Agenda, regular meeting — St. Helena City Council, October 24, 2023 (part 1 of 10)

City of St. Helena
Regular City Council Meeting
Tuesday, October 24, 2023 @ 6:00 PM
Vintage Hall Board Room - Second Floor
465 Main Street, St. Helena

PLEASE NOTE: Any person who wishes to speak regarding an item on the agenda or make a comment under the "Oral Communication" portion of the agenda may do so, but please observe the time limit of four minutes. The Mayor may reduce the four minute time limit for all speakers in circumstances where a large number of citizens intend to make public comment.

Public comment for meetings will be accepted via email to [email protected]. All public comments must be received three hours prior to the meeting. All other public comments received after the deadline will be attached to the item the next business day or soon thereafter. Public comments will not be read out loud but will be publicly available and attached to the on-line agenda.

The schedule of upcoming meetings and published meeting agendas can be found on the City of St. Helena website at https://sthelena.civicweb.net/portal/.

Page

1. CALL TO ORDER

2. ROLL CALL
Mayor: Paul Dohring, Vice Mayor Eric Hall:, City Council Members: Anna Chouteau, Lester Hardy, Billy Summers

3. PLEDGE OF ALLEGIANCE

4. ADOPTION OF THE AGENDA

5. APPROVAL OF MINUTES
Estimated start time: 6:05 p.m.

5.1. Consideration and proposed approval of Regular Meeting Minutes of October 10, 2023.
to approve Consent items # through #.
10-10-2023 Regular City Council - Minutes
7 - 16

6. PUBLIC FORUM:

Members of the public are entitled to speak on matters of municipal concern not on the agenda during Public Forum. Each person’s comments shall be limited to 4 minutes. Each person is entitled to speak on any non-agendized item only once at any meeting. Brief questions by Council Members for clarifications may be posed and answered, and Council Members may make requests that items be placed on future agendas, but in accordance with state law, no substantive discussion or action may take place unless and until the matter properly appears on the agenda.

Estimated start time: 6:10 p.m.

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6.1. Public Comment.Sarah Bertoli 17

7. REPORTS BY STAFF AND CITY COUNCIL, FUTURE AGENDA ITEMS, AND AB 1234 REPORTS:

Reports by staff and/or Council Members on items of general interest. Brief questions for clarification may be posed and answered, and Council Members may request that items be placed on a future agenda. Except under certain circumstances, the Brown Act prohibits any other discussion or action by the City Council.

Estimated start time: 6:15 p.m.

8. PRESENTATIONS AND PUBLIC RECOGNITIONS
Estimated start time: 6:20 p.m.

8.1. November Cancer Awareness Month Proclamation
Proclamation
19 - 20

9. STAFF BRIEFING
Estimated start time: 6:25 p.m.

9.1. Public Works Director Joseph Leach to provide update on a variety of traffic control measures.

Presentation
21 - 25

10. CONSENT ITEMS
Members of the Council or the public (present at the meeting) may ask that any items be considered individually for purposes of considering alternative action, for extended discussion, or for public comment. Unless that is done, one motion may be used to adopt all recommended actions. (Roll Call Vote) Estimated start time: 6:35 p.m.

10.1. Establishment of an ad hoc Water/Wastewater Exploratory Committee CEQA Determination: Not a CEQA project
Recommendation:

Adopt the attached Resolution and seek applicants.

Staff Report - Pdf
27 - 30

10.2. Fiscal Year 2023-24 First Quarter Finance Report.

CEQA Determination: Not a CEQA project
Prepared By: Mandy Kellogg, Administrative Services Director Recommendation:

Receive and file.

Staff Report - Pdf
31 - 48

10.3. Consideration and proposed approval of a resolution declaring Laserfiche as a Trusted System for the management and retention of records
CEQA Determination: Not a CEQA project
49 - 103

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Prepared By: Cindy Tzafopoulos, City Clerk
Recommendation:

It is recommended by the City Clerk’s Office that the Council, by resolution, declare Laserfiche as a Trusted System for the management of official City records and the automation of record retention requirements.

Staff Report - Pdf

10.4. September 2023 Review and Forecasting of City Water Supply Availability
CEQA Determination: Not a CEQA project
Prepared By: Ian Dale, Environmental Services Tech
Recommendation:

Receive and File.

Staff Report - Pdf
105 - 110

10.5. Approval of a Resolution ratifying known additional expenditures in an amount of $54,326 related to Resolution 2023-106 Public Emergency for Remediation of Discolored Water and authorizing use of Water Operations Fund balance for the repairs.

CEQA Determination: Not a CEQA project
Prepared By: Joseph Leach, Public Works Director and City Engineer, Lesley Milton, Asst. to the City Manager
Recommendation:

Approve the Attached Resolution
Staff Report - Pdf
111 - 122

10.6. Second reading and proposed adoption of an ordinance amending Title 17 (Zoning) of the St. Helena Municipal Code and Amending the Zoning Map to be consistent with the General Plan and Expand the Historic Preservation (HP) Overlay Zone.

CEQA Determination: The City has determined that none of the conditions specified in State CEQA Guidelines section 15162 requiring preparation of a subsequent or supplemental EIR or MND would occur.

Prepared By: Maya DeRosa, Community Development Director Recommendation:

It is recommended that the City Council waive second reading and and adopt the ordinance (Attachment 10) (a) amending Title 17 (Zoning) of the St. Helena Code (ZOA 2023-001); (b) approving the amendments to the zoning map and finding them to be consistent with the General Plan land use map (ZMA 2023-001); and (c) approving the amendments to the zoning map implementing an expanded Historic Preservation Overlay District (ZMA 2023-001)
Staff Report - Pdf
123 - 1026

11. PUBLIC HEARINGS
Estimated start time 6:40 p.m.

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11.1. First Reading to consider an update to the City’s Development Impact Fees, adoption of a Development Impact Fee Update Study, and updates to the City’s Ordinances Title 3 Revenue and Finance, Chapter 3.32 Development Impact Fees related to such fees.
(This item is continued to the November 14, 2023 regular City Council meeting)

11.2. Proposed Adoption of a Comprehensive User Fee Study Report and Resolution Adopting a Comprehensive Master Fee Schedule Establishing and Amending Certain User Fees for City Services.

CEQA Determination: Not a CEQA project
Prepared By: Mandy Kellogg, Administrative Services Director Recommendation:

Adopt the Comprehensive User Fee Study Report and approve the attached resolution amending the Master Fee Schedule.

Staff Report - Pdf
1027 - 1137

12. OLD BUSINESS
None

13. NEW BUSINESS
None

14. CITY COUNCIL REPORTS:

14.1. A. Association of Bay Area Governments (ABAG) - Executive Board B. Association of Bay Area Governments (ABAG) - General Assembly C. Napa Valley Tourism Corporation (Umbrella for Napa County) D. League of California Cities – North Bay Division
E. Napa County City Selection Committee
F. Napa County Flood Control and Water Conservation District G. Youth Opportunities Commission
H. Napa County Local Agency Formation Commission (LAFCO) I. Napa Valley Transportation Authority (NVTA)
J. Napa County Watershed Information Center & Conservancy (WICC) K. Upper Valley Waste Management Agency

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L. Napa County Groundwater Sustainability Plan Advisory Committee M. Napa County Regional Climate Action Committee
N. Council Ad Hoc and Standing Committee Reports

15. ADJOURNMENT
The next Regular City Council meeting is scheduled for November 14, 2023, at 6:00 p.m.

This agenda was posted at City Hall, 1088 College Avenue, and at Vintage Hall, 465 Main Street, St. Helena, California on October 19, 2023.

Cindy Tzafopoulos, City Clerk
In Compliance with the Americans with Disabilities Act, if you need special assistance to participate in this meeting, please call the City Clerk’s Office (707) 967-2792. Notification 72 hours prior to the meeting as required by Section 202 of the Americans with Disabilities Act will enable the City to make reasonable arrangements to ensure accessibility to this meeting.

CHALLENGING DECISIONS OF CITY ENTITIES
The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City of St. Helena is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision, including without limitation Government Code section 65009 applicable to many land use and zoning decisions, Government Code section 66499.37 applicable to the Subdivision Map Act, and Public Resources Code section 21167 applicable to the California Environmental Quality Act (CEQA). Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. Government Code section 65009 and 66499.37, and Public Resources Code section 21167, impose shorter limitations periods and requirements, including timely service in addition to filing.

If a person wishes to challenge the above actions in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of St. Helena, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

SUPPLEMENTAL MATERIAL RECEIVED AFTER THE POSTING OF THE AGENDA
Any supplemental writings or documents distributed to a majority of the City

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Council regarding any item on this Agenda, after the posting of the Agenda, will be available for public review in the City Clerk’s Office located at 1088 College Avenue, St. Helena, California, during normal business hours and by appointment. In addition, such writings or documents will be made available on the City’s web site at https://sthelena.civicweb.net and will be available for public review at the respective meeting.

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MINUTES
City of St. Helena
Regular City Council Meeting
Tuesday, October 10, 2023 @ 6:00 PM
Vintage Hall Board Room - Second Floor
465 Main Street, St. Helena
A complete video recording of this meeting, except for closed session, can be found at https://sthelena.civicweb.net/Portal/ or by calling the City Clerk at (707) 968-2742. The City Council video is the official record of the Council meeting.

Present: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers

Absent: None

1. CALL TO ORDER

2. ROLL CALL

3. PLEDGE OF ALLEGIANCE

4. ADOPTION OF THE AGENDA

4.1 Vice Mayor Eric Hall moved to adopt the agenda as presented. The motion was seconded by Council Member Lester Hardy and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers NOES: None
ABSENT: None
ABSTAIN: None
RECUSE: None

5. APPROVAL OF MINUTES

5.1 Consideration and proposed approval of Regular Meeting Minutes of September 26, 2023.

Vice Mayor Eric Hall moved to approve the minutes. The motion was seconded by Council Member Lester Hardy and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers NOES: None
Agenda Item #5.1.

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Regular City Council
October 10, 2023
ABSENT: None
ABSTAIN: None
RECUSE: None

6. PUBLIC FORUM:

No public comment was received.

7. REPORTS BY STAFF AND CITY COUNCIL, FUTURE AGENDA ITEMS, and AB 1234 REPORTS:

City Attorney Ethan Walsh noted that there was no reportable action taken at the October 10, 2023 special City Council closed session meeting.

No other reports were made.

8. PRESENTATIONS AND PUBLIC RECOGNITIONS

8.1 Oaths of office administered by Cindy Tzafopoulos, City Clerk  Chris Laymon, Plant Operator II – Wastewater Treatment Plant

8.2 Domestic Violence Awareness Month Proclamation

9. STAFF BRIEFING

9.1 Provide project status for the Main Street Pedestrian Improvement Project including review of property line/Right-of-Way encroachment matters.

CEQA Determination: Categorically Exempt, Section 15323 Prepared By: Eric Janzen, Assistant Public Works Director Recommendation:

None. This is an informational item only.

Public Works Director Joseph Leach reported on this item.

10. CONSENT ITEMS
Members of the Council or the public may ask that any items be considered individually for purposes of considering alternative action, for extended discussion, or for public comment. Unless that is done, one motion may be used to adopt all recommended actions. (Roll Call Vote)

10.1 Amended June 2023 Review and Forecasting of City Water Supply Availability CEQA Determination: Exempt
Prepared By: Ian Dale, Environmental Services Tech
Recommendation:

Receive and File.

Agenda Item #5.1.

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Regular City Council
October 10, 2023

10.2 Consideration of a Resolution to set a Public Hearing for 6:00 p.m., Tuesday, December 12, 2023, to consider objections to the proposed annexation of the properties known as 1516 Sulphur Springs Avenue, St Helena, CA (APN 009-362- 018), into the St. Helena Municipal Sewer District No. 1, MSD Annexation No. 145.

CEQA Determination: Not a CEQA project
Prepared By: Mario Traverso, Public Works Assistant Engineer Recommendation:

Staff request City Council to adopt a resolution to consider the applicants request and order a public hearing to be scheduled for December 12, 2023.

10.3 Approve a resolution authorizing execution of a contract with Mead & Hunt for a not to exceed amount of $42,773.00 to perform a System Assessment of the Flood Protection Project at Adams Street, adjacent to Vineyard Valley development, and authorize a transfer of reserves for the total cost of the contract.

CEQA Determination: Not a CEQA project
Prepared By: Joseph Leach, Public Works Director and City Engineer, Lesley Milton, Asst. to the City Manager
Recommendation:

Approval of the resolution and contract.

Public Works Director Joseph Leach provided an update.

Maria Viega addressed the City Council.

10.4 Consideration of a proposed Resolution authorizing the City Manager to execute a Professional Service Agreement with Summit Engineering Inc. to provide engineering design services for the Oak Avenue Rehabilitation Project in the amount not-to-exceed $121,500.

CEQA Determination: Not a CEQA project
Prepared By: Mario Traverso, Public Works Assistant Engineer Recommendation:

Staff recommends City Council approve the attached resolution.

10.5 Consideration and proposed adoption of a Resolution approving the plan for the WWTP 10-Inch Recycled Water Pipeline Extension Project and authorizing the advertisement for bids.

CEQA Determination: Class I Categorical Exemption under Section 15301 of CEQA
Prepared By: Mario Traverso, Public Works Assistant Engineer Recommendation:

Adopt the attached resolution and authorize staff to solicit proposals for the WWTP 10-Inch Recycled Water Pipeline Extension Project.

Agenda Item #5.1.

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Regular City Council
October 10, 2023

10.6 Approval of a Resolution authorizing (1) Amendment No. 5 to the STH Contract: FY2021-077 in the amount of $175,000, with Operational Technical Services for a total amount not-to-exceed of $1,125,200 for temporary Wastewater Treatment Plant operators; and (2) Amendment No. 6 to STH Contract: FY2021-048 in the amount of $800,000 with Operational Technical Services for a total amount not-to-exceed of $3,444,005 for temporary Water Treatment Plant operators.

CEQA Determination: Not a CEQA project
Prepared By: Joseph Leach, Public Works Director and City Engineer, Lesley Milton, Asst. to the City Manager
Recommendation:

Staff recommends adoption of the attached Resolution.

10.7 Consideration and approval of a resolution authorizing the acquisition of two (2) all electric 2023 Ford Mustang Mach E Patrol Vehicles, for a total amount notto-exceed $115,000.

CEQA Determination: Not a CEQA project
Prepared By: Justin Tharp, Lieutenant
Recommendation:

Staff recommends City Council approve the attached Resolution.

10.8 Consideration and Proposed Approval of an Ordinance Amending Section Chapter 2.04.050 City Council Salary, Making Increases to City Council Compensation Based on Changes from Senate Bill 329 that increases the Maximum City Council Salary that can be Approved by City Ordinance Effective January 1, 2025.

CEQA Determination: Not a CEQA project
Prepared By: Mandy Kellogg, Administrative Services Director Recommendation:

Waive the second reading and approve an ordinance by title only amending section Chapter 2.04.050 City Council Salary, making the proposed changes to the salary of Mayor and the members of the City Council.

Vice Mayor Eric Hall moved to approve consent as presented. The motion was seconded by Council Member Billy Summers and on roll call carried by the following vote:

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Regular City Council
October 10, 2023

11. PUBLIC HEARINGS

11.1 Introduction and first reading of an ordinance amending Title 17 (Zoning) of the St. Helena Municipal Code and Amending the Zoning Map to be consistent with the General Plan and Expand the Historic Preservation (HP) Overlay Zone.

CEQA Determination: The City has determined that none of the conditions specified in State CEQA Guidelines section 15162 requiring preparation of a subsequent or supplemental EIR or MND would occur.

Prepared By: Maya DeRosa, Community Development Director Recommendation:

It is recommended by the Planning Commission of the City of St. Helena that the City Council review the draft ordinance and:
1) Find that, pursuant to CEQA Guidelines section 15162, all environmental impacts of the City of St. Helena Zoning Code Update have been addressed within the FEIR for the 2040 General Plan EIR
2) Introduce and waive first read of an ordinance (Attachment 10) as amended by the Errata (Attachment 3) (a) amending Title 17 (Zoning) of the St. Helena Code (ZOA 2023-001); (b) approving the amendments to the zoning map finding them to be consistent with the General Plan land use map (ZMA 2023- 001); and (c) approving the amendments to the zoning map implementing an expanded Historic Preservation Overlay District (ZMA 2023-001) Ethan Walsh, City Attorney introduced the item.

Roger E. Eastman, AICP, Lisa Wise Consulting Director of Development Codes and Planning and Maya DeRosa, Community Development Director reported on this item.

Greg Desmond, Susan Kenward, Brian Heim, Kirsty Shelton, Jack Dinklefield, George Giannos, Mark Smithers, Steve Goldfarb, Jenny Cooney, Marten Hansen addressed the City Council.

Council Member Lester Hardy moved to continue the meeting beyond 9:00 pm.

The motion was seconded by Vice Mayor Eric Hall and on roll call carried by the following vote:

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Regular City Council
October 10, 2023
It was the consensus of the City Council that there be no change from current code and allow both ADUs and JADUs to be counted toward density.

Vice Mayor Eric Hall moved to find that, pursuant to CEQA Guidelines section 15162, all environmental impacts of the City of St. Helena Zoning Code Update have been addressed within the FEIR for the 2040 General Plan EIR The motion was seconded by Council Member Lester Hardy and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers NOES: None
ABSENT: None
ABSTAIN: None
RECUSE: None
Vice Mayor Eric Hall moved to adopt an ordinance amending Title 17 (Zoning) of the St. Helena Code (ZOA 2023-001) incorporating the Errata and revisions underlined and noted below.

Section 17.22.230 Small Wineries
E. Development and Use Standards
E.2 Small wineries must be an accessory use to a residential use.

The residential use must be the primary residence of the winery owner or their family members, i.e. children, parents, grandparents or grandchildren, or the resident winery manager.

E.5 A minimum of 85 percent of the grape source utilized for the wine produced at the small winery must be grown on the premises, on parcels whose property lines adjoin the parcel upon which the small winery is located, or on any parcel that is immediately adjacent to or across any public or private street, excluding Highway 29, from that parcel upon which the small winery is located. However, if (1) the winery is being temporarily replanted or (2) the winery has sustained crop damage, the grapes may be sourced from within the City limits in proportion to the extent of the vines being replanted or replaced because of crop damage until production is reestablished at pre-planting or pre-replacement levels.

The motion was seconded by Council Member Lester Hardy and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers NOES: None
Agenda Item #5.1.

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Regular City Council
October 10, 2023
ABSENT: None
ABSTAIN: None
RECUSE: None
Vice Mayor Eric Hall moved to amend the zoning map to be consistent with the General Plan land use map (ZMA 2023-001).

The motion was seconded by Council Member Lester Hardy and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers NOES: None
ABSENT: None
ABSTAIN: None
RECUSE: None
Council Member Hardy recused himself for the HP overlay district portion of the item due to having a property in the district.

Vice Mayor Eric Hall moved to amend the zoning map to implement an expanded Historic Preservation Overlay District (ZMA 2023-001).

The motion was seconded by Council Member Anna Chouteau and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, and Council Member Billy Summers
NOES: None
ABSENT: None
ABSTAIN: None
RECUSE: Council Member Lester Hardy
Council Member Hardy returned to the dais.

Vice Mayor Eric Hall moved to continue the meeting beyond 9:30 pm. The motion was seconded by Council Member Lester Hardy and on roll call carried by the following vote:

Agenda Item #5.1.

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Regular City Council
October 10, 2023

12. OLD BUSINESS

12.1 Presentation of Opinion Research Related to Consideration of a March 2024 General Obligation Bond Revenue-Generating Local Ballot Measure and Direction to Staff.

CEQA Determination: Not a CEQA project
Prepared By: April Mitts, Assistant City Manager
Recommendation:

Direct staff to place a General Obligation Bond measure on the March 2024 ballot.

April Mitts, Assistant City Manager reported on this item.

No public comment was received.

It was the consensus of the City Council to not proceed with a General Obligation Bond measure on the March 2024 ballot.

The City Council directed staff to focus on a real property transfer tax measure to be considered at the November 2024 general municipal election.

Council Member Lester Hardy moved to continue the meeting beyond 10:00 pm. The motion was seconded by Vice Mayor Eric Hall and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers NOES: None
ABSENT: None
ABSTAIN: None
RECUSE: None

13. NEW BUSINESS

13.1 Approval of a Resolution Authorizing Hiring of Professionals for a Wastewater Financing Transaction.

Estimated start time 8:30 p.m.

CEQA Determination: Not a CEQA project
Prepared By: Mandy Kellogg, Administrative Services Director Recommendation:

Approve the attached Resolution and direct staff and the City’s Financing Team to bring the item back to the City Council at the November 14th meeting Agenda Item #5.1.

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Regular City Council
October 10, 2023
for formal review and possible approval.

Mandy Kellogg, Administrative Services Director introduced the item.

Ken Dieker, Municipal Advisor reported on this item.

No public Comment was received.

Vice Mayor Eric Hall moved to adopt staff's recommendation. The motion was seconded by Council Member Billy Summers and on roll call carried by the following vote:

AYES: Mayor Paul Dohring, Vice Mayor Eric Hall, Council Member Anna Chouteau, Council Member Lester Hardy, and Council Member Billy Summers NOES: None
ABSENT: None
ABSTAIN: None
RECUSE: None

14. CITY COUNCIL REPORTS:

14.1 A. Association of Bay Area Governments (ABAG) - Executive Board B. Association of Bay Area Governments (ABAG) - General Assembly C. Napa Valley Tourism Corporation (Umbrella for Napa County) D. League of California Cities – North Bay Division
E. Napa County City Selection Committee
F. Napa County Flood Control and Water Conservation District G. Youth Opportunities Commission
H. Napa County Local Agency Formation Commission (LAFCO) I. Napa Valley Transportation Authority (NVTA)
J. Napa County Watershed Information Center & Conservancy (WICC) K. Upper Valley Waste Management Agency
L. Napa County Groundwater Sustainability Plan Advisory Committee Agenda Item #5.1.

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Regular City Council
October 10, 2023
M. Napa County Regional Climate Action Committee
N. Council Ad Hoc and Standing Committee Reports

15. ADJOURNMENT
Mayor Dohring adjourned the meeting at Time p.m.

APPROVED:
______________________________
Paul Jamison Dohring, Mayor
ATTEST:
_________________________
Cindy Tzafopoulos, City Clerk
Agenda Item #5.1.

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Sarah Bertoli
345 Pratt Ave
St. Helena, CA 94574
October 23, 2023
Eric Hall, Vice Mayor/City Council Member
1088 College Ave.

St. Helena, CA 94574
Dear Members of the St. Helena City Council,
I hope this letter finds you in good health. I am writing to address an issue that has significantly impacted the quality of life for my family and me. We have been residents of this community for the past 50 years, and during this time, our old farmhouse has been a cherished place to call home. Our property has provided us with the tranquility and space to enjoy outdoor dinners and entertain guests throughout the years.

However, for the past few days, our peaceful existence has been disrupted due to the installation of noisy rumble strips in our vicinity. These strips have introduced a level of noise that is not only a source of discomfort but also interferes with our ability to enjoy the simple pleasures of outdoor dining and entertaining. The noise generated from the rumble strips can be heard while we are in our house with the TV on. This has taken away from the charm and serenity that has defined our community for decades.

As long-standing residents, we value the sense of community that we have been a part of for so many years. We believe that a balance can be struck between necessary safety measures and the preservation of our peaceful way of life. Therefore, I kindly request that the City Council consider implementing noise reduction measures for the rumble strips in our area. This could include exploring quieter materials, adjusting the timing of maintenance activities, or any other solutions that would mitigate the noise disruption.

We understand the importance of safety and maintenance, but we also hope that these considerations will include the wellbeing and quality of life for residents who have dedicated many years to this community. Our ability to continue to enjoy our outdoor space, especially as we host family gatherings and entertain, is of great significance to us. I kindly request your understanding and support in addressing this issue and finding a solution that allows us to regain the peace and quiet we have cherished for so long. Your commitment to the wellbeing of the community is deeply appreciated, and we look forward to a resolution that enhances our quality of life. Thank you for your attention to this matter.

Sincerely,
Sarah Bertoli
Agenda Item #6.1.

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City of St. Helena

PROCLAMATION
“November Cancer Awareness Month”
November 1st – November 30th, 2023
WHEREAS, Prostate and Breast cancer is the second most common cancer in people in the U.S., and Testicular cancer is the most common cancer in young men aged 15-34 in the U.S.; and
WHEREAS, cancer is a disease that affects millions of people worldwide, causing pain, suffering, and loss for patients, their families, and communities; and WHEREAS, Numerous studies have shown that early detection of any form of cancer is instrumental in combatting the disease, and since using early detection tests and better treatments for prostate and breast cancer mortality rates have steadily decreased in the last decade; and
WHEREAS, The American Cancer Society ® recommends prostate cancer screenings for men of average risk who are 50 years old or higher, men of high risk who are 45 years or older, and men of even higher risk (those with two or more direct relatives who have had prostate cancer) who are 40 years and older; and breast cancer screening for all woman over 30; and
WHEREAS, Educating people with campaigns designed to stimulate conversation about the benefits of early detection through routine exams is creating awareness; and
NOW, THEREFORE, be it resolved that I, Paul Jamison Dohring, Mayor of the City of St. Helena, along with the St. Helena City Council, do hereby proclaim November 1st through November 30th, 2023 as November Cancer Awareness Month and encourages citizens to:

1. Learn about the risks, symptoms, and prevention of cancer.

2. Support individuals and families affected by cancer.

3. Recognize the efforts of healthcare professionals and researchers in the field of oncology.

4. Promote healthy lifestyles to reduce the risk of cancer.

5. Participate in events and initiatives that raise awareness and funding for cancer research and support.

Dated: October 24, 2023
____________________________
Paul Jamison Dohring, Mayor
Agenda Item #8.1.

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City of St. Helena

PROCLAMATION
City of St. Helena
Agenda Item #8.1.

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City of St. Helena
Traffic Safety Improvements
Update
Agenda Item 9.1
By: Joe Leach, PE
Director of Public Works
Public Works Department October 24, 2023 1
Agenda Item #9.1.

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Items Completed/Planned
2 • Kearny/Madrona (Blue Zones)
• Bulb outs (DONE)
• Pratt Avenue (Between Railroad X-ing & Silverado Trail):
• WB/EB Rumble Strips/Advanced Signage (DONE)
• Pavement Speed Markings updated (DONE)
• Spring Mountain Road (north of Spring Mtn Court):
• “Stop Ahead” pavement refreshing/addition (DONE)
• NB/SB Rumble strips & advanced signage (December 2023) • Installation of in-road “Yield to Pedestrians” (coming soon… December 2023)
• Madrona @ Kearney, Hillview @ Spring Mtn, Spring @ Allyn, Spring @ Hudson, Kearney @ Adams (coming soon… December 2023)
Agenda Item #9.1.

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Items Completed/Planned
3 • College/Pope
• RRFB (Janaury 2024)
• Elmhurst/SR29
• Bulb outs, RRFB, Striping (February 2024)
• Pratt/SR29
• Bulb outs, RRFB, Striping (February 2024)
• Spring/SR29
• Caltrans project
• Bulb outs, crossing shift, RRFB (TBD)
• Downtown Sidewalk Project
• Pine St. to Adams St.
• Bulb outs, sidewalk, trees, etc.
• Bid: Spring 2024; Construction: Summer/Fall 2024
Agenda Item #9.1.

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In the Queue
• Roadway rehabilitation including Silverado Trail, Pope St Bridge, Grayson, etc.
• Streets Master Plan Request for Proposals
• Downtown Specific Plan Request for Proposals
• Pavement Management Program adoption
• More safety improvements…
4 Agenda Item #9.1.

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Questions?
5 Agenda Item #9.1.

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Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Administration
DATE: October 24, 2023
FROM: April Mitts, Assistant City Manager
SUBJECT: Establishment of an ad hoc Water/Wastewater Exploratory Committee

RECOMMENDED
ACTION:

Adopt the attached Resolution and seek applicants.

PREVIOUS COUNCIL
ACTION:

September 24, 2023

STATEMENT OF THE
PURPOSE:

To ratify City Council's direction on September 24, 2023 to establish an exploratory committee and seek applications.

FINANCIAL IMPACT: None
BACKGROUND:

Over the last year, several residents have recommended the institution of a permanent Water and Wastewater Commission. On September 24, 2024, a recommendation was brought before the City Council to establish a Water and Wastewater Enterprises Exploratory Committee (WWE Committee) comprised of the Mayor, Councilmember Hardy and residents for the purpose of identifying the issues for which qualified volunteers can best support the Water and Wastewater enterprises and to make recommendations to the Council as how to best organize an advisory body for this purpose. At this meeting it was determined that this will be a Brown Act Committee and City Council supported the recommendation.

DISCUSSION:

Based on City Council direction, staff is bringing a Resolution ratifying the Council direction and providing notice to applicants seeking to participate in the Water and Wastewater Exploratory Committee. A summary of the duties, qualifications, and estimated timeframe are provided in Attachment 1.

DOCUMENTS ATTACHMENTS:

Attachment 1 - City Council Adhoc Subcommittee Purpose Statement Attachment 2 - Resolution
Agenda Item #10.1.

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St. Helena City Council Ad Hoc Subcommittee
Dated 10-12-23

WATER AND WASTEWATER EXPLORATORY COMMITTEE (WWE COMMITTEE) Purpose. The Water and Wastewater Enterprises Exploratory Committee (WWE Committee) will identify issues for which qualified volunteers can best support the Water and Wastewater Enterprises.

Background. Community members have expressed interest in a permanent Water and Wastewater Commission to the City Council.

On September 24, 2023, a recommendation was brought before the City Council to establish a WWE Committee which will be comprised of the Mayor, Councilmember Hardy, and residents for the purpose stated above.

Schedule/Meetings. The first Subcommittee meeting is anticipated to take place in December 2023. Subsequent meetings will be determined at the first meeting, likely 1 – 2 times per month.

Community Participation. The City will seek community applicants in accordance with the City Council Rules of Procedure for the Conduct of Council Meetings.

Applications will be accepted through November 17, 2023. Applicants will be invited to interview at a Special Meeting to be held on November 28, 2023, and applicants will be appointed at the regularly scheduled meeting that same evening.

Subcommittee Composition. Minimum of five with a maximum of seven members (including the Mayor and Councilmember) with the Mayor serving as the Chair and Councilmember Hardy serving as Vice-Chair.

Objectives: Recommendation to City Council on how to best organize an advisory body for this purpose no later than June 30, 2024.

Timeline: It is anticipated that this exploratory subcommittee will operate for approximately 6 months and will conclude no later than June 30, 2024.

City Council: Mayor Dohring and Councilmember Hardy.

Staff: Assistant City Manager, April Mitts.

Agenda Item #10.1.

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CITY OF ST. HELENA
RESOLUTION NO. 2023-
Resolution Ratifying the Establishment of a Water and
Wastewater Exploratory Committee for the Purpose of
Identifying the Issues for which Qualified Volunteers
Can Best Support the Water and Wastewater Enterprises
and to Make Recommendations to the Council as how to
Best Organize and Advisory Body for this Purpose.

A. On November 22, 2022, Gary Rose presented a proposal for a permanent Water and Wastewater Commission and two Councilmembers supported bring this back as a scheduled item for further discussion; and
B. Since the initial presentation, others in the community have also expressed interest in this proposal; and
C. Staff and the City Council Water Ad Hoc Committee, comprised of Mayor Dohring and Council member Hardy reviewed the needs of the City as it relates to its Water and Wastewater Enterprises as well as continued the discussion on the concepts presented by Mr. Rose and others; and
D. On September 24, 2024, a recommendation was brought before the City Council to establish a Water and Wastewater Enterprises Exploratory Committee (WWE Committee) comprised of the Mayor, Councilmember Hardy and residents for the purpose of identifying the issues for which qualified volunteers can best support the Water and Wastewater enterprises and to make recommendations to the Council as how to best organize and advisory body for this purpose; and E. At this meeting it was determined that this will be a Brown Act Committee and the City Council supported the recommendation; and
F. Based on City Council direction, a Resolution ratifying the Council direction has been brought to City Council.

NOW, THEREFORE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ST. HELENA AS FOLLOWS:

1. Establish a Water and Wastewater Enterprises Exploratory Committee for the purpose identified in the City Council Adhoc Subcommittee Purpose Statement (Attachment 1); and

2. Provide notice to applicants seeking to participate in the Water and Wastewater Exploratory Committee.

Agenda Item #10.1.

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Approved at a Regular Meeting of the St. Helena City Council on October 24, 2023, by the following vote:

Mayor Paul Dohring:

Vice Mayor Eric Hall:

Council Member Anna Chouteau:

Council Member Lester Hardy:

Council Member Billy Summers:

APPROVED: ATTEST:

__________________________ _________________________
Paul Jamison Dohring, Mayor Cindy Tzafopoulos, City Clerk Agenda Item #10.1.

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Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Finance
DATE: October 24, 2023
FROM: Mandy Kellogg, Administrative Services Director
SUBJECT: Fiscal Year 2023-24 First Quarter Finance Report.

RECOMMENDED
ACTION:

Receive and file.

PREVIOUS COUNCIL
ACTION:

None.

STATEMENT OF THE
PURPOSE:

The purpose is to report first quarter FY 2023-24 financial activities.

FINANCIAL IMPACT: None.

BACKGROUND:

Municipal Code Title 2, §2.24.030 states the Director of Finance shall deliver to the City Manager and to the Council at a regularly scheduled Council meeting a budget report showing the budget status at the end of the preceding quarter.

Staff has prepared the following for Council:

1. First quarter (Q1) staff report for Fiscal Year (FY) 2023-24. This report is a summary of transactions from July 1, 2023 through September 30, 2023.

2. A summary of St. Helena CARES Low Income Subsidy and Water Leak adjustments for Q1 FY 2023-24.

3. FY 2023-24 Q1 list of checks over $50,000 (Attachment 1)

4. FY 2023-24 Q1 balance of all funds (Attachment 2)
DISCUSSION:

Information presented below reflects transactions posted through September 30, 2023.

Additional details for the General Fund, Water Fund, and Wastewater Fund are provided as Attachments 3-8.

General Fund
General Fund revenue received to date for FY 2023-24 is $2,194,352 – 12% of General Fund revenue has been collected. General Fund revenue is divided into the following categories:

1. Property Tax

2. Sales Tax

3. Transient Occupancy Tax (TOT)

4. Other Taxes

5. Charges for Service
Agenda Item #10.2.

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6. Fines and Forfeits

7. Licenses and Permits

8. Development Fees

9. Intergovernmental

10.Interest and Rents, and

11.Miscellaneous.

The primary contributors to General Fund revenues are Property Tax, Sales Tax, and TOT. While the 12% collected for FY 2023-24 may seem low, this figure is normal due to timing of property tax and sales tax payments. Attachment 3 provides details on each of the revenue categories.

General Fund expenditures are $4,605,710 for Q1 which is 29.7% of the adopted budget. Spending for FY 2023-24 is slightly higher than projected. This is primarily due to CalPERS Unfunded Liability payments made in Q1 and transfers to other funds for equipment replacement, streets capital improvement projects, and Measure T Class I trails contribution requirements. The low attorney costs are due to the timing of invoices.

Attachment 4 provides a summary of expenditures by Department for FY 2023-24 Q1.

Water Enterprise Funds
Water Enterprise revenue billed to date is $2,142,801 or 24.3% of the estimated total revenues for FY 2023-24 through September 30, 2023. Revenues are on target compared to the projected budget. The negative amount recorded in 561-3870-0000 CARES Subsidy is due to the 1st Quarter subsidy amount yet to be transferred from the General Fund.

Water expenditures are $1,649,419 for Q1 FY 2023-24. Overall Water Fund spending is at 20.7% for the Fiscal Year and is on target. The low attorney costs are due to the timing of invoices. Attachment 6 provides a summary of spending by Department for FY 2023-24 Q1.

Wastewater Enterprise
Funds Wastewater Enterprise revenue billed to date is $1,107,891 or 23% of the estimated total revenues for FY 2023-24. Revenues are on target compared to the projected budget. The previous FY 2022-23 Q1 revenues were at 17% for the same time period. Attachment 7 provides details for Wastewater Fund revenues. The negative amount recorded in 571-3870-0000 CARES Subsidy is due to the 1st Quarter subsidy amount yet to be transferred from the General Fund.

Wastewater expenses are $571,155 for Q1 FY 2023-24. Overall Wastewater Fund spending is at 11.1% for the Fiscal Year and is on target. The low non-departmental and attorney costs are due to the timing of invoices. Attachment 8 provides a summary of spending by Department for FY 2023-24 Q1.

Agenda Item #10.2.

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Water and Wastewater Funds - Aging Report
Revenues for both the water and wastewater systems are recognized as soon as they are earned as opposed to when they are collected. Therefore, when the bi-monthly utility bill is processed the revenues are recorded in the financial software system.

At the start of the pandemic, City Council approved Resolution 2020-24 which waived all penalties and interest on amounts due for utility service and ceased termination of water service for delinquent bills for the duration of the local emergency and for 30 days following the City Council's termination of the emergency. In addition, several customers filed appeals for penalties assessed related to overuse of water during the Phase II Water Emergency. This resulted in a significant increase in past due amounts from Fiscal Year 2020-21 to Fiscal Year 2021-22.

City Council terminated the local emergency in May 2023 and began reassessing past due fees in June 2023. As a result, staff has seen a decline in the past amounts from the prior fiscal year. Table 1 provides a summary of the past due amounts compared to the same time the previous year.

Table 1
Period 30 - 60 Days 60 - 90 Days 90 - 120 Days Over 120 Days 09/30/2021 $27,561 $1,186,814 $229,684 $296,787
09/30/2022 $4,701 $149,708 $2,142 $1,436,508
09/30/2023 $32,432 $79,453 $85,072 $1,249,610
All Funds
Attachment 2 provides a summary of the balance of all funds.

St. Helena CARES Low Income Subsidy
The St. Helena CARES subsidy program currently has 117 participants. The subsidy for FY 2023-24 Q1 is $17,783.97. Funds for the St. Helena CARES Low Income Subsidy program are included in the adopted FY 2023-24 budget.

Leak Adjustment Subsidy
The leak subsidy for Q1 FY 2023-24 totals $1,507.08 which represents four leak adjustments, which included two irrigation leaks and two broken pipes. Funds for the Leak Adjustment Subsidy program are included in the adopted FY 2023-24 budget.

Agenda Item #10.2.

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FY 2023-24 Q1 Checks over $50,000
Per staff recommendations on April 10, 2015, and as adopted by Fiscal Policy P-FI0016, Attachment 1 provides an account of all checks over $50,000.

ENVIRONMENTAL REVIEW: None.

DOCUMENTS ATTACHMENTS:

Attachment 1 - Checks by Date
Attachment 2 - Estimated Cash Balances at 09.30.2023
Attachment 3 - General Fund Revenue Worksheet Historical by Type Q1 Attachment 4 - Q1 General Fund Expenses
Attachment 5 - Q1 Water Revenues
Attachment 6 - Q1 Water Expenditures
Attachment 7 - Q1 Wastewater Revenues
Attachment 8 - Q1 Wastewater Expenditures
Agenda Item #10.2.

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Accounts Payable
User:

Printed:

Mandy
10/17/2023 9:38 AM
Checks by Date - Summary by Check Date
Check No Vendor No Vendor Name Check Date Check Amount
119735 NAP05 Westamerica Bank 07/05/2023 89,819.03
119736 PUB01 Public Emp Retirement System 07/05/2023 52,031.73 Total for 7/5/2023: 141,850.76
119744 NAP05 Westamerica Bank 07/18/2023 107,591.21
119745 PUB01 Public Emp Retirement System 07/18/2023 56,500.03 Total for 7/18/2023: 164,091.24
119062 CIRA CIRA 07/19/2023 87,005.00
Total for 7/19/2023: 87,005.00
119119 RDO RDO Equipment 07/21/2023 51,192.51
Total for 7/21/2023: 51,192.51
119184 THOMPBUI Thompson Builders Corporation 08/01/2023 707,271.20 Total for 8/1/2023: 707,271.20
119188 Argonaut Argonaut Constructors 08/08/2023 121,990.00 119201 NAP07 Napa County Auditor-Controller's Office 08/08/2023 118,936.04 119209 THOMPBUI Thompson Builders Corporation 08/08/2023 235,220.00 Total for 8/8/2023: 476,146.04
119788 NAP05 Westamerica Bank 08/15/2023 109,537.94
119789 PUB01 Public Emp Retirement System 08/15/2023 64,868.72 Total for 8/15/2023: 174,406.66
119314 Argonaut Argonaut Constructors 08/16/2023 144,532.02 Total for 8/16/2023: 144,532.02
119797 NAP05 Westamerica Bank 08/22/2023 96,994.10
119798 PUB01 Public Emp Retirement System 08/22/2023 61,562.90 Total for 8/22/2023: 158,557.00
119338 BBKLAW Best Best & Krieger, Attorneys at Law 08/25/2023 127,032.69 Total for 8/25/2023: 127,032.69
AP Checks by Date - Summary by Check Date (10/17/2023 9:38 AM) Page 1 ATTACHMENT 1
Agenda Item #10.2.

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Check No Vendor No Vendor Name Check Date Check Amount
119364 REMIF REMIF 08/28/2023 50,257.00
119366 SPRING Springbrook Software LLC 08/28/2023 50,665.28 119409 NAP06 NAPA, CITY OF 08/28/2023 269,483.94
119417 OTS OTS 08/28/2023 59,434.87
Total for 8/28/2023: 429,841.09
119548 REMIF REMIF 08/30/2023 63,007.00
119930 NAP05 Westamerica Bank 08/30/2023 99,751.22
Total for 8/30/2023: 162,758.22
119563 CJSSTHEL CJ's St. Helena LLC 09/01/2023 105,000.00 Total for 9/1/2023: 105,000.00
119622 NAP06 NAPA, CITY OF 09/08/2023 145,993.84
119625 REMIF REMIF 09/08/2023 75,077.56
Total for 9/8/2023: 221,071.40
119640 CHASE Chase 09/11/2023 480,170.64
119652 REMIF REMIF 09/11/2023 141,141.76
119668 NAP07 Napa County Auditor-Controller's Office 09/11/2023 50,090.02 119932 PUB01 Public Emp Retirement System 09/11/2023 63,842.37 Total for 9/11/2023: 735,244.79
119777 THOMPBUI Thompson Builders Corporation 09/15/2023 404,773.62 Total for 9/15/2023: 404,773.62
119828 NAP06 NAPA, CITY OF 09/20/2023 151,077.46
Total for 9/20/2023: 151,077.46
119849 CJSSTHEL CJ's St. Helena LLC 09/21/2023 105,000.00 Total for 9/21/2023: 105,000.00
119850 CJSSTHEL CJ's St. Helena LLC 09/22/2023 105,000.00 Total for 9/22/2023: 105,000.00
119862 LISAWISE Lisa Wise Consulting 09/27/2023 53,334.53 Total for 9/27/2023: 53,334.53
Report Total (34 checks): 4,705,186.23
AP Checks by Date - Summary by Check Date (10/17/2023 9:38 AM) Page 2 Agenda Item #10.2.

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ATTACHMENT 2
General Ledger
Summary Trial Balance
User: MandyPrinted: 10/17/2023 - 7:09PMPeriod: 01 to 03, 2024 Account Number Description Beginning Balance Debit This Period Credit This Period Ending Balance Fund 101 General Fund101-10-15-00-00 Cash 14,634,984.20 4,157,038.09 6,435,929.68 12,356,092.61 Fund 209 HOME Grant209-10-15-00-00 Cash 27,405.45 19,984.15 1,280.75 46,108.85 Fund 210 Community Dev Block Grant
210-10-15-00-00 Cash -111,516.06 105,000.00 315,000.00 -321,516.06Fund 211 EPA Grant211-10-15-00-00 Cash 0.00 0.00 0.00 0.00Fund 212 Department of Homeland Security 212-10-15-00-00 Cash 326.71 0.00 0.00 326.71Fund 213 Officer Wellness Grant213-10-15-00-00 Cash 15,319.35 15.39 15.39 15,319.35 Fund 216 Public Safety Impact
216-10-15-00-00 Cash 590,930.89 8,964.29 869.10 599,026.08 Fund 218 Public Library Foundation
218-10-15-00-00 Cash 1,314.92 1.96 1.96 1,314.92
Fund 219 CLSA State Library Grant
219-10-15-00-00 Cash 1,885.77 2.82 2.82 1,885.77Fund 222 Park Bond Act222-10-15-00-00 Cash 221.66 0.00 0.00 221.66Fund 223 Skate Park Lighting Fund 223-10-15-00-00 Cash 0.60 0.00 0.00 0.60Fund 224 Public Safety (COPS)224-10-15-00-00 Cash 369,801.56 662.71 3,646.66 366,817.61 Agenda Item #10.2.

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ATTACHMENT 2
Fund 225 State Gas Tax 2105225-10-15-00-00 Cash 0.88 8,047.56 32.88 8,015.56Fund 226 State Gas Tax 2106226-10-15-00-00 Cash 0.00 5,058.03 76.86 4,981.17Fund 227 State Gas Tax 2107227-10-15-00-00 Cash 12,680.47 11,163.24 1,747.68 22,096.03Fund 228 State Gas Tax 21075228-10-15-00-00 Cash 12,657.90 2,018.90 18.90 14,657.90Fund 229 State Gas Tax 2103229-10-15-00-00 Cash 148,080.75 14,531.56 204.69 162,407.62Fund 230 RMRA230-10-15-00-00 Cash 0.00 32,919.69 122.87 32,796.82Fund 235 Measure A235-10-15-00-00 Cash 45,788.25 68.36 68.36 45,788.25Fund 237 Emergency Flood Relief237-10-15-00-00 Cash 174,839.86 261.03 261.03 174,839.86Fund 238 Training Development Fund238-10-15-00-00 Cash 27,081.17 35.61 3,187.74 23,929.04Fund 240 Measure T240-10-15-00-00 Cash 3,614,347.86 355,362.68 5,833.33 3,963,877.21Fund 241 Measure T - Class I Trails241-10-15-00-00 Cash 85,949.94 100,428.59 428.59 185,949.94Fund 277 Prop 56 Grant 277-10-15-00-00 Cash 21,002.20 0.00 0.00 21,002.20Fund 278 BSCC Grant 278-10-15-00-00 Cash 2,596.73 3.88 3.88 2,596.73Fund 279 Asset Forfeit279-10-15-00-00 Cash 49,850.96 74.51 74.51 49,850.96Fund 280 Teen Center Recreation Dept280-10-15-00-00 Cash 0.00 143.65 0.00 143.65Fund 283 Tree City US A
283-10-15-00-00 Cash 0.00 0.00 0.00 0.00
Agenda Item #10.2.

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ATTACHMENT 2
Fund 286 Bocce Ball286-10-15-00-00 Cash 58,875.40 2,668.23 15,881.34 45,662.29Fund 287 Harvest Festival287-10-15-00-00 Cash -6,613.86 19,375.00 0.00 12,761.14Fund 288 Fourth of July288-10-15-00-00 Cash 48,873.26 40,833.20 59,894.88 29,811.58Fund 289 Recreation Program289-10-15-00-00 Cash 0.00 1,694.70 0.00 1,694.70Fund 290 Tourism Improvement District290-10-15-00-00 Cash 140,206.78 227,496.70 232,552.70 135,150.78Fund 291 SB-1186 State Fees291-10-15-00-00 Cash 28,472.39 327.31 292.31 28,507.39Fund 295 N.O.A.A.295-10-15-00-00 Cash 2,718.21 4.06 4.06 2,718.21Fund 329 Stabo Trust329-10-15-00-00 Cash 37,433.83 55.89 55.89 37,433.83Fund 375 Murray Ex Trust375-10-15-00-00 Cash 20,151.05 690.96 29.36 20,812.65Fund 380 Friends and Foundation380-10-15-00-00 Cash 62,302.49 35,000.00 36,882.59 60,419.90Fund 381 Ryan Library Trust381-10-15-00-00 Cash -3,036.99 124.53 0.00 -2,912.46Fund 382 Martin Estate Trust382-10-15-00-00 Cash 3,682.58 112.64 5.19 3,790.03Fund 384 Tweed Trust384-10-15-00-00 Cash 769,953.93 1,163.16 9,106.90 762,010.19Fund 420 1996 GO Bonds420-10-15-00-00 Cash 12,839.91 0.00 0.00 12,839.91Fund 443 So St Helena Drainage Assessmt443-10-15-00-00 Cash 30,208.13 45.10 45.10 30,208.13Fund 561 Water Enterprise 561-10-15-00-00 Cash 6,774,813.00 1,386,319.72 2,355,985.62 5,805,147.10 Agenda Item #10.2.

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ATTACHMENT 2
Fund 562 1977 Water Bond562-10-15-00-00 Cash 60,229.55 0.00 0.00 60,229.55Fund 571 Sewer Enterprise 571-10-15-00-00 Cash 3,852,049.30 6,522,849.75 7,845,572.55 2,529,326.50Fund 572 Wastewater Bond572-10-15-00-00 Cash 25,418.37 0.00 0.00 25,418.37Fund 581 Insurance Benefit Fund 581-10-15-00-00 Cash 76,225.61 0.00 2,739.86 73,485.75Fund 582 Internal Service Garage Fund582-10-15-00-00 Cash -80,177.54 358,040.78 108,676.31 169,186.93Fund 592 Equipment Replacement Fund592-10-15-00-00 Cash 459,453.99 100,151.37 71,403.60 488,201.76Fund 593 Fire Equipment Replacement593-10-15-00-00 Cash 159,361.99 237.20 237.20 159,361.99Fund 700 Flood Control Capital 700-10-15-00-00 Cash 423,122.50 644.29 31,341.67 392,425.12Fund 713 Civic Impact 713-10-15-00-00 Cash 822,974.09 9,686.75 1,697.16 830,963.68Fund 733 Capital Project Planning733-10-15-00-00 Cash 379,308.38 0.00 0.00 379,308.38Fund 734 Park Impact734-10-15-00-00 Cash 1,303,460.76 23,957.16 1,928.40 1,325,489.52Fund 740 Traffic Mitigation Impact 740-10-15-00-00 Cash 2,829,543.11 11,780.13 4,219.59 2,837,103.65Fund 741 Street Capital Improvement 741-10-15-00-00 Cash 648,405.52 445,438.60 153,229.72 940,614.40Fund 742 Storm Drain Improvement742-10-15-00-00 Cash 743,172.17 8,473.09 1,106.44 750,538.82Fund 743 TDA Grant743-10-15-00-00 Cash 0.00 0.00 0.00 0.00Fund 744 Housing Impact744-10-15-00-00 Cash 0.00 0.00 0.00 0.00 Agenda Item #10.2.

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ATTACHMENT 2
Fund 745 Parking In-Lieu745-10-15-00-00 Cash 656,396.75 979.96 979.96 656,396.75 Fund 751 Affordable Housing
751-10-15-00-00 Cash 551,494.47 23,228.33 12,750.39 561,972.41Fund 752 Measure E752-10-15-00-00 Cash 909,800.49 120,559.14 1,218.00 1,029,141.63Fund 763 Water Capital Project 763-10-15-00-00 Cash -521,970.12 0.00 134,312.52 -656,282.64Fund 764 Water Impact 764-10-15-00-00 Cash 418,059.82 7,233.07 620.23 424,672.66Fund 773 Sewer Capital 773-10-15-00-00 Cash -5,684,992.22 7,124,062.00 1,403,846.67 35,223.11Fund 774 Sewer Impact 774-10-15-00-00
Cash 1.96 4,427.36 973.52 3,455.80
ASSETS -35,737,771.08 -21,299,446.88 -19,256,397.41 -37,780,820.55 GL-Summary Trial Balance (10/17/2023 - 7:09 PM)
Agenda Item #10.2.

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Actual Actual Actual Actual Unaudited Adopted Q1 % Collected Account Description 2019 2020 2021 2022 FY 2023 FY 2024 FY 2024 Q1 2024 101‐30‐10‐00‐00 Property Tax‐Secured 3,940,490 4,109,646 4,491,375 4,557,240 4,762,539 4,898,632 83,181 101‐30‐11‐00‐00 ERAF Shift to State 342,386 309,857 465,733 496,468 577,641 308,320 ‐ 101‐30‐20‐00‐00 Property Tax‐Unsecured 125,292 127,427 22,927 145,360 138,795 159,420 13,163 101‐30‐30‐00‐00 Prior Year Property Tax 1,035 964 4,323 9,361 ‐ 1,699 192 101‐30‐90‐00‐00 Real Property Transfer Tax 83,805 67,964 171,689 154,175 125,332 154,175 28,027 101‐32‐05‐00‐00 In Lieu VLF 726,626 776,392 810,122 841,911 897,205 922,737 ‐ 101‐32‐20‐00‐00 Homeowner Property Tax 15,555 15,260 12,492 14,983 14,803 15,043 ‐ 5,235,189 5,407,511 5,978,661 6,219,497 6,516,315 6,460,026 124,564 2% 101‐30‐40‐00‐00 Retail Sales/Use Tax 3,159,579 2,822,979 2,945,506 3,620,282 3,285,526 3,754,400 563,742 101‐30‐42‐00‐00 Public Safety Sales Tax 61,687 66,742 69,493 76,783 82,610 80,300 8,325 101‐30‐43‐00‐00 Sales Tax In Lieu ‐ ‐ ‐ ‐ ‐ ‐ ‐ 101‐30‐44‐00‐00 Measure D 1,743,519 1,650,599 1,723,186 2,232,251 1,915,775 2,240,173 337,809 4,964,784 4,540,321 4,738,185 5,929,316 5,283,911 6,074,873 909,877 15% 101‐30‐50‐00‐00 Transient Occupancy Tax 3,296,741 2,470,808 1,558,565 4,434,291 4,070,799 3,820,555 707,149 101‐30‐51‐00‐00 Transient Tax Penalty 64,084 11,154 15,689 10,463 14,450 9,036 ‐ 3,360,825 2,481,962 1,574,254 4,444,754 4,085,249 3,829,591 707,149 18% 101‐30‐60‐00‐00 Franchise Tax 209,872 215,623 210,659 278,659 376,438 565,600 82,595 209,872 215,623 210,659 278,659 376,438 565,600 82,595 15% 101‐30‐61‐00‐00 Comcast PEG Access Fees 22,698 22,528 21,994 23,195 17,221 22,500 5,741 101‐30‐75‐00‐00 Fire Inspection Fees 1,100 ‐ 1,375 ‐ ‐ ‐ ‐ 101‐31‐21‐00‐00 Building Inspection Fees ‐ ‐ ‐ ‐ ‐ ‐ ‐ 101‐31‐22‐00‐00 Building Admin Fees ‐ ‐ ‐ ‐ ‐ ‐ ‐ 101‐31‐23‐00‐00 Other Fire Fees 2,850 ‐ 2,850 5,350 ‐ ‐ ‐ 101‐33‐10‐00‐00 Planning Fees ‐ ‐ ‐ ‐ ‐ ‐ ‐ 101‐33‐30‐00‐00 Sales Of Maps/Publications 210 59 108 11 ‐ 150 ‐ 101‐33‐50‐00‐00 Police Services 33,439 19,168 7,002 53,324 21,244 25,000 4,790 101‐33‐51‐00‐00 Animal Control Services ‐ ‐ ‐ ‐ ‐ ‐ 101‐33‐60‐00‐00 Administrative Fees ‐ ‐ ‐ 75 ‐ ‐ ‐ 101‐33‐70‐00‐00 Planning Fees (53,936) ‐ 6,000 ‐ ‐ ‐ ‐ 101‐33‐80‐00‐00 Engineering Fees 1,800 675 ‐ 75 ‐ ‐ ‐ 8,161 42,430 39,329 82,029 38,465 47,650 10,531 22% 101‐31‐40‐00‐00 Vehicle Code Fines 28,136 22,446 24,974 68,562 46,852 37,900 2,982 101‐31‐50‐00‐00 Other Police Fines 36,260 24,821 8,917 26,483 19,916 25,000 3,800 101‐31‐55‐00‐00 A/R Late Penalty 3,959 215 144 276 2,002 500 655 101‐33‐63‐00‐00 Civil Penalties 149,264 92,700 ‐ ‐ ‐ ‐ ‐ 101‐34‐20‐00‐00 Library Fines & Fees 4,087 86 ‐ ‐ ‐ ‐ ‐ 221,705 140,267 34,035 95,321 68,770 63,400 7,437 12% 101‐30‐70‐00‐00 Application & Permit Fees 5,475 4,250 3,375 1,375 11,650 2,000 600 101‐30‐80‐00‐00 Business License 156,715 155,021 149,069 112,534 189,072 179,044 8,481 101‐30‐81‐00‐00 Business License Penalty 1,555 798 619 129 347 350 ‐ 101‐31‐20‐00‐00 Building Permits 482,404 552,044 587,287 504,179 491,410 500,000 124,759 101‐33‐15‐00‐00 Short Term Rental Permit 15,750 31,500 20,250 33,750 18,000 20,250 2,250 101‐33‐74‐00‐00 Planning App & Permit Fees 180,329 85,429 111,100 78,838 131,265 115,965 72,800 101‐33‐84‐00‐00 Public Works App & Permit Fees 39,300 41,175 54,300 58,350 62,975 38,000 13,275 101‐33‐86‐00‐00 Well Permit Fee 2,600 2,600 ‐ 1,300 650 1,300 ‐ 884,127 872,817 926,000 790,456 905,368 856,909 222,165 26% 101‐33‐81‐00‐00 Public Works Land & Dev Fees 25,600 19,360 20,800 13,600 7,200 7,500 3,200 25,600 19,360 20,800 13,600 7,200 7,500 3,200 43% 101‐32‐10‐00‐00 Motor Vehicle In‐Lieu 2,937 ‐ ‐ ‐ ‐ ‐ ‐ 101‐32‐70‐00‐00 County Fire Contract 48,855 48,855 48,855 48,855 48,855 48,855 ‐ 101‐32‐80‐00‐00 Emergency Relief 269,490 120,930 952,591 1,152,059 43,651 ‐ 27,299 101‐34‐61‐49‐00 Contrib from Gov ‐ Police 9,221 8,484 ‐ 8,660 ‐ ‐ ‐ 101‐34‐71‐00‐00 Reimb State Mandated Costs 4,538 1,647 5,489 ‐ 2,240 5,000 39,975 101‐34‐73‐00‐00 Other State Revenue 18 1,355 13 ‐ ‐ ‐ ‐ 101‐34‐75‐00‐00 Restitution 181,227 200 26 ‐ ‐ ‐ ‐ 101‐36‐80‐00‐00 Library Abatement 3,877 3,302 5,522 3,652 5,051 5,051 2,483 101‐38‐70‐00‐00 Allocation from Other Agency 1,948 ‐ ‐ ‐ ‐ ‐ ‐ 522,112 184,773 1,012,496 1,213,226 99,797 58,906 69,757 118% General Fund Revenues
Development Fees
Intergovernmental
Licenses and Permits
Fines and Forfeits
Charges for Service
Other Taxes
Transient Occupancy Taxes
Sales Tax
Property Taxes
Property Taxes
Sales Tax
Transient Occupancy Taxes
Other Taxes
Licenses and Permits
Fines and Forfeits
Charges for Service
Development Fees
Intergovernmental
ATTACHMENT 3 Agenda Item #10.2.

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Actual Actual Actual Actual Unaudited Adopted Q1 % Collected Account Description 2019 2020 2021 2022 FY 2023 FY 2024 FY 2024 Q1 2024 General Fund Revenues
101‐31‐70‐00‐00 Investment Earnings 262,296 215,290 (97,343) (329,259) 134,243 50,000 404 101‐34‐76‐00‐00 Cash Overage/Shortage 22 ‐ 61 52 ‐ (31) ‐ 101‐31‐75‐00‐00 Interest Income (93) ‐ ‐ 133 ‐ 317 99 101‐36‐10‐00‐00 Rental Income 153,805 89,101 79,904 97,272 108,758 37,360 20,208 101‐36‐12‐00‐00 Rec Programs Facility Rental 865 ‐ ‐ ‐ ‐ ‐ ‐ 101‐36‐11‐00‐00 Tennis Court Rentals 1,225 ‐ 750 225 14,568 ‐ 225 418,120 305,202 (17,438) (231,577) 257,855 87,585 20,712 24% 101‐33‐20‐00‐00 Legal Cost Recovery 32,726 ‐ ‐ ‐ ‐ ‐ ‐ 101‐33‐21‐00‐00 Storm Drain Cost Recovery ‐ ‐ ‐ ‐ ‐ ‐ ‐ 101‐33‐40‐00‐00 Other Filing/Certification Fee ‐ ‐ 200 ‐ ‐ ‐ 101‐34‐22‐00‐00 Library Copies 2,946 ‐ 1,585 1,504 2,146 1,500 417 101‐34‐23‐00‐00 Library Lost Material 617 ‐ 500 382 298 300 60 101‐34‐24‐00‐00 Library Room Rental 305 ‐ 150 ‐ 38 ‐ 101‐34‐31‐00‐00 Donations ‐ ‐ 300 ‐ 1,000 ‐ ‐ 101‐34‐31‐48‐00 Donations ‐ Fire Department ‐ ‐ ‐ 4,000 ‐ 6,200 ‐ 101‐34‐31‐49‐00 Donations ‐ Police Department ‐ ‐ ‐ 1,500 ‐ 2,576 ‐ 101‐34‐51‐00‐00 Sale of Capital Assets 1,155 3,795 633 ‐ 6,687 ‐ ‐ 101‐34‐60‐00‐00 Contributions from non‐govt ‐ ‐ ‐ ‐ ‐ ‐ ‐ 101‐34‐61‐00‐00 Contributions from Government ‐ ‐ 1,058,502 ‐ 1,041,554 ‐ ‐ 101‐34‐61‐46‐00 Contributions from Gov ‐ Library ‐ 2,000 500 ‐ 1,000 ‐ ‐ 101‐34‐70‐00‐00 Other Revenue 123,934 41,033 39,123 99,863 39,233 55,000 3,531 101‐34‐70‐22‐47 Other Revenue ‐ Jingle ‐ ‐ 4,389 ‐ ‐ ‐ ‐ 101‐34‐70‐47‐00 Other Revenue ‐ Recreation ‐ ‐ 123,996 186,522 177,238 160,000 26,292 101‐34‐70‐47‐01 Other Revenue ‐ ‐ ‐ ‐ ‐ ‐ ‐ 101‐34‐74‐00‐00 Insurance Refund ‐ ‐ 1,244 ‐ ‐ ‐ ‐ 101‐39‐98‐00‐00 Operating Transfers In 15,319 5,367 834,123 4,486 172,715 6,066 6,066 177,001 60,562 2,062,376 1,342,998 400,444 222,866 36,366 16% TOTALS 16,027,495 14,270,828 16,579,356 20,178,279 18,039,813 18,274,906 2,194,352 12% Interest and Rents
Miscellaneous
Interest and Rents
Miscellaneous
Agenda Item #10.2.

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ATTACHMENT 4 Agenda Item #10.2.

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ATTACHMENT 5 Agenda Item #10.2.

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ATTACHMENT 6 Agenda Item #10.2.

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ATTACHMENT 7 Agenda Item #10.2.

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General Ledger
Quarterly Budget Report
Wastewater Expenditures
User: Mandy
Printed: 10/17/2023 11:02:56 PM
Period 01 - 03
Fiscal Year 2024
Description Adopted Budget
Non Departmental 998,877.55
Council 25,576.00
Administration 235,860.89
Finance 472,914.00
Attorney 126,500.00
Public Works 3,246,362.00
Grand Total 5,106,090.44
Encumbered

0.00 0.00

0.00 61,802.17

0.00 90,089.93
151,892.10
GL- Quarterly Budget Report Wastewater Expenditures
(10/17/2023 - 11:02 PM)
Adjusted YTD Spent Available Budget % of Budget
Available
998,877.55 15,443.62 983,433.93 98.45
25,576.00 5,361.41 20,214.59 79.04
235,860.89 59,931.92 175,928.97 74.59
506,675.37 100,881.17 343,992.03 67.89
126,500.00 0.00 126,500.00 100.00
3,249,716.47 389,536.79 2,770,089.75 85.24
5,143,206.28 571,154.91 4,420,159.27 0.8594

Page 1 ends

ATTACHMENT 8 Agenda Item #10.2.

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Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Administration
DATE: October 24, 2023
FROM: Cindy Tzafopoulos, City Clerk
SUBJECT: Consideration and proposed approval of a resolution declaring Laserfiche as a Trusted System for the
management and retention of records

RECOMMENDED
ACTION:

It is recommended by the City Clerk’s Office that the
Council, by resolution, declare Laserfiche as a Trusted System for the management of official City records and the automation of record retention requirements.

PREVIOUS COUNCIL
ACTION:

STATEMENT OF THE
PURPOSE:

Declare Laserfiche as a Trusted System to store and
maintain records as electronic digital copies instead of physical hardcopy files.

FINANCIAL IMPACT: No fiscal impact.

BACKGROUND:

In the last eight months the City Council and staff has taken steps towards being able to declare Laserfiche as a Trusted System. The first action was to migrate all Laserfiche stored City records from the City's server to the cloud, the Council approved an updated retention schedule and lastly approved a Records Retention and Disposition of Information Policy. With these efforts in place the City is ready to declare Laserfiche as a Trusted System to store and maintain records as electronic digital copies instead of physical hardcopy files.

What is a Trusted System and how will the City benefit:

Designating a Trusted System - The California Public Records Act defines records as “any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics.” While many records today are received in electronic format, the City has many records in paper format.

State laws and regulations have been enacted to allow government agencies to convert paper records to electronic formats. Storing records electronically is a cost-saving measure, reducing the need for onsite and reducing offsite storage and management of voluminous paper records, and allows the City to provide easier and quicker access to records.

Agenda Item #10.3.

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In order to retain records electronically and dispose of the paper version, the legislative body of an agency must declare a “Trusted System.” Under California law (Government Code section 12168.7), “a ‘trusted system’ means a combination of technologies, policies, and procedures for which there is no plausible scenario in which a public record retrieved from or reproduced by the system could differ substantially from the public record that is originally stored.”
Additionally, the Secretary of State has adopted Trustworthy Electronic Document or Record Preservation regulations (Chapter 15, Division 7, Title 2 of the California Code of Regulations), which govern the recording, storing, and reproducing of records in electronic media where the intent is to destroy the original hardcopy and maintain the electronic copy as the official Record.

DISCUSSION:

The City Clerk’s Office has worked with City departments and the City’s Laserfiche consultants (ECS Imaging, Inc.) to ensure the City's enterprise content management system, Laserfiche, and the records stored within the system, are kept in accordance with the State's Trusted System requirements and the Trustworthy Electronic Document and/or Record Preservation regulations. An Enterprise Content Management (ECM) system enables organizations to securely manage content and information throughout its lifecycle. It enables unstructured information — such as Word documents, PDFs, emails and scanned images — to be securely stored and made accessible to authorized users. The public also has searchable links located on the City Clerk's web page at https://www.cityofsthelena.org/cityclerk. The public is able to search through a plethora of records at their leisure.

Laserfiche provides automated back ups see Attachment 6. Laserfiche Cloud customer data is backed up multiple times per day. Backups are retained for defined periods with support for point in time recovery. All backup data is encrypted. Backup data is replicated and stored in geographically separate data centers. Backup and restoration is tested on at least a quarterly basis.

Laserfiche has audit capabilities to track records as they are added, deleted, and viewed in the system. Permissions and restrictions for security have been established in Laserfiche along with roles and responsibilities to ensure only appropriate personnel have access to records.

Records Management Procedures, included as Attachment 4 and 5, have been developed for the standardization of organizing records and the application of the retention requirements from the Retention Schedule Attachment 3 and to provide for the routine searching, scanning, uploading, saving, importing, and disposing of records in Laserfiche during the normal course of business.

Collectively, the City's comprehensive Records Retention and Disposition of Information Policy, Records Retention Schedule, the Laserfiche Records Management Procedures, Agenda Item #10.3.

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and the Laserfiche technology constitute a Trusted System in accordance with state law.

Staff recommends adopting a resolution to declare Laserfiche as a “Trusted System” and the repositories for the management of City records and the automation of retention requirements, allowing staff to convert paper records for storage electronically. The process of converting existing paper records to an electronic format will be a long-term, ongoing process.

Permanent records per the retention schedule will be kept in its original state and not disposed of. The records will be maintained by their respective department or stored in an offsite storage facility.

DOCUMENTS ATTACHMENTS:

Attachment 1 - Trustworthy Electronic Document_SOS
Attachment 2 - St. Helena Records and Information Management Policy Attachment 3 - STHL_Retention Schedule_FINAL DRAFT-20230202-with-new-recordnumbers Attachment 4 - Procedures for Saving Records Into Laserfiche Attachment 5 - Procedures for Deletion of Records From Laserfiche Attachment 5 - Resolution with Exhibits
Attachment 6 - Laserfiche Cloud Security Datasheet
Agenda Item #10.3.

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California Code of Regulations
Title 2. Administration
Division 7. Secretary of State
Chapter 15. Trustworthy Electronic Document or Record Preservation 22620.1. Purpose.
22620.2. Applicability of Electronic Document or Record Standards 22620.3. Definitions.
22620.4. Official Document or Record Storage Using Electronic Technologies. 22620.5. Business Practice Documentation.
22620.6. Electronic File Compression.
22620.7. Trusted Storage of Official Electronic Documents or Records. 22620.8. Electronic File Format for Preservation of Converted Official Documents or Records 22620.1. Purpose.

The purpose of this chapter is to identify the uniform statewide standards adopted by the Secretary of State, in consultation with the Department of General Services, for use in recording, storing, and reproducing permanent and nonpermanent documents or records in electronic media. These regulations list minimum standards recommended by the American National Standards Institute (ANSI) or the Association for Information and Image Management (AIIM), and provide specific conditions that would meet the definition of trusted system, as provided in Government Code section 12168.7. The uniform statewide standards in these regulations apply to state agencies, pursuant to subdivisions (b) and (d) of Government Code section 12168.7. The standards apply to local agencies only to the extent that existing law requires a local agency to apply the standards. For agencies not required by statute or local law, these regulations are recommendations and best practice guidelines, which state and local agencies are strongly encouraged to follow.

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4/4/23, 9:01 AM Trustworthy Electronic Document or Record Preservation :: California Secretary of State https://www.sos.ca.gov/administration/regulations/current-regulations/technology/trustworthy-electronic-document-or-record-preservation#section-226… 2/5 (a) The provisions of this chapter shall apply to all electronic documents or records created or stored as the official record six months after the effective date of these regulations. (b) The provisions of this chapter shall apply where the intent is to destroy the original hardcopy and to maintain an electronic version as the official record.
(c) The provisions of this chapter shall also apply to electronically originated documents or records that are maintained as official documents or records.

As used in this chapter, the following words have the following definitions:
(a) “AIIM” means the Association for Information and Image Management. (b) “ANSI” means the American National Standards Institute. (c) “Electronically originated documents or records” includes any document or record created without first having originated in hard copy format. It includes all documents or records generated through electronic submissions.
(d) “ISO” means the International Organization for Standardization. (e) (e) “PDF/A” means Portable Document Format/Archive, which is an electronic file format whereby documents are self-contained allowing them to be reproduced with all of the document coding embedded within the file.
(f) “CGATS” means Committee for Graphic Arts Technologies Standards administered by NPES, the Association for Suppliers of Printing, Publishing, and Converting Technologies. (g) Trusted System is defined in section 5.3.3 Trusted system and legal considerations of “AIIM ARP1- 2009 Analysis, Selection, and Implementation of Electronic Document Management Systems,” approved June 5, 2009, which is incorporated by reference in this section. (h) “Official documents” or “official records” are those defined as such in applicable statutes and in business practices of the entity responsible for retaining said documents or records. In the absence of applicable statutes, official records or documents are those defined in the entity’s business practices.

To ensure that all electronic versions of official documents or records (including documents or records converted from hard copy or electronically originated documents or records) are stored and managed in a trusted system as required in Government Code section 12168.7(c), electronic content management Agenda Item #10.3.

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4/4/23, 9:01 AM Trustworthy Electronic Document or Record Preservation :: California Secretary of State https://www.sos.ca.gov/administration/regulations/current-regulations/technology/trustworthy-electronic-document-or-record-preservation#section-226… 3/5 systems implemented six months after the adoption of these regulations shall be designed in accordance with section 6.2 Recommended Project Steps and Activities of “AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems,” approved June 5, 2009, which is incorporated by reference in this section.

All existing electronic content management systems in place prior to six months after the adoption of these regulations should be evaluated to the greatest extent technologically and procedurally possible, and as soon as practicable secure all necessary local and/or state approvals to meet the intent of Government Code section 12168.7 that electronic documents or records be stored in a trusted system as defined in these regulations.

To ensure that appropriate policies and procedures associated with the creation, management, and storage of electronic documents or records are in writing, a document management policy shall be prepared prior to system implementation and updated at regular intervals in accordance with section 6.17 Business practices documentation of “AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems,” approved June 5, 2009, which is incorporated by reference in this section.

When it is determined that electronic documents or records are to be compressed and to ensure that electronic documents or records can be accessed after being converted from hard copy format, only those compression technologies identified in section 5.4.2.4. Document image compression of “AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems,” approved June 5, 2009, which is incorporated by reference in this section, shall be used.

Agenda Item #10.3.

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To ensure that every official electronic document or record is considered to be a true and accurate copy of the original information received and before the original copy may be destroyed, at least two (2) separate copies of the official document or record must be created on electronic media meeting all the conditions of a trusted system as identified in section 5.3.3 Trusted system and legal considerations of “AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems,” approved June 5, 2009, which is incorporated by reference in this section.

Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code.
22620.8. Electronic File Format for Preservation of Converted Official Documents or Records
To ensure long term accessibility of documents or records converted from hard copy format into electronic format, the storing and recording of permanent and nonpermanent documents or records shall be maintained in a trusted system as defined in section 2307022620.7, Trusted Storage of Official Electronic Documents or Records, using standards adopted or developed by ANSI or AIIM and as identified in section

5.4.1.4 Image formats of “AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems,” approved June 5, 2009, which is incorporated by reference in this section. If PDF/A is chosen as the file format for long-term storage, the adopted standard that should be followed is “ANSI/AIIM/CGATS/ISO 19005-1:2005, Document Management – Electronic Document File Format for Long-Term Preservation – Part 1: Use of PDF 1.4 (PDF/A-1),” approved as ANSI Standards, June 15, 2008, which is incorporated by reference in this section.

The published version of the AIIM recommended practice may be downloaded directly from AIIM at www.aiim.org/standards, or from the Secretary of State at www.sos.ca.gov/archives/adminprograms/local-gov-program/. The published version of ANSI/AIIM/CGATS/ISO 19005-1:2005 may be purchased from AIIM at www.aiim.org/standards.

Agenda Item #10.3.

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Agenda Item #10.3.

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Policy Type:

Council
City of St. Helena Reso. No. 2023-129
Council Policy Page 1 of 4XX
Policy Title: Approved by City Council
Records Retention and Disposition of
Information
09-26-2023
Effective Date: Supersedes: Policy Section: Policy Number:
09-26-2023 N/A Administration and
Government
AG-1
OAK #4836-6615-6583 v1

PURPOSE
To establish policies and procedures under a Records Management Program to control the orderly creation, utilization, maintenance, retention, preservation, and disposition of City records based on State and Federal Statutes governing public records.

To ensure that a responsible program of records management is practiced and documented from creation to disposition in accordance with the law and in the best interest of the City and the general public.

SCOPE
This procedure applies to City employees and contractors regardless of format or where the information may be housed, retained, or stored. It also applies to The City subcontractors that create and/or maintain information on the City’s behalf.

This procedure does not apply to electronic information saved for disaster recovery purposes on backup media that are regularly reused and/or overwritten on a rotating basis.

Definition
Term Definition
Retention Schedule The Retention Schedule provides
direction on how long to retain
information.

Legal Hold Notice Notification issued by the City Attorney to suspend destruction of information that
may be relevant to an ongoing or
anticipated legal proceeding,
investigation, or audit.

POLICY
A. General Requirements

1. This procedure should be implemented on a regular and/or routine basis, but no less than once each year by each department. It is the responsibility of the department that owns the information to ensure compliance with this procedure.

Agenda Item #10.3.

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Policy Title
Records Retention and Disposition of Information
Effective Date Supersedes Policy Section Policy Number
N/A Administration and
Government

Page 2 of 4 ends

OAK #4836-6615-6583 v1

2. The City Clerk and City Attorney have been vested with the authority to approve of records in compliance with the retention schedule.

3. Information that has passed its retention requirements and is released from all Legal Holds is to be prepared for disposal. For assistance in determining if a Legal Hold is in effect, contact the City Clerk.

NOTE: Any information subject to an open Legal Hold Notice is to be retained until the Legal Hold Notice is released.

4. Information should be destroyed in accordance with the requirements specified in the Information Destruction Standard, which means to discard paper records and clearing electronic data to be unreadable or irretrievable..

5. Contracts between the City and subcontractors that create, store or maintain information on the City’s behalf will incorporate the requirements of this procedure, as well as the Information Destruction Standard, by reference.

B. Information Located in Off-site Storage

1. Staff from the City Clerk’s office will generate an annual Destruction Eligibility Report. Reports will be distributed to the departments that own the information.

Departments will have 21 days in which to notify the City Clerk’s office if any of the information included in the report should not be destroyed due to:
a) A Legal Hold;
b) An error in the report.

2. Legal Holds enacted by the City Attorney will be tracked by the City Clerk and revalidated no less frequently than every 6 months.

3. Information released by the City Attorney/City Clerk will be processed for destruction.

4. The City Clerk maintains the destruction confirmation paperwork.

C. Information Maintained On-Site

1. Annually, departments will conduct a review of their department information against the Retention Schedule. This review will include:
a) Physical documents and files;
b) Electronic documents/files in shared drives or other shared access repositories;
c) Workstation hard drives;
d) The City issued laptops;
Agenda Item #10.3.

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Policy Title
Records Retention and Disposition of Information
Effective Date Supersedes Policy Section Policy Number
N/A Administration and
Government

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OAK #4836-6615-6583 v1
e) The City issued mobile device(s) (e.g., cell phones, iPhone, iPad, tablets); f) Email folders.

2. The Director of each Department will contact the City Clerk to determine if there is a Legal Hold in effect, or other business requirement, that would exempt specific categories or types of information from disposal. The Department Director will:
a) Inform department staff of those categories or types of information that are to be exempted from disposal, and
b) Instruct department staff to delete electronic information that has passed its retention period.

3. Information will be prepared and processed for deletion in accordance with the requirements specified in the Information Destruction Standard in the retention schedule.

4. Department staff will comply with instructions received from the Department Director to delete obsolete electronic information, or exempt specific types of electronic information from disposition.

5. The Director of each Department will communicate to the City Administrative Records Assistant or City Clerk, as well as the City Attorney, that information has been properly managed.

II. DOCUMENT INFORMATION
A. Governing Documents

1. Adopted retention schedule (Exhibit A).

POLICY REVIEW
This Policy may be amended or modified from time to time, as necessary, to account for changes in legal, regulatory, or operational requirements for information management.

Agenda Item #10.3.

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Policy Title
Records & Information Management
Effective Date Supersedes: Policy Section Policy Number

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OAK #4836-6615-6583 v1

REFERENCES
• Retention Schedule, Records Management Procedures, Glossary and Standards Agenda Item #10.3.

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City of St. Helena, CA
Retention Schedule
Instructions
Explanations and DefinitionsThis template serves as the starting point for establishing the guidelines that define the length of time for which the City should retain their records and information (Retention Schedule). Records refer to information — regardless of its format or media — that documents the actions and transactions of the City, as well as information that is needed to operate the City to comply fully with legal, financial, reporting, and regulatory requirements, and to maximize business efficiencies.

Column Heading ExplanationsRecord No. - a unique identifying number for the category of information (to be added after all categories have been determinedDepartment - the department within the City responsible for the particular type of business process or function represented on the scheduleBusiness Process - the high-level grouping of business processes within the CityRecord Category Name - the actual category or grouping of "like" information upon which retention will be appliedRecord Category Description - a description of the category or grouping of "like" information for clarification purposesExample Records - records and information names that fall within the category or grouping; many actual departmental retention schedule record series are mapped to one of these high-level categoriesRetention - how long information in this category must be retained, including any triggering events (described at the top of the schedule, with additional codes below)Legal Citations - the legal or regulatory requirements or statutes that lead to the calculation of retention (not all information has a legal requirement to be kept; other considerations are mentioned above)Comments - any special handling or other requirements for information of this categoryVital - the information is critical to the resumption of business immediately after an emergency or natural/man-made disaster; the City's ability to continue functioning would be in jeopardy if this information was no longer available
Records Retention Event Codes from Legal CitationsLA - the statutes of limitation of civil actionsMAINT - maintain records Prepared by Kaizen InfoSource 2/2/2023
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City of St. Helena
2016 Retention Schedule
Rec. No. Applicable Department(s) Business Process Record Category Name Record Category Description Approved Retention Sample Records from the Category Comments Citations Vital? 001 Category Eliminated002 Category Eliminated003 All Departments Finance Grants and Funding Sources Documents the application, evaluation, awarding, administration, monitoring, and status of grants and other funding sources in which a local government entity is the recipient, grantor, allocator, or administrator.

CL*+5Y Applications (including project proposals)
AuditsAwardsAward NotificationBudget Tracking ReportsContinuum of Care (CoC) RecordsEnterprise Funds (water, waste, housing )FEMA / OES ReimbursementsFederal, State, Local GrantsGas TaxGrant AdministrationGrant FundingGrant EvaluationsProgram Rules, Regulations, ProceduresProperty Taxes FundingReports to Funding AgenciesSpecial Revenue FundsTransportation Funding * CL = Close of Grant, Plus All Final Audit Report Completed; if grant is in perpetuity, it never closes; or, retain per contract stipulation, whichever is longer.Unsuccessful applications are retained for 2 years. NOTE: If a grant requires longer retention, its specific requirements will take precedence. See exception for citation 24 CFR 578.103(c)(2).

CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2)US - 2 CFR 200.334 - (CL+3Y)US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)US - 24 CFR 578.103(a)(4)(b) - (CL+5Y)US - 24 CFR 578.103(c)(2) - (Where Continuum of Care funds are used for the acquisition, new construction, or rehabilitation of a project site, records must be retained until 15 years after the date that the project site is first occupied, or used, by program participants.) 004 All Departments Finance Payroll Records and information related to the accounting of City payroll, including garnishment records and information to satisfy debts. This also includes records and information reflecting all remuneration paid to each employee, including: - Name, address, SSN - Total amount and date of payments - Period of service covered for each - Withholding - Tax collected 5Y 1099
1099RAttendance Records, CorrectionsBenefit PaymentsCalPERS ReportingDeduction Registers, ReportsDeferred CompensationEmployee BenefitsEmployee Deduction Authorizations, Check Information, Extra Help ReportsEmployee Master Lists, AddressesFederal TaxGarnishmentsGarnishment Orders, ReceiptsLongevity PayPayroll Checks, Copies, Stub ReportsPayroll Certifications, ControlsPayroll Deduction Authorizations, History, Liens, ClaimsPayroll Earnings RegistersPayroll Tax ReturnsPersonnel Action FormsProcessing Reports, Reports to Government AgenciesSocial Security TaxState TaxTime Sheets - ReportsTimekeeping Records (Timecards, Time Sheets, Basic Time and Earnings Cards)Tuition ReimbursementsUnemployment TaxW-2W-4Wage Rate TablesWork Schedules CA - 2 CCR 570.5 - (5Y)CA - 2 CCR 571(b)(1)(E) - (5Y)CA - CCR 1085-2 (c) - (4Y)CA - GOV 12946 - (AC+4Y)CA - GOV 34090 - (2Y)CA - LAB 226a (3)CA - LAB 1174 - (3Y)CA - LAB 1197.5 - (LA2Y, LA3Y)CA - UIC 1132 - (LA3Y)US - 26 USC 3301-3311 - (4Y)US - 26 CFR 31.6001-1 (4Y)US - 29 CFR 516.5 - (3Y)US - 29 CFR 516.6 - (2Y)US - 29 CFR 1620.32 - (2Y)US - 29 CFR 1627.3 - (3Y)US - 29 USC 436 - (5Y)US - 48 CFR 4.705-2 - (4Y; 2Y) x
005 All Departments Finance Procurement, Purchasing and Requisitioning
Records and information created or retained in the purchasing or acquisition of goods and services. Documentation that includes the terms and conditions under which vendors will provide goods or services.

CL+4Y Bids, Awards (Accepted, Unaccepted, Rejected)
Change OrdersDelivery RecordsExhibitsPrice ListsProof of Insurance CertificatesPurchase OrdersPurchasing Cards/CalCardsPurchasing PackageQuotationsReceiving ReportsRequisitionsRequests for Information (RFI)Requests for Proposal (RFP)Requests for Quote (RFQ)ScorecardsShipping and Receiving (bills of lading, freight bills, manifests, waybills )Specifications Exception: Procurement documents for acquisitions that are canceled or do not get awarded are retained for 2 years.

CA - CCP 337 - (4Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y)US - 29 CFR 516.5 - (3Y) 006 Category Eliminated007 Category Eliminated008 All Departments General Department Administration General internal administrative records of City departments. CL+2Y Chronological, Reader Files Department Committees Department Goals, ObjectivesDepartment PlansDepartmental Budget PlanningDepartmental ProjectsEmployee Desk FilesGeneral FilesIn-House Committees / Employee CommitteesLists, Logs and General Reporting (calendars, routine studies & reports, contact lists, indexes, etc. )NotesOffice Files, Office Manager FilesOrganization ChartsPermissions, Releases (for copyrighted material )Staff MeetingsTraffic Accident Reports (No Claim)Volunteer Recognition Events CA - GOV 34090 - (2Y)
AC = While Active AR = Annual Review CL = Closed / Completion / Final Resolution CU = Current Year LA = Limitation on Actions LI = Life (of contract, program, asset) PR = Permanent S = Superseded/Overwritten TE = Termination 2/2/2023 Page 1 of 13
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PR Annual Budgets
Biographies of Public Officials, Agency HeadsCity Generated Historical Studies / ReportsCity Manager Performance Indicators / Performance MeasurementsCity PublicationsExecutive, City Official Communications, Speeches, VideosHistory of the OrganizationHistorical Events, Artifacts, Architecture, Designations, ProjectsHistorical Parks, FacilitiesList of Historic PropertiesMemorial ProgramsPicture CollectionsSignificant News Clippings, Releases CA - GOV 34090 - (2Y)
010 Category Eliminated011 All Departments General Policies and Procedures All documentation of City, agency, council, commission, special district or department policy and procedures.

CL+4Y Directives
GuidelinesHandbooksPoliciesProcedure ManualsProceduresProgram / Initiative PlansRecords Retention ScheduleRules / RegulationsStandards CA - GOV 34090 - (2Y)US - 26 CFR 301.6501(a)-1 - (4Y)US - 29 CFR 1602.14 - (AC+1Y)US - 29 CFR 1627.3 - (AC+1Y)US - 29 USC 1059 - (AC+1Y) x
012 Category Eliminated013 All Departments General Service Issues, Complaints Documentation regarding department complaints and related requests for service. CL+2Y Help Desk Data, Tickets Issues Log Trouble Reports
CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 014 Category Eliminated015 All Departments Human Resources Compliance Reporting Official governmental reports issued by City to comply with regulatory requirements. 5Y EEOC Reports Labor Reports P.E.R.S. Report
CA - 2 CCR 11013(c)(1) - (2Y)CA - 8 CCR 14300.33(a) - (5Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)US - 29 CFR 405.9 - (5Y)US - 29 CFR 1602.14 - (AC+1Y)US - 29 CFR 1602.30 - (3Y)US - 29 CFR 1602.32 - (3Y) 016 All Departments Human Resources Personnel Files - Employees All documents related to paid employees, including but not limited to:
- hiring - promotion - demotion - transfer - layoff / recall / out-placement - termination / discharge / resignation - pay rates / other terms of compensation TE+5Y Applications, Applicant Reference Verifications
Attendance RecordsAwards, Rewards, Commendations, CertificatesBackground Check (candidate hired )Change in Status (CIS)Civil Service Examination Results and RankingsComplaintsData Protection Forms (Executed, Signed)Disciplinary Actions, TransfersDMV Pull Program (random testing )Employee Acknowledgements, Executed Policy ReceiptsEmployee Relations RecordsEmployee Training/Certification Records (FEMA/NIMS, Base Station Forms, Fire Extinguisher, First Aid/CPR )GoalsI-9 DocumentsIndividual Employee Agreements, Contracts (copies)Individual Education, Development, Training RecordsInvestigationsJob Offer LettersJob Title and Wage Rate HistoryLeave of Absence / LOAOaths of OfficeOut-Placement DataPerformance Evaluations, ReviewsPerformance Improvement Plans (PIPs), Counseling DocumentsPromotions, RecognitionResignations, Exit Interview NotesRoles, Responsibilities CA - 2 CCR 11013 - (AC+2)CA - GOV 3105(f) - (TE+5Y)CA - GOV 12946 - (TE+4Y)CA - GOV 12960 - (LA3Y)CA - GOV 12965 - (LA2Y)CA - LAB 432.3 - (TE+3Y)CA - LAB 1198.5 - (TE+3Y)CA - LAB 2810.8 - (3Y)US - 8 CFR 274a.2 - (3Y, or TE+1Y)US - 20 CFR 655 Subpart H - (TE+1Y)US - 29 CFR 1602.14 - (AC+1Y)US - 29 CFR 1602.31 - (TE+2Y)US - 29 CFR 1627.3 - (TE+1Y)US - 29 USC 1059 - (AC+1Y)US - 29 USC 1113 - (LA6Y)US - 29 USC 1451 - (LA6Y)US - 41 CFR 60-1.12 (a) - (AC+2Y)US - 41 CFR 60-741.80 - (AC+2Y) 017 All Departments Human Resources Personnel Files - Volunteers and Unpaid Interns
All documents related to unpaid volunteers and interns.

CL+3Y Applications, Applicant Reference Verifications
Attendance RecordsAwards, Rewards, Commendations, CertificatesChange in Status (CIS)ComplaintsData Protection Forms (Signed)Volunteer Acknowledgements, Executed Policy ReceiptsGoalsIndividual Education, Development, Training RecordsInvestigationsLiability Waiver (copies)RecognitionResignations, Exit Interview NotesRoles, Responsibilities CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 2/2/2023 Page 2 of 13
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CL+4Y Addendums
Agreements/Contracts - ALLAmendmentsAttachments / ExhibitsContractsDisclosuresEasements/Easement InterestJoint Power Agreement (JPA)LeasesLetters of IntentLiability WaiversLicense Agreements, LicensesLicensing, Licenses (general)Memoranda of Agreement (MOAs)Memoranda of Understanding (MOUs)Memorandum of Agreement / UnderstandingPayment BondsPerformance Bonds for ContractsSchedulesStatements of Work (SOW)Surety BondsWarranties CA - CCP 337 - (4Y)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 - (4Y)US - OMB Circular A-133 - (3Y) x
114 All Departments Legal Agreements, Contracts and Leases - Construction, Improvements to Real Property and Facilities Executed agreements between the City and other parties for construction of City facilities, or for acquisition or improvements to City real property, facilities, and infrastructure.

PR Addendums
Agreements/Contracts - ALLAmendmentsAttachments / ExhibitsContractsDisclosuresEasements/Easement InterestJoint Power Agreement (JPA)Letters of IntentLiability WaiversLicense Agreements, LicensesLicensing, Licenses (general)Memorandum of Agreement / UnderstandingPayment BondsPerformance Bonds for ContractsProperty Improvement ContractsReal Estate LeasesSchedulesStatements of Work (SOW)Surety BondsWarranties CA - CCP 315 - (LA10Y)CA - CCP 337 - (4Y)CA - CCP 337.1 - (LA4Y)CA - CCP 337.15 - (LA10Y)CA - CCP 343 - (4Y)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 - 24 CFR 91.105(h) - (5Y)US - 24 CFR 92.508 - (CL+5Y)US - 24 CFR 982.158 - (AC+3Y)US - 29 CFR 97.42 - (3Y) US - 29 CFR 516.5 - (3Y)US - 48 CFR 4.705-1 - (4Y)US - OMB Circular A-133 - (3Y) x
019 All Departments Public Records Act Public Records Requests Records requested by the public and related inquiries. CL+2Y Collection Lists Formal Public Records Requests Subpoenas for Records (subpoenas duces tecum )
CA - GOV 34090 - (2Y)
020 City Clerk Attorney Advice and Opinions Records documenting legal counsel and advice on various matters. S+10Y Internal Client Communications Opinions CA - GOV 34090 - (2Y)021 Category Eliminated022 City Clerk Elections Election Records - Unsuccessful Candidates
Records and information related to the filing of campaign and election documentation by candidates not elected.

CL+5Y Campaign Disclosures, Nomination Papers CA - GOV 34090 - (2Y) CA - GOV 81009(b) - (5Y)CA - GOV 84616(b) - (4Y)
023 City Clerk Elections Election Records - Vital Records and information related to the filing and performance of City elections, as well as to elected candidates.

PR Ballot Measures
Campaign Disclosures, Nomination PapersCampaign InformationCertificates of Election, Sample BallotsCertification of Election ResultsFair Political Practices Commission FilesSuccessful Candidates CA - ELEC 17300 - (5Y)CA - ELEC 17302 - (6M)CA - ELEC 17304 - (6M)CA - ELEC 17306 - (6M)CA - GOV 81009(b) (PR)CA - GOV 81009(d) (PR) x
115 City Clerk Elections Election Records - Petitions Records and information related to the filing and performance of City elections for municipal initiative, referendum, and City charter amendment petition.
8M City Charter Amendment Petitions
Initiative PetitionsReferendum Petitions
CA - ELEC 17200 - (8M) x
024 Category Eliminated025 City Clerk Elections Proposition 218 Assessment Elections and Protest Procedure
Records related to Proposition 218 assessment elections, administration of notifications and protests associated with taxes, assessments and fees subject to Prop. 218.

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CL*+10Y ADA Case Files
Case CorrespondenceCease & Desist LettersClaimsClaims Against City, Special DistrictComplaintsContract DisputesCourt OrdersConstituent ClaimsDemand LettersEEOC Charges, CasesInjury ReportsMeet and ConferPleadings (Affidavits, Depositions, Exhibits, Court Filings)Settlement CopiesSubpoenasUnemployment Compensation ClaimsUnemployment Compensation Data, Weekly Earnings DataWorker Compensation Benefits (Awards, Claims, Orders, Reports ) * CL = Final resolution of all claims, appeals CA - 2 CCR 11013 - (CL+2Y) CA - 22 CCR 1085-2(c) - (4)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 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y)CA - LAB 5410 - (LA5Y)CA - RTC 7154 - (LA5Y)CA - RTC 19704 - (LA6Y)CA - UIC 1132 - (LA3Y)US - 26 CFR 31.6001-1 (4Y)US - 26 CFR 301.6501(a)-1 - (4Y)US - 26 CFR 301.6532-1 - (LA2Y)US - 26 CFR 301.6532-2 - (LA5Y)US - 26 CFR 301.6532-3 (a) - (LA9M)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)US - 42 USC 2000e-5 (f) - (LA180D) 029 City Clerk Recording, Filing Recorded Documents - Vital Records and information pertaining to those original key documents recorded on behalf of the City. PR Abandonments Annexations City IncorporationConveyances from the City (Deeds, Easements, Abandonments )Conveyances to the City (Deeds, Easements, Dedications )DeedsDetachmentsEasementsGrant DeedsLiensRights-of-WayStreet / Alley Abandonments, ImprovementsVacations CA - GOV 34090(a) - (PR) x
030 City Clerk Records Management Records, Information Management Documentation of the compliance with Records and Information Management policy and procedures. CL+10Y Document Hold Notices, Updates CA - CCP 315 - (LA10Y) CA - CCP 337 - (4Y) CA - CCP 337.15 - (LA10Y)CA - GOV 34090 - (2Y)US - 26 CFR 31.6001-1 - (4Y)US - 26 CFR 301.6501(a)-1 - (CY+3Y) 031 City Council General Appointments Appointments made by authorized elected officials to councils, committees, boards, commissions, task forces, other advisory groups, or public offices, including those to fill vacancies for otherwise elected positions.

TE*+2Y Applications (Appointed, Unsuccessful)
Interview NotesLetters of AppointmentLetters of RecommendationOaths of OfficeResumesSubmitted Documents * End of term CA - GOV 34090 - (2Y)
032 City Council Meetings, Minutes Official Meetings, Legislative Actions Legislative and non-legislative actions that document policy development, including Council and Committee meeting minutes and Ordinances.

PR Agenda Packets and Facesheets
Meeting Minutes, Notices, Recordings, TranscriptsMinute Books & IndexMunicipal CodeOrdinancesProclamationsResolutionsSummary of Actions, Statement of Actions (SOAs)City CodesCity-wide Plans/Programs AdoptedTranscriptions of audio or video recordings of meetings * Many of these have historical value.** Ordinances, once repealed or overridden, may be destroyed 5 years after being superseded.

CA - CCP 315 - (LA10Y)CA - CCP 321 - (LA5Y)CA - CCP 336 - (LA5Y)CA - CCP 336a - (LA6Y)CA - CCP 337 - (LA4Y)CA - CCP 337.5 - (LA10Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) x
033 City Council Meetings, Minutes Public Notices Records documenting compliance with laws requiring public notice of government activities. Subjects include assessments, elections, land use changes, public meetings and hearings, sale of property, and others. 2Y Affidavits of Posting
Affidavits of Publication/Legal NoticesPublic Hearing Notices Brown Act challenges must be filed within 30 or 90 days of action; Statute of Limitations on Municipal Government actions is 3 - 6 months CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 034 All Departments Communications, Outreach Community Outreach, Media and Public Relations
External-facing communications, advertising and press relations materials, including documentation of outreach activities/events held in cooperation or for the benefit of the local community. 2Y Brochures
Community TrainingFAQsMailersMedia Packets, Releases, KitsNewspaper ClippingsNews, Press ReleasesPress KitsPD Public, Health Services and Community Education, Outreach (CERT, Drug & Alcohol Education, Emergency Action Plans, Street Smart Program, Youth Violence Prevention Education )Public / Media InquiriesPublic Information / Outreach / EducationPublications Produced by the CityPublicity FilesPublicity PhotographsSocial Media DocumentationSpecial Events CERT (Community Emergency Response Training)Drug / Alcohol Education / Community TrainingEmergency Action PlansEmergency FormsStreet Smart ProgramYouth Violence Prevention Education / Community Training CA - GOV 34090 - (2Y)US - 24 CFR 91 Subpart C - (MAINT) 035 City Manager Economic Development Economic Development Programs and Services
Records and information documenting the City's economic development programs.

AC+5Y Appraisals
Business Promotion ProgramsBusiness Recruitment ProgramsCommunity ActivitiesCourt OrdersDemographicsEconomic Development ProgramsEconomic Development StrategyEminent DomainRedevelopment Agency FilesRetail Incentive Programs CA - CCP 337 - (LA4)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 91.105(h) - (5Y)US - 24 CFR 570.502 - (CL+4Y) 2/2/2023 Page 4 of 13
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AC+5Y Business Continuity Plans
Disaster PreparednessDisaster Recovery PlanDrill RecordsEmergency Contact Lists, Employee Lists, Roster of WorkersEmergency Evacuation ProceduresEmergency Operations CenterEmergency PreparednessEmergency ResponseEmergency ServicesHazardous Materials Response PlanningSchool ViolenceSearch and RescueTelephone TreesTerrorism CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)US - 2 CFR 200.334 - (CL+3Y)US - 24 CFR 91.105(h) - (5Y)US - 29 CFR 97.42(b) - (3Y) x
037 City Manager Human Resources Collective Bargaining Documentation related to the negotiations between labor unions for collective bargaining purposes. CL+5Y Contract Negotiations Labor Relations Union CommunicationsUnion Petitions
CA - CCP 337 - (LA4Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (AC+4Y)CA - GOV 34090 - (2Y)US - 29 CFR 516.5 - (3Y) 038 Finance Accounting Accounts Payable/Receivable Records and information related to the accounting of monies paid or received by the City including payment for financial obligation, documenting bad debt, paying of unemployment expenses, employee expense reimbursement, money paid for fines or fees, services rendered, vendor credit cards, cash payments received, etc.

CU+4Y Cash Disbursement
Cash ReceiptsCredit Card Slips, StatementsCredit MemosEmployee Expense Reports, ReimbursementsFacilities FeesFee Maintenance and Collection (for licenses, permits, etc. )Fixed / Capital Asset AccountingFlex SpendingForm 1099 RecordsForm W-9 RecordsInvoices and VouchersJournal VouchersMonth-End Cost RecordsOperating Invoices, Paid (General, Contract Vendors)Payables Package, ReceiptsPaymentsPetty Cash DataReceivables Package, ReceiptsTaxes (general fund, property, real property, sales/use, transient occupancy tax (TOT )Tax RatesUtility BillingVendor Invoices 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)CA - LAB 1174(d) - (3Y)US - 2 CFR 200.334 - (CL+3Y)US - 18 CFR 125.3(29) - (AC+4Y) US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y) US - 24 CFR 982.158 - (AC+3Y)US - 26 CFR 31.6001-1 - (CY+3Y)US - 29 CFR 97.42 - (3Y) US - 29 CFR 516.5 - (3Y)US - 48 CFR 4.705-1 - (4Y; 2Y) x
039 Category Eliminated040 Finance Accounting Credit, Collections Records and information generated or collected in the tracking of debtor transactions and balances. CU+4Y Accruals Bad Check Logs Bad Debt ReservesCredit, Collections and AgingCredit ReportsCredit ReviewsCustomer PaymentsRefund ClaimsUncollectable AccountsWrite-offs, Adjustments CA - CCP 337 - (LA4Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) x
041 Finance Accounting General Ledger, Journal Entries Records and information related to the transfer of charges between accounts and summaries of account information, including year end summaries of general ledger transactions.

CU+10Y Account Ledgers
Billing Rates, JournalAppropriations TransfersBalance SheetsBooks of AccountCash JournalsChart of AccountsDemand RegisterExpenditure ReportsGeneral LedgerJournal EntriesManual Accounting Ledger, Control LedgerPayroll JournalPurchases JournalRevenueSub-LedgersTrial BalanceYear -End / Account Detail History Report CA - GOV 34090 - (2Y)US - 26 CFR 31.6001-1 (CY+3Y)US - 26 USC 6531 - (LA6Y) x
042 Finance Accounting Real Property, Fixed Assets Records and information related to the ownership, purchase, sale, lease or improvement of real property and facilities owned by or used by the City.

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CL*+6Y Annual Audit Reports
Audit Files, PlansAudit, Auditors ReportsAudit SchedulesAudit WorkpapersComprehensive Annual Financial Report (CAFR)General Purpose Financial Audits, Single AuditsImprovement PlansInvestigations, WorkpapersManagement ResponsesObservationsRecommendationsRemediation Plans / Results Responses * Audits are considered active until the final report is issued and all corrective actions have been completed.

CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y)US - 26 CFR 1.1461-2 - (CU+1Y)US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)US - 26 USC 6531 - (LA6Y) 045 Finance Banking Bank Account Information Records and information related to banking activities, transactions and correspondence. This category includes deposits and reconciliations.

CU+4Y Bank Account Administration
Bank Statements (All Agencies)Checks, CanceledCheck CopiesCheck Registers, JournalsCorrections / ReturnsDeposit PermitsDepositsElectronic BankingReconciliationsSignature CardsTransactionsTransfersVoided ChecksWire Transfers CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)US - 26 CFR 31.6001-1 - (CU+3Y) 046 Finance Budgets, Planning Budget Management Records and information relating to creating and implementing the final approved budget. CU+4Y Final Budget Document Gann Limit Annual Review Revenue/Expenditure ReportsTrial Balance/Balance Sheets (Finals) CA - GOV 34090 - (2Y)
047 Finance Budgets, Planning Financial, Strategic Planning Records and information relating to financial and strategic planning. 2Y Business Plans Financial Plans ForecastsInterim ResultsRevenue ForecastsStrategic Plans CA - GOV 34090 - (2Y)
048 Category Eliminated049 Category Eliminated050 Finance Financial Reporting Financial Reporting Official and general City financial reports, whether required by regulations or generated to track internal transactions and achievements.

CU+4Y Annual Report of Financial Transactions To State
Annual State Controller FilingsAudited Financial StatementsEEOC ReportsExpenditures ReportsMonthly Treasurer's ReportPayroll Reports (HRA, RMT, ICMA 457 accounts, Nationwide, deferred compensation )Possessory Interest Report / Lease ReportsQuarterly Investment ReportWeekly Reports CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)US - 26 CFR 1.1461-2 - (CY+1Y)US - 26 CFR 31.6001-1(e)(2) - (CU+4Y) 051 Category Eliminated052 Finance Treasurer Abandoned Property, Escheat Records and information pertaining to unclaimed funds and warrants held in trust by the City. 10Y Cancelled Warrants (escheat) Uncashed Checks CA - CCP 1513 - (3Y) CA - GOV 34090 - (2Y) US - Uniform Unclaimed Property Act(2016), Section 404 - (10Y) 053 Finance Treasurer Debt and Investments Records and information relating to analysis of City financing and investment activities.

CL*+10Y Bonds
Bonded IndebtednessCash BondsCertificates of Deposit (CDs)Certificates of ParticipationDirect InvestmentsDue DiligenceExempted SecuritiesFinancial Investment PlanningInvestment Performance ReportingInvestment ReportingLoansLocal Agency Investment Fund (LAIF)Long Term DebtMoney Manager StatementsPerformance Bonds, Letters of CreditPortfolio Management, Quarterly ReviewsRevenue BondsReturns ManagementSecurity InstrumentsStock / Equity / Debt Issuance, Repurchase RecordsTrust Accounts * CL = Maturity of Investment CA - CCP 336 - (5Y)
CA - CCP 337 - (4Y)CA - CCP 337.5 (10Y)CA - CCP 338 - (LA3Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y)US - 26 CFR 301.6501(a)(1) - (4Y) 054 Fire Department Fire Protection, Prevention Arson Investigations Records and information associated with arson investigations. PR Evidence Files Investigations CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - PEN 799 - (PR)CA - PEN 800 - (LA6Y)CA - PEN 801 - (LA3Y) 055 Fire Department Fire Protection, Prevention Emergency Response Services Records and information associated with providing emergency response services. CL+6Y Ambulance Services Authorization Forms (HIPAA) Emergency Medical Services Forms Emergency ServicesFalse Alarm ReportsFEMA ReportsIncident Reports/Log BooksMandated Reporting: Child Abuse, Elder Abuse, etc.Paramedic CertificatesParamedic Release FormsPatient Care Reports (PCRs) NOTE: PCRs for minors must be retained for 7Y or until the minor reaches the Age of Majority Status (18Y), whichever is longer.

CA - California Fire Code, 104.6 - (5Y)CA - 13 CCR 1100.7 - (3Y)CA - 22 CCR 70751(c) - (7Y)CA - 22 CCR 100170 - (MAINT)CA - 22 CCR 100171 - (MAINT)CA - CCP 340.5 - (3Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)CA - HSC 11191 - (3Y) 2/2/2023 Page 6 of 13
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City of St. Helena
2016 Retention Schedule
Rec. No. Applicable Department(s) Business Process Record Category Name Record Category Description Approved Retention Sample Records from the Category Comments Citations Vital? AC = While Active AR = Annual Review CL = Closed / Completion / Final Resolution CU = Current Year LA = Limitation on Actions LI = Life (of contract, program, asset) PR = Permanent S = Superseded/Overwritten TE = Termination 056 Fire Department Fire Protection, Prevention Fire Equipment Records and information associated with fire protection and emergency response equipment. LI*+3Y Apparatus and Maintenance Records Certification Binder Equipment ChecksExtinguishersFire BreaksHydrantsSprinklers * LI = Life of Equipment CA - 8 CCR 3203(b)(1) - (1Y)
CA - GOV 34090 - (2Y)US - 29 CFR 1910.157 (Life of extinguisher)NFPA 1911.4.7.3 - (Life of Vehicle) 057 Fire Department Fire Protection, Prevention Fire Inspections Records and information associated with inspections of commercial and residential facilities. 5Y or Life of Structure, whichever is
longer
Commercial Facility Property FilesResidential Property Files CA - California Fire Code, 104.6 - (5Y or Life of Structure or Activity, whichever is longer)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 058 Fire Department Fire Protection, Prevention Fire Prevention Programs Records and information associated with department programs to protect the City from fires and emergency incidents.
2Y Fire Education
Weed Abatement
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 059 Human Resources Benefits Benefit Plans Plans and systems established to provide employee benefits and associated administrative documents.

LI*+6Y Carrier Reporting, Performance
COBRA Rates, Records, HistoriesEmployee Benefit PlansGroup Insurance Cost DataPERS Actuarial ReportsRetirement SystemSummary Plan DescriptionsSupplemental Forms * LI = Life of Plan CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)US - 29 USC 1027 - (6Y)US - 29 USC 1059 - (AC+1Y)US - 29 USC 1113 - (LA6Y)US - 29 USC 1451 - (LA6Y) x
060 Human Resources Benefits Employee Benefits 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).

CL+6Y Actuarial Analysis for Benefit Reserves and Accounting Appeals Benefits Files, Contract Copies, Enrollments, AppealsBeneficiary DesignationsDeath Claims, Life Event DocumentsEmployee Cost-Sharing AmountsEmployment Authorizations, Terminations, Confirmations, Status Changes, Coverage ChangesFamily & Medical Leave Tracking (Compensation, Complaints/Disputes, FMLA Requests, Parental Leave Forms, Paid/Unpaid Leave )Flexible Spending EnrollmentIndividual Retirement Accounts (IRAs), 401k HistoriesLife Insurance Notification Letters/EOILeave of Absence DocumentationMedical Billing StatementsPension Plan Applications, ClaimsP.E.R.S. InformationPremium InformationRequired Benefits ReportingRetirement Loans / Retirement 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 825.500 - (3Y)US - 29 USC 1027 - (6Y)US - 29 USC 1059 - (AC+1Y)US - 29 CFR 4007.10 - (6Y) 061 Human Resources Insurance Claims Management Records detailing claims against insurance coverage by the City, including appraisals and reports. CL+10Y Incident Reports Annual Audit of Open Claims AppraisalsClaims By/Against the CityDamage Estimate ReportsSupporting DocumentationInsurance Claims, Appraisals, ReportsInvestigationsLiability Waivers Exception: Accident, incident, and injury reports not resulting in a claim can be disposed of after 2 years.

CA - 2 CCR 11013 - (AC+2Y)CA - CCP 337 - (5Y)CA - CCP 338.1 - (LA5Y)CA - GOV 911.2 - (LA1Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 12946 - (4Y)CA - GOV 12960 - (LA3Y)CA - GOV 34090 - (2Y)CA - VEH 2547 - (LA3Y) 062 Human Resources Insurance Insurance Coverage Records detailing the City's general coverage against property damage and liability, including renewal submission information, insurance quotes, & broker correspondence.

CL+6Y Binding Information
BindersBroker CorrespondenceCertificates of InsuranceCompleted ApplicationsDisability InsuranceFlood InsuranceInsurance PoliciesInsurance Procured by Others (Vendors)Insurance QuotesInsurance SubmissionsLiability InsuranceRenewal StrategyUnemployment Insurance CA - 22 CCR 3267-2 - (MAINT)CA - CCP 337 - (4Y)CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y) x
063 Human Resources Labor Management Collective Bargaining Grievances Documentation related to labor grievances filed under current collective bargaining agreements. CL+4Y Grievance Files/Commission Hearing Grievance/Hearing Logs Union Grievances
CA - CCP 337 - (4Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (AC+4Y)CA - GOV 12960 - (LA3Y)CA - GOV 12965 - (LA2Y)CA - GOV 34090 - (2Y)US - 29 CFR 1602.31 - (CL+2Y)US - 29 CFR 1627.3 - (3Y)US - 29 USC 255 - (LA2Y) 064 Human Resources Occupational Health Employee Hazardous Exposure Medical Records
Documents pertaining to medical records of City employees who have been exposed to hazardous substances (includes employee records subject to HIPAA requirements).

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CL+6Y Drug Screening
Exposure MonitoringFirearms and Field ExposureWorker Compensation CA - 2 CCR 11013 - (2Y)CA - 8 CCR 3203(b) - (1Y)CA - 8 CCR 5157 - (1Y)CA - 8 CCR 14300.33 - (6Y)CA - CCP 338.1 - (LA5Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 12960 - (LA3Y)CA - GOV 12965 - (LA2Y)CA - GOV 34090 - (2Y)CA - LAB 6401.7 - (MAINT)CA - LAB 6409.6 - (3Y)US - 29 CFR 1602.14 - (AC+1Y)US - 29 CFR 1602.31 - (AC+2Y)CA - 29 CFR 1904.33 - (6Y)US - 42 USC 2000e-5(e)(1) - (LA300D)US - 49 CFR 382.401(b)(1) - (5Y) 065 Category Eliminated066 Human Resources Staffing Training Records All documents related to education and training, including technical training, taken by paid employees, unpaid volunteers, elected officials, and candidates for elected office, including: - Canine Deployment - Ethics - FEMA/NIMS - Firearm and Field Training - Base Station Forms - Fire Extinguisher - First Aid/CPR - Harassment - Safety 5Y Attendance
Certification RecordsCompliance TrainingCourses/Seminars (Taken by Employees - includes Safety Training)Ethics TrainingIndividual Education, Development CA - 8 CCR 3203 - (1Y)CA - GOV 34090 - (2Y)CA - GOV 53235.2b - (5Y)CA - GOV 53237.2b - (5Y)US - 29 CFR 1602.14 - (AC+1Y)US - 29 CFR 1602.31 - (2Y)US - 29 CFR 1627.3(b) - (TE+1Y)US - 41 CFR 60-741.80 - (AC+2Y) 067 Human Resources Staffing Recruitment Records and information related to applications and related records of candidates interviewed but not hired or accepted, including applications received but not acted upon. 4Y Applications, CVs, Resumes (Rejected, Unsolicited)
Applicant Tracking Records (Hired, Rejected)Background Checks, Investigations, candidate not hired (LiveScan, Criminal Offender Record Information (CORI), Investigations)Drug Testing, Pre-Hire ScreeningInterview NotesJob DescriptionsJob Postings, AnnouncementsJob Requisition RequestsJob SpecificationsMiscellaneous Hiring Process NotesPosition InformationRecruitmentTemporary Intern StaffingTest Results (Non-hires)Unpaid Interns (Rejected)Volunteers (Rejected ) CA - 2 CCR 11013(c)(2) - (2Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (4Y)CA - GOV 12960 - (LA3Y)CA - GOV 34090 - (2Y)US - 29 CFR 1602.14 - (AC+1Y)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)US - 49 CFR 382.401(b) - (5Y for positive results; 1Y for negative results) 068 Human Resources Staffing Salary, Compensation Documentation of position and employee compensation. S+4Y Classification Studies Compensation Plans, Planning, Analysis Cost of LivingJob DescriptionsJob Evaluation DocumentationSalary Range HistorySalary Surveys CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (4Y)CA - GOV 12960 - (LA3Y)CA - GOV 34090 - (2Y)US - 29 CFR 516.6 - (2Y)US - 29 CFR 1602.14 - (AC+1Y)US - 29 CFR 1602.31 - (AC+2Y)US - 29 CFR 1627.3 - (TE+1Y) 069 Human Resources Staffing Training Materials, Courses, Scheduling Documentation regarding the courses and schedules for training offered to employees for training and development.

S+5Y Attendance Lists
Educational AssistanceEmployee DevelopmentPresentation MaterialsPowerPoint Slide DecksTesting CA - 8 CCR 3203 - (AC+1)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 12946 - (AC+4Y)CA - GOV 34090 - (2Y)CA - GOV 53235.2(b) - (5Y)CA - GOV 53237.2(b) - (5Y)CA - LAB 3076.3 - (5Y)US - 29 CFR 1602.14 - (CY+1Y) 070 Category Eliminated071 Library General Library Records Records and information related to the City's library programs and services. CU+2Y Borrow/Loan Records Classes Catalog of HoldingsGifts / DonationsMaterial Challenge Records * CL = life of holding CA - GC 34090 - (2Y)
072 Parks and Recreation General Parks and Recreation Programs and Services
Records and information documenting the City's parks and recreational programs and services.

CU+2Y Adult Services Programs / Classes
ApplicationsAquaticsCultural Activities Programs / ClassesFacility Rentals (use applications, permits, insurance )Liability WaiversPrograms, Classes, LeaguesRegistrations FormsSpecial EventsTeen Services Programs / ClassesYouth Services Programs / ClassesWithdrawal Forms NOTE: Repeat users of facilities remain active CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
073 Planning Building Plans Building Plans - Commercial Records of building plans submitted to the City's building and services activities for commerical buildings.

LI*+10Y Building Plans - Commercial * LI = Life of Building/Structure CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2)CA - HSC 19850 - (LI) 074 Planning Building Plans Building Plans - Residential Records of building plans submitted to the City's building and services activities for single and multiple family residential buildings, garages and appurtenant structures of 2 stories or less.

CL*+2Y Building Plans - Residential * Closure = Substantial completion of the development or improvement
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2) 2/2/2023 Page 8 of 13
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PR Building Codes
Building InspectionsBuilding Permits (issued, active, expired, history )Certificates of Occupancy CA - CBC 107.5 - (180D)CA - CCP 337.1 - (LA4Y)CA - CCP 337.15 - (LA10Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2)CA - HSC 19850 - (LI) 077 Planning Planning and Zoning Housing Authority Administration Records and information of housing agency operations and programs, including CDBG, CalHOME and HOME grants.

CL+5Y Applications
Community Development Block Grants (CDBG)Compliance MonitoringForeclosure Prevention, CounselingHousing PlansHUD Reports (50058)INS Appeal, Informal HearingInclusionary Monitoring, ProjectsPredevelopment LoansRental Assistance, Vouchers (Section 8)Set-Aside FundsSupportive Services for VeteransTenant Files CA - 25 CCR 7721 - (MAINT)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y)US - 24 CFR 5.514 - (5Y)US - 24 CFR 91.105(h) - (5Y)US - 24 CFR 92.508(c) - (CL+5Y)US - 24 CFR 570.502 - (AC+3Y;AC+4Y) 078 Planning Planning and Zoning Housing Authority Financials Records and information of housing agency operations and programs financial management. LI*+5Y Affordable Housing Records Development / Affordability Agreements Restricted Units
* LI = Life of Contract CA - 25 CCR 7721 - (MAINT)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y)US - 24 CFR 5.514 - (5Y)US - 24 CFR 91.105(h) - (5Y)US - 24 CFR 92.508(c) - (CL+5Y)US - 24 CFR 570.502 - (AC+3Y;AC+4Y) 079 Planning Planning and Zoning Planning and Zoning Services Records and information pertaining to the activities of the planning division, including zoning. PR Agricultural Preserve Certificate of Compliance Design ReviewDevelopment RegulationsDiscretionary Applications, Approvals and Supporting MaterialsDowntown Parking RequirementsE.I.R., Notice of Determination, Categorical Exemptions, etc.Environmental Reviews, Negative Declarations, etc.General Plan (housing element, amendments, growth management element, noise element, specific plans )Land Use PermitsLandscapeMaster PlansParking CalculationsPlanned Unit Development (PUD)Plans (Specific)Public Participation PlansPublic UseResolutionsRezoningSummary of ActionsUse PermitVariancesZoning Map AmendmentsZoning Text Amendments CA - 14 CCR 15095 - (Reasonable)CA - CCP 337.1 - (LA4Y)CA - CCP 337.15 - (LA10Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12981 - (FR+1Y)CA - GOV 34090 - (2Y)CA - HSC 19850 - (LI)CA - WAT 10631 - (5Y)US - 24 CFR 91.105(h) - (5Y) 080 Police Department Case Files Dead Bodies Records, crime reports and evidence associated with investigations of dead bodies, whether by natural causes or found.

CL*+2Y Reports
Statements
* CL = Case remains 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 #83, below).

CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 081 Police Department Case Files Felonies, Excluding Murder Records, crime reports and evidence associated with felony violations of laws, excluding homicide and capital violations.

CL*+10Y AB 109
Case Status ReportsChemical Analysis RecordsComplaint ReportsCourt DispositionsCourt OrdersCrime Analysis RecordsDiagramsExtradition RecordsFactually InnocentFingerprint Records, Latent FingerprintsInterview RecordsInvestigationsInvestigative ReportsLaboratory TestsOfficer’s NotesOriginal Arrest ReportsPermission to Search RequestsPhotographsPRCS CasesSpecial Expenditure ReportsStatements of Seized and Returned PropertyWarrants * CL = Final resolution is defined as case has been adjudicated, all appeals exhausted or all time served.Provided there are not outstanding warrants, deaths, and it is not classified under PC §800 and 290 and HSC §11850; Statute of limitations is 2 years; Destroy juvenile marijuana after age 18; HSC §11361.5; GC §34090, PC §802, PC §187, 800 et seq 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 - PEN 851.8 - (SEAL&DESTROY)CA - PEN 851.90 - (MAINT)CA - Law Enforcement Evidence and Property Management Guide 2/2/2023 Page 9 of 13
Agenda Item #10.3.

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PR Case Status Reports
Chemical Analysis RecordsComplaint ReportsCourt DispositionsCourt OrdersCrime Analysis RecordsDiagramsExtradition RecordsFingerprint Records, Latent FingerprintsInterview RecordsInvestigative ReportsLaboratory TestsOfficer’s NotesOriginal Arrest ReportsPermission to Search RequestsPhotographsStatements of Seized and Returned PropertyWarrants No limitation on commencement of action; PC §261, 286, 288, 288a, 288.5, 289, 289.5, and 799.

CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)CA - PEN 799 - (PR)CA - Law Enforcement Evidence and Property Management Guide 083 Category Eliminated084 Police Department Case Files Misdemeanors, Infractions Records, crime reports and evidence of misdemeanors and infractions, including citations. 2Y Citations Marijuana Moving ViolationsParking EnforcementStandardized Field Sobriety TestsTraffic TicketsWarrants 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 085 Police Department Case Files Missing Persons and Runaways Records, crime reports and evidence associated with missing persons and runaways. CL*+2Y National Missing and Unidentified Persons System (NaMUS) * Case is only closed once solved CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - Law Enforcement Evidence and Property Management Guide 086 Police Department Case Files Officer Involved Shootings Records, crime reports and evidence associated with criminal cases dealing with officer involved shootings. PR Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - PEN 799 - (PR)CA - PEN 832.18 - (2Y)CA - PEN 832.5 - (5Y, where there is not a sustained finding of misconduct; 15Y where was a sustained finding of misconduct)CA - Law Enforcement Evidence and Property Management Guide 087 Police Department Case Files Sealing of Records Records of court orders to seal criminal records. SEAL*+3Y Court Order Petition Letter *SEAL = Date Records Sealed 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) 088 Police Department Case Files Stolen Property Records, crime reports and evidence associated with stolen property. CL*+3Y Case Files * Case is only closed once solved CA - CCP 338 - (3Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)CA - Law Enforcement Evidence and Property Management Guide 089 Police Department Case Files Traffic Collisions - Fatal Records, crime reports and evidence associated with traffic collisions involving fatalities. PR Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - PEN 799 - (PR)CA - Law Enforcement Evidence and Property Management Guide 090 Police Department Criminal Registrations Gangs Records for those required to register as gang violence offenders. 5Y Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - PEN 186.32 - (5Y)
117 Police Department Criminal Registrations Juvenile Arsonists Records for those required to register as juvenile arsonists. Age 25 or SEAL+5Y Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - PEN 290(b) - (Life of Offender) CA - PEN 290.008(d) - (5Y; 10Y)CA - PEN 457.1(d) - (Upon reaching age of 25 or when records are sealed)CA - WIC 781 - (SEAL+5Y) 091 Police Department Criminal Registrations Sex Offenders, Adult Arsonists Records for those required to register as sex offenders or adult arsonists. LI* Case Files * LI = Life of the offender, arsonist NOTE: Juvenile sex offenders can petition Court for removal of registration 10 or 20 years after offense, provided there are no subsequent offenses.

CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)CA - PEN 290(b) - (Life of Offender)CA - PEN 290.008(d) - (5Y; 10Y)CA - PEN 457.1(b)(2) - (Life of Arsonist)CA - WIC 781 - (SEAL+5Y) 092 Police Department Dispatch and Communications Dispatch and Communications Records Records of police emergency calls and responses, to include time and date of call, contents of call, location of call, name of unit sent to scene, and other related information. 100D 911 Emergency Call Logs
Computer Aided Dispatch (CAD)Dispatch Activity LogRadio Dispatcher LogsTape Recordings * Exception: Recordings used as evidence in a criminal prosecution or claim filed or litigation or potential claims and litigation shall be preserved for 100 days after conclusion of the court action.

CA - GOV 34090.6 - (100D)
093 Police Department General Administrative Reporting Reports received and/or generated in the routine course of law enforcement activities. CL+3Y Activity Reports Arrest Processing Firearms NotificationsForcible Entry ReportsInmate Reimbursement RequestsPeace Officer Traffic Stops ReportRide-Along Program RecordsSerious Incident ReportsShift AssignmentsSeized Vehicle Impound, Towing RecordsTrespass Law Enforcement RecordsTruancy ReportsVehicle Inspection, Inventory ReportsWrecker Service Reports CA - 11 CCR 999.228(j) - (3Y)CA - 11 CCR 999.229(a) - (3Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12525.5 - (CU+1Y)CA - GOV 34090 - (2Y) 094 Category Eliminated
2/2/2023 Page 10 of 13
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CA - GOV 34090 - (2Y)CA - PEN 832.18 - (60D)
119 Police Department General Police - Logs of Access or Deletion of Data for Body-Worn Cameras
Documentation of when and by whom access to or deletion of data from body-worn cameras takes place.

PR Logs of Access or Deletion CA - GOV 34090 - (2Y)
CA - PEN 832.18(b)(5)(E) - (PR)
095 Category Eliminated096 Police Department Internal Investigations Complaints, Investigations - No Sustained Finding of Misconduct
Documentation of complaints received and investigations, including those by Internal Affairs, involving Police department employees (excludes officer involved shootings) where the investigation shows no sustained finding of misconduct.

CL+5Y Citizen Complaints
Crime ReportsDepartmental Actions
CA - EVID 1045 - (AC+5Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (AC+4Y)CA - PEN 801.5 - (4Y)CA - PEN 832.5(b) - (5Y, where there is not a sustained finding of misconduct; 15Y where was a sustained finding of misconduct)CA - VEH 2547 - (3Y) 120 Police Department Internal Investigations Complaints, Investigations - Sustained Finding of Misconduct
Documentation of complaints received and investigations, including those by Internal Affairs, involving Police department employees (excludes officer involved shootings) where there is a sustained finding of misconduct..

CL+15Y Citizen Complaints
Crime ReportsDepartmental Actions
CA - EVID 1045 - (AC+5Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12946 - (AC+4Y)CA - PEN 801.5 - (4Y)CA - PEN 832.5(b) - (5Y, where there is not a sustained finding of misconduct; 15Y where was a sustained finding of misconduct)CA - VEH 2547 - (LA3Y) 097 Police Department Security Security Investigations Documentation regarding internal, non-police investigations related to the security of City facilities, assets, and information.

CL+2Y Internal Investigations
Investigation Logs, WorkpapersInvestigator Reports, Findings, NotesSecurity Incidents (response files, reports )Security Investigations CA - GOV 34090 - (2Y) x
098 Police Department Security Security, Access Operations Records and information regarding physical security for City buildings and facilities. 2Y Access Controls Access Reports Badge ListsDaily Activity LogsPrivileged Area Access RequestsSecurity Camera (CCTV) FootageSecurity PlansTransaction LogsVisitor Security / Access Logs CA - GOV 34090 - (2Y)
099 Police Department Seized Property Seized Property Records Records documenting tracking and management of physical property seized by the Police department, but not considered as evidence in a criminal investigation, including:- Bicycles- Electronics- Guns- Hazardous Materials (e.g., fireworks)- Narcotics- Vehicles CL+2Y Confiscated Property Lists
Disposition RecordsEvidence TrackingPhysical Evidence Examination RequestsProperty Auction ManifestsStolen/Recovered Property DocumentationUnclaimed Property Reports CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)CA - Law Enforcement Evidence andProperty Management Guide 100 Public Works Facilities Building, Property Management Records and information regarding the structure of City physical buildings and facilities. LI*+10Y As-Built Blueprints Construction Records Electrical Wiring SchematicsFloor PlansProperty Inventory * LI = Life of Building, Asset 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) x
101 Category Eliminated102 Police Department
Public Works
Facilities Maintenance, Repairs and Inspection
Reports
Records and information regarding the ongoing maintenance and upkeep of City equipment, facilities and infrastructure and inspections of that maintenance. 5Y Equipment Certifications (radar guns, lidar guns, personal alcohol screening devices, in-car video surveillance devices, mobile video devices )HorticultureInspectionsInspection LogsInspection ReportsIrrigationLandscapingMaintenance and Repair Work OrdersMaintenance Reports (buildings, parks, streets, sidewalks)Street SweepingTrees CA - AQMD Rule 1470 - (3Y)CA - 3 CCR 6623 - (2Y)CA - CCP 337 - (5Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 4216.2(f) - (3Y)CA - GOV 34090 - (2Y) 103 Public Works Fleet Management Fleet Management, Maintenance Records related to the purchase, management and maintenance of City vehicles. LI*+3Y Auction Vehicles California Bureau of Automotive Repair (BAR) Smog Records California Highway Patrol Biennial Inspection Terminal (BIT) RecordsMotor Vehicle Records and ReportsPool Tickets, Vehicle Logs, Usage LogsRegistrations, Operating PermitsRental Work OrdersService CallsTax Exemption CertificatesVehicle Certificates of InsuranceVehicle InspectionsVehicle License Plate RecordsVehicle Maintenance Records, Repair Orders * LI = Life of Vehicle CA - 22 CCR 66266.130(c)(5) - (3Y) CA - CCP 337 - (LA4Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)CA - HSC 25250.18(b) - (3Y) CA - VEH 34505.5(c) - (2Y) 104 Public Works Fleet Management Fuel Management Records related to the purchase, tracking and management of fuel for City vehicles and travel by City employees.
5Y Bay Area Air Quality Management District (BAAQMD) Permits (aboveground storage tank - AST)California Air Resources Board CertificateFuel Card AuthorizationsFuel Pump, Fuel Tank MaintenanceFuel Reports, Billing Reports, Journals, Fuel TicketsMileage Reports CA - CCP 338.1 - (LA5Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 2/2/2023 Page 11 of 13
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CL+10Y Certified Payrolls
Construction Manager's LogsDaily InspectionsFacilities ProjectsField InspectionsProject SchedulesProgress MeetingsReal Estate AppraisalsRFIs & Responses 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 - 24 CFR 92.508(c) - (AC+5Y)US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)US - 29 CFR 97.42(b) - (AC+3Y) 107 Public Works General Public Works Project Files (CIP) Records and information related to the analysis, design, development, planning, construction and maintenance of public works, capital improvement and engineering projects for City facilities and infrastructure.

LI*+10Y As-Built Plans
AssessmentsBicycle / Pedestrian Trails / PathsBridges and CreeksCalculationsCapacity (water, wastewater) FeesCapital Improvement Project (CIP) FilesCertificates of Compliance/Notice of Non-ComplianceChange OrdersClosuresDevelopment Fee BookDrainage PermitsE.I.R., Notice of Determination, Categorical ExemptionsEncroachment Permits, CertificatesEnvironmental Impact StatementsFinal Improvement PlansGeologic StudiesGrading PermitsInsurance CertificatesMaterials Testing ReportsMediansNotice of CompletionParkingParking (residential, non-residential)Pavement Markings / Traffic LegendsPhotos/PicturesSigns, SignalsSoils ReportsSound WallsStandard PlansStudiesSubmittalsSurveysUnderground UtilitiesStreetlights * LI=Life of Asset/Facility CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)CA - 14 CCR 15095c - (Reasonable)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 8546.7 - (CL+3Y)CA - GOV 34090 - (2Y)CA - HSC 19850 - (Life of Building or Facility)US - 24 CFR 92.508(c) - (AC+5Y)US - 24 CFR 570.502(a)(7)(i)(A) - (AC+4Y)US - 29 CFR 97.42(b) - (AC+3Y) x
108 All Departments Permitting Permits and Licenses Issued Permits and licenses - other than building permits - administered, issued and maintained by the City, including:- Alarms- Banner Permits- Business Licenses- Encroachment Permits- Flood Zone Determinations - Grading Permits- Home Business Licenses- Home Occupation Permits (HOP) - Massage Establishments- Massage Technicians- Mobile Vendors, Peddlers- Raw Water Permits- Sign Permits- Taxis (cabs, drivers)- Transportation Permits (oversize, overweight)- Tree Removal Permits CL+2Y Annual Licenses Issued
ApplicationsPermits Issued
CA - CCP 337 (4Y)CA - CCP 337.1 - (LA4Y)CA - CCP 337.15 - (LA10Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 109 Public Works Traffic, Transportation Traffic and Transportation Planning Records and information of traffic engineering and transportation planning activities, including studies and surveys.
5Y School-related Studies/Surveys
Speed SurveysStreet/Highway Studies/SurveysTraffic Calming RequestsTraffic CountsTransportation Planning CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 110 Public Works Traffic, Transportation Traffic Control and Improvement Records and information related to the City's efforts to manage and improve traffic and circulation. 2Y Bicycles Enforcement Highway CorridorsImpact StudiesSignalsSignsTemporary Street Closures CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y) 111 Public Works Traffic, Transportation Transportation Program Services Records and information related to the City's efforts to provide effective methods by which people and materials move through the City.

AC+3Y Alternative Transportation Demand / Transportation Demand ManagementTransportation Systems Management (TDM) / Alternative Modes / Bicycle CA - GOV 945.6(a)(2) - (LA6M; LA2Y)CA - GOV 34090 - (2Y)US - 2 CFR 200.334 - (CL+3Y) 2/2/2023 Page 12 of 13
Agenda Item #10.3.

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City of St. Helena
2016 Retention Schedule
Rec. No. Applicable Department(s) Business Process Record Category Name Record Category Description Approved Retention Sample Records from the Category Comments Citations Vital? AC = While Active AR = Annual Review CL = Closed / Completion / Final Resolution CU = Current Year LA = Limitation on Actions LI = Life (of contract, program, asset) PR = Permanent S = Superseded/Overwritten TE = Termination 112 Public Works Waste Management Air, Sewer, Water and Solid Waste Records and information associated with planning and maintenance of sewers, waste, water, and land use. CL+12Y Backflow Prevention Diversion Goals Environmental ConservationEnvironmental ProgramsFlood ControlLandfillsMeter InventoryNPDES (Engineering)Pipe InventoryPollution Control PermitsRecycling (campaigns, events, reports )Sanitary District Storm Water MonitoringStorm Water Pollution PermitsTreatment PlanTrash ServicesUnderground Service Alerts (USA)Waste Water ReclamationWater Agency InformationWater Runoff TestingWeight Tickets CA - 14 CCR 18809.4(a)(4) - (3Y)CA - 22 CCR 64470 - (10Y)CA - CCP 337 - (LA4Y)CA - CCP 338 - (LA3Y)CA - CCP 338.1 - (LA5Y)CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)CA - WAT 13263.2(b) - (3Y)US - 40 CFR 70.6 - (CL+5Y)US - 40 CFR 122.21(p) - (5Y)US - 40 CFR 122.41(j) - (5Y)US - 40 CFR 141.33(1) - (5Y; 10Y)US - 40 CFR 141.91 - (12Y)US - 40 CFR 141.155 - (3Y)US - 40 CFR 261.32 - (3Y) 113 Public Works Waste Management Hazardous Waste, Monitoring and Remediation
Planning, monitoring and contingency/emergency action plans for hazardous waste, emergency and spill response, natural and exposure emergencies, notifications and response; environmental action plans and supporting documentation; hazardous communications plans, including labeling, MSDS controls, training programs and procedures.

CL+30Y Electronic Waste (E-Waste)
Emergency Response ProgramsEmployee Hazardous Chemical ExposureHazardous Material Incident ReportsHazardous Substances Shipping ManifestsHazardous WasteMaterial Safety Data Sheets (MSDS)Proposition 65 MonitoringRadiation Exposure RecordsRadioactive MaterialsSite MitigationToxic Substance Inventory CA - 8 CCR 3204d - (CL+30Y)CA - 8 CCR 14300.33 - (CU+5Y)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)US - 40 CFR 141.33 - (10Y)US - 40 CFR 141.91 - (12Y) 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 25244.19 - (4Y)CA - HSC 25244.20 - (4Y)CA - HSC 25160.8(c)(3)(D) - (AC+3Y)US - 29 CFR 1910.1020 - (CL+30Y)US - 40 CFR 141.33(1) - (5Y; 10Y)US - 40 CFR 141.91 - (12Y)US - 40 CFR 268.7 - (3Y) 2/2/2023 Page 13 of 13
Agenda Item #10.3.

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1. Procedure
Preparation
St. Helena City Clerk’s Office
Procedure for Saving Records Into Laserfiche
Identify the following information before beginning:
• The repository or department file plan to receive the Records • The appropriate record category
• The required metadata, as well as any optional metadata, for the record category you will be using
Please provide the City Clerk's office with the repository or file plan, the record category, or what metadata to enter. If you are unsure about the repository or file plan, the record category, or what metadata is required, contact the City Clerk’s office. The City Clerk's office will be responsible for uploading records to Laserfiche.

A. Preparing Paper Records for Scanning:
i) Prepare documents (i.e., correct stacking order, remove staples / paperclips / post-it notes, make sure pages are facing all the same way, etc.). ii) Provide the City Clerk with the repository or file plan, the record category, or what metadata to enter.
iii) Scan one type of document at a time (e.g., all Resolutions, all Ordinances, all Minutes, etc.).
iv) Before moving to the next step perform quality checks to be certain all pages have scanned correctly; rescan any Records that do not meet quality assurance criteria; ensure both sides of two-sided documents are scanned.
v) Direct your scanner to scan to the appropriate department folder in the EDMS scans network folder.
vi) Once all documents are scanned and quality checked, move to the next step for the City Clerk to import records into Laserfiche.

B. Importing Records into Laserfiche:
i) City Clerk's office to open the Laserfiche cloud. You must be logged into the Laserfiche repository and file plan into which you want to import the record. ii) From the EDMS scans folder, drag the document(s) you want to import into the “Incoming” folder. Choose the appropriate template, then click “ok.” The metadata fields for that template will appear.
1 Agenda Item #10.3.

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St. Helena City Clerk’s Office Procedure
for Saving Records Into Laserfiche
iii) Enter values for required metadata fields; enter values in optional fields, if needed. iv) Click “ok.” The document will then be sent to its assigned folder. v) Confirm all pages have been received and metadata is correct. vi) Delete imported scans from the EDMS scans folder after all quality checks have been performed.

Agenda Item #10.3.

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St. Helena City Clerk’s Office
Procedure for Deletion of Records from Laserfiche
1 | P a g e

1. Procedure
Semi-annually, the Laserfiche Administrator, under the direction of the City Clerk, will initiate the process to delete electronic official Records from Laserfiche that have passed their retention requirements.
a) The Laserfiche Administrator contacts the City Attorney requesting information regarding any active or potential legal action(s) against the City to determine which category(s) of Records may be relevant to the action and therefore should be preserved and placed on Legal Hold.
b) The Laserfiche Administrator searches for relevant Records, suspends their destruction date and annotates the Records to indicate that they are on Legal Hold. c) The Laserfiche Administrator prepares a Records Notification containing a list of Records eligible for deletion because they have passed retention requirements. The notification specifies the date on which deletion of these Records is scheduled to occur. d) The Laserfiche Administrator sends the Records Notification to departments regarding the required deletion of obsolete electronic Records in Laserfiche. Included in the notification is a link to the Retention Schedule and who to contact with questions. The Records Notification includes the following:
 Record categories that shall not be deleted due to their relevance in a legal action.  The list of Records eligible for deletion according to the City’s Retention Schedule.  The date on which the obsolete Records will be deleted.  The deadline for a department to contact the City Clerk to prevent the deletion of the obsolete Records.
e) Departments shall notify the City Clerk’s Office by the deadline on the Records Notification if any of the Records eligible to be deleted should be exempted from deletion and shall provide a written justification for that exemption. In addition, departments shall notify the City Clerk if any of the documents on the list should be considered for continued retention due to ongoing historical value.
f) The City Clerk sends the final list of Records eligible for deletion to the City Attorney to confirm there is no legal reason for continuing to retain these Records. g) The City Attorney reviews and approves the deletion of the eligible Records and send their approval to the City Clerk. The City Attorney is to notate any record that needs to be held for another twelve (12) months.
h) On the designated date, or as soon as practicable thereafter, the City Clerk will delete the Records that have passed their retention period and have not been held for any legal or business reason.

City Clerk maintains the documentation of compliance with this in accordance with the Retention Schedule.

Agenda Item #10.3.

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CITY OF ST. HELENA
RESOLUTION NO. 2023-
Resolution of the City Council of the City of St. Helena Declaring Laserfiche a Trusted System for the Management of Records and the Automation of Records Retention Requirements

RECITALS
A. On September 26, 2023, the City Council adopted Policy No. AG1 the records retention and disposition of information policy and delegating authority to approve future revisions to the City Manager with approval by the City Clerk and City Attorney; and
B. The Secretary of State has adopted Trustworthy Electronic Document or Record Preservation regulations, located in Chapter 15, Division 7, Title 2 of the California Code of Regulations, which govern the recording, storing, and reproducing of Records in electronic media where the intent is to destroy the original hardcopy and maintain the electronic copy as the official Record; and
C. Section 34090, et seq, of the Government Code of the State of California provides the parameters whereby Records that have served their purpose and are no longer required may be destroyed, including the requirement that certain Records be reproduced on a "Trusted System," as defined in California Government Code Section 12168.7, prior to destruction; and D. The City uses Laserfiche Cloud to electronically store Records; and E. The City Clerk’s office has worked to ensure the City's content management system, and Records stored within the system, are kept in accordance with the State's Trusted System requirements and the Trustworthy Electronic Document Record Preservation regulations; and F. Folder level permissions and restrictions have been established in Laserfiche to ensure only appropriate personnel have access to certain Records; and
G. The City of St. Helena Records Retention and Disposition of Information Policy, attached hereto as Exhibit A, has been developed to define the requirements for the City of St. Helena to follow for the protection and management of records and information to meet operational needs and comply with federal, state, and local laws; and
H. Records and Information Management Procedures, attached hereto as Exhibits B and C, have been developed for the standardized procedure to provide for the routine scanning, uploading, saving, importing, and Agenda Item #10.3.

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deletion of Records in Laserfiche during the normal course of business, in accordance with the City’s Records Retention Schedule; and I. The City of St. Helena Records Retention Schedule, attached hereto as Exhibit D, has been updated and revised to correctly reflect current regulations and to facilitate the standardization of folder structures in Laserfiche that allows for the automation of retention requirements that will enable the system to operate efficiently within Trusted System requirements; and
J. Collectively, the City's comprehensive Records Retention Schedule, Records Retention and Disposition of Information Policy, Records and Information Management Procedures, and the Laserfiche technology constitute a Trusted System in accordance with State law.

RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:

1. The above recitals are true and correct and establish the factual basis for the City Council’s adoption of this Resolution.

2. Laserfiche is declared the City’s Records storage repository.

3. Laserfiche is backed up in the cloud with additional separate redundant back up.

4. The Records and Information Management Policy, Procedures, and Retention Schedule, attached hereto as Exhibits A, B, C, and D, have been implemented and are considered the approved policies and procedures for the management of electronic Records and the City Clerk is hereby authorized to make periodic clerical and procedural updates to Exhibits A, B and C, as required, and periodic full revisions to Exhibit A by written approval of the City Clerk, City Manager, and City Attorney. Exhibit D will periodically be reviewed and taken before the City Council for approval.

5. The City Council hereby declares the adopted Retention Schedule, Records and Information Management Policy, Records and Information Management Procedures, and Laserfiche technology collectively establish the City of St. Helena’s Trusted System.

Approved at a Regular Meeting of the St. Helena City Council on October 24, 2023, by the following vote:

Agenda Item #10.3.

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Mayor Paul Dohring: _____
Vice Mayor Eric Hall: _____
Council Member Anna Chouteau: _____
Council Member Lester Hardy: _____
Council Member Billy Summers: _____
APPROVED: ATTEST:
______________________ ________________________
Paul Jamison Dohring, Mayor Cindy Tzafopoulos, City Clerk Exhibit A – City of St. Helena Records Retention and Disposition of Information Policy
Exhibit B – City of St. Helena General Procedure for Saving Records into Laserfiche
Exhibit C – City of St. Helena Procedure for Deleting Records from Laserfiche Exhibit D – City of St. Helena Records Retention Schedule Agenda Item #10.3.

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City of St. Helena
Council Policy
Policy Type:

Council
Reso. No. 2023-129

Page 1 of 4 ends

Policy Title: Approved by City Council
Records Retention and Disposition of
Information September 26, 2023
Effective Date: Supersedes: Policy Section: Policy Number:

September 26, 2023
N/A Administration and
Government
AG-1
OAK #4836-6615-6583 v1

This procedure does not apply to electronic information saved for disaster recovery purposes on backup media that are regularly reused and/or overwritten on a rotating basis.

Definition
Term Definition
Retention Schedule The Retention Schedule provides
direction on how long to retain information.

Legal Hold Notice Notification issued by the City Attorney to suspend destruction of information that
may be relevant to an ongoing or
anticipated legal proceeding,
investigation, or audit.

POLICY
A. General Requirements

Exhibit A Agenda Item #10.3.

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Policy Title
Records Retention and Disposition of Information
Effective Date Supersedes Policy Section Policy Number
N/A Administration and
Government

Page 2 of 4 ends

OAK #4836-6615-6583 v1

2. The City Clerk and City Attorney have been vested with the authority to approve of records in compliance with the retention schedule.

NOTE: Any information subject to an open Legal Hold Notice is to be retained until the Legal Hold Notice is released.

B. Information Located in Off-site Storage

1. Staff from the City Clerk’s office will generate an annual Destruction Eligibility Report. Reports will be distributed to the departments that own the information.

Departments will have 21 days in which to notify the City Clerk’s office if any of the information included in the report should not be destroyed due to:
a) A Legal Hold;
b) An error in the report.

2. Legal Holds enacted by the City Attorney will be tracked by the City Clerk and revalidated no less frequently than every 6 months.

3. Information released by the City Attorney/City Clerk will be processed for destruction.

4. The City Clerk maintains the destruction confirmation paperwork.

C. Information Maintained On-Site

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Policy Title
Records Retention and Disposition of Information
Effective Date Supersedes Policy Section Policy Number
N/A Administration and
Government

Page 3 of 4 ends

OAK #4836-6615-6583 v1
e) The City issued mobile device(s) (e.g., cell phones, iPhone, iPad, tablets); f) Email folders.

3. Information will be prepared and processed for deletion in accordance with the requirements specified in the Information Destruction Standard in the retention schedule.

4. Department staff will comply with instructions received from the Department Director to delete obsolete electronic information, or exempt specific types of electronic information from disposition.

5. The Director of each Department will communicate to the City Administrative Records Assistant or City Clerk, as well as the City Attorney, that information has been properly managed.

II. DOCUMENT INFORMATION
A. Governing Documents

1. Adopted retention schedule (Exhibit A).

POLICY REVIEW
This Policy may be amended or modified from time to time, as necessary, to account for changes in legal, regulatory, or operational requirements for information management.

Agenda Item #10.3.

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Policy Title
Records & Information Management
Effective Date Supersedes: Policy Section Policy Number

Page 4 of 4 ends

OAK #4836-6615-6583 v1

REFERENCES
• Retention Schedule, Records Management Procedures, Glossary and Standards Agenda Item #10.3.

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Page 85 of 1137 ends

Agenda Item #10.3.

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St. Helena City Clerk’s Office
Procedure for Deletion of Records from Laserfiche
1 | P a g e

City Clerk maintains the documentation of compliance with this in accordance with the Retention Schedule.

Exhibit C Agenda Item #10.3.

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City of St. Helena
2016 Retention Schedule
Rec. No. Applicable
Department(s) Business Process Record Category Name Record Category Description Approved
Retention
Sample Records
from the Category
Comments Citations Vital?
001 Category Eliminated
002 Category Eliminated
003 All Departments Finance Grants and Funding Sources Documents the application, evaluation, awarding, administration, monitoring, and status of grants and
other funding sources in which a local government
entity is the recipient, grantor, allocator, or
administrator.

CL*+5Y Applications (including project proposals)
Audits
Awards
Award Notification
Budget Tracking Reports
Continuum of Care (CoC) Records
Enterprise Funds (water, waste, housing )
FEMA / OES Reimbursements
Federal, State, Local Grants
Gas Tax
Grant Administration
Grant Funding
Grant Evaluations
Program Rules, Regulations, Procedures
Property Taxes Funding
Reports to Funding Agencies
Special Revenue Funds
Transportation Funding
* CL = Close of Grant, Plus All Final Audit Report
Completed; if grant is in perpetuity, it never closes; or, retain per contract stipulation, whichever is longer.

Unsuccessful applications are retained for 2 years.

NOTE: If a grant requires longer retention, its specific requirements will take precedence. See exception for
citation 24 CFR 578.103(c)(2).

CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2)
US - 2 CFR 200.334 - (CL+3Y)
US - 24 CFR 570.502(a)(7)(i)(A) -
(AC+4Y)
US - 24 CFR 578.103(a)(4)(b) - (CL+5Y)
US - 24 CFR 578.103(c)(2) - (Where
Continuum of Care funds are used for the
acquisition, new construction, or
rehabilitation of a project site, records
must be retained until 15 years after the
date that the project site is first occupied,
or used, by program participants.)
004 All Departments Finance Payroll Records and information related to the accounting of City payroll, including garnishment records and
information to satisfy debts. This also includes records and information reflecting all remuneration paid to
each employee, including:
- Name, address, SSN
- Total amount and date of payments
- Period of service covered for each
- Withholding
- Tax collected
5Y 1099
1099R
Attendance Records, Corrections
Benefit Payments
CalPERS Reporting
Deduction Registers, Reports
Deferred Compensation
Employee Benefits
Employee Deduction Authorizations, Check Information, Extra Help Reports
Employee Master Lists, Addresses
Federal Tax
Garnishments
Garnishment Orders, Receipts
Longevity Pay
Payroll Checks, Copies, Stub Reports
Payroll Certifications, Controls
Payroll Deduction Authorizations, History, Liens, Claims Payroll Earnings Registers
Payroll Tax Returns
Personnel Action Forms
Processing Reports, Reports to Government Agencies
Social Security Tax
State Tax
Time Sheets - Reports
Timekeeping Records (Timecards, Time Sheets, Basic Time and Earnings Cards)
Tuition Reimbursements
Unemployment Tax
W-2
W-4
Wage Rate Tables
Work Schedules
CA - 2 CCR 570.5 - (5Y)
CA - 2 CCR 571(b)(1)(E) - (5Y)
CA - CCR 1085-2 (c) - (4Y)
CA - GOV 12946 - (AC+4Y)
CA - GOV 34090 - (2Y)
CA - LAB 226a (3)
CA - LAB 1174 - (3Y)
CA - LAB 1197.5 - (LA2Y, LA3Y)
CA - UIC 1132 - (LA3Y)
US - 26 USC 3301-3311 - (4Y)
US - 26 CFR 31.6001-1 (4Y)
US - 29 CFR 516.5 - (3Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1620.32 - (2Y)
US - 29 CFR 1627.3 - (3Y)
US - 29 USC 436 - (5Y)
US - 48 CFR 4.705-2 - (4Y; 2Y)
x
005 All Departments Finance Procurement, Purchasing and Requisitioning
Records and information created or retained in the
purchasing or acquisition of goods and services.

Documentation that includes the terms and conditions
under which vendors will provide goods or services.

CL+4Y Bids, Awards (Accepted, Unaccepted, Rejected)
Change Orders
Delivery Records
Exhibits
Price Lists
Proof of Insurance Certificates
Purchase Orders
Purchasing Cards/CalCards
Purchasing Package
Quotations
Receiving Reports
Requisitions
Requests for Information (RFI)
Requests for Proposal (RFP)
Requests for Quote (RFQ)
Scorecards
Shipping and Receiving (bills of lading, freight bills, manifests, waybills )
Specifications
Exception: Procurement documents for acquisitions that
are canceled or do not get awarded are retained for 2
years.

CL+2Y Chronological, Reader Files
Department Committees
Department Goals, Objectives
Department Plans
Departmental Budget Planning
Departmental Projects
Employee Desk Files
General Files
In-House Committees / Employee Committees
Lists, Logs and General Reporting (calendars, routine studies & reports, contact lists, indexes, etc. )
Notes
Office Files, Office Manager Files
Organization Charts
Permissions, Releases (for copyrighted material )
Staff Meetings
Traffic Accident Reports (No Claim)
Volunteer Recognition Events
CA - GOV 34090 - (2Y)
009 All Departments General Historical Artifacts, Documents, Events, Memorabilia and Collections
Records and information documenting the history and
significant milestones of the City including dedications, ribbon-cuttings, grand openings, and groundbreaking
ceremonies.

PR Annual Budgets
Biographies of Public Officials, Agency Heads
City Generated Historical Studies / Reports
City Manager Performance Indicators / Performance Measurements City Publications
Executive, City Official Communications, Speeches, Videos History of the Organization
Historical Events, Artifacts, Architecture, Designations, Projects Historical Parks, Facilities
List of Historic Properties
Memorial Programs
Picture Collections
Significant News Clippings, Releases
CA - GOV 34090 - (2Y)
AC = While Active AR = Annual Review CL = Closed / Completion / Final Resolution CU = Current Year LA = Limitation on Actions LI = Life (of contract, program, asset) PR = Permanent S = Superseded/Overwritten TE = Termination 10/17/2023 Page 1 of 12
Agenda Item #10.3.

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CL+2Y Help Desk Data, Tickets
Issues Log
Trouble Reports
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
014 Category Eliminated
015 All Departments Human Resources Compliance Reporting Official governmental reports issued by City to comply with regulatory requirements.
5Y EEOC Reports
Labor Reports
P.E.R.S. Report
CA - 2 CCR 11013(c)(1) - (2Y)
CA - 8 CCR 14300.33(a) - (5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 405.9 - (5Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.30 - (3Y)
US - 29 CFR 1602.32 - (3Y)
016 All Departments Human Resources Personnel Files - Employees All documents related to paid employees, including but not limited to:
- hiring
- promotion
- demotion
- transfer
- layoff / recall / out-placement
- termination / discharge / resignation
- pay rates / other terms of compensation
TE+5Y Applications, Applicant Reference Verifications
Attendance Records
Awards, Rewards, Commendations, Certificates
Background Check (candidate hired )
Change in Status (CIS)
Civil Service Examination Results and Rankings
Complaints
Data Protection Forms (Executed, Signed)
Disciplinary Actions, Transfers
DMV Pull Program (random testing )
Employee Acknowledgements, Executed Policy Receipts
Employee Relations Records
Employee Training/Certification Records (FEMA/NIMS, Base Station Forms, Fire Extinguisher, First Aid/CPR )
Goals
I-9 Documents
Individual Employee Agreements, Contracts (copies)
Individual Education, Development, Training Records
Investigations
Job Offer Letters
Job Title and Wage Rate History
Leave of Absence / LOA
Oaths of Office
Out-Placement Data
Performance Evaluations, Reviews
Performance Improvement Plans (PIPs), Counseling Documents Promotions, Recognition
Resignations, Exit Interview Notes
Roles, Responsibilities
CA - 2 CCR 11013 - (AC+2)
CA - GOV 3105(f) - (TE+5Y)
CA - GOV 12946 - (TE+4Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 12965 - (LA2Y)
CA - LAB 432.3 - (TE+3Y)
CA - LAB 1198.5 - (TE+3Y)
CA - LAB 2810.8 - (3Y)
US - 8 CFR 274a.2 - (3Y, or TE+1Y)
US - 20 CFR 655 Subpart H - (TE+1Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (TE+2Y)
US - 29 CFR 1627.3 - (TE+1Y)
US - 29 USC 1059 - (AC+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
US - 41 CFR 60-1.12 (a) - (AC+2Y)
US - 41 CFR 60-741.80 - (AC+2Y)
017 All Departments Human Resources Personnel Files - Volunteers and Unpaid Interns
All documents related to unpaid volunteers and interns. CL+3Y Applications, Applicant Reference Verifications Attendance Records
Awards, Rewards, Commendations, Certificates
Change in Status (CIS)
Complaints
Data Protection Forms (Signed)
Volunteer Acknowledgements, Executed Policy Receipts
Goals
Individual Education, Development, Training Records
Investigations
Liability Waiver (copies)
Recognition
Resignations, Exit Interview Notes
Roles, Responsibilities
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
018 All Departments Legal Agreements, Contracts and Leases - Goods and Services
Executed agreements between the City and other
parties for acquisitions of goods and services.

CL+4Y Addendums
Agreements/Contracts - ALL
Amendments
Attachments / Exhibits
Contracts
Disclosures
Easements/Easement Interest
Joint Power Agreement (JPA)
Leases
Letters of Intent
Liability Waivers
License Agreements, Licenses
Licensing, Licenses (general)
Memoranda of Agreement (MOAs)
Memoranda of Understanding (MOUs)
Memorandum of Agreement / Understanding
Payment Bonds
Performance Bonds for Contracts
Schedules
Statements of Work (SOW)
Surety Bonds
Warranties
CA - CCP 337 - (4Y)
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 - (4Y)
US - OMB Circular A-133 - (3Y)
x
10/17/2023 Page 2 of 12
Agenda Item #10.3.

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PR Addendums
Agreements/Contracts - ALL
Amendments
Attachments / Exhibits
Contracts
Disclosures
Easements/Easement Interest
Joint Power Agreement (JPA)
Letters of Intent
Liability Waivers
License Agreements, Licenses
Licensing, Licenses (general)
Memorandum of Agreement / Understanding
Payment Bonds
Performance Bonds for Contracts
Property Improvement Contracts
Real Estate Leases
Schedules
Statements of Work (SOW)
Surety Bonds
Warranties
CA - CCP 315 - (LA10Y)
CA - CCP 337 - (4Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - CCP 343 - (4Y)
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 - 24 CFR 91.105(h) - (5Y)
US - 24 CFR 92.508 - (CL+5Y)
US - 24 CFR 982.158 - (AC+3Y)
US - 29 CFR 97.42 - (3Y)
US - 29 CFR 516.5 - (3Y)
US - 48 CFR 4.705-1 - (4Y)
US - OMB Circular A-133 - (3Y)
x
019 All Departments Public Records Act Public Records Requests Records requested by the public and related inquiries. CL+2Y Collection Lists Formal Public Records Requests
Subpoenas for Records (subpoenas duces tecum )
CA - GOV 34090 - (2Y)
020 City Clerk Attorney Advice and Opinions Records documenting legal counsel and advice on various matters.

S+10Y Internal Client Communications
Opinions
CA - GOV 34090 - (2Y)
021 Category Eliminated
022 City Clerk Elections Election Records - Unsuccessful Candidates
Records and information related to the filing of
campaign and election documentation by candidates
not elected.

CL+5Y Campaign Disclosures, Nomination Papers CA - GOV 34090 - (2Y) CA - GOV 81009(b) - (5Y)
CA - GOV 84616(b) - (4Y)
023 City Clerk Elections Election Records - Vital Records and information related to the filing and performance of City elections, as well as to elected
candidates.

PR Ballot Measures
Campaign Disclosures, Nomination Papers
Campaign Information
Certificates of Election, Sample Ballots
Certification of Election Results
Fair Political Practices Commission Files
Successful Candidates
CA - ELEC 17300 - (5Y)
CA - ELEC 17302 - (6M)
CA - ELEC 17304 - (6M)
CA - ELEC 17306 - (6M)
CA - GOV 81009(b) (PR)
CA - GOV 81009(d) (PR)
x
NEW2
(number
not yet
assigned)
City Clerk Elections Election Records - Petitions Records and information related to the filing and performance of City elections for municipal initiative, referendum, and City charter amendment petition.
8M City Charter Amendment Petitions
Initiative Petitions
Referendum Petitions
CA - ELEC 17200 - (8M) x
024 Category Eliminated
025 City Clerk Elections Proposition 218 Assessment Elections and Protest Procedure
Records related to Proposition 218 assessment
elections, administration of notifications and protests associated with taxes, assessments and fees subject
to Prop. 218.

AC+2Y Assessment Ballot Proceeding
Protest Ballots
Property Related Fees
Protest Letters
Public Hearing Materials
Property owner elections only. CA - ELEC 17302 - (6M)
CA - GOV 34090 - (2Y)
CA - GOV 53753 - (2Y)
CA - GOV 53755 - (AC+2Y)
026 City Clerk General Franchise Administration Records and information pertaining to the administration of utility and service franchises within the City.
5Y Pacific Gas & Electric
Pacific Telephone & Telegraph
Cable TV System
Solid Waste
Recycling
CA - CCP 337 - (4Y)
CA - GOV 34090 - (2Y)
027 City Clerk General FPPC Filings Forms mandated by state law related to Fair Political Practices Commission (FPPC) filings, including those
for economic interests of certain employees, elected or appointed officials, or candidates for office.
7Y Form 460 (Campaign Statements )
Form 700 (Economic Interest Statements, SEI)
Form 801
Form 802
Form 806
CA - GOV 34090 - (2Y)
CA - GOV 81009 (4Y, 7Y)
028 City Clerk Litigation Case Files, Claims, Litigation, Arbitration and Resolution
Records and information created or collected to
support the City's position in actual or potential
litigation or to otherwise evaluate actual or potential litigation relating to the organization, including claims, constituent complaints, grievances, worker
compensation. Litigation includes third party litigation, government investigations, mediations, arbitrations,
and other judicial or quasi-judicial proceedings.

PR Abandonments
Annexations
City Incorporation
Conveyances from the City (Deeds, Easements, Abandonments ) Conveyances to the City (Deeds, Easements, Dedications ) Deeds
Detachments
Easements
Grant Deeds
Liens
Rights-of-Way
Street / Alley Abandonments, Improvements
Vacations
CA - GOV 34090(a) - (PR) x
10/17/2023 Page 3 of 12
Agenda Item #10.3.

Page 90 of 1137 ends

CL+10Y Document Hold Notices, Updates CA - CCP 315 - (LA10Y) CA - CCP 337 - (4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1 - (4Y)
US - 26 CFR 301.6501(a)-1 - (CY+3Y)
031 City Council General Appointments Appointments made by authorized elected officials to councils, committees, boards, commissions, task
forces, other advisory groups, or public offices,
including those to fill vacancies for otherwise elected positions.

TE*+2Y Applications (Appointed, Unsuccessful)
Interview Notes
Letters of Appointment
Letters of Recommendation
Oaths of Office
Resumes
Submitted Documents
* End of term CA - GOV 34090 - (2Y)
032 City Council Meetings, Minutes Official Meetings, Legislative Actions Legislative and non-legislative actions that document policy development, including Council and Committee
meeting minutes and Ordinances.

PR Agenda Packets and Facesheets
Meeting Minutes, Notices, Recordings, Transcripts
Minute Books & Index
Municipal Code
Ordinances
Proclamations
Resolutions
Summary of Actions, Statement of Actions (SOAs)
City Codes
City-wide Plans/Programs Adopted
Transcriptions of audio or video recordings of meetings * Many of these have historical value.
** Ordinances, once repealed or overridden, may be
destroyed 5 years after being superseded.

CA - CCP 315 - (LA10Y)
CA - CCP 321 - (LA5Y)
CA - CCP 336 - (LA5Y)
CA - CCP 336a - (LA6Y)
CA - CCP 337 - (LA4Y)
CA - CCP 337.5 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
x
033 City Council Meetings, Minutes Public Notices Records documenting compliance with laws requiring public notice of government activities. Subjects include assessments, elections, land use changes, public
meetings and hearings, sale of property, and others.
2Y Affidavits of Posting
Affidavits of Publication/Legal Notices
Public Hearing Notices
Brown Act challenges must be filed within 30 or 90 days of action; Statute of Limitations on Municipal
Government actions is 3 - 6 months
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
034 All Departments Communications, Outreach Community Outreach, Media and Public Relations
External-facing communications, advertising and press
relations materials, including documentation of
outreach activities/events held in cooperation or for the benefit of the local community.
2Y Brochures
Community Training
FAQs
Mailers
Media Packets, Releases, Kits
Newspaper Clippings
News, Press Releases
Press Kits
PD Public, Health Services and Community Education, Outreach (CERT, Drug & Alcohol Education, Emergency Action Plans, Street Smart Program, Youth Violence Prevention Education )
Public / Media Inquiries
Public Information / Outreach / Education
Publications Produced by the City
Publicity Files
Publicity Photographs
Social Media Documentation
Special Events
CERT (Community Emergency Response Training)
Drug / Alcohol Education / Community Training
Emergency Action Plans
Emergency Forms
Street Smart Program
Youth Violence Prevention Education / Community
Training
CA - GOV 34090 - (2Y)
US - 24 CFR 91 Subpart C - (MAINT)
035 City Manager Economic Development Economic Development Programs and Services
Records and information documenting the City's
economic development programs.

AC+5Y Appraisals
Business Promotion Programs
Business Recruitment Programs
Community Activities
Court Orders
Demographics
Economic Development Programs
Economic Development Strategy
Eminent Domain
Redevelopment Agency Files
Retail Incentive Programs
CA - CCP 337 - (LA4)
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 91.105(h) - (5Y)
US - 24 CFR 570.502 - (CL+4Y)
036 City Manager General Emergency Management and Business Continuity Plans
All documentation of City plans for dealing with
disasters and/or system failures.

CL+5Y Contract Negotiations
Labor Relations
Union Communications
Union Petitions
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (AC+4Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 516.5 - (3Y)
038 Finance Accounting Accounts Payable/Receivable Records and information related to the accounting of monies paid or received by the City including payment
for financial obligation, documenting bad debt, paying
of unemployment expenses, employee expense
reimbursement, money paid for fines or fees, services
rendered, vendor credit cards, cash payments
received, etc.

Page 91 of 1137 ends

CU+4Y Accruals
Bad Check Logs
Bad Debt Reserves
Credit, Collections and Aging
Credit Reports
Credit Reviews
Customer Payments
Refund Claims
Uncollectable Accounts
Write-offs, Adjustments
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
x
041 Finance Accounting General Ledger, Journal Entries Records and information related to the transfer of charges between accounts and summaries of account
information, including year end summaries of general
ledger transactions.

CU+10Y Account Ledgers
Billing Rates, Journal
Appropriations Transfers
Balance Sheets
Books of Account
Cash Journals
Chart of Accounts
Demand Register
Expenditure Reports
General Ledger
Journal Entries
Manual Accounting Ledger, Control Ledger
Payroll Journal
Purchases Journal
Revenue
Sub-Ledgers
Trial Balance
Year -End / Account Detail History Report
CA - GOV 34090 - (2Y)
US - 26 CFR 31.6001-1 (CY+3Y)
US - 26 USC 6531 - (LA6Y)
x
042 Finance Accounting Real Property, Fixed Assets Records and information related to the ownership, purchase, sale, lease or improvement of real property
and facilities owned by or used by the City.

PR Acquisitions
Amortization
Asset Retirement Records
Attachments
Buildings
Capital Asset Records
Capital Improvements
Deeds
Deeds of Trust
Depreciation Schedules
Excess Right of Way
Fixed Asset Ledger
Land
Mortgages
Parkland
Possessory Interest
Sales
Valuation Information
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090 - (2Y)
US - 26 USC 6531 - (LA6Y)
x
043 Category Eliminated
044 Finance Audit Audits (Internal, External) Records and information related to auditing activities, including reviewing and documenting operational,
compliance, or financial information created as a part
of an audit.

CL*+6Y Annual Audit Reports
Audit Files, Plans
Audit, Auditors Reports
Audit Schedules
Audit Workpapers
Comprehensive Annual Financial Report (CAFR)
General Purpose Financial Audits, Single Audits
Improvement Plans
Investigations, Workpapers
Management Responses
Observations
Recommendations
Remediation Plans / Results
Responses
* Audits are considered active until the final report is issued and all corrective actions have been completed.

CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 26 CFR 1.1461-2 - (CU+1Y)
US - 26 CFR 31.6001-1(e)(2) - (CU+4Y)
US - 26 USC 6531 - (LA6Y)
045 Finance Banking Bank Account Information Records and information related to banking activities, transactions and correspondence. This category
includes deposits and reconciliations.

CU+4Y Final Budget Document
Gann Limit Annual Review
Revenue/Expenditure Reports
Trial Balance/Balance Sheets (Finals)
CA - GOV 34090 - (2Y)
047 Finance Budgets, Planning Financial, Strategic Planning Records and information relating to financial and strategic planning.
2Y Business Plans
Financial Plans
Forecasts
Interim Results
Revenue Forecasts
Strategic Plans
CA - GOV 34090 - (2Y)
048 Category Eliminated
049 Category Eliminated
050 Finance Financial Reporting Financial Reporting Official and general City financial reports, whether required by regulations or generated to track internal
transactions and achievements.

Page 92 of 1137 ends

PR Evidence Files
Investigations
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
CA - PEN 800 - (LA6Y)
CA - PEN 801 - (LA3Y)
055 Fire Department Fire Protection, Prevention Emergency Response Services Records and information associated with providing emergency response services.

CL+6Y Ambulance Services Authorization Forms (HIPAA)
Emergency Medical Services Forms
Emergency Services
False Alarm Reports
FEMA Reports
Incident Reports/Log Books
Mandated Reporting: Child Abuse, Elder Abuse, etc.

Paramedic Certificates
Paramedic Release Forms
Patient Care Reports (PCRs)
NOTE: PCRs for minors must be retained for 7Y or until
the minor reaches the Age of Majority Status (18Y),
whichever is longer.

CA - California Fire Code, 104.6 - (5Y)
CA - 13 CCR 1100.7 - (3Y)
CA - 22 CCR 70751(c) - (7Y)
CA - 22 CCR 100170 - (MAINT)
CA - 22 CCR 100171 - (MAINT)
CA - CCP 340.5 - (3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 11191 - (3Y)
056 Fire Department Fire Protection, Prevention Fire Equipment Records and information associated with fire protection and emergency response equipment.

LI*+3Y Apparatus and Maintenance Records
Certification Binder
Equipment Checks
Extinguishers
Fire Breaks
Hydrants
Sprinklers
* LI = Life of Equipment CA - 8 CCR 3203(b)(1) - (1Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1910.157 (Life of
extinguisher)
NFPA 1911.4.7.3 - (Life of Vehicle)
057 Fire Department Fire Protection, Prevention Fire Inspections Records and information associated with inspections of commercial and residential facilities.
5Y or Life of
Structure,
whichever is
longer
Commercial Facility Property Files
Residential Property Files
CA - California Fire Code, 104.6 - (5Y or
Life of Structure or Activity, whichever is
longer)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
058 Fire Department Fire Protection, Prevention Fire Prevention Programs Records and information associated with department programs to protect the City from fires and emergency
incidents.
2Y Fire Education
Weed Abatement
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
059 Human Resources Benefits Benefit Plans Plans and systems established to provide employee benefits and associated administrative documents.

LI*+6Y Carrier Reporting, Performance
COBRA Rates, Records, Histories
Employee Benefit Plans
Group Insurance Cost Data
PERS Actuarial Reports
Retirement System
Summary Plan Descriptions
Supplemental Forms
* LI = Life of Plan CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (AC+1Y)
US - 29 USC 1113 - (LA6Y)
US - 29 USC 1451 - (LA6Y)
x
060 Human Resources Benefits Employee Benefits 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).

CL+6Y Actuarial Analysis for Benefit Reserves and Accounting Appeals Benefits Files, Contract Copies, Enrollments, Appeals
Beneficiary Designations
Death Claims, Life Event Documents
Employee Cost-Sharing Amounts
Employment Authorizations, Terminations, Confirmations, Status Changes, Coverage Changes
Family & Medical Leave Tracking (Compensation,
Complaints/Disputes, FMLA Requests, Parental Leave Forms, Paid/Unpaid Leave )
Flexible Spending Enrollment
Individual Retirement Accounts (IRAs), 401k Histories
Life Insurance Notification Letters/EOI
Leave of Absence Documentation
Medical Billing Statements
Pension Plan Applications, Claims
P.E.R.S. Information
Premium Information
Required Benefits Reporting
Retirement Loans / Retirement
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 825.500 - (3Y)
US - 29 USC 1027 - (6Y)
US - 29 USC 1059 - (AC+1Y)
US - 29 CFR 4007.10 - (6Y)
061 Human Resources Insurance Claims Management Records detailing claims against insurance coverage by the City, including appraisals and reports.

CL+10Y Incident Reports
Annual Audit of Open Claims
Appraisals
Claims By/Against the City
Damage Estimate Reports
Supporting Documentation
Insurance Claims, Appraisals, Reports
Investigations
Liability Waivers
Exception: Accident, incident, and injury reports not
resulting in a claim can be disposed of after 2 years.

Page 93 of 1137 ends

CL+4Y Grievance Files/Commission Hearing
Grievance/Hearing Logs
Union Grievances
CA - CCP 337 - (4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (AC+4Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 12965 - (LA2Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1602.31 - (CL+2Y)
US - 29 CFR 1627.3 - (3Y)
US - 29 USC 255 - (LA2Y)
064 Human Resources Occupational Health Employee Hazardous Exposure Medical Records
Documents pertaining to medical records of City
employees who have been exposed to hazardous
substances (includes employee records subject to
HIPAA requirements).

TE+30Y Employee Hazardous Chemical Exposure
Hazardous Exposure
Radiation Exposure Records
Toxic Substance Exposure Records
CA - 8 CCR 3204(d) - (TE+30Y)
CA - CCP 338 - (LA3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 12946 - (AC+4Y)
CA - GOV 34090 - (2Y)
CA - LAB 5410 - (LA5Y)
CA - 29 CFR 1904.33 - (CU+5Y)
US - 29 CFR 1910.95 - (TE+2Y)
US - 29 CFR 1910.1020 - (TE+30Y)
NEW3
(number
not yet
assigned)
Human Resources Occupational Health Occupational Health and Safety Records Records and information created for managing the health and safety of employees (may include employee
records subject to HIPAA requirements).

CL+6Y Drug Screening
Exposure Monitoring
Firearms and Field Exposure
Worker Compensation
CA - 2 CCR 11013 - (2Y)
CA - 8 CCR 3203(b) - (1Y)
CA - 8 CCR 5157 - (1Y)
CA - 8 CCR 14300.33 - (6Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 12965 - (LA2Y)
CA - GOV 34090 - (2Y)
CA - LAB 6401.7 - (MAINT)
CA - LAB 6409.6 - (3Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (AC+2Y)
CA - 29 CFR 1904.33 - (6Y)
US - 42 USC 2000e-5(e)(1) - (LA300D)
US - 49 CFR 382.401(b)(1) - (5Y)
065 Category Eliminated
066 Human Resources Staffing Training Records All documents related to education and training, including technical training, taken by paid employees,
unpaid volunteers, elected officials, and candidates for elected office, including:
- Canine Deployment
- Ethics
- FEMA/NIMS
- Firearm and Field Training
- Base Station Forms
- Fire Extinguisher
- First Aid/CPR
- Harassment
- Safety
5Y Attendance
Certification Records
Compliance Training
Courses/Seminars (Taken by Employees - includes Safety Training) Ethics Training
Individual Education, Development
CA - 8 CCR 3203 - (1Y)
CA - GOV 34090 - (2Y)
CA - GOV 53235.2b - (5Y)
CA - GOV 53237.2b - (5Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (2Y)
US - 29 CFR 1627.3(b) - (TE+1Y)
US - 41 CFR 60-741.80 - (AC+2Y)
067 Human Resources Staffing Recruitment Records and information related to applications and related records of candidates interviewed but not hired or accepted, including applications received but not
acted upon.
4Y Applications, CVs, Resumes (Rejected, Unsolicited)
Applicant Tracking Records (Hired, Rejected)
Background Checks, Investigations, candidate not hired (LiveScan, Criminal Offender Record Information (CORI), Investigations) Drug Testing, Pre-Hire Screening
Interview Notes
Job Descriptions
Job Postings, Announcements
Job Requisition Requests
Job Specifications
Miscellaneous Hiring Process Notes
Position Information
Recruitment
Temporary Intern Staffing
Test Results (Non-hires)
Unpaid Interns (Rejected)
Volunteers (Rejected )
CA - 2 CCR 11013(c)(2) - (2Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 1602.14 - (AC+1Y)
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)
US - 49 CFR 382.401(b) - (5Y for positive
results; 1Y for negative results)
068 Human Resources Staffing Salary, Compensation Documentation of position and employee compensation.

S+4Y Classification Studies
Compensation Plans, Planning, Analysis
Cost of Living
Job Descriptions
Job Evaluation Documentation
Salary Range History
Salary Surveys
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (4Y)
CA - GOV 12960 - (LA3Y)
CA - GOV 34090 - (2Y)
US - 29 CFR 516.6 - (2Y)
US - 29 CFR 1602.14 - (AC+1Y)
US - 29 CFR 1602.31 - (AC+2Y)
US - 29 CFR 1627.3 - (TE+1Y)
069 Human Resources Staffing Training Materials, Courses, Scheduling Documentation regarding the courses and schedules for training offered to employees for training and
development.

CU+2Y Borrow/Loan Records
Classes
Catalog of Holdings
Gifts / Donations
Material Challenge Records
* CL = life of holding CA - GC 34090 - (2Y)
10/17/2023 Page 7 of 12
Agenda Item #10.3.

Page 94 of 1137 ends

CU+2Y Adult Services Programs / Classes
Applications
Aquatics
Cultural Activities Programs / Classes
Facility Rentals (use applications, permits, insurance ) Liability Waivers
Programs, Classes, Leagues
Registrations Forms
Special Events
Teen Services Programs / Classes
Youth Services Programs / Classes
Withdrawal Forms
NOTE: Repeat users of facilities remain active CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
073 Planning Building Plans Building Plans - Commercial Records of building plans submitted to the City's building and services activities for commerical
buildings.

LI*+10Y Building Plans - Commercial * LI = Life of Building/Structure CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2)
CA - HSC 19850 - (LI)
074 Planning Building Plans Building Plans - Residential Records of building plans submitted to the City's building and services activities for single and multiple family residential buildings, garages and appurtenant
structures of 2 stories or less.

CL*+2Y Building Plans - Residential * Closure = Substantial completion of the development or improvement
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2)
075 Planning Code Enforcement Code Compliance and Enforcement Records and information documenting compliance with City codes, including violations.

CL+3Y Code Citations
Code Enforcement
Code Violations
Compliance with Conditions of Approval
Inspections / Enforcement (Business, Residential )
Investigations
Notices of Violation
Photographs
Resolution
Vehicle Abatement (abandoned vehicles )
Violations
Zoning Compliance Certificates
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802 - (2Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 802 - (2Y)
076 Planning Permiting Building Codes and Permits Records and information documenting the City's building services activities for both commercial and
residential structures.

PR Building Codes
Building Inspections
Building Permits (issued, active, expired, history )
Certificates of Occupancy
CA - CBC 107.5 - (180D)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2)
CA - HSC 19850 - (LI)
077 Planning Planning and Zoning Housing Authority Administration Records and information of housing agency operations and programs, including CDBG, CalHOME and HOME
grants.

LI*+5Y Affordable Housing Records
Development / Affordability Agreements
Restricted Units
* LI = Life of Contract CA - 25 CCR 7721 - (MAINT)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
US - 24 CFR 5.514 - (5Y)
US - 24 CFR 91.105(h) - (5Y)
US - 24 CFR 92.508(c) - (CL+5Y)
US - 24 CFR 570.502 - (AC+3Y;AC+4Y)
079 Planning Planning and Zoning Planning and Zoning Services Records and information pertaining to the activities of the planning division, including zoning.

PR Agricultural Preserve
Certificate of Compliance
Design Review
Development Regulations
Discretionary Applications, Approvals and Supporting Materials Downtown Parking Requirements
E.I.R., Notice of Determination, Categorical Exemptions, etc.

Environmental Reviews, Negative Declarations, etc.

General Plan (housing element, amendments, growth management element, noise element, specific plans )
Land Use Permits
Landscape
Master Plans
Parking Calculations
Planned Unit Development (PUD)
Plans (Specific)
Public Participation Plans
Public Use
Resolutions
Rezoning
Summary of Actions
Use Permit
Variances
Zoning Map Amendments
Zoning Text Amendments
CA - 14 CCR 15095 - (Reasonable)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12981 - (FR+1Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (LI)
CA - WAT 10631 - (5Y)
US - 24 CFR 91.105(h) - (5Y)
080 Police Department Case Files Dead Bodies Records, crime reports and evidence associated with investigations of dead bodies, whether by natural
causes or found.

CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
10/17/2023 Page 8 of 12
Agenda Item #10.3.

Page 95 of 1137 ends

Provided there are not outstanding warrants, deaths, and it is not classified under PC §800 and 290 and HSC §11850;
Statute of limitations is 2 years; Destroy juvenile marijuana after age 18; HSC §11361.5; GC §34090, PC §802, PC §187, 800 et seq
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 - PEN 851.8 - (SEAL&DESTROY)
CA - PEN 851.90 - (MAINT)
CA - Law Enforcement Evidence and
Property Management Guide
082 Police Department Case Files Felony Murder/Homicide, Capital Offenses, and Violations of Public Trust
Records, crime reports and evidence associated with
capital felony violations of laws, including homicide,
embezzlement of public funds, or falsification of public documents.

PR Case Status Reports
Chemical Analysis Records
Complaint Reports
Court Dispositions
Court Orders
Crime Analysis Records
Diagrams
Extradition Records
Fingerprint Records, Latent Fingerprints
Interview Records
Investigative Reports
Laboratory Tests
Officer’s Notes
Original Arrest Reports
Permission to Search Requests
Photographs
Statements of Seized and Returned Property
Warrants
No limitation on commencement of action; PC §261, 286,
288, 288a, 288.5, 289, 289.5, and 799.

CL*+2Y National Missing and Unidentified Persons System (NaMUS) * Case is only closed once solved CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and
Property Management Guide
086 Police Department Case Files Officer Involved Shootings Records, crime reports and evidence associated with criminal cases dealing with officer involved shootings.

PR Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
CA - PEN 832.18 - (2Y)
CA - PEN 832.5 - (5Y, where there is not
a sustained finding of misconduct; 15Y
where was a sustained finding of
misconduct)
CA - Law Enforcement Evidence and
Property Management Guide
087 Police Department Case Files Sealing of Records Records of court orders to seal criminal records. SEAL*+3Y Court Order Petition Letter
*SEAL = Date Records Sealed 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)
088 Police Department Case Files Stolen Property Records, crime reports and evidence associated with stolen property.

CL*+3Y Case Files * Case is only closed once solved CA - CCP 338 - (3Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - Law Enforcement Evidence and
Property Management Guide
089 Police Department Case Files Traffic Collisions - Fatal Records, crime reports and evidence associated with traffic collisions involving fatalities.

PR Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 799 - (PR)
CA - Law Enforcement Evidence and
Property Management Guide
090 Police Department Criminal Registrations Gangs Records for those required to register as gang violence offenders.
5Y Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 186.32 - (5Y)
NEW4
(number
not yet
assigned)
Police Department Criminal Registrations Juvenile Arsonists Records for those required to register as juvenile arsonists.

Age 25 or
SEAL+5Y
Case Files CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 290(b) - (Life of Offender)
CA - PEN 290.008(d) - (5Y; 10Y)
CA - PEN 457.1(d) - (Upon reaching age
of 25 or when records are sealed)
CA - WIC 781 - (SEAL+5Y)
091 Police Department Criminal Registrations Sex Offenders, Adult Arsonists Records for those required to register as sex offenders or adult arsonists.

LI* Case Files * LI = Life of the offender, arsonist
NOTE: Juvenile sex offenders can petition Court for
removal of registration 10 or 20 years after offense,
provided there are no subsequent offenses.

CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - PEN 290(b) - (Life of Offender)
CA - PEN 290.008(d) - (5Y; 10Y)
CA - PEN 457.1(b)(2) - (Life of Arsonist)
CA - WIC 781 - (SEAL+5Y)
092 Police Department Dispatch and Communications Dispatch and Communications Records Records of police emergency calls and responses, to include time and date of call, contents of call, location of call, name of unit sent to scene, and other related
information.
100D 911 Emergency Call Logs
Computer Aided Dispatch (CAD)
Dispatch Activity Log
Radio Dispatcher Logs
Tape Recordings
* Exception: Recordings used as evidence in a criminal
prosecution or claim filed or litigation or potential claims and litigation shall be preserved for 100 days after conclusion of the court action.

CA - GOV 34090.6 - (100D)
10/17/2023 Page 9 of 12
Agenda Item #10.3.

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CL+3Y Activity Reports
Arrest Processing
Firearms Notifications
Forcible Entry Reports
Inmate Reimbursement Requests
Peace Officer Traffic Stops Report
Ride-Along Program Records
Serious Incident Reports
Shift Assignments
Seized Vehicle Impound, Towing Records
Trespass Law Enforcement Records
Truancy Reports
Vehicle Inspection, Inventory Reports
Wrecker Service Reports
CA - 11 CCR 999.228(j) - (3Y)
CA - 11 CCR 999.229(a) - (3Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12525.5 - (CU+1Y)
CA - GOV 34090 - (2Y)
094 Category Eliminated
NEW5
(number
not yet
assigned)
Police Department General Police Routine Body-Worn Camera Video Records
Recordings of routine body-worn camera video
monitoring, to include time and date of video, location of video and other related information.
60D Body-Worn Camera Recordings (body cam) * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims or any pending litigation, they shall be preserved for 2 years after the conclusion of the court action.

CA - GOV 34090 - (2Y)
CA - PEN 832.18 - (60D)
NEW6
(number
not yet
assigned)
Police Department General Police - Logs of Access or Deletion of Data for Body-Worn Cameras
Documentation of when and by whom access to or
deletion of data from body-worn cameras takes place.

PR Logs of Access or Deletion CA - GOV 34090 - (2Y)
CA - PEN 832.18(b)(5)(E) - (PR)
095 Category Eliminated
096 Police Department Internal Investigations Complaints, Investigations - No Sustained Finding of Misconduct
Documentation of complaints received and
investigations, including those by Internal Affairs,
involving Police department employees (excludes
officer involved shootings) where the investigation
shows no sustained finding of misconduct.

CL+5Y Citizen Complaints
Crime Reports
Departmental Actions
CA - EVID 1045 - (AC+5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (AC+4Y)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (5Y, where there is
not a sustained finding of misconduct;
15Y where was a sustained finding of
misconduct)
CA - VEH 2547 - (3Y)
NEW7
(number
not yet
assigned)
Police Department Internal Investigations Complaints, Investigations - Sustained Finding of Misconduct
Documentation of complaints received and
investigations, including those by Internal Affairs,
involving Police department employees (excludes
officer involved shootings) where there is a sustained
finding of misconduct..

CL+15Y Citizen Complaints
Crime Reports
Departmental Actions
CA - EVID 1045 - (AC+5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 12946 - (AC+4Y)
CA - PEN 801.5 - (4Y)
CA - PEN 832.5(b) - (5Y, where there is
not a sustained finding of misconduct;
15Y where was a sustained finding of
misconduct)
CA - VEH 2547 - (LA3Y)
097 Police Department Security Security Investigations Documentation regarding internal, non-police investigations related to the security of City facilities, assets, and information.

LI*+10Y As-Built Blueprints
Construction Records
Electrical Wiring Schematics
Floor Plans
Property Inventory
* LI = Life of Building, Asset 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)
x
101 Category Eliminated
102 Police Department
Public Works
Facilities Maintenance, Repairs and Inspection
Reports
Records and information regarding the ongoing
maintenance and upkeep of City equipment, facilities
and infrastructure and inspections of that
maintenance.
5Y Equipment Certifications (radar guns, lidar guns, personal alcohol screening devices, in-car video surveillance devices, mobile video devices )
Horticulture
Inspections
Inspection Logs
Inspection Reports
Irrigation
Landscaping
Maintenance and Repair Work Orders
Maintenance Reports (buildings, parks, streets, sidewalks) Street Sweeping
Trees
CA - AQMD Rule 1470 - (3Y)
CA - 3 CCR 6623 - (2Y)
CA - CCP 337 - (5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 4216.2(f) - (3Y)
CA - GOV 34090 - (2Y)
103 Public Works Fleet Management Fleet Management, Maintenance Records related to the purchase, management and maintenance of City vehicles.

LI*+3Y Auction Vehicles
California Bureau of Automotive Repair (BAR) Smog Records California Highway Patrol Biennial Inspection Terminal (BIT) Records
Motor Vehicle Records and Reports
Pool Tickets, Vehicle Logs, Usage Logs
Registrations, Operating Permits
Rental Work Orders
Service Calls
Tax Exemption Certificates
Vehicle Certificates of Insurance
Vehicle Inspections
Vehicle License Plate Records
Vehicle Maintenance Records, Repair Orders
* LI = Life of Vehicle

CA - 22 CCR 66266.130(c)(5) - (3Y)
CA - CCP 337 - (LA4Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - HSC 25250.18(b) - (3Y)
CA - VEH 34505.5(c) - (2Y)
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PR Aerial Photos
Assessment Districts
Assessor Parcel Maps
Building Site Determination
Drainage
Improvement Plans, Drawings
Land Survey Maps
Lot Line Adjustments
Major Subdivisions (SD)
Minor Subdivisions (MS)
Parcel Mergers
Parcels
Parks
Plats
Record Maps
Record of Survey Maps
Redevelopment
Sphere of Influence
Street Address Files
Vellums
CA - CCP 337.15 - (LA10Y)
CA - GOV 34090(a) - (PR)
CA - HSC 19850 - (Life of Building)
US - 44 CFR 60.3 - (MAINT)
x
106 Public Works General Public Works Project Administration Records and information associated with the administration of public works, capital improvement
and engineering projects.

CL+10Y Certified Payrolls
Construction Manager's Logs
Daily Inspections
Facilities Projects
Field Inspections
Project Schedules
Progress Meetings
Real Estate Appraisals
RFIs & Responses
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 - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 570.502(a)(7)(i)(A) -
(AC+4Y)
US - 29 CFR 97.42(b) - (AC+3Y)
107 Public Works General Public Works Project Files (CIP) Records and information related to the analysis, design, development, planning, construction and
maintenance of public works, capital improvement and
engineering projects for City facilities and
infrastructure.

LI*+10Y As-Built Plans
Assessments
Bicycle / Pedestrian Trails / Paths
Bridges and Creeks
Calculations
Capacity (water, wastewater) Fees
Capital Improvement Project (CIP) Files
Certificates of Compliance/Notice of Non-Compliance
Change Orders
Closures
Development Fee Book
Drainage Permits
E.I.R., Notice of Determination, Categorical Exemptions Encroachment Permits, Certificates
Environmental Impact Statements
Final Improvement Plans
Geologic Studies
Grading Permits
Insurance Certificates
Materials Testing Reports
Medians
Notice of Completion
Parking
Parking (residential, non-residential)
Pavement Markings / Traffic Legends
Photos/Pictures
Signs, Signals
Soils Reports
Sound Walls
Standard Plans
Studies
Submittals
Surveys
Underground Utilities
Streetlights
* LI=Life of Asset/Facility CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - 14 CCR 15095c - (Reasonable)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 8546.7 - (CL+3Y)
CA - GOV 34090 - (2Y)
CA - HSC 19850 - (Life of Building or
Facility)
US - 24 CFR 92.508(c) - (AC+5Y)
US - 24 CFR 570.502(a)(7)(i)(A) -
(AC+4Y)
US - 29 CFR 97.42(b) - (AC+3Y)
x
108 All Departments Permitting Permits and Licenses Issued Permits and licenses - other than building permits - administered, issued and maintained by the City,
including:
- Alarms
- Banner Permits
- Business Licenses
- Encroachment Permits
- Flood Zone Determinations
- Grading Permits
- Home Business Licenses
- Home Occupation Permits (HOP)
- Massage Establishments
- Massage Technicians
- Mobile Vendors, Peddlers
- Raw Water Permits
- Sign Permits
- Taxis (cabs, drivers)
- Transportation Permits (oversize, overweight)
- Tree Removal Permits
CL+2Y Annual Licenses Issued
Applications
Permits Issued
CA - CCP 337 (4Y)
CA - CCP 337.1 - (LA4Y)
CA - CCP 337.15 - (LA10Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
109 Public Works Traffic, Transportation Traffic and Transportation Planning Records and information of traffic engineering and transportation planning activities, including studies and surveys.
5Y School-related Studies/Surveys
Speed Surveys
Street/Highway Studies/Surveys
Traffic Calming Requests
Traffic Counts
Transportation Planning
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
110 Public Works Traffic, Transportation Traffic Control and Improvement Records and information related to the City's efforts to manage and improve traffic and circulation.
2Y Bicycles
Enforcement
Highway Corridors
Impact Studies
Signals
Signs
Temporary Street Closures
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
111 Public Works Traffic, Transportation Transportation Program Services Records and information related to the City's efforts to provide effective methods by which people and
materials move through the City.

AC+3Y Alternative Transportation Demand / Transportation Demand Management
Transportation Systems Management (TDM) / Alternative Modes / Bicycle
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
US - 2 CFR 200.334 - (CL+3Y)
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Agenda Item #10.3.

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CL+12Y Backflow Prevention
Diversion Goals
Environmental Conservation
Environmental Programs
Flood Control
Landfills
Meter Inventory
NPDES (Engineering)
Pipe Inventory
Pollution Control Permits
Recycling (campaigns, events, reports )
Sanitary District
Storm Water Monitoring
Storm Water Pollution Permits
Treatment Plan
Trash Services
Underground Service Alerts (USA)
Waste Water Reclamation
Water Agency Information
Water Runoff Testing
Weight Tickets
CA - 14 CCR 18809.4(a)(4) - (3Y)
CA - 22 CCR 64470 - (10Y)
CA - CCP 337 - (LA4Y)
CA - CCP 338 - (LA3Y)
CA - CCP 338.1 - (LA5Y)
CA - GOV 945.6(a)(2) - (LA6M; LA2Y)
CA - GOV 34090 - (2Y)
CA - WAT 13263.2(b) - (3Y)
US - 40 CFR 70.6 - (CL+5Y)
US - 40 CFR 122.21(p) - (5Y)
US - 40 CFR 122.41(j) - (5Y)
US - 40 CFR 141.33(1) - (5Y; 10Y)
US - 40 CFR 141.91 - (12Y)
US - 40 CFR 141.155 - (3Y)
US - 40 CFR 261.32 - (3Y)
113 Public Works Waste Management Hazardous Waste, Monitoring and Remediation
Planning, monitoring and contingency/emergency
action plans for hazardous waste, emergency and spill
response, natural and exposure emergencies,
notifications and response; environmental action plans
and supporting documentation; hazardous
communications plans, including labeling, MSDS
controls, training programs and procedures.

CL+30Y Electronic Waste (E-Waste)
Emergency Response Programs
Employee Hazardous Chemical Exposure
Hazardous Material Incident Reports
Hazardous Substances Shipping Manifests
Hazardous Waste
Material Safety Data Sheets (MSDS)
Proposition 65 Monitoring
Radiation Exposure Records
Radioactive Materials
Site Mitigation
Toxic Substance Inventory
CA - 8 CCR 3204d - (CL+30Y)
CA - 8 CCR 14300.33 - (CU+5Y)
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)
US - 40 CFR 141.33 - (10Y)
US - 40 CFR 141.91 - (12Y)
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 25244.19 - (4Y)
CA - HSC 25244.20 - (4Y)
CA - HSC 25160.8(c)(3)(D) - (AC+3Y)
US - 29 CFR 1910.1020 - (CL+30Y)
US - 40 CFR 141.33(1) - (5Y; 10Y)
US - 40 CFR 141.91 - (12Y)
US - 40 CFR 268.7 - (3Y)
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Updated 11/ 24/ 20
laserfiche. com 1
Laserfiche Cloud Security and Compliance
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Tenant isolation - Laserfiche Cloud provides tenant isolation by logically segregating customer data between accounts. Customers do not have access to any other customer’ s data or services.

Encryption in transit - All data sent between Laserfiche customers and applications is encrypted in transit using Transport Layer Security ( TLS) with Perfect Forward Secrecy ( PFS).

Encryption at rest - Data- at-rest in Laserfiche Cloud is protected using industry- standard AES256 encryption.

Vulnerability scanning - Laserfiche performs a vulnerability scan of backend servers that run in the Laserfiche Cloud hosting environment.

Penetration testing - Laserfiche engages third-party vendors to conduct external penetration testing of the Laserfiche Cloud system.

Intrusion detection - Laserfiche Cloud utilizes host-based intrusion detection systems to reduce the risk of data theft by individuals or organizations attempting to gain unauthorized access.

Firewalls - Laserfiche Cloud' s firewall configuration settings are regularly reviewed based on industry standards.

Fine-grained access control - Administrators can use access rights to limit and control access to individual documents and objects. For example, security tags restrict access to documents on a document- by-document basis.

Access rights - Administrators can configure access rights and privileges to limit actions that users can perform across the repository based upon role assignments or group memberships.

Multi-factor authentication - Multi-factor authentication can be enabled for a Laserfiche Cloud user account.

Single sign-on - Laserfiche Cloud supports single sign-on with Active Directory Federation Services ( ADFS) and Security Assertion Markup Language ( SAML).

Agenda Item #10.3.

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Updated 11/ 24/ 20
laserfiche. com 2
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Repository audit log - The Laserfiche Cloud repository audit log includes details of user actions, including viewing, modifying, creating and deleting documents, and similar operations on metadata and other repository objects.

Repository application auditing - Laserfiche Cloud supports auditing of both access to, and modification of, objects in repositories.

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With Laserfiche, governance and compliance can be a seamless part of how your organization operates.

SOC 2 Type 2 - This report details the controls for Laserfiche Cloud related to the criteria for the security, availability, and confidentiality principles set forth in TSP section 100, 2017 Trust Services Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy AICPA, Trust Services Criteria).

Privacy regulatory compliance - Laserfiche addresses privacy regulatory requirements in Laserfiche Cloud and as part of our business operations. This includes the California Consumer Privacy Act (CCPA) as well as leading international privacy standards such as the General Data Privacy Regulation ( GDPR) of the European Economic Area. For more information, see:
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International data transfers and EU/ Swiss/ U.S. Privacy Shield Framework comp liance - Laserfiche complies with the EU-U.S. Privacy Shield Framework as set forth by the U.S.

Department of Commerce regarding the collection, use and retention of personal data transferred from the European Union to the United States. Laserfiche has certified to the Department of Commerce that it adheres to the Privacy Shield Principles. For more information, see: https:// www.laserfiche. com/ legal/ privacy/# privacy- shield-framework- compliance.

Data processing agreement - Laserfiche' s Cloud Subscription Agreement incorporates, by reference, a standard data processing agreement for customers with operations in the European Economic Area.

WORM Compliance for SEC 17a-4 - Laserfiche Vault is a solution package of services and cloudbased features that supports stringent non-alterable record archival requirements such as WORM (write once, read many) compliance required by SEC Rule 17a-4 for broker dealers.

Beyond financial services, Laserfiche Vault’s strict compliance mode can also be applied to support rigorous records management practices for electronically stored information ( ESI) requiring prevention of any unauthorized alternations or deletions of digital records.

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laserfiche. com 3
Voluntary Product Accessibility Section 508 Compliance - Laserfiche has published VPATs available for Web Client, Public Portal and Federated Search.

Reliability
Laserfiche' s preventative, detective and corrective controls reduce risk while increasing uptime and availability.

Business continuity and disaster recovery programs - Laserfiche Cloud SaaS services are hosted in multiple regions. Regions consist of multiple availability zones that are comprised of multiple data centers. These data centers are housed in separate facilities with redundant power, networking and connectivity.

Laserfiche Cloud service levels - Laserfiche publishes a status page that displays the current status of Laserfiche Cloud applications, maintenance notices and outage reports.

Automated backups - Laserfiche Cloud customer data is backed up multiple times per day.

Backups are retained for defined periods with support for point in time recovery. All backup data is encrypted. Backup data is replicated and stored in geographically separate data centers.

Backup and restoration is tested on at least a quarterly basis.

Records Management
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Auto-filing and classification - Auto-file newly created records according to industry regulations and corporate policies, and automatically classify and apply disposition schedules and other retention policies to incoming records.

Notifications - Automatically notify records managers when a record needs to be archived or destroyed based on the record type.

Deployment across devices - Enforce records management policies across all devices including mobile phones, tablets, laptops and desktops by storing only one copy of a record in a centralized repository.

Disposition schedules - Automatically classify and apply disposition schedules and other retention policies to incoming records.

Agenda Item #10.3.

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Updated 11/ 24/ 20
laserfiche. com 4
Record transparency - Provide business units with multiple ways to view records without impacting the overall file plan and allow users who are not records managers to access documents without exposing the records management design.

Records management search filters - Allow records managers to search for records based on retention schedules or cut-off dates.

Centralized location for records - View the record timeline, modify properties of records, record folders, and record series, and perform record actions such as cutoff or final disposition, all from a single location.

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Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Public Works
DATE: October 24, 2023
FROM: Ian Dale, Environmental Services Tech
SUBJECT: September 2023 Review and Forecasting of City Water Supply Availability

RECOMMENDED
ACTION:

Receive and File.

PREVIOUS COUNCIL
ACTION:

Monthly Receive and File reports to City Council.

STATEMENT OF THE
PURPOSE:

To provide monthly updates of the amount of water
produced at the Louis Stralla Water Treatment Plant and the Stonebridge Potable Water Wells, and potable water
delivered from the City of Napa.

FINANCIAL IMPACT: None
BACKGROUND:

The City of St. Helena publishes a monthly water report on the City website (www.cityofsthelena.org/publicworks/page/water-reports). The report includes the amount of water produced at the Louis Stralla Water Treatment Plant and the Stonebridge Potable Water Wells, and potable water delivered from the City of Napa. In addition to presenting data on the amount delivered monthly, the report includes yearto-date information and prior year data. Water elevation and capacity at the Bell Canyon Reservoir is included as well as information on rain and temperatures.

At the City Council meeting of May 9, 2023, the City Council adopted Resolution 2023- 46 adopting City Council goals for FY 2023-24. Five new City Council Goals for FY 2023-24 which include Goal 1: Financial Sustainability, Goal 2: Infrastructure and Environmental Sustainability, Goal 3: Water Security, Goal 4: Community Information and Engagement, and Goal 5: Quality of Life. City Council has the responsibility of establishing broad goals and the City's leadership has the responsibility to develop a work plan to achieve them.

DISCUSSION:

In connection with City Council Goal 2, City staff has developed a forecasting tool to facilitate its ability to optimize water use and track water availability. Included as Attachment 1 is the Monthly Water Report for September 2023. The water produced for September 2023 is down by -28% when compared to September 2022 and is down - 28% compared to the average of September 2018-2020. Below is a chart summarizing the water produced per source:

Agenda Item #10.4.

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Water Produced per Source
Source
Average (2018 -
2020)
(Acre-Feet)
September 2022
(Acre-Feet)
September 2023
(Acre-Feet)
Bell Canyon 88 68 38.33
Stonebridge Wells 44 37 50.94
Napa Water 61 88 49.75
Total 193 193 139.02
Percent change from September 2022: -28%
Percent change from average of September 2018 - 2020: -28% Bell Canyon Reservoir
The City is no longer in water emergency conditions based upon the Phase I Water Emergency measures being terminated by City Council adopting Resolution No. 2023- 94 on July 25, 2023. Bell Canyon Reservoir has adequate water to support the City's needs through this calendar year. The storage in Bell Canyon graph (Attachment 2) has been revised to include historic reservoir supply levels since July 2021. It also shows the water availability forecast through June 2024 based on the highest water usage during a non-drought year (FY 2019/20) and 10 inches of rainfall (lowest recorded).

As of October 1, 2023, Bell Canyon Reservoir elevation was at 417.75 feet representing approximately 2,066.04 acre feet (AF) and 86.67% capacity. Bell Canyon spillway level is 422 feet representing 2,383.69 acre feet in water supply volume. Below is a chart comparing Bell Canyon elevation levels, water supply availability in acre feet, and percent capacity of the reservoir on October 1st in 2021, 2022, and 2023.

Year 2021 2022 2023
Bell Canyon Elevation Level 394.63 Ft. 410.88 Ft. 417.75 Ft.

Acre Feet 682.9 AF 1,589 AF 2,066.04 AF
Percent Capacity 28.65% 66.67% 86.67%
As a follow up to the May 24, 2022, City Council meeting, staff developed a graph (Attachment 3) highlighting the relationship between the reservoir elevation level and water supply availability in acre feet. The graph shows the current status of the reservoir. Furthermore, the graph also displays the points where City Council decided to declare Phase I and Phase II Water Emergencies in 2020.

Continued Water Conservation
California experienced two consecutive dry years 2020 and 2021. Due to the combination of warmer-than-average temperatures and minimal precipitation in the state, the Department of Water Resources (DWR) declared 2021 as the fourth-driest year on record statewide. The record-breaking dry period in January and February 2022, and the absence of significant rains in March 2022, required DWR to reduce anticipated deliveries from the State Water Project (SWP). However, the reduction at the time did not affect St. Helena as the City has multiple robust water sources not Agenda Item #10.4.

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affected by the executive order. Water availability from the Bell Canyon reservoir is based on the City's State Water Rights permit and not the SWP. The City has not received any curtailment order from DWR nor does the City anticipate receiving one.

It should be noted that on July 25, 2023, the City Council adopted Resolution No. 2023- 94 to formally end the Phase I Water Emergency. The projected demand on the system versus the anticipated rainfall over the next year reflects an available supply in Bell Canyon approximately 1,895 acre-feet, significantly above the 1,481 acre-feet standard for declaration of a Phase I Water Emergency. Staff will monitor State-wide and local drought conditions, weather conditions, and provide updates on a monthly basis. The corresponding staff report provided a variety of data to reflect the disposition of the water supply at that time in relation to the Council-adopted Safe Yield Policy.

City of Napa Water Supply
Normal operations continue at Rutherford Pump Station (RPS) and the City is taking delivery of the allotment purchased from City of Napa. During the month of September 2023, Rutherford Pump Station was producing an average of .54 MG/day for a total of

49.75 acre feet (AF) for the month.

DOCUMENTS ATTACHMENTS:

Attachment 3 - Bell Canyon Reservoir Storage Phase I II Attachment 2 - Bell Canyon Water Storage Forecast
MWR September 1-30 2023
Agenda Item #10.4.

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Current Capacity = 417.75' or 86.67%
Entered Phase I on 7/1/20
Capacity = 408.39' or 60%
Entered Phase II on 11/1/20
Capacity = 398' or 39.4%
Fire Storage = 25% capacity
Agenda Item #10.4.

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BellCanyon Water Storage Forecast
Assumes: (1) Highest usage during non—drought year (FY2019/20) (2) 10" of Rainfall (Lowest Recorded)
2500
2383 2383 2383 2380
2356
2250
2000
1750
A 1500
Entered Phase 1 - 1,431 Acre Ft.
1250
Historic Projected
Supply Level (Acre Feet
1000
Entered Phase 2 - 939 Acre Ft.
\ 826
750 \\ 741
V 683
50° 596 Acre Feet*
250
25% reserve for fire
Agenda Item #10.4.

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CITY OF ST. HELENA

MONTHLY WATER REPORT
CC: CC __X__ PC__X__ FILE _____
RECEIVED: _____ BY: __
LOUIS

STRALLA

WATER PLANT
TK #1 & #2
ADJUST

38.33 12.49 ‐0.14

27.7% ‐0.3%

45.28 MG MG
n/a MG MG
n/a MG MG

1.50 MG MG
%%
123.12 AF 28.5% 180.37 AF 35.9%

40.10 MG 58.75 MG
153.60 AF 35.6% 192.64 AF 38.3%

50.03 MG 62.75 MG
154.55 AF 35.8% 130.06 AF 25.9%

50.34 MG 42.36 MG
TOTAL WATER PRODUCED 431.27 AF 100.0% 503.07 AF 100.0%

DELIVERY (ALL)

0.15 0.04
417.75 FT. FT.
‐0.80 FT. FT.
2066.04 AF AF

86.7 %%

0.08 IN IN

0.08 IN IN
DISCLAIMER: The data presented in this report is approximate and for informational purposes only. ‐0.44

September 1‐30, 2023

STONEBRIDGE

POTABLE
WELLS
SBW

IRRIGATION
WATER

NAPA WATER

THIS YEAR LAST YEAR
AMOUNT PRODUCED in AF 50.94 0.58 49.75
AMOUNT PRODUCED in MG 16.59 0.19 16.21
PERCENT 36.8% 35.9%

WATER PRODUCED DELIVERY (AGGREGATE)
TOTAL PRODUCED THIS PERIOD 66.23
MAXIMUM DAILY PRODUCED 1.57
MINIMUM DAILY PRODUCED 0.97
AVERAGE DAILY PRODUCED 1.25

WATER YEAR TOTALS

THIS FISCAL YEAR LAST FISCAL YEAR

LOUIS STRALLA WATER PLANT

NAPA WATER

STONEBRIDGE POTABLE WELLS

SBW IRRIGATION WATER
THIS MONTH THIS MONTH, LAST YR.

ELEVATION BELL CANYON RESERVOIR 410.88
STONEBRIDGE APARTMENTS MG/Sept. 1 ‐30 1.98 MG/Sept. 1‐30

WATER ELEVATION, CAPACITY & RAINFALL

THIS FISCAL YEAR LAST FISCAL YEAR
NAPA VALLEY COLLEGE MG/Sept. 1 ‐30 1.69 MG/Sept. 1‐30

TEMPERATURES
MONTHLY RISE OR DROP ‐1.39
CAPACITY AT END OF PERIOD 1589.09
PERCENT OF FULL CAPACITY 66.7
RAINFALL IN THIS PERIOD 0.27
TOTAL RAINFALL SEASON TO DATE 2.01
THIS MONTH, THIS YEAR THIS MONTH, LAST YR.

DEGREES IN FAHRENHEIT 46‐86 56‐101
Updates will be provided if any errors are identified.

AVERAGE 66 73

REMARKS
City of Napa Water Delivery: RPS producing an average of 0.54 MG/day during September 2023.

Agenda Item #10.4.

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Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Public Works
DATE: October 24, 2023
FROM: Joseph Leach, Public Works Director and City Engineer, Lesley Milton, Asst. to the City Manager
SUBJECT: Approval of a Resolution ratifying known additional expenditures in an amount of $54,326 related to
Resolution 2023-106 Public Emergency for Remediation of Discolored Water and authorizing use of Water Operations Fund balance for the repairs.

RECOMMENDED
ACTION:

Approve the Attached Resolution

PREVIOUS COUNCIL
ACTION:

On August 22, 2023, the City Council adopted Resolution 2023-106 ratifying a public emergency due to the presence of brown, discolored water from areas fed by the City’s Bell Canyon Water Treatment Plant. The intent of the
declaration was to provide a mechanism under the Public Contract Code Section 1102 to expedite repair or
replacement of necessary infrastructure to remediate the situation. This action allows the city to proceed with
awarding Public Works contracts to perform emergency
work outside of typical procurement regulations.

On September 26, 2023 the City Council authorized
$1,225,458 in funds for expenditures for various contracts including tank relining, pump replacement equipment, filter assessment and design and construction management
services.

STATEMENT OF THE
PURPOSE:

Ratify the know expenditures and accept the update.

FINANCIAL IMPACT: The Fiscal Impact is $54,326 utilizing fund balance from the Water Operations Fund 561 and transferring the funds to the Water Capital Improvement Fund 764, leaving the
estimated Net Position in Fund 561 at 44%.

This action updates CIP Project W24-09 with a project
budget of $1,279,694 as attached.

Agenda Item #10.5.

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BACKGROUND:

The City acknowledges the impact this emergency is having on residents and businesses and their quality of life and the need to expeditiously repair the necessary infrastructure.

Consistent with governing regulations, the Public Works Department has been soliciting proposals to perform investigation and remediation, identify the cause of the discoloration, determine whether the discoloration poses a safety issue to City water customers, and to take any necessary action to remediate the issue causing the water emergency.

Pursuant to Public Contract Code section 22050(b)3, the City Manager or their designee is required to report to the City Council regarding the status of the water emergency, efforts taken to remediate the emergency, and the need to continue the emergency action at every regularly scheduled meeting until the emergency action is terminated.

Additionally, under Municipal Code Section 3.04.290(b) the City Manager is authorized to enter into contracts to remediate the emergency but also must bring such contracts back to the City Council for ratification.

Current actions taken to remediate the water emergency:
 Systematic Hydrant Flushing: Since early August, the Water Division has performed hydrant flushing. This has allowed them to focus on specific areas of the City, isolate issues, and work to mitigate problems. The team flushes hydrants regularly and is testing specific sections of the City at least three days a week to determine which areas may need additional flushing.  The City continues to comply with both state and federal regulations when it comes to testing the water coming from the treatment plant and throughout the distribution system.
 The City is contracting with four primary firms to help improve water quality in the short and long-term. Tasks include:
o Inspection of the filters at the treatment plant.
o Cleaning, surface preparation, and recoating the Clearwell and Tank 1A. o Replacing and/or cleaning and recoating the intake piping and pumps for the Clearwell.

Staff continue to engage specialty contractors to provide cleaning/inspection services for the pipeline between the Clearwell and Tank 1A. It is anticipated that the proposal for those services, as well as any other related expenditures, will be brought before the City Council for subsequent ratification.

DISCUSSION:

As of this report, the City has engaged in the following additional contracted services to help improve the water quality and service delivery. Staff are requesting the City Council Agenda Item #10.5.

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ratify the below contractual services consistent with Municipal Code Section 3.04.290(b) and authorize any associated contracts.

Contractor Description Amount
Pumpman
Purchase Order - Labor
Labor only for the Municipal
Pump and Motor
Replacement
$54,236
TOTAL This Period $54,236
TOTAL Previously
Approved $1,225,458
TOTAL Expended to Date $1,279,694
To accurately monitor all expenditures related to this action, a Capital Improvement Program project number W24-09 was created titled, "Emergency Repairs to Water Infrastructure to address Discolored Water".

Contract & Expenditure Details this period
Pumpman – Municipal Pump Replacement - Labor only
The City has engaged the services of Pumpman for the labor for replacement of the below pumps and motors for:
 One (1) short set line shaft turbine backwash pump and  Two (2) short set line shaft turbine high service pumps.

Total Cost for Services $54,236.00
Estimated Time to Complete Task: Labor to install the purchased pumps would take 1-2 weeks.

ENVIRONMENTAL REVIEW: This is not a CEQA project.

DOCUMENTS ATTACHMENTS:

Attachment A Resolution Emergency Water Repairs
Attachment B Resolution 2023-106 Ratifying Emergency Public Project without Public Bidding relating to Discolored water
Attachment C W24-09 CIP Project
St. Helena pull 4 pumps and reinstall 3 pumps
Agenda Item #10.5.

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CITY OF ST. HELENA
RESOLUTION NO.

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ST.

HELENA: (1) AMENDING CIP W24-09 – EMERGENCY REPAIRS

TO WATER INFRASTRUCTURE TO ADDRESS DISCOLORED
WATER AND INCREASING THE BUDGET TO $1,279,694, (2)
RATIFYING KNOWN ADDITIONAL EXPENDITURES OF $54,236,
(3) AUTHORIZING THE CITY MANAGER TO EXECUTE

AGREEMENTS AND CONTRACTS PERTAINING TO
RESOLUTION 2023-106 PUBLIC EMERGENCY FOR
DISCOLORED WATER; AND (4) AUTHORIZING UTILIZATION

OF FUND BALANCE FROM THE WATER OPERATIONS FUND
561 AND TRANSFERRING THE FUNDS TO THE WATER
CAPITAL IMPROVEMENT FUND 764.

RECITALS
A. On August 22, 2023, the City Council adopted Resolution 2023-106 ratifying a public emergency due to the presence of brown, discolored water from areas fed by the City’s Bell Canyon Water Treatment Plant; and
B. The declaration was necessary to provide a mechanism under the Public Contract Code Section 1102 to expedite repair or replacement of necessary infrastructure to remediate the situation; and C. This action allows the City to proceed with awarding Public Works contracts, obtain services, and obtain supplies in order to perform emergency work outside of typical procurement regulations; and D. The Public Works Department has been soliciting proposals to perform investigation and remediation, identify the cause of the discoloration, determine whether the discoloration poses a safety issue to City water customers, and to take any necessary action to remediate the issue causing the water emergency; and
E. It is necessary to establish a Capital Improvement Program (CIP) for the associated remediation; and
F. On September 26, 2023 the City Council ratified the following contracted services located in Table 1 to help improve the water quality and service delivery; and
Agenda Item #10.5.

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Table 1 – Contracted Services through 9/21/23
Contractor Description Amount
West Yost
Professional Services
Agreement
Engineering Services
Clearwell and Tank 1A
Rehab
$56,731.00
ERS Industrial Services
Purchase Order - General
Services Filter Inspection Services $21,070.00
Marine Industrial Tank, Inc.

Purchase Order - General
Services
Tank 1A and Clearwell
Inspection Services $15,200.00
Pumpman
Purchase Order - Equipment
Municipal Pump and
Motor Replacement $185,596.41
Marine Industrial Tank, Inc.

Construction Contract
Tank1A and Clearwell
Cleaning, Resurfacing,
and Relining
$946,860.40
TOTAL $1,225,457.81
G. The City Council must ratify all contractual services consistent with Municipal Code Section 3.04.290(b) and authorize any associated contracts.

H. On September 26, 2023 the City Council also established CIP W24-09 – Emergency Repairs to Water Infrastructure to Address Discolored Water and establishing a budget of $1,225,458
I. Since that meeting, the city has engaged one additional service provider to help improve water quality and service delivery as listed in Table 2.

Table 2 – Contracted Services through 10/18/2023
Contractor Description Amount
Pumpman
Purchase Order - Equipment
Municipal Pump and
Motor Replacement $54,236
TOTAL $54,236
Agenda Item #10.5.

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RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:

1. Authorizes a modification to CIP W24-09 for a total budget of $1,279,694

2. Authorizes the City Manager to execute all additional necessary agreements, contracts, and documents related to the expenditures outlined in Table 2 in the Recitals as it relates to CIP W24-09.

3. Authorizes utilization of and additional $54,236 of fund balance from the Water Operations Fund 561 and transferring the funds to the Water Capital Improvement Fund 764.

Approved at a Regular Meeting of the St. Helena City Council on October 24, 2023, by the following vote:

Page 116 of 1137 ends

St. Helena City CouncilOctober 24, 2023

St. Helena City Council
October 24, 2023