour (Job Code 233) Class Specification - with an
annual salary range of $193,791.72 - $247,795.68. The Fire Department coordinated with the Human Resources Department to create the class specification for Assistant Training Officer - 80 Hour (Job Code 233). The Assistant Training Officer is an entry level professional managerial position in the classified service that assumes the role of officer in charge of the suppression division when the shift Battalion Chief is not on duty and assists the training Battalion Chief in planning, organizing, directing, coordinating, and evaluating in-service training programs of the Fire Department (including the Volunteer Reserve Division). An incumbent in this classification exercises independent judgment and discretion; manages and directs employees at emergency and non-emergency operations; helps in formulating administrative policies for the effective use of assigned personnel; and actively supports the direction established by the Fire Chief and City Manager and policies established by the City Council for the delivery of Fire Department services to the citizens. As noted above, there is an existing Assistant Training Officer (Job Code 233S) with a salary range for the 24-hour shift, but not for a corresponding salary range for the 80-hour shift.
Adoption of a Resolution Approving and Adopting the Updated Classified Salary Plans The Classified Salary Plan has been modified to reflect negotiated wage increases for several bargaining groups. All classifications that are covered by the respective bargaining units shall receive an automatic increase effective the pay period beginning on July 5, 2026, which is the first pay period of FY 2026/27. The bargaining units and their respective wage increases are:
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26-696 Agenda Date: 6/23/2026
· Police Officers Association (Unit 2): A wage increase of approximately 3.0%. This adjustment was previously approved by City Council in open session as part of an agreement on a successor Memorandum of Agreement (MOU) on or about July 15, 2025. · Engineers of the City of Santa Clara (Unit 4): A wage increase of approximately 4.5% for classification Senior Electric Utility Engineer (Job Code 730, 730L, 730I, 730D, 730E and 730A) and approximately 4.0% for all other classifications. This agreement was previously approved by City Council in open session as part of an agreement on a successor Memorandum of Agreement (MOU) on or about December 17, 2025. · Public Safety Non-Sworn Employees Association (Unit 10): A wage increase of approximately
3.0% for Public Safety Dispatcher classifications (Public Safety Dispatcher I (Job Code 339), Public Safety Dispatcher II (Job Code 340), and Senior Public Safety Dispatcher (Job Code 725). This adjustment was previously approved by City Council in open session as part of an agreement on a successor MOU on or about August 19, 2025.
ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(b)(5) in that it is a governmental organizational or administrative activity that will not result in direct or indirect changes in the environment.
FISCAL IMPACT
The general wage increases have a salary cost of approximately $2.15 million (all funds), of which approximately $1.62 million is in the General Fund and $0.53 million is in other funds. These increases were factored into the FY 2026/27 Adopted Biennial Operating Budget.
Bargaining Unit General Fund All Funds
POA (Unit 2) $1.38 M $1.38 M
ECOSC (Unit 4) (Sr. EUE only) $0 M $0.19 M
ECOSC (Unit 4) (All others) $0.12 M $0.46 M
PSNSEA (Unit 10) (Dispatch only) $0.12 M $0.12 M
TOTAL $1.62 M $2.15 M
There is no fiscal impact to update the Classified Pay Plan to modify the Legal Office Specialist (Job Code 519) or create the Assistant Training Officer - 80 Hours (Job Code 233) classification as these are existing budgeted positions.
COORDINATION
This report has been coordinated with the Finance Department and City Attorney’s Office.
PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board City of Santa Clara Printed on 6/19/2026Page 3 of 4
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26-696 Agenda Date: 6/23/2026
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
1. Approve various modifications to the classification plan, as follows, as detailed in the corresponding Class Specification attachments:
a. Approve the Modifications to the Legal Office Specialist (Job Code 519) Class Specifications, and
b. Approve the Addition of the Assistant Training Officer - 80 Hour (Job Code 233) Class Specification.
2. Adopt a Resolution in the form presented to approve and adopt the revised salary plans for various classified positions (effective July 5, 2026) to satisfy the requirements of California Code of Regulations Section 570.5.
Reviewed by: Marco Mercado, Acting Director of Human Resources Approved by: Jōvan D. Grogan, City Manager
ATTACHMENTS
1. Class Specification (clean), Legal Office Specialist (Job Code 519)
2. Class Specification (track changes), Legal Office Specialist (Job Code 519)
3. Class Specification (clean), Assistant Training Officer - 80 Hour (Job Code 233)
4. Classified Salary Plan eff 07-05-2026 (for Council 6-23-2026)
5. Resolution for Updated Classified Salary Plan (for 6-23-2026) City of Santa Clara Printed on 6/19/2026Page 4 of 4
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Rev. 06/2025
CITY OF SANTA CLARA, CALIFORNIA
CLASS SPECIFICATION