Union City City Council
May 28, 2024

AGENDA

CITY OF UNION CITY/

SUCCESSOR AGENCY TO THE REDEVELOPMENT AGENCY MEETING
CAROL DUTRA-VERNACI, Mayor
JEFF WANG, Vice Mayor (District 3)
GARY SINGH,Councilmember (District 1)
JAMIE PATIÑO,Councilmember (District 2)
SCOTT SAKAKIHARA, Councilmember (District 4)
Tuesday, May 28, 2024
7:00 PM
City Hall - Council Chamber
34009 Alvarado-Niles Road Union City, CA 94587

1. CALL TO ORDER

1.a. Pledge of Allegiance

1.b. Roll Call

2. UNFINISHED BUSINESS - None

3. PROCLAMATIONS AND PRESENTATIONS

3.a. Presentation Recognizing New Haven School Foundation’s 2024 Earth Day Poster Contest Winners

3.b. Proclamation Recognizing June 2024 As LGBTQ+ Pride Month

4. ORAL COMMUNICATIONS
An individual speaker shall have three minutes to address the Council on non-agenda items under the Oral Communications section of the agenda. The Chair may, in their discretion, lower the time limit to less than three minutes based on the number of speakers and/or business to be conducted by the City Council.

Members of the public who wish to speak to the Council under the City Council/RSA Agenda 1 Tuesday, May 28, 2024
first Oral Communications section are requested to complete a speaker card, giving their name and city of residence. If a speaker wants further notification from the City, the speaker may include a mailing address. Neither a speaker card or identification of name, city of residence or mailing address are required to provide public comment but are requested for record keeping purposes.

5. CONSENT CALENDAR
All matters listed on the Consent Calendar are considered routine in nature and will be enacted by one motion. If discussion is required on a specific item, it will be removed from the Consent Calendar and considered separately.

5.a. Approve the Minutes Of The May 14, 2024 City Council Regular Meeting

5.b. Adopt A Resolution Of The City Council Of The City Of Union City, California, Calling And Giving Notice Of The Holding Of A General Municipal Election To Be Held On Tuesday, November 5, 2024, For The Election Of Certain Officers; Requesting The Board Of Supervisors Of The County Of Alameda To
Consolidate A General Municipal Election To Be Held On
Tuesday, November 5, 2024, With The General Election To Be Held On That Date Pursuant To Section 10002 Of The
Elections Code, And Requesting Certain Services Of The
Registrar Of Voters; And Establishing Regulations For
Candidate Statements On The Sample Ballot

5.c. Adopt A Resolution Of The City Council Of The City Of Union City Approving The Revised Records And Information
Management Policy

5.d. Adopt A Resolution Of The City Council Of The City Of Union City Authorizing The City Manager To Execute A Five-Year Software As A Service Agreement With Granicus For The
OneMeeting Agenda And Live Meeting Management Solution
For A Not-To-Exceed Aggregate Sum of $250,117.66

5.e. Adopt A Resolution Authorizing The City Manager To Approve A Purchase Order With Tolar Manufacturing Company Of Corona, CA, In The Amount Of $466,201.31, And Amending The FY
2023-2024 Capital Projects Fund Budget, Transferring
$31,807.31 In Previously Received Transportation
Development Act (TDA) Capital Funds To The Bus Shelter
Expansion Project, City Project No. 23-07

5.f. Adopt A Resolution Authorizing The City Manager Or Their Designee To Submit An Application To The Metropolitan
Transportation Commission (MTC) For The Allocation Of Fiscal Year 2024-2025 Transportation Development Act (TDA) Article 3 Pedestrian/Bicycle Project Funding, In The Amount Of
$227,097 For The Decoto Road Project, Phase 1, City Project No. 23-24
City Council/RSA Agenda 2 Tuesday, May 28, 2024

5.g. Adopt Two Resolutions: 1) Approving the Annual Engineer's Report For The Landscape And Lighting Maintenance District LLAD) No. 3; And 2) Declaring The City Council's Intent To Levy And Collect Assessments, And Setting June 25, 2024, As The Public Hearing Date

6. PUBLIC HEARINGS - None

7. CITY MANAGER REPORTS

7.a. Introduction Of An Ordinance Of The City Council Of The City Of Union City Approving And Re-Adopting A Military Equipment Use Policy As Stated In Chapter 2.62 “Military Equipment Use Policy” Of The Union City Municipal Code; And Review of 2023 Annual Military Equipment Report In Compliance With
Assembly Bill 481

7.b. Provide Direction To Consider The Site Of The Larry Orozco Teen Workshop At 33623 Mission Boulevard An Historic
Landmark

7.c. Waive Full Reading And Introduce By Title Only An Ordinance Of The City Council Of The City Of Union City Amending
Chapter 2.06 “Campaign Contribution Limitations In Municipal Elections” And Adding Chapter 2.09 “Voluntary Expenditure Limits” To The Union City Municipal Code

7.d. Provide Direction To Update The Affordable Housing Impact Fee For Single-Family Residential Additions

8. SUCCESSOR AGENCY TO REDEVELOPMENT AGENCY -
None

9. AUTHORITIES AND AGENCIES - None

10. CITY COMMISSION / COMMITTEE REPORTS - None

11. ITEMS REFERRED BY COUNCIL

12. GOOD OF THE ORDER

13. CLOSED SESSION - None

14. ADJOURNMENT

MEETING INFORMATION
Unless otherwise provided, the City Council's regular meetings are held in person on the second and fourth Tuesday of each month at 7:00 p.m. inside the Council Chamber at City Hall, 34009 AlvaradoNiles Road, Union City CA 94587. The City continues to offer an opportunity to observe Council meetings via Zoom at: https://unioncity-org.zoom.us/j/81719037355 Passcode: u8SH9cH^ Meetings are broadcast live through UCTV Channel 15 and via live stream at:

City Council/RSA Agenda 3 Tuesday, May 28, 2024
https://unioncity.org/199/City-Meetings-Video
Members of the public will not have the ability to provide comment via Zoom except under limited circumstances specified below. The ability to observe remotely as identified above is predicated on the technology being available and functioning without technical difficulties. Should the remote platform(s) not be available, or become non-functioning, or should the City Council otherwise encounter technical difficulties that makes the platform(s) unavailable, the City Council will proceed with the items of business in person unless otherwise prohibited by law.

Any writings or documents provided to a majority of City Council members relating to each item of business referred to on this agenda are available for review on the City's website at www.unioncity.org or during regular business hours in the Office of the City Clerk located at 34009 Alvarado-Niles Road, Union City CA 94587.

In Compliance with the Americans with Disabilities Act, if you need special assistance to participate in this meeting, you should contact the Office of the City Clerk at (510) 675-5448. Notification 36 hours prior to the meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City also provides closed captioning of all its Regular City Council Meetings for the hearing impair.

ADDRESSING THE CITY COUNCIL
In Person Public Comment: Members of the public may address the Council on a matter on the agenda or during the Public Input portion of the meeting. Members who wish to speak are requested to complete a speaker card, giving their name and city of residence. If a speaker wants further notification from the City, the speaker may include a mailing address. Neither a speaker card nor identification of name, city of residence or mailing address are required to provide public comment but are requested for record keeping purposes.

Written Comment: To provide written comment on an item on the agenda or to address the Council about an issue during Public Comment, you may send an email to [email protected]. Please include the phrase "public comment" in the subject line and note the agenda item number that you want to address. Written comments will be e-mailed to the City Council and made publicly available.

Public Comment via Zoom: As indicated above, the public cannot address the Council via Zoom unless the City is required to provide such opportunity pursuant to AB 2449. In the event that members of the public are allow to participate via Zoom pursuant to AB 2449, the Mayor will make an announcement at the beginning of the meeting. Raise your virtual hand to notify the host that you would like to speak during the item that you wish to speak on.

CITY COUNCIL NORMS AND GUIDELINES (Resolution No. 6129-23; Adopted May 23, 2023) City Council/RSA Agenda 4 Tuesday, May 28, 2024
The City Council of the City of Union City comply with the following norms:

1. We conduct ourselves in a professional manner, treat everyone with respect, and act with high integrity, always putting the interests of the City of Union City ahead of self-interests in accordance with our code of ethics.

2. We respect the Council-Manager form of government, and do not interfere with the City Manager's role or any professional duties of City staff.

3. We recognize that matters of confidential nature are to be kept private and undisclosed.

4. We respect each other's opinions and are supportive of each other's work advocating for the City, and we ensure that all voices are heard. We do not criticize others for having a different point of view, and we agree to disagree respectfully.

5. We understand that the City Council acts as a body, all members are equal, and policy direction is only given by a majority vote of the City Council. Once a decision is made, all members of the City Council must respect the City Council's direction.

6. We will be prepared for City Council meetings and ask our questions of the City Manager in advance so we can avoid surprising City staff at meetings.

7. We do not criticize City staff publicly or to others and will refrain from directing them. Instead, we will take our concerns and questions privately to the City Manager.

8. We will govern on an at-large basis, although elected by districts. We will maintain a citywide perspective and consider the needs and interests of the entire community.

9. We will continue to allocate resources based on long-term strategic priorities and efforts, with consideration of citywide service levels and financial capacity.

10. We understand customer service is the priority and each member of the City Council will help constituents regardless of the district in which they reside or from which a Councilmember themselves is elected.

11. We recognize the significant importance of attendance and participation at City Council meetings in proceeding with City business. All members of the City Council should endeavor to miss no more than two regular meetings per calendar year absent extraordinary circumstances. Members of the City Council should, absent unforeseen circumstances, provide a minimum of sixty days' notice to the City Council of planned absences during the Good of the Order or Items Referred by Council portion of the City Council agenda, as appropriate.

May these Council Norms be administered and enforced in the following manner:

1. Councilmembers have the primary responsibility to assure that ethical standards are understood and City Council/RSA Agenda 5 Tuesday, May 28, 2024
met by the Council, and that the public can continue to have full confidence in the integrity of government.

2. The Mayor and the Council have the responsibility to intervene when action of its members are in violation of Council Norms.

3. The City Council can review and revise the Council Norms as needed.

4. During City Council discussions, deliberations, and proceedings, the Mayor is designated with the primary responsibility to ensure that Councilmembers adhere to the Council Norms.

CERTIFICATION OF MEETING NOTICE AND AGENDA POSTING
This notice/agenda was posted at least 72 hours in advance of the meeting date, in accordance with the Ralph M. Brown Act, on the City's Website and on the bulletin board of City Hall.

City Council/RSA Agenda 6 Tuesday, May 28, 2024
Agenda Item
ATTACHMENTS:

Description Type
2024 New Haven School Foundation Earth Day Poster Contest Presentation
Attachment
City Council/RSA Agenda 7 Tuesday, May 28, 2024
2024 New Haven School Foundation’s
Earth Day Poster Contest
Michael Ritchie, New Haven Schools Foundation Vice President Shruti Kumar, New Haven Unified School District Board Vice President City Council/RSA Agenda 8 Tuesday, May 28, 2024
New Haven Schools Foundation (NHSF)
• Supports New Haven Students, Teachers, and Staff for 40+ years • Over $240,000 in student scholarships for 2024
• $108,000+ in teacher grants for 2024
Annual NHSF Earth Day Events
• Poster Contest
• 2024: Fourth year, 60+ student participants
• Fun Run
• April 29, 2024: 280 participants
| 2024 New Haven School Foundation's Earth Day Poster Contest 2 City Council/RSA Agenda 9 Tuesday, May 28, 2024
| 2024 New Haven School Foundation's Earth Day Poster Contest 3 Myo A.

Overall Winner
Eastin Elementary
City Council/RSA Agenda 10 Tuesday, May 28, 2024
| 2024 New Haven School Foundation's Earth Day Poster Contest 4 Vishvaa N.
1st Place, Grades K-1 Category
Eastin Elementary
City Council/RSA Agenda 11 Tuesday, May 28, 2024
| 2024 New Haven School Foundation's Earth Day Poster Contest 5 Hardy W.
1st Place, Grades 2-3 Category
Eastin Elementary
City Council/RSA Agenda 12 Tuesday, May 28, 2024
| 2024 New Haven School Foundation's Earth Day Poster Contest 6 Jimmy S.
1st Place, Grades 4-5 Category
Emanuele Elementary
City Council/RSA Agenda 13 Tuesday, May 28, 2024
| 2024 New Haven School Foundation's Earth Day Poster Contest 7 Lakshay A.
1st Place, Grades 6-8 Category
Itliong Vera-Cruz Middle
City Council/RSA Agenda 14 Tuesday, May 28, 2024
Thank You to Our
2024 NHSF Earth Day Poster Contest
Winners!
City Council/RSA Agenda 15 Tuesday, May 28, 2024
Agenda Item
ATTACHMENTS:

Description Type
Proclamation Attachment
City Council/RSA Agenda 16 Tuesday, May 28, 2024

CITY OF UNION CITY

PROCLAMATION
In Recognition of June 2024 as LGBTQ+ Pride Month
WHEREAS, the City of Union City proudly acknowledges and celebrates its diverse Lesbian, Gay, Bisexual, Transgender, and Queer (LGBTQ+) community and is dedicated to fostering visibility, dignity, equity, and inclusion for all residents; and
WJEREAS, June is recognized as LGBTQ+ Pride Month in commemoration of the June 1969 Stonewall Uprising, where patrons and supporters of the Stonewall Inn in New York City resisted police harassment and persecution, marking a pivotal moment in LGBTQ+ political activism; and WHEREAS, every human being is born free and equal in dignity and rights, and LGBTQ+ individuals have significantly contributed to the cultural, civic, and economic achievements of our nation; and WHEREAS, the nation has made considerable strides toward the equitable treatment of LGBTQ+ individuals, Union City celebrates this progress and reaffirms its unwavering commitment to the equal dignity of all; and
WHEREAS, celebrating LGBTQ+ Pride Month raises awareness, offers support, and advocates for the LGBTQ+ community in Union City, providing an opportunity to engage in dialogue, build alliances, promote acceptance, and advance equal rights; and
WHEREAS, the Pride Flag has become a symbol of LGBTQ+ since the 1970s, representing the diversity and resilience of the LGBTQ+ community.

NOW, THEREFORE, the City Council of the City of Union City does hereby proclaim the month of June 2024 as LGBTQ+ Pride Month, and on June 1, 2024, will raise the Pride Flag, flying it throughout the month of June to honor all LGBTQ+ residents whose enduring contributions enrich our vibrant community.

DATED this 28th day of May 2024
__________________________________
CAROL DUTRA-VERNACI, Mayor
__________________________________
JEFF WANG, Vice Mayor
__________________________________
JAIME PATIÑO, Councilmember
__________________________________
SCOTT SAKAKIHARA, Councilmember
__________________________________
GARY SINGH, Councilmember
City Council/RSA Agenda 17 Tuesday, May 28, 2024
Agenda Item
ATTACHMENTS:

Description Type
Action Minutes Attachment
City Council/RSA Agenda 18 Tuesday, May 28, 2024
May 14, 2024 | 7:00 PM Page 1 of 7
City Council / Successor Agency
Regular Meeting Minutes

MINUTES

CITY OF UNION CITY / SUCCESSOR AGENCY TO THE REDEVELOPMENT AGENCY

REGULAR MEETING
CAROL DUTRA-VERNACI, Mayor
JEFF WANG, Vice Mayor (District 3)
GARY SINGH, Councilmember (District 1)
JAMIE PATIÑO Councilmember (District 2)
SCOTT SAKAKIHARA, Councilmember (District 4)
Tuesday, May 14, 2024
7:00 PM
City Hall- Council Chamber
34009 Alvarado-Niles Road
Union City, CA 94587

1. CALL TO ORDER
The meeting was called to order by Vice Mayor Wang at 7:03 PM. Vice Mayor Wang announced that Councilmember Sakakihara was participating remotely pursuant to California Government Code Section 54953.

1.a. Pledge of Allegiance
Vice Mayor Wang led the Pledge of Allegiance.

1.b. Roll Call
Attendance Attendee Name
Present Councilmember Patiño
Councilmember Sakakihara (via Remote)
Councilmember Singh
Vice Mayor Wang
Absent Mayor Dutra-Vernaci

2. UNFINISHED BUSINESS
There were none.

City Council/RSA Agenda 19 Tuesday, May 28, 2024
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City Council / Successor Agency
Regular Meeting Minutes

3. PROCLAMATIONS AND PRESENTATIONS

3.a. Proclamation Recognizing May As Asian American, Native Hawaiian, And Pacific Islander Heritage Month
Vice Mayor Wang read the proclamation and presented it to Parks and Recreation Commission Chair Albert Chin, who made brief remarks.

3.b. Proclamation Recognizing May 12-18, 2024 As National Police Week To Honor The Dedication And Service Of The Union City Police Department Councilmember Patiño read the proclamation and presented it to Police Department members. Police Chief Rinetti made brief remarks.

3.c. Proclamation Recognizing May 19-25, 2024 As National Public Works Week
Councilmember Singh read the proclamation and presented it to Public Works Department members. Public Works Director Ayupan made brief remarks.

3.d. Presentation from Alameda County Mosquito Abatement District on Mosquito Prevention
Union City Representative Subaru Bhat introduced Public Outreach Coordinator Judith Pierce from Alameda County Mosquito Abatement District, who provided a presentation to the Council.

4. ORAL COMMUNICATIONS
Vice Mayor Wang opened Oral Communications. The following individuals spoke on items that were not on the agenda:

Kathy Chen
Ray Degrate
Bahin Bhatt
Wendy Huang
Anthony Wu
Albert Tsang
Julie Chen
Lama Stella
Kwok Choi Ng
There being no further speakers, Vice Mayor Wang closed Oral Communications.

Councilmember Patiño briefly made remarks regarding the comments made during Oral Communications.

City Council/RSA Agenda 20 Tuesday, May 28, 2024
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City Council / Successor Agency
Regular Meeting Minutes

5. CONSENT CALENDAR
Motion: Approve the Consent Calendar.

RESULT: Pass
MOVER: Councilmember Singh
SECONDER:Councilmember Patiño
AYES: Councilmembers Patiño, Sakakihara, Singh, and Vice Mayor Wang
NOES: None
ABSENT: Mayor Dutra-Vernaci

5.a. Approve the Minutes Of The January 9, 2024 City Council Special Meeting A motion was made to approve the minutes.

5.b. Approve the Minutes Of The January 9, 2024 City Council Regular Meeting
A motion was made to approve the minutes.

5.c. Approve the Minutes Of The January 23, 2024 City Council Special Meeting
A motion was made to approve the minutes.

5.d. Approve the Minutes Of The January 23, 2024 City Council Regular Meeting
A motion was made to approve the minutes.

5.e. Approve the Minutes Of The February 13, 2024 City Council Special Meeting
A motion was made to approve the minutes.

5.f. Approve the Minutes Of The February 13, 2024 City Council Regular Meeting
A motion was made to approve the minutes.

5.g. Approve the Minutes Of The April 23, 2024 City Council Regular Meeting A motion was made to approve the minutes.

5.h. Adopting A Resolution Approving And Authorizing The Mayor To Execute A Letter Of Support To Alameda County Supervisor Marquez Regarding A Proposed BMX Bike Park In Union City
A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6291-24

5.i. Adopt A Resolution Approving The Redistribution Of Unspent And Relinquished Funds For The City Council’s Travel Budget In FY 2023- 2024, In Addition To Returning Unused Funds To The General Fund A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6292-24
City Council/RSA Agenda 21 Tuesday, May 28, 2024
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City Council / Successor Agency
Regular Meeting Minutes

5.j. Adopt A Resolution Receiving And Accepting The Audited Financial Statements For The Fiscal Year Ended June 30, 2022 (FY 2021-2022) A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6293-24

5.k. Adopt A Resolution Authorizing The City Manager to Execute The First Amendment To The Consulting Services Agreement With M-Group For Planning Division Support, In A Form Approved By The City Attorney, To Increase The Agreement Amount By $175,500, For A Total Not To Exceed Amount of $250,000, And To Extend The Agreement To June 30, 2026 A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6294-24

5.l. Adopt A Resolution Authorizing The City Manager To Execute The Third Amendment To The Consulting Services Agreement With Cumming Group (Formerly Nova Partners, Incorporated), In The Amount Of $88,427, For A Total Contract Amount Of $338,000, For Construction Project Management Services For City-Owned Building Repairs And Renovations
A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6295-24

5.m. Adopt A Resolution Approving An Extension Of The Exclusive Negotiating Agreement With City Ventures Homebuilding LLC, For The Sale And Development Of A Portion Of The Gateway Property (Caltrans Site)
A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6296-24

5.n. Adopt A Resolution Authorizing The City Manager, Or Their Designee, To Submit The Required Funding Application And To Execute The Certifications, Assurances, And Authorized Agent Forms For The LowCarbon Transit Operations Program (LCTOP) For The Union City FLEA (Flexible, Local Easy, Access) Microtransit Expansion Of Service, In The Amount Of $229,992, And To Place The Award In The Transit Fund (5110) A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6297-24

5.o. Adopt A Resolution Accepting $3,000,000 From The Safe Routes To BART (SR2B) For The BART Pedestrian At-Grade Crossing Project, City Project No. 14-14, Increasing The Revenue Projections In The Capital Projects Fund By $3,000,000, Appropriating $3,000,000 To Project No. 14- 14, And Authorizing The City Manager To Sign The BART Grant Funding Agreement, In A Form Approved By the City Attorney
A motion was made to adopt the resolution.

Enactment No.: Resolution No. 6298-24
City Council/RSA Agenda 22 Tuesday, May 28, 2024
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City Council / Successor Agency
Regular Meeting Minutes

6. PUBLIC HEARINGS

6.a. Adopt A Resolution Accepting The 2023 General Plan Annual Progress Report and 2023 Housing Element Annual Progress Report
Associate Planner Dean provided the staff presentation. She, along with Economic Community Development Director Campbell and City Manager Malloy, responded to questions from councilmembers.

Vice Mayor Wang opened the Public Hearing at 8:47 PM. There being no speakers, Vice Mayor Wang closed the Public Hearing at 8:48 PM.

Motion: Adopt a resolution accepting the 2023 General Plan Annual Progress Report and the 2023 Housing Element Annual Progress Report consistent with the Planning Commission
recommendation.

RESULT: Pass
MOVER: Councilmember Singh
SECONDER: Councilmember Patiño
AYES: Councilmembers Patiño, Sakakihara, Singh, and
Vice Mayor Wang
NOES: None
ABSENT: Mayor Dutra-Vernaci

Enactment No.: Resolution No. 6299-24

6.b. Adopt A Resolution Approving The Fiscal Year 2024-2025 Master Fee Schedule
Finance Director Acosta provided staff presentation and responded to questions from councilmembers.

Vice Mayor Wang opened the Public Hearing at 8:56 PM. There being no speakers, Vice Mayor Wang closed the Public Hearing at 8:57 PM.

Motion: Adopt a resolution approving the proposed Fiscal Year 2024-2025 Master Fee Schedule.

RESULT: Pass
MOVER: Councilmember Patiño
SECONDER: Councilmember Singh
AYES: Councilmembers Patiño, Sakakihara, Singh, and Vice Mayor Wang
NOES: None
ABSENT: Mayor Dutra-Vernaci

Enactment No.: Resolution No. 6300-24

7. CITY MANAGER REPORTS
There were none.

City Council/RSA Agenda 23 Tuesday, May 28, 2024
May 14, 2024 | 7:00 PM Page 6 of 7
City Council / Successor Agency
Regular Meeting Minutes

8. SUCCESSOR AGENCY TO REDEVELOPMENT AGENCY
There were none.

9. CITY COMMISSION / COMMITTEE REPORTS
There were none.

10. ITEMS REFERRED BY COUNCIL
Councilmember Sakakihara reported on the Revenue Ad-hoc Committee, AVA Community Energy Board of Directors, and Parks and Recreation Commission.

Councilmember Patiño reported on the League of California Cities Latino Caucus.

Councilmember Singh reported on the Human Relations Commission and the League of California Cities East Bay Division Meeting.

Vice Mayor Wang reported on the AWMA Programs & Administration Committee and the League of California Cities East Bay Division Meeting.

11. GOOD OF THE ORDER
Councilmember Sakakihara reported his attendance at the New Haven Day, New Haven 5K Fun Run, a building electrification webinar, Union City Boulevard Bike Lane Project community information meeting at the Mark Green Sports Center, and toured a wind farm in Livermore.

Councilmember Patiño reported his attendance at the Texas Roadhouse Tip-A-Cop, Dia de los Niños event at Searles Elementary, and the National Association of Latino Elected Officials Board of Directors Meeting. He will also be flying to Denver, CO, for a forum with other local elected officials from across the country.

Councilmember Singh reported his attendance at the New Haven Day and Union City Boulevard Bike Lane Project community information meeting. He requested the Council direct staff to look into the Project Labor Agreement. City Manager Malloy suggested that the Legislation and Policy Committee review this and guide the Council on the next steps. The Council accepted her suggestion with no objections to Councilmember Singh’s request.

Vice Mayor Wang reported his participation at the New Haven Day and the Asian American, Native Hawaiian, and Pacific Islander meeting in San Francisco.

The Council directed staff to investigate the unauthorized street closures at New Haven Day at James Logan High School and to address the lack of clear signage for the no-left turn on Alvarado-Niles Road onto H Street.

12. CLOSED SESSION
There were none.

13. ADJOURNMENT
Vice Mayor Wang adjourned the meeting at 9:09 PM.

City Council/RSA Agenda 24 Tuesday, May 28, 2024
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City Council / Successor Agency
Regular Meeting Minutes
I HEREBY CERTIFY that the foregoing minutes were duly and regularly adopted at a regular meeting of the City Council/Successor Agency to the Redevelopment Agency of the City of Union City.
/s/Thai Nam Pham, MMC, CPMC
City Clerk/Secretary for the Successor Agency to the Redevelopment Agency City Council/RSA Agenda 25 Tuesday, May 28, 2024
Agenda Item
DATE: 5/28/2024
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: THAI NAM PHAM, CITY CLERK
SUBJECT: ADOPT A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF

UNION CITY, CALIFORNIA, CALLING AND GIVING NOTICE OF THE

HOLDING OF A GENERAL MUNICIPAL ELECTION TO BE HELD ON
TUESDAY, NOVEMBER 5, 2024, FOR THE ELECTION OF CERTAIN
OFFICERS; REQUESTING THE BOARD OF SUPERVISORS OF THE

COUNTY OF ALAMEDA TO CONSOLIDATE A GENERAL MUNICIPAL
ELECTION TO BE HELD ON TUESDAY, NOVEMBER 5, 2024, WITH THE

GENERAL ELECTION TO BE HELD ON THAT DATE PURSUANT TO
SECTION 10002 OF THE ELECTIONS CODE, AND REQUESTING
CERTAIN SERVICES OF THE REGISTRAR OF VOTERS; AND

ESTABLISHING REGULATIONS FOR CANDIDATE STATEMENTS ON

THE SAMPLE BALLOT
This report proposes the adoption of a resolution to officially call for a General Municipal Election on November 5, 2024. This election will include the positions of one (1) at-large Mayor and one (1) Councilmember from District 1. Additionally, it requests the Board of Supervisors of the County of Alameda to consolidate this municipal election with the general election on the same date, as authorized by Section 10002 of the Elections Code. The report also seeks approval for specific regulations regarding candidate statements.

STRATEGIC PLAN ALIGNMENT
There is no Strategic Plan Alignment. This item is required to calla Municipal Election.

BACKGROUND
The City of Union City holds its General Municipal Elections on the first Tuesday after the first Monday in November of even-numbered years, in accordance with Ordinance No. 630-04. Adopting Ordinance No. 896- 22 led to the establishment of a Council District Map for Union City.

City Council/RSA Agenda 26 Tuesday, May 28, 2024
The next General Municipal Election is scheduled for November 5, 2024. This election will allow voters to elect one (1) Mayor, serving at large, and one (1) Councilmember for District 1. The positions are currently occupied by Mayor Carol Dutra-Vernaci and Councilmember Gary Singh, whose terms conclude December 10, 2024.

Pursuant to California Elections Code Section 10002, the City plans to request the Alameda County Board of Supervisors to consolidate the municipal election with the county's general election, aiming to enhance the efficiency and accessibility of the voting process. The deadline for the consolidation request is July 3, 2024.

The nomination period for interested candidates opens on July 15, 2024, and closes on August 9, 2024.

Notably, Mayor Dutra-Vernaci, having served three consecutive terms, is not eligible for reelection due to term limits. Therefore, her position is exempt from the provision that extends the nomination period until August 15, 2024, should the incumbent not file by the initial deadline. This extension encourages broader participation from potentialcandidates for the available positions.

DISCUSSION
Pursuant to Section 10402 of the Elections Code, the City Council shall adopt a Resolution: (1) calling for an election to be held Tuesday, November 5, 2024; (2) requesting the assistance of the Registrar of Voters in conducting said election; and, (3) adopting regulations for candidates’ statements. If the City Council does not adopt the resolution, the City will be required to run the election in compliance with all Elections Code requirements.

FISCAL IMPACT
With Union City’s registered voter population at 40,622 and 9,364 for District 1 as of May 28, 2024, the estimated maximum cost for election services is $260,000.00, excluding potential ballot measures or initiatives.

Given the discrepancy between budgeted funds and projected costs, additional appropriations may be necessary. Accurate costs will be determined post-election, and further council action for budget adjustments may be required.

RECOMMENDATION
Staff recommends that the City Council adopt a Resolution Calling and Giving Notice of the Holding of a General Municipal Election to be Held on Tuesday, November 5, 2024, for the Election of Certain Officers; Requesting the Board of Supervisors of the County of Alameda to Consolidate a General Municipal Election to be held on Tuesday, November 5, 2024, with the General Election to be Held on that Date Pursuant to Section 10002 of the Elections Code, and Requesting Certain Services of the Registrar of Voters; and Establishing Regulations for Candidate Statements on the Sample Ballot.

Prepared by:

Thai Nam Pham, City Clerk
Submitted by:

Thai Nam Pham, City Clerk
City Council/RSA Agenda 27 Tuesday, May 28, 2024
ATTACHMENTS:

Description Type
Draft Resolution Resolution
City Council/RSA Agenda 28 Tuesday, May 28, 2024
RESOLUTION NO. XXXX-24

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF UNION

CITY, CALIFORNIA, CALLING AND GIVING NOTICE OF THE

HOLDING OF A GENERAL MUNICIPAL ELECTION TO BE HELD ON
TUESDAY, NOVEMBER 5, 2024, FOR THE ELECTION OF CERTAIN
OFFICERS; REQUESTING THE BOARD OF SUPERVISORS OF THE

COUNTY OF ALAMEDA TO CONSOLIDATE A GENERAL
MUNICIPAL ELECTION TO BE HELD ON TUESDAY, NOVEMBER 5,
2024, WITH THE GENERAL ELECTION TO BE HELD ON THAT DATE PURSUANT TO SECTION 10002 OF THE ELECTIONS CODE, AND

REQUESTING CERTAIN SERVICES OF THE REGISTRAR OF
VOTERS; AND ESTABLISHING REGULATIONS FOR CANDIDATE

STATEMENTS ON THE SAMPLE BALLOT
WHEREAS, under the provisions of the laws relating to general law cities in the State of California, a General Municipal Election shall be held on November 5, 2024, for the election of Municipal Officers; and
WHEREAS, §13307 of the California Election Code provides that the City may adopt regulations pertaining to materials prepared by any candidate for a municipal election, including costs of the candidate’s statement.

WHEREAS, in accordance with Elections Code §10400, local elections which are called to be held on the same date in territory which is wholly or partially the same may be consolidated by the Registrar of Voters upon receipt of request for same from the jurisdictions involved at least 88 days prior to the date of said elections; and
WHEREAS, it is desirable that the General Municipal Election be consolidated with the Statewide General Election to be held on the same date and that within the City the precincts, polling places and election officers of the two elections be the same, and that the Registrar of Voters of the County of Alameda canvass the returns of the General Municipal Election, and that the election be held in all respects as if there were only one election; and WHEREAS, pursuant to Elections Code §10403.5 the City desires to request the County to render special services to the City with respect to the conduct of the City’s Municipal Election to be held on November 5, 2024, and the County is agreeable to provide these services; and WHEREAS, §13307 of the Elections Code of the State of California provides that the City Council adopt regulations pertaining to materials prepared by any candidate for a municipal election, including costs of the candidate statement.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF UNION CITY,

CALIFORNIA, DOES RESOLVE, DECLARE, DETERMINE AND ORDER AS FOLLOWS:

SECTION 1. Pursuant to the requirements of the laws of the State of California relating to General Law Cities, there is called and ordered to be held in the City of Union City, California, on Tuesday, November 5, 2024. The purpose City Council/RSA Agenda 29 Tuesday, May 28, 2024
Resolution No. XXXX-24
Calling the 2024 General Municipal Election and Establishing Candidate Statement Regulations

of this General Municipal Election is:
 To elect one (1) Mayor, serving at large, for a full term of four (4) years; and
 To elect one (1) City Council Member from District 1, for a full term of four (4) years, with the boundaries of District 1 as established by Union City Ordinance No. 896-22.

SECTION 2. The ballots to be used at the election shall be, in form and content, as required by law.

SECTION 3. The polls for the election shall be open at seven o’clock a.m. of the day of the election and shall remain open continuously from that time until eight o’clock p.m. of the same day when the polls shall be closed, except as provided in § 14401 of the Elections Code of the State of California.

SECTION 4. In all particulars not recited in this resolution, the election shall be held and conducted as provided by law for holding municipal elections.

SECTION 5. Notice of the time and place of holding the election is given and the City Clerk is authorized, instructed, and directed to give further or additional notice of the election, in time, form and manner as required by law.

SECTION 6. Pursuant to § 10002 of the Elections Code, the Board of Supervisors of the County of Alameda is hereby requested to consent and agree to the consolidation of the General Municipal Election with the General Election on Tuesday, November 5, 2024, for the purpose of electing One (1) Mayor, at large; and One (1) Member of the City Council from District 1.

SECTION 7. The County election department is authorized to canvass the returns of the General Municipal Election. The election shall be held in all respects as if there is only one election, and only one form of ballot shall be used.

SECTION 8. Pursuant to California Elections Code §10262 (b), the City Clerk, upon receipt of the results of the consolidated election, shall certify the results to the City Council no later than the next regularly scheduled meeting of the City Council following the presentation of the returns, or at a special meeting called for this purpose, to declare the results and to install the newly elected officers.

SECTION 9. The Board of Supervisors is requested to issue instructions to the Registrar of Voters to take any and all steps necessary for the holding of the consolidated election.

SECTION 10. The City of Union City recognizes that the County will incur additional costs because of this consolidation and agrees to reimburse the County based on the County’s established consolidation rate.

SECTION 11. Pursuant to Elections Code §§ 10551 and 15651, if any two or City Council/RSA Agenda 30 Tuesday, May 28, 2024
Resolution No. XXXX-24
Calling the 2024 General Municipal Election and Establishing Candidate Statement Regulations

more persons receive an equal and the highest number of votes for an office to be voted for within the city, the Council shall proceed to determine the election of such candidates by lot.

SECTION 12. Pursuant to §13307 of the Elections Code of the State of California, each candidate for elective office to be voted for at the General Municipal Election on November 5, 2024, may prepare a candidate statement on an appropriate form provided by the elections official. The statement may include the candidate's name, age, and occupation and a brief description of no more than 200 words of the candidate’s education and qualifications expressed by the candidate himself or herself.

SECTION 13. In accordance with California Government Code §10228 and the City of Union City’s Master Fee Schedule, the candidate shall be required to pay a filing fee of $25.00 when submitting nomination papers.

SECTION 14. The candidate shall be required to pay for the cost of printing, translating, and mailing the candidate statement and shall make a deposit of $2,500.00 at the time his/her nomination papers are filed. The candidate shall be refunded any overage or billed for any additional costs within 30 days of the Alameda County Registrar of Voters' actual accounting of said costs.

SECTION 15. The City Council hereby directs the City Clerk to certify the passage and adoption of this Resolution and to enter it into the book of original resolutions.

SECTION 16. The City Clerk is directed to forward a certified copy of this resolution to the Board of Supervisors of Alameda County and the Registrar of Voters of Alameda County.

SECTION 17. The City Clerk is hereby directed to ensure the notice of the General Municipal Election is published in accordance with the California Elections Code, specifically adhering to the timelines established in §§ 12101 and 12102. This notice shall be published in a newspaper of general circulation within the City of Union City no earlier than the 127th day before the election and no later than the 113th day before the election.

SECTION 18. This Resolution shall be effective immediately upon its adoption.

City Council/RSA Agenda 31 Tuesday, May 28, 2024
Resolution No. XXXX-24
Calling the 2024 General Municipal Election and Establishing Candidate Statement Regulations

PASSED, APPROVED, AND ADOPTED by the City Council of the City of Union City at a regular meeting held on this 28th day of May 2024 by the following vote:

AYES:

NOES:

ABSENT:

ABSTAIN:

APPROVED:

CAROL DUTRA-VERNACI
Mayor
ATTESTED: APPROVED AS TO FORM:

THAI NAM N. PHAM
City Clerk
KRISTOPHER J. KOKOTAYLO
City Attorney
City Council/RSA Agenda 32 Tuesday, May 28, 2024
Agenda Item
DATE: 5/28/2024
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: JOAN MALLOY, CITY MANAGER
SUBJECT: ADOPT A RESOLUTION OF THE CITY COUNCIL OF THE CITYOF

UNION CITYAPPROVING THE REVISED RECORDS AND

INFORMATION MANAGEMENT POLICY
This report recommends the Counciladopt a revised Records and Information Management Policy (RIM Policy) for the City of Union City. The revision reflects significant technologicaladvancements, aligns with updated legal requirements, including recent changes brought about by AB 473, and integrates best practices from internalassessments and other jurisdictions.

STRATEGIC PLAN ALIGNMENT
The Records and Information Management Policy revisions support the City’s strategic goals of Governance and Organization Effectiveness (Goal B) and Environmental Sustainability and Infrastructure (Goal D). Updating the City’s records management practices aims to enhance its administrative efficiency and ensure the long-term preservation of vitalcity records. This policy revision aligns with the City’s commitment to professional best practices, supporting transparent and accountable governance, and promoting sustainable management of our informational resources.

BACKGROUND
Since the last update, codified in Resolution No. 4192-11 on July 26, 2011, significant changes in technology and legislation have made it necessary to review and revise the City’s RIM Policy. The proposed revision incorporates modern digital solutions, such as the transition to DocuWare from Laserfiche, and updates to compliance measures to meet current standards set forth by recent legislation, including AB 473.

DISCUSSION
The proposed revisions to the Records and Information Management Policy include several significant updates aligned with current technologicaladvancements and legislative changes. Key elements of the update include:

Integration of DocuWare: Replacing Laserfiche with DocuWare as the new Electronic Document City Council/RSA Agenda 33 Tuesday, May 28, 2024
Management System (EDMS) to enhance document management, security, and accessibility.

Legislative Compliance with AB 473: The revision accounts for the changes brought about by the enactment of AB 473 by the California state legislature. This act has made several amendments to the Public Records Act, necessitating updates to the records management practices to ensure continued compliance. The revised policy reflects these changes, specifically updating the sections related to public access to records, ensuring that practices remain aligned with state requirements.

Provision for Destruction of Physical Files: Integration of DocuWare: Replacing Laserfiche with DocuWare as the new Electronic Document Management System (EDMS) to enhance document management, security, and accessibility.

Enhanced Digital Records Management: The policy revision emphasizes the importance of digital records management in enhancing operational efficiency and accessibility. By leveraging DocuWare's capabilities, the City can better manage its digital records lifecycle, from creation and use to maintenance and eventual disposition. This approach supports sustainability goals by reducing paper use and enhancing the security and integrity of city records.

Security and Privacy Enhancements: The revised policy strengthens measures to protect sensitive and confidential information with the increasing risks associated with digital data. This includes enhanced encryption methods, secure access protocols, and regular audits to ensure that the integrity and security of records are always maintained.

These updates provide a robust framework for managing Union City's records, reflecting current technologies, legal standards, and best practices. The revised policy willensure that the City remains at the forefront of efficient and effective records management, supporting transparency, accountability, and improved service delivery.

FISCAL IMPACT
There is no fiscal impact to the General Fund. Implementing the revised RIM Policy is expected to be absorbed within the existing budget allocations for the City Clerk’s office. While minimal direct costs are associated with adopting the policy, improvements in records management efficiency are anticipated to reduce long-term operationalcosts.

RECOMMENDATION
Staff recommends that the Counciladopt the attached resolution of the City Council of the City of Union City approving the revised Records and Information Management Policy. This resolution will replace the previously adopted Resolution No. 4192-11 and reflect the necessary updates for current and future records management needs.

Prepared by:

Thai Nam Pham, City Clerk
Submitted by:

Thai Nam Pham, City Clerk
ATTACHMENTS:

City Council/RSA Agenda 34 Tuesday, May 28, 2024
Description Type
Attachment - Draft Records Management Policy (Redlined) Attachment Draft Resolution Resolution
Exhibit A - Draft Records Management Policy Exhibit
City Council/RSA Agenda 35 Tuesday, May 28, 2024

CITY OF UNION CITY

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UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 1 of 52

1. PURPOSE
City Council/RSA Agenda 36 Tuesday, May 28, 2024

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City of Union City
Records and Information
Management Policy
City Council/RSA Agenda 37 Tuesday, May 28, 2024

CITY OF UNION CITY

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UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 2 of 52
City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 2 of 26 Table of Contents
Introduction ..................................................................................................................................................... 4 Modifications and Additions of This Manual ................................................................................................ 4 Contact Us .................................................................................................................................................. 6 Chapter 1 - Establishing a Records Management System ............................................................................. 7 Designating a Records Coordinator ............................................................................................................ 7 Record Inventories ...................................................................................................................................... 7 Chapter 2 - Governance and Administrative Responsibilities ........................................................................ 9 City Council ................................................................................................................................................. 9 City Manager ............................................................................................................................................... 9 City Attorney ............................................................................................................................................... 9 City Clerk .................................................................................................................................................... 9 Department Directors ................................................................................................................................ 11 Records Coordinators ............................................................................................................................... 11 City Staff ................................................................................................................................................... 11 Chapter 3 - Definitions .................................................................................................................................. 12 Chapter 4 - Filing & Storage Practices ......................................................................................................... 18 Choosing Files to Maintain ........................................................................................................................ 18 Selecting Storage Areas ........................................................................................................................... 18 Naming Conventions ................................................................................................................................. 19 File System Index ..................................................................................................................................... 19 File Tracking ............................................................................................................................................. 19 Disposition ................................................................................................................................................ 19 Chapter 5 - Electronic Files .......................................................................................................................... 20 Retention of Original Documents: ............................................................................................................. 20 Electronic File Storage .............................................................................................................................. 20 File Formats .............................................................................................................................................. 23 Storage ..................................................................................................................................................... 26 Chapter 6 - Identifying Records .................................................................................................................... 28 What is a Record? .................................................................................................................................... 28 City Council/RSA Agenda 38 Tuesday, May 28, 2024

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City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 3 of 26 Non-Records ............................................................................................................................................. 28 Chapter 7 - Access, Privacy, and Freedom of Information ........................................................................... 31 Records Exempt from Disclosure ............................................................................................................. 31 Fees .......................................................................................................................................................... 34 Chapter 8 - Disposition of Records ............................................................................................................... 35 Preservation of Permanent Records ......................................................................................................... 35 Imaging of Records ................................................................................................................................... 35 Destruction of Records ............................................................................................................................. 36 Chapter 9 - City of Union City Retention Schedule ...................................................................................... 38 Maintenance of the City’s Record Retention Schedule ............................................................................. 38 Utilization of the Record Retention Schedule ........................................................................................... 38 Appendix A - Records Inventory ................................................................................................................... 41 Conducting a Records Inventory ............................................................................................................... 41 Inventory Worksheet ................................................................................................................................. 41 Appendix B - Box Label ................................................................................................................................ 24 Appendix C – Records Disposition Authorization ......................................................................................... 25 City Council/RSA Agenda 39 Tuesday, May 28, 2024

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City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 4 of 26 Introduction
This Records and Information Management Program Policy (“("Policy”)") establishes comprehensive and uniform methods for the cost -effective and efficient management of the City’sCity's public records (including creation, utilization, maintenance, security, retention, storage, preservation, and destruction),) in accordance with legal requirements and professional standards.

1. Effective records management is vital for the City of Union City to support staff in their work and ensure the efficient operation of our municipality. Accessible records benefit our dedicated employees and uphold the public's right to examine the City's records, which document our rich history. This manual serves as a comprehensive guide, equipping City staff with the knowledge and tools necessary for effective records management and preserving our valuable records.

In addition to the City's established records management policies, staff must comply with other local, state, and federal mandates governing records retention. These mandates provide essential guidance and direction to ensure the proper handling and accessibility of records.

The California Public Records Act (CPRA), passed by the California State Legislature in 1968 and amended over time, grants the public access to government information, following the Federal Freedom of Information Act (FOIA) model. While most records created and held by the City are generally open to public examination, specific exemption categories exist. Further details regarding these exemptions can be found in this manual, as well as in the California Government Code or its successor, along with relevant case law.

Within the State of California, the elected Secretary of State is responsible for establishing the Local Government Records Program (CA GC§12236). This program, established in 1999 with the assistance of the City Clerk Association of California, is overseen by the State Archives to ensure proper records management at the local level.

The City Council of Union City provides guidance and adopts policies governing record production, maintenance, preservation, and disposition at the local level. This guidance is reflected in the City's Record Retention Schedule, which is created, implemented, and regularly updated by the City Clerk to meet evolving needs and legal requirements.

On July 26, 2011, the Union City Council adopted the City Records and Information Management (RIM) Policy, marking an important milestone in our commitment to effective records management.

In 2021, the state legislature enacted the CPRA Recodification Act (AB 473). Effective January 1, 2023, this act renumbered and reorganized the CPRA into a new Division 614 of the Government Code, beginning at §7920.005. Importantly, AB 473 was intended to be entirely non-substantive in effect, with no substantial changes to the law relating to public records inspection. Every provision of this act shall be applied to Division 614 and AB 73 in a manner consistent with the non-substantive intent of the act.

Modifications and Additions of This Manual
As records management practices evolve, this manual will require periodic modifications and additions to remain realistic and effective. Retention periods and disposition requirements may change over time, necessitating updates. The Office of the City Clerk welcomes comments and suggestions for necessary modifications and additions to ensure the ongoing relevance of this manual.

City Council/RSA Agenda 40 Tuesday, May 28, 2024

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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 5 of 52
City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 5 of 26 City Council/RSA Agenda 41 Tuesday, May 28, 2024

CITY OF UNION CITY

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UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 6 of 52
City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 6 of 26 Contact Us
For further information on any records management or preservation issues, please contact:

Office of the City Clerk
34009 Alvarado-Niles Road
Union City, CA 94587
(510) 675-5448
City Council/RSA Agenda 42 Tuesday, May 28, 2024

CITY OF UNION CITY

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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 7 of 52
City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 7 of 26 Chapter 1 - Establishing a Records Management System
Every day, the City of Union City generates records that document the government's actions and the community's history. The City is responsible for effectively maintaining and managing these records, ensuring their preservation as essential evidence with enduring and permanent value.

Records management encompasses more than records' retention, storage, and disposition. It includes all the requirements and practices related to record-keeping that enable an organization to establish and maintain control over information flow and administrative operations. A comprehensive records management system controls and manages records throughout their life cycle, from creation through active use, inactive storage, and final disposition. Retaining records beyond their necessary duration can lead to an accumulation of documents, making management challenging and potentially hindering the organization's efficient operation, especially when many of these documents may no longer hold value.

Objectives of a Records Management System:
 Develop policies and procedures for records management.  Conduct a survey or inventory of records in all formats.  Utilize technology for creating, storing, and retrieving records.  Properly destroy records at the end of their retention period and document destruction.  Store inactive records in a cost-effective and secure location.  Identify and preserve vital records.
 Identify and preserve permanent records.
 Develop a disaster preparedness plan to protect and recover records.  Implement filing and indexing systems.

Benefits of a Strong Records Management Program:
 Space savings.
 Reduced expenses for filing equipment.
 Increased efficiency in information retrieval.
 Compliance with records retention requirements.
 Identification and protection of vital records.
 Control over the creation of new records.
 Identification of historical records.

Designating a Records Coordinator
Each department will need to identify a person who will assist in coordinating the department's records program and understand the retention disposition of department records. This person does not necessarily have to hold a formally designated position solely responsible for records oversight. Often, it is someone to whom the Department Head can delegate decision-making authority over the department's records.

Record Inventories
An essential step in establishing a records management system is identifying existing records. Agencies must be aware of what records they have, their storage locations, the volume of records, and how they are utilized.

Inventories are not detailed lists of every single page or document. Instead, they are conducted at the record City Council/RSA Agenda 43 Tuesday, May 28, 2024

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City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 8 of 26 category level and should include:
 Record Category –This should align with the City's Record Retention Schedule. New record categories may be identified and added to the retention schedule during the inventory process.  What Format(s) is the Record Kept In – It is important to note if the record exists in multiple formats or locations. For example, is the record stored as hard copies in the file room and electronically on a computer drive? Ideally, records should not be duplicated across multiple locations. However, it is crucial to identify all storage locations during the inventory to avoid duplications.  The Length of Retention of the Records – It is important to be as specific as possible, including the purpose of the retention period.

When well-planned, record inventories should take at most a few days or weeks of staff time to conduct. The City Clerk is available to prepare and assist staff in conducting record inventories and subsequently establishing a records management system. It is recommended to begin the inventory with active records and those unique to the department's function. This inventory should include all records, regardless of format or storage location.

Once the categories are identified, they should be described in a way that even someone unfamiliar with the department or the City can easily understand the content of each series.

For a sample worksheet, refer to Appendix A.

City Council/RSA Agenda 44 Tuesday, May 28, 2024

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Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 9 of 26 Chapter 2 - Governance and Administrative Responsibilities This chapter defines key city officials' and departments' roles and responsibilities in governing and administering the Records and Information Management (RIM) Policy. It ensures that all parties involved know their duties and expectations in maintaining the integrity and compliance of the city’s records management system.

City Council
The City Council is responsible for the Records and Information Management Policy. The Council's duties include:
 Reviewing and approving the Records and Information Management Policy and any amendments thereto.
 Approving the Records Retention Schedules and any modifications.  Ensuring the policy aligns with the city's strategic objectives and compliance requirements.

City Manager
The City Manager is responsible for the overall administration of the Records and Information Management Policy, delegated as follows:
 Ensuring the policy is implemented effectively across all city departments.  Overseeing the activities of the City Clerk in their role as the administrator of the RIM program.  Addressing any escalated issues related to records management.

City Attorney
The City Attorney’s responsibilities encompass the legal oversight of the RIM Policy, including:
 Providing legal review of proposed amendments to the policy or the Records Retention Schedules.  Advising on changes in the law that affect records management practices.  Managing legal holds on records destruction in cases of pending or anticipated litigation or regulatory inquiries.
 Reviewing and approving or denying requests for records destruction in compliance with the policy.  Ensuring that all disclosures and non-disclosures of records comply with applicable public records laws.

City Clerk
As the designated administrator of the Records and Information Management Program, the City Clerk is tasked with:
 Implementing, coordinating, and overseeing the RIM program.  Appointing a City Records Manager, if necessary, to assist in managing the RIM program.  Providing training and guidance to city departments on effective records management practices.  Developing and maintaining protocols for destroying records, ensuring compliance with the Records Retention Schedules.
 Conducting periodic audits to ensure departmental compliance with the policy.  Maintaining a comprehensive log of all actions related to the RIM program, including training, audits, and City Council/RSA Agenda 45 Tuesday, May 28, 2024

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Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 10 of 26 records destruction.

City Council/RSA Agenda 46 Tuesday, May 28, 2024

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UCCP #
Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 11 of 26 Department Directors
Each department director is responsible for:
 Implementing the RIM policy within their department.
 Appointing a Records Coordinator to manage day-to-day records management tasks.  Maintaining an updated inventory of all records and ensuring secure and efficient storage and retrieval.  Ensuring that all departmental records are managed according to the approved Records Retention Schedules.
 Coordinating with the City Clerk to address discrepancies or issues in records management practices.

Records Coordinators
Appointed by Department Directors, Records Coordinators handle the operational aspects of records management within their respective departments. Responsibilities include:
 Ensuring compliance with the RIM policy and the Records Retention Schedules.  Managing the active and inactive records, ensuring secure storage and timely destruction as per the schedules.
 Training departmental staff on records management procedures and best practices.

City Staff
Any City staff member who routinely works with the City's records, as required by their assignment, is responsible for:
 Reviewing this Policy and their department's Records Retention Schedule.  Maintaining the security of records that have been identified as confidential.  Retain duplicate Copies, Transitory Records, and Non-records only as long as they are of direct importance to the department's current operation.
 Surrendering all City records to their supervisors, the City Clerk, the City Manager, or the City Attorney when requested.
 Providing written notification to their Records Coordinator(s) and Department Director of any noncompliance with this Policy or the Records Retention Schedule.  Notifying the City Clerk and City Attorney of any requests for disclosure of records pursuant to the Public Records Act.

2. SCOPE
This Policy is established by the City in accordance with all relevant federal, state, and local laws, and contractual requirements. In particular, this Policy is established in accordance with the State records retention laws (Government Code §34090, et seq.) as well as the California Public Records Act (Government Code §6250, et seq.). Additionally, where relevant to the particular needs of the City’s management of records, the City has incorporated provisions from professional standards and guidelines. All written or electronic documents, sound, or video works created by employees in the course of executing the City’s business are records under this policy regardless of whether they are managed in a formal process by the employee’s department or kept by an employee or their work unit for reference or any other purpose.

AUTHORITIES
City Council/RSA Agenda 47 Tuesday, May 28, 2024

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Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 12 of 26 Chapter 3 - Definitions
This chapter defines key terms used throughout the Records and Information Management Policy.

Understanding these terms is crucial for the policy's effective implementation and management.

3. The legal authorities and professional guidelines applicable to the management of City records include the following:

3.1. Federal and State Law Numerous Federal and State laws related to minimum record retention requirements and statutes of limitations apply to different types of records. Each record series listed in the Records Retention Schedules will have applicable laws cited.

3.2. Government Code §34090 et seq. The principal provisions of California law applicable to City records retention requirements are addressed in Government Code §34090, et seq., which generally require original public records to be retained for a minimum of two years, and sets forth other requirements for the retention and destruction of specific public records. This Policy establishes the procedures consistent with the provisions within the state law for the destruction of original public records which have been retained for at least the minimum retention period and are no longer required by the City for business or historical purposes. The Policy also addresses the destruction of records which have been replaced by those copies stored on a Trusted System (“Trusted Copies”) (GC §34090.5) and the destruction of duplicates of city records (“Duplicate Copies”) (GC §34090.7). Per subsections of the code, the state law provisions do not authorize the destruction of:
a. Records affecting title to real property or liens thereon b. Court records
c. Records required to be kept by statute
d. Records less than two years old
e. The minutes, ordinances, or resolutions of the legislative body or of a city board, agency or commission

3.3. Government Code §6200 et seq. Except as otherwise provided by Government Code §34090 et seq., Government Code §6200 et seq. provides that any City employee who is found guilty of willfully destroying (including altering, falsifying, mutilating, defacing, or stealing, in whole or in part) a public record may be punished by imprisonment of up to four years.

3.4. Government Code §6250 et seq. The California Public Records Act (Government Code §6250 et seq.) provides definitions for “writings” and “public records” for the purpose of determining which public documents are required to be disclosed to the public upon request, and which public documents are confidential or otherwise exempt from disclosure.

3.5. Professional Standards and Suggested Retention Guidelines Selected professional associations and other governmental agencies, such as the California Secretary of State, the Department of Justice, and the City Clerk’s Association of California, have published standards, model retention guidelines, and/or articles recommending retention periods for different types of records. Although these standards and guidelines are not binding upon the City, the City will take these documents into consideration in establishing the City’s Records Retention Schedules and, where applicable, the City will identify deviations from these suggested guidelines within the Records Retention Schedules.

4. DEFINITIONS

4.1 Writing: As defined by Government Code §6252(f), "”7920.540, "Writing” means" includes any handwriting, typewriting, printing, photo statingphotocopying, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing, any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in whichhow the record has been stored.” .

4.2 Non-record Writing: Any Writing which is not within the definition of a Record. Examples of “Non-record City Council/RSA Agenda 48 Tuesday, May 28, 2024

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City Records Management Policy
City of Union City | Office of the City Clerk Page 13 of 26 Writings” include Writings that arewriting not directly related to the conduct of the City’sCity's business and/or are used specifically for. This includes reference including, but not limited to, text booksmaterials such as textbooks, brochures, catalogs, or seminar announcements.

4.3 Record / Public Records / City Records: As defined by Government Code §6252(e), ““Public Records” includes7922.505, these include 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 physicalits form or characteristics.” .

4.4 Record Series: A set of records which, as a whole, are created, stored, and maintained together. “Record Series” are used as a methodUsed to organize records by function and/or document type within the City.

Examples of different “Record Series” include, but are not limited to, Contracts, Purchase Orders, Resolutions, Minutes of official meetings, Time CardsTimecards, and Financial Statements.

4.5 Trusted System: As definedDefined by GC §12168.7(c), “’Trusted System’ means a ) as a combination of techniques, policies, and procedures for which there is no plausible scenario in whichthat ensure a document retrieved from or reproduced by document from the system could not differ substantially from the original stored document that is originally stored.”.

4.6 Trusted Copy: A “Trusted Copy” is a copy of an originally created record if the copy is createdproduced on a Trusted System. “Trusted Copies” are photographically or electronically generated documents, controlled by daily operational procedures and policies to ensure reasonable expectations of document integrity, and free from physical or electronic additions, subtractions or other unauthorized modifications that would change the content of the original document.
 Once a “Trusted Copy” is created, it . It replaces the original source document, and the “Trusted Copy” must then beis retained as the Official Record in accordance with the requirements of this Policy and the Records Retention Schedules.

4.7 Official Record: An “Official Record” is the The original record or “"Trusted Copy” having the" that holds legally recognized and enforceable quality of any writing containingas it contains information related to the conduct of the City’sCity's business.

4.8 Duplicate Copy: A record that is a copy of an Official Record if the copy is not within the definition ofdefined as a “"Trusted Copy”. In addition to." This includes hard- copies of Official Records, “Duplicate Copies” also include, but are not limited to,and electronic copies, such as database backups or other copies of electronic records.

4.9 Confidential Record: There are many sources of legal authority that define a “A "Confidential Record” including, but not limited to, the California Public Records Act, Government Code §6250 through §6270. Therefore, it would be impractical to list all definitions of a “Confidential Record” within this Policy. If there is any question as to whether a record is a Confidential Record, staff should consult with the City Clerk and/or City Attorney prior to disclosure.
 In general, a “Confidential Record” is" refers to any record not disclosed to the public unless directedmandated by court order. Examples of a “Confidential Record” may include, but are not limited to, the following, complying with specific statutory exemptions. The term encompasses a variety of records governed by distinct legal frameworks, including but not limited to the California Public Records Act, Government Code §7921.0000 through §7921.010. Specific examples of "Confidential Records" include:
a. Personnel records:
 Examples include anyRecords: This includes personnel, medical, or similar files, the where disclosure of which would causeconstitute an unwarranted invasion of personal privacy.

City Council/RSA Agenda 49 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
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Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 14 of 26 b. Pending Litigation or Claims: Records related to litigation or claims:
 In general, Government Code §6254 provides that when litigation or a claim is filed against the City, the records pertaining to the litigation or claim are exempt from public disclosure until the litigation or claim has been adjudicated or settled. such matters are resolved, as specified in Government Code §7927. c. Attorney/Client Privilege and Work Product: Communications from the City Attorney's office are presumed confidential, encompassing advice given within the scope of attorney-client privilege and or as part of attorney work product:.

As a general rule, it should be presumed that all communications from the City Attorney’s office on behalf of the City are subject to attorney/client privilege, and the communications should be protected accordingly. d. Police records and investigative reports:

Examples include, but are not limited to,Records and Investigative Reports: This includes a wide varietyarray of sensitive records, such as: police
 Police investigations, intelligence, analysis and conclusions  Information that may endanger the reports, information affecting public safety of any person  Juvenile, juvenile records
 Active, and active case files.

City Council/RSA Agenda 50 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 15 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 15 of 26 e. Feasibility studies for property acquisition or public contracts:
 Unless required to be disclosed by eminent domain law, feasibility studies relative to the acquisition of property, or to prospective public supply and construction contracts,Studies: These are not disclosed until all of the property has beenis acquired or until the contract or agreement has been contracts are executed unless otherwise required by law for property acquisition or public contracts. f. Proprietary information obtained by the City:

Proprietary Information: Non-disclosure applies when information will not be disclosed if any of the following apply:
(i) The outside is provided under the expectation of confidentiality, has not been previously disclosed, or where disclosure could harm the rightful interests of the party providing the information submits the information with the expressed intention to maintain the confidence. (ii) The information has not previously been disclosed to others. (iii) The outside party has a reasonable expectation that the information will be maintained in confidence based upon the manner by which the City obtained the information.  . Examples include, but are not limited to, financial informationdata or computer sourcesoftware code submitted as a condition of a license, permit or certificateprovided during licensing or certification processes.
g. State Board of Equalization data:

The City may collect and store confidential information about taxpayers and send (delete) this information to the California State Board of Equalization (Board). The City and the Board have a responsibility under the Data: In accordance with state law to protect this, confidential taxpayer information shared with or received from the Board is protected from unauthorized access, use, and disclosure.  Taxpayers may authorize the transmission of confidential information via e-mail by providing written authorization to the City or to the Board. If authorization is provided, the confidential information will Disclosure occurs only be sent to authorized individuals who havewith a legitimate business need to view, as explicitly authorized by the information (the taxpayer and/or their representative)..

In addition, the City also receives information from the Board that is confidential information regarding the sales tax generated by specific businesses in Union City that, under State law, is confidential.

Public Interest Balancing Test
If a writing does: Records not fitfitting a specific exemption category of exemption, the writing may still be exempt if it meets the Public Interest Balancing Test. According to GC §6255(a), “The agency shall justify withholding any record by demonstrating that the record in question is exempt under express provisions of [the Public Records Act] or that on the facts of the particular case the withheld if the public interest served by not disclosing the record in non-disclosure clearly outweighs the public interest served byin disclosure of the record.” Since there is a significant body of case law analyzing, according to Government Code §7922.000.

Determinations under this balancing test, City staff must consultbe made in consultation with the City Attorney’s office when determining whether a record may be disclosed upon request. , considering relevant case law.

4.10 Vital Record: Includes records that are neededRecords necessary to continue or resume basic City operations in the event ofduring a disaster.

4.11 Historical Records: RecordsThese are valuable torecords for future researchers that document the City's accomplishments, changes, and growth of the City.

City Council/RSA Agenda 51 Tuesday, May 28, 2024

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Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 16 of 26

4.12 Active Records: Records that are referenced and readily accessible in the general conduct of current City business.

4.13 Inactive Records: Records that are no longer referenced, nor or required to be readily accessible, in the general conduct of current City business. Such records may be stored at an off-site storage location or within the work area during During their required retention period, they may be stored off-site or within the work area.  Retention Period: A “Retention Period” is the The length of time that a particular record is retained by the City before it is disposed of in accordance with this according to the Policy. The “It is defined in the Records Retention Periods” for City records are identified on the Schedules.

4.14 Records Retention Schedules.

4.15 Records Retention Schedules: “Records Retention Schedules” list: Lists all record series which are prepared, owned, used, or retained by the City, and identifyspecifies the required retention period for each record series.

The “Records Retention Schedules”, and any amendments or updates, are approved. Approved by City Council resolution.

4.16 Citation(s): “Citations”Legal bases listed in the Records Retention Schedules are the legal bases forthat mandate a minimum retention period, as required by federal, state, regional and/, or local governmental agencies.

4.17 Office of Record (OOR): The department within the City that is responsible for maintaining a particular record series in accordance with as per this Policy and the Records Retention Schedules is considered the “Office of Record”. The Records Retention Schedules identify the “OOR” for each record series.. Typically, the “OOR” is the this department that originates the record. Exceptions may be noted on the Records Retention Schedules.

4.18 Transitory Records: A writing with only transitory (Writings of short-lived) value since the information is importance used forduring a relatively shortlimited period of time. Examples include, but are not limited to, the following documents that areand not retained in the ordinary course of business:
 Preliminary. This category includes preliminary drafts  Notes
 Interagency/, notes, and interagency or intra-agency memoranda .  Voicemail
 Handheld recorders
 Electronic Records: Records that contain informationdata in formats readable by machine or computer, and which may include informationelectronic devices. This encompasses various content types, such as text, numbers, graphs, line drawings, pictures, images, video or sound are considered “Electronic Records”. Examples of “videos, and sounds. Electronic Records are stored on diverse digital media including, but not limited to, solid-state drives (SSDs), cloud storage solutions, network-attached storage (NAS) systems, and other advanced data storage technologies, in addition to traditional media such as hard drives and USB flash drives.
 Electronic Mail (E-mail): A method of exchanging messages between people using electronic devices. It is transmitted via the Internet or other digital networks, allowing for instant communication and document sharing. It is used extensively in professional, academic, and personal contexts and can include attachments such as documents, images, and links.

City Council/RSA Agenda 52 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 17 of 26  Databases: Electronic files that manage and store information useful to the department or division. It may be modified over time through additions, deletions, or other data changes.  Media: Refers to the various physical and digital formats used to store and maintain records. This includes traditional media such as paper documents, photographic materials, and microfilms, as well as digital media such as solid-state drives (SSDs), cloud storage services, network-attached storage (NAS) systems, and other advanced data storage technologies. Media serves as the substrate on which data is encoded, preserved, and accessed, facilitating the retention and retrieval of information in accordance with the City’s Records Management Policy.
 Indexes and Metadata: Essential tools for data management that enhance the organization, discovery, and retrieval of records. Indexes facilitate quick access through systematic arrangements of record identifiers, such as titles and numbers. Metadata describes the attributes of records, including content, format, authorship, and creation dates, supporting data lifecycle management, compliance, and security. Both are crucial for efficient digital archiving and e-discovery in modern database systems.

City Council/RSA Agenda 53 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 18 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 18 of 26 Chapter 4 - Filing & Storage Practices
When considering filing or record-keeping, it is important to recognize that the City of Union City's practices apply to electronic and hard-copy records. All principles applicable to paper filing systems also hold for electronic filing systems. When establishing a filing system, departments should aim for simplicity, easy accessibility for all staff, department-wide use, and effective management to ensure proper and timely disposition.

Various methods can be used to establish a filing system, such as alphabetical, numerical, alphanumeric, function-based, or series-driven. Each type has pros and cons, and a solution should be found for citywide implementation. Regardless of the chosen filing system, records must be "filed" or maintained in accordance with the City's Record Retention Schedule. Contact the City Clerk for assistance in developing a filing system.

Choosing Files to Maintain
Maintaining filing systems, especially paper-based ones, can be costly, requiring expenses for filing supplies, space, and staff time for establishment, management, and retrieval. When determining which records to maintain, record coordinators should consider the following:
 Is this record listed on the City’s record retention schedule? All records kept at the department level should be listed on the Citywide or department-specific portion of the retention schedule.  Does this record exist electronically? Printing electronic records solely to have a paper copy is unnecessary.
 Is my department the office of record? If another department is responsible for maintaining a record, it may temporarily keep it in a working file but should avoid duplicating files. For instance, the Office of the City Clerk serves as the office of record for city council minutes, resolutions, and ordinances.

Departments do not need to maintain these records in paper or electronic files since they are easily accessible through a Citywide Electronic Content Management System (ECMS), such as DocuWare.

Selecting Storage Areas
When determining where files should be located, several factors should be considered:
 Is the file area easily accessible and centrally located for staff within the workgroup using the files?  Does the room meet the requirements for storing records, such as ease of opening and closing cabinets, climate control (not damp or wet), proper lighting, and absence of pests?  Can the room be secured to store sensitive or confidential records? Is access restricted to prevent unauthorized removal and ensure the orderly return of files? Paper files can become heavy, and their numbers can accumulate rapidly. To prevent toppling or collapse, shelving, and cabinets should be anchored securely. Select shelving capable of supporting 50 pounds per square foot. The spacing between shelves should accommodate the easy placement and removal of record storage boxes.

Storing Records” include, but are frequently accessed records in storage boxes is not ideal. Reserve storage boxes for records nearing the end of their active period or those intended for long-term storage. It is recommended to use uniform boxes measuring 15" x 10" x 12". Larger boxes can be more difficult to manage and move, while City Council/RSA Agenda 54 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 19 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 19 of 26 odd-sized or multiple-sized boxes do not stack well and may lead to hazardous collapses or damaged records.

Boxes should be filled but not packed so tightly that records cannot be easily inserted or removed. Staff should leave room for potential future additions when storing records in boxes. Boxes should be clearly labeled on both short ends, displaying the contents and disposition information. Refer to Appendix B for a Sample Box Label.

Naming Conventions
When establishing a naming convention system, staff should consistently use commonly understood words and terms for file naming, avoiding abbreviations or jargon. The naming convention designed for a paper filing system should also be usable in an electronic filing environment and vice versa. Typically, a naming system consists of the record category and date components. When departments assign project or permit numbers where the year is involved, the year should be represented as a four-digit date (e.g., 2011-0001, not 11-0001) to ensure clarity.

It is recommended to use categories established in the Record Retention Schedule. Additionally, spell out all words to avoid different abbreviations by different individuals. Universal records management abbreviations can be used where applicable.

File System Index
If a department uses a filing system index, it should list the filed records and their locations. The file location information can range from providing a high-level description of the record category and the office holding the files to providing specific details such as the room, file cabinet, and drawer. This index should be regularly updated as records are added or removed from the system and reviewed annually.

File Tracking
It is essential to track files as they are temporarily removed from filing cabinets or rooms or recalled from off-site storage. Sign-out cards can be used and inserted into the location from where the file was taken. The sign-out card should include the date of removal and the person responsible for the file. This practice ensures the system's integrity and aids in retrieving records when needed.

Disposition
In a paper filing system, folders can be set up with labels indicating when the records become eligible for disposition, along with the naming convention. If a folder contains records with different disposition dates, this information can be noted on the folder label. It alerts staff that the folder requires periodic review for the proper disposition of items. For electronic records stored in DocuWare, the disposition date is assigned upon entering the record into the system. If the department uses an electronic system other than DocuWare, this information should be included in the file title or metadata/properties.

4.19 It is important to remember that not limited to, the following:all records are meant to be retained indefinitely just because they exist. Filing systems must be reviewed annually, and records should be disposed of according to the records retention schedule. Permission should be obtained before disposing of records, and the approval documentation will serve as the record of the disposition process.

City Council/RSA Agenda 55 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 20 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 20 of 26 Chapter 5 - Electronic Files
The City of Union City utilizes an electronic repository where departments can store permanent and temporary documents. All electronic records must follow the retention schedule and be disposed of accordingly. The City utilizes DocuWare as our official Trusted System for storing electronic records.

Retention of Original Documents:

California Government Code 34090 et. seq. permits the City to destroy some original documents after they have been imaged and retained per the Secretary of State's Uniform Statewide Standards. DocuWare meets these standards and is the City’s Trusted System. However, certain historical records, like those affecting property titles and court records, must be retained in their original form, regardless of whether they have been imaged.

Electronic File Storage
While file management principles are similar for paper and electronic files, some differences exist. Electronic files should be treated like paper files regarding naming conventions, accessibility, retention, and disposition.

Additionally, electronic files can contain additional information called metadata.

Metadata:

Metadata is structured information that describes, explains, locates, or makes it easier to retrieve, use, or manage an information resource, as defined by the National Information Standard Organization. We should use clear and organized metadata to categorize records stored in DocuWare. This descriptive metadata helps in basic identification through preset fields.

Identifying the most relevant information that would assist someone searching for a record is important.

The metadata requirements should be simple and manageable to maintain.

Example:
 Audio or
video
recordings
 Electronic
mail
 Databases
 Digital
imagesType
 Presentation
graphics
 Word
processing
files
 Spreadsheet
files
 Voicem
ail:

Contract
Vendor Name : Valley Landscaping
Metadata : Agreement for landscape services at cityowned parks, facilities, and streetscape Project # : Project # 12-RFP-PW-362
“Electronic Records” reside on, but are not limited to, media such as magnetic disks or tapes, audio or video cassettes, optical disks, DVDs, CDs, hard drives, or memory sticks.

Inserted Cells
City Council/RSA Agenda 56 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 21 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 21 of 26

4.20 Electronic Mail (E-mail): Messages and communications transmitted over internal and external networks are considered “Electronic Mail”. The City considers “Electronic Mail” a transitory record, and the City’s policy on “Electronic Mail” is addressed in Section 6.1.7.

4.21 Databases: “Databases” consist of electronic files and fields of data, which manage and store information useful to the department or division. “Databases” are modified over time through the addition, deletion, or modification of data. “Databases” may be maintained by the City or hosted by outside sources. The specific policy regarding databases can be found in Section 6.1.8.

4.22 Media: The physical format in which a record is maintained including, but not limited to, paper, photographic, micrographic, computer storage, and any other recording or storage method.

4.23 Indexes and Metadata: Information supporting a record that is unique and distinguishes one record from another. “Indexes” and “Metadata” may include, but are not limited to, record titles, record series codes, sequential identification numbers, dates, Office of Record, project number, account number, or other source information describing the record’s contents. Such information, in and of itself, does not constitute a record. 5 RESPONSIBILITIES
Active management of the City’s records is required to ensure that the records are properly maintained. This section identifies elected officials and staff members responsible for managing the City’s records.

5.1 City Council
The City Council reviews and approves this Policy, the Records Retention Schedules, and any amendments to either the Policy or the Records Retention Schedules.

5.2 City Manager
The City Manager (or designee) shall be responsible for administering this Policy.

5.3 City Attorney
The City Attorney (or designee) shall be responsible for the following:
a. Providing legal review to any proposed amendments to this Policy or the Records Retention Schedules. b. Providing legal review of changes in the law relating to this Policy and the Records Retention Schedules. c. Notifying the affected OOR and the City Clerk when the City must suspend the destruction of records due to pending or potential litigation, discovery requests, or for any other reason. d. Reviewing all requests for records destruction and exercising discretion to approve or deny requests for destruction in accordance with this Policy.
e. Forwarding all approved requests for destruction to the City Clerk. f. Providing legal review of whether a record is a Confidential Record, and whether a record should be disclosed upon request pursuant to the Public Records Act.

5.4 City Clerk
The City Clerk (or designee) shall be responsible for the following:
a. Implementing and coordinating the City’s Records and Information Management (RIM) program. b. Appointing a City Records Manager to assist the City Clerk in the administration of this Policy. c. Disseminating information and providing RIM program training to departments. d. Establishing and maintaining a program to assist departments in the destruction of records once their respective retention periods have expired.
e. Assisting all departments in complying with this Policy. f. Providing written notification to the City Manager and Department Director of violations of the Records Retention Schedules and this Policy.
g. Performing periodic audits to assist departments in complying with the Records Retention Schedules and this Policy.

City Council/RSA Agenda 57 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 22 of 26 h. Providing written notification to the City Manager and Department Director of audit discrepancies within departments.
i. Providing review of changes in records management practices relating to this Policy and the Records Retention Schedules.
j. Providing review of any proposed amendments to this Policy or to the Records Retention Schedules, and coordinating comments in order to prepare recommendations for approval by City Council. k. Receiving City Attorney approved requests for records destruction for final review and processing. l. Analyzing whether certain records are subject to disclosure under the Public Records Act; and, reviewing and maintaining a log of all Public Records Act requests.
m. Maintaining the Official Record of all documents related to the City’s RIM program, and any amendments or updates thereto, including the following:
 Policy
 Records Retention Schedules
 Lists of Records Coordinators and alternates
 Master Index of Record Inventory Lists, as prepared by each department  Requests for Destruction of Records
 Authorizations to Destroy Records
 Certifications of Destroyed Records

5.5 Department Directors
Department Directors are responsible for the following:
a. Administering the City’s RIM program in their respective departments and overseeing the Policy parameters are implemented in a timely manner.
b. Appointing a Records Coordinator, and an alternate, to work with the City’s Records Manager to implement this Policy. Large departments with several divisions may have multiple Records Coordinators and alternates. c. Establishing and maintaining an inventory of departmental records and providing an updated copy to the City Clerk, when requested. The inventory shall identify the following aspects of each record:
 Associated records series
 Activity status (e.g. active, inactive)
 Media format of the Official Record
 Importance (e.g. vital, historical, confidential), where applicable d. Coordinating with the City Clerk in the development of a departmental Records Retention Schedule. e. Ensuring the security of records that have been identified as confidential. f. Periodically reviewing its departmental Records Retention Schedule to ensure that the schedule is complete, current and accurate.
g. Providing the City Clerk written proposed amendments to the Records Retention Schedule, when needed. h. Notifying the City Clerk of any information received regarding legal issues related to the retention of records within their department.
i. Notifying the City Clerk and City Attorney of any requests for disclosure of records pursuant to the Public Records Act. The only Department exempt from this is the Police Department, which has its own pre-approved response procedure for Public Records Act requests.
j. Reviewing proposed changes to the Records Retention Schedule, as prepared by the City Clerk and City Attorney, before presentation to the City Council for final adoption. k. Reviewing requests for the destruction of departmental records as authorized by this Policy and the Records Retention Schedules, and forwarding such requests to the City Attorney. l. Ensuring the destruction of Duplicate Copies, Transitory Records, and Non-Records in accordance with this Policy.
m. Providing written notification to the City Manager and the City Clerk of any discrepancies or violations of this Policy or the Records Retention Schedule within their department.

City Council/RSA Agenda 58 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 23 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 23 of 26

5.6 Records Coordinators
The Records Coordinator(s) for each department, under the direction of the Department Director, are responsible for:
a. Creating an index of department records series, and working with the City Clerk, or designee, to develop a Records Retention Schedule.
b. Informing and updating employees in the department about this Policy and the department’s Records Retention Schedule.
c. Ensuring that active records within the department are maintained according to methods described in this Policy and the department’s Records Retention Schedule.
d. Maintaining the security of records that have been identified as confidential. e. Maintaining a master inventory of all department records kept internally or at off-site storage facilities. f. Monitoring all records that are sent off-site for storage to ensure the records are properly packaged and labeled, accurately and completely inventoried, and assigned proposed destruction dates. g. Coordinating all requests to retrieve documents from off-site storage and ensuring that documents are returned to off-site storage in a timely manner.
h. Annually reviewing records and preparing a list of records eligible for destruction when the retention period has expired, as described in this Policy and the Records Retention Schedule. i. Providing written notification to their Department Director of any discrepancies or violations of this Policy or the Records Retention Schedule within their department.
j. Notifying the City Clerk and City Attorney of any requests for disclosure of records pursuant to the Public Records Act. The only Department exempt from this is the Police Department, which has its own pre-approved response procedure for Public Records Act requests.

5.7 City Staff
Any City staff member who routinely works with the City’s records, as required by their assignment, is responsible for:
a. Reviewing this Policy and their department’s Records Retention Schedule. b. Maintaining the security of records that have been identified as confidential. c. Retaining Duplicate Copies, Transitory Records and Non-records only as long as they are of direct importance to the current operation of their department.
d. Surrendering any and all City records to their supervisors, the City Clerk, City Manager, or City Attorney, when requested.
e. Providing written notification to their Records Coordinator(s) and Department Director of any noncompliance with this Policy or the Records Retention Schedule. f. Notifying the City Clerk and City Attorney of any requests for disclosure of records pursuant to the Public Records Act.
6 POLICY
The Policy
File Formats
When selecting a format for the management, document storage, there are two main considerations:

1. What electronic format is allowed for archival storage by the California Secretary of State?; and preservation,

2. What format is commonly used by staff and destruction of records is as follows:the public?

1. 6.1 Management of Records
City Council/RSA Agenda 59 Tuesday, May 28, 2024

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UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 24 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 24 of 26

6.1.1 Public Records Requests
All public records requests will be handled by the City Clerk, or designee. See also Section 6.1.6 regarding Confidential Records.

6.1.2 Access Controls
All documents, writings, or other forms of information produced or acquired by employees in the course of their duties are the exclusive property of the City. Employees shall have no expectation of privacy relating to City records.It is crucial to choose a format that is accessible and commonly understood. Additionally, the selected format should have market longevity and proven migration examples to ensure the records remain usable over time.

DocuWare supports various file formats, including Microsoft Office files, Portable Document Format and Format/A (PDF and PDF/A), and Rich Text Format (RTF).

City Council/RSA Agenda 60 Tuesday, May 28, 2024

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UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 25 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 25 of 26 When it is necessary for employees to work on documents away from the City, those documents must be returned to the City, and all copies deleted from the outside location, within 72 hours of final use or reference. Employees shall not have City records in such places as private homes, or on their own or other private computer equipment or media, except as provided above.

6.1.3 Migration of an Original Record to a Trusted Copy To ensure the accuracy of a Trusted Copy, employees of the OOR must follow the department’s approved process before replacing an original record. The process must be approved by the City Clerk.

Before designating a record as a Trusted Copy, legibility must be validated and indexes or metadata confirmed as accurately reflecting the content of the original record.

Once the Trusted Copy has been validated and designated as the Official Record, the original record shall be immediately destroyed in the approved manner.

6.1.4 Vital Records
Vital Records are those records needed to continue business operations in the event of a disaster, and will be identified as such on the Records Retention Schedules. Each department will be responsible for defining a Business Continuity Plan that includes the protection and maintenance of vital records. Examples of protection include, but are not limited to:
 Storing hard copies in a fire-resistant filing cabinet or area, or in a locked vault, either on site or off site.  Storing duplicate hard copies at a secure offsite facility for the duration of the retention life of the vital record.  Providing regular back-ups for electronic vital records.  Printing vital records on acid-free, archival quality paper.  Maintaining:
o A list of physical locations of vital records storage facilities and systems. o Access codes, passwords and/or keys for facilities and systems. o Equipment used to store vital records, or needed to access electronically stored vital records. o An inventory of vital records within the facility.
o Procedures for accessing the vital records.

6.1.5 Historical Records
Historical Records are records that are valuable to future researchers to document the accomplishments, changes and growth of the City. Record Series’ that may contain historical records will be identified within the Records Retention Schedules. Historical Records may be maintained within each department based on individual departmental procedures, or forwarded to the City Clerk’s office for archival storage.

In the normal course of business, the historical value of a record may not be apparent. Routine business practices may cause certain records to be destroyed before or after historical value is determined.

6.1.6 Confidential Records; Public Records Act Requests Confidential records must be maintained with sufficient security, and in accordance with applicable laws, to protect their contents from unauthorized access. Departmental procedures to ensure the security of confidential records will be the responsibility of the Department Director.

There are many sources of legal authority to exempt a record from disclosure including, but not limited to, the California Public Records Act and Government Code §6250 through §6270. It would be impractical to list all definitions of “confidential” records in this Policy. If there is any question as to whether or not a particular record should be designated as “confidential,” the Department Director will consult the City Attorney.

If a City staff person receives a request for records, they should contact the City Clerk. The only Department exempt City Council/RSA Agenda 61 Tuesday, May 28, 2024

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Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 26 of 26 from this is the Police Department, which has its own pre-approved response procedure for Public Records Act requests. Please note that the law requires the City to respond within ten (10) days of the City’s receipt of a request for records. Therefore, City staff should proceed in a timely manner.

6.1.7 E-mail Communication
E-mail messages and any electronic attachments will be reviewed regularly by the recipients to determine relevance to current City business. When relevant, the e-mail must be converted by the recipient to an electronic record, or printed in hard copy, and retained with the associated topic or record series (e.g. project file, purchase order, professional services agreement) for the required retention period as designated in the Records Retention Schedules.

Routine e-mail messages are comparable to telephonic communications and are considered either Transitory Records or Non-records. Such e-mail is not intended to be retained in the ordinary course of City business, and the informational content of such communications is neither necessary nor intended to be preserved for future City use or reference.

E-mail systems are not intended to be, and will not be, used for the electronic storage or maintenance of official records. Specific rules and regulations regarding e-mail usage are defined in the City’s Administrative Policy Memorandum No. 58.

All e-mail shall be removed and permanently deleted as defined by Administrative Policy Memorandum No. 58.

6.1.8 Databases
For records retention purposes, the City considers all databases, whether residing on City systems or hosted by an outside source, to be Transitory Records. The blanket retention period for databases is “Until Superseded” to reflect that only the current version has informational value to the City.

The OOR that uses, maintains and modifies a database must assure the information contained within the database is correct and accurate, and has the obligation to produce information from the database, as needed, to perform City business. Due to the transitory nature of databases, periodic reports produced from a database, and used for administrative, fiscal, legal or historical purposes, may become Official Records. Reports designated as Official Records must be maintained in accordance with the Records Retention Schedules.

For example, the City’s Annual Budget Report captures the financial position at the end of a fiscal year, and is used to inform the City Council, staff and citizens of the City’s financial state. Thus, the report must be retained for the retention period designated in the Records Retention Schedule to reflect operational needs.

6.2 Storage and Preservation of Records

6.2.1 Active Records
Storage and preservation methods for active Official Records must be approved by the City Clerk and meet all of the following minimum specifications:
a. Records must be stored and maintained using complete inventories and accurate indexes which allow them to be identified, retrieved and disposed of in an expeditious manner. b. Records must be maintained so they are readily accessible to conduct current City business. c. Storage systems for Official Records will accommodate hard-copy or electronic records, and must also conform to the requirements of a Trusted System. Migration of original records to electronic form requires a process that complies with Section 6.1.3 of this policy.

6.2.2 Inactive Records
Inactive records may be stored in a secured City facility or stored by a commercial service provider. An Off-site storage facility must:
a. Meet applicable state and local codes.

City Council/RSA Agenda 62 Tuesday, May 28, 2024

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Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 27 of 26 b. Provide protection from fire and intrusion.
c. Provide reasonable access to records in a timely manner.

Each department shall maintain an inventory of its inactiveThere are a variety of ways to store electronic files and media:
 Local computer storage: Storing files on individual computers is not recommended due to vulnerability and the risk of loss, theft, or damage.
 City network drive: Storing files on the City network via a network drive folder provides better security and backup options. However, access to network drives is often restricted, making it challenging to access city records. Additionally, records stored on network drives are rarely reviewed, purged, or automatically set to retention.
 USB, CD/DVD, or other removable drives: Storing records on removable drives is discouraged as they are vulnerable and difficult to restore if lost or damaged.  DocuWare: Ideally, all electronic records should be stored in DocuWare. This system offers security, redundancy, and retention capabilities, ensuring the integrity and accessibility of city records in storage.

Prior to sending.

City Council/RSA Agenda 63 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 28 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 28 of 26 Chapter 6 - Identifying Records
Under the California Public Records Act, a 'public record' is defined as any writing or recording that contains information related to the conduct of the public's business, regardless of its physical form or characteristics. This aligns with the City of Union City's understanding and interpretation. Records can include various forms, such as video and audio files and writings stored in computer systems used for conducting business.

Identifying records to storage, Duplicate Copies, Transitory Records, and Non-Records must be removed and destroyed is a crucial step in effective records management. By consulting the City's Retention Schedule, staff can easily determine if a material qualifies as a record. If the material is listed on the schedule, it must be maintained in accordance with the specified retention period. However, sometimes it can be challenging to determine if a document or media is a record when it is not mentioned on the schedule. In such cases, staff should follow the records test provided on the next page to help make an initial determination. If it is still unclear or the material is a record but not included on the schedule, staff should contact the City Clerk's Office for further assistance.

What is a Record?
Records encompass any writing or recording that contains information related to the City's business, regardless of its physical form or characteristics. This means that records can include video and audio files and writings stored in computer systems used for conducting business.

Certain records hold enduring administrative, fiscal, legal, or historical value and should be permanently retained.

These records require special care and consideration regarding storage conditions and long-term preservation.

Examples of permanent records include meeting minutes from Brown Act-governed bodies, resolutions, and ordinances. On the other hand, records with short-term value should be destroyed once their retention period expires.

Non-Records
While records cover a wide range of recorded information, not all materials the City holds qualify as records.

Here are examples of non-records:
 Identical copies of documents stored in the same file.  Extra copies of printed or processed materials.
 Superseded manuals and directives (kept outside the office of record).  Blank forms.
 Materials from other agencies, individuals, or businesses that require no action.  Catalogs, trade journals, publications, or papers received from government agencies, commercial firms, or private institutions that require no action and are not part of an active case record.

Non-records do not need to be scheduled for retention or undergo destruction authorization or reporting. To avoid excessive accumulation, retaining only current and useful materials is necessary, promptly destroying nonrecords once their purpose has been fulfilled. Staff should be careful not to mix non-record materials with records when filing.

City Council/RSA Agenda 64 Tuesday, May 28, 2024

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Adopted: May XX, 2024
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City of Union City | Office of the City Clerk Page 29 of 26 WHAT IS A RECORD?

1. Was the material mandated by statute
or regulation?

2. Does the material support a financial or
legal claim/obligation?

3. Is the material required to operate a
City program or provide program
support?

4. Was the material created or received
during City business?

5. Does the material document or
facilitate:
 The City’s actions
 Formulation of policies &
decisions City’s directives
 Board and committee meeting
minutes

6. Does the material protect government
and individual rights and interests?

7. Was the material filed, stored, or
otherwise systematically maintained by
the City?

8. Is the material appropriate for either
permanent or temporary preservation
by the City?

9. Does the material have administrative,
fiscal, or legal value?
If you answered yes to any of the questions,
the material is likely an official record. This
could include but is not limited to:
 Decision Papers;
 Correspondence;
 Video or Audio Files;
 Reports;
 Publications

If you answered no to the questions, the
material is most likely a non-record. This could
include but is not limited to:
 Materials that do not contribute to an
understanding of the City's operations or
decision-making processes;
 Materials that have no substantial
programmatic value;
 Extra copies of official records that are
obtained elsewhere, such as council staff
reports.

City Council/RSA Agenda 65 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 30 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 30 of 26 City Council/RSA Agenda 66 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 31 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 31 of 26 Chapter 7 - Access, Privacy, and Freedom of Information The City of Union City recognizes and supports the public's right to access the majority of records created and maintained by the City. In accordance with the California Public Record Request Act (CPRA), the City accepts, reviews, and responds to all public record requests received, regardless of the submission method, source, or purpose of the request. City staff is available to assist in identifying responsive records, describing the City's records and locations, and providing suggestions to ensure unobstructed public access to records.

The City must respond to all requests, either by providing the requested record or indicating that the record will be provided within ten calendar days. However, most requests can and should be fulfilled in a shorter timeframe.

It's important to note that a "response" does not necessarily mean the immediate production of records. It can also be an email or letter informing the requester of the availability of responsive records, stating that no records matching the request exist, or invoking the right for a 14-day extension in unusual circumstances.

As outlined in Chapter 6 and in accordance with the California Public Records Act, a 'public record' encompasses any writing or recording that contains information related to the City of Union City's conduct of public business.

This includes, but is not limited to, video recordings, database information, and other means of recording communication or representation. Staff should always refer to the previous chapter to understand what constitutes a record and the importance of differentiating between records and non-records.

Records Exempt from Disclosure
While the CPRA aims to ensure public access to records, it also outlines exemptions for certain information the City is prohibited from disclosing. These exemptions are defined in § 7927.5000 of the Government Code and case law. It's important to note that although the City may withhold these records, it can allow greater access if desired. However, "selective" or "favored" access is prohibited. Once a record is disclosed to one requester, it becomes public for all.

Exemptions can be categorized as exemptions provided under the CPRA, provided by other laws, and exemptions based on case law. Some examples of exemptions include employees' private papers unless they relate to public business, computer software developed by the City, records not yet in existence, attorney-client communications, certain home addresses, records concerning agency litigation, personnel, and medical files, police incident reports, and financial data submitted for licenses or permits. Staff still determining whether a record should be released, exempted, or redacted should consult with the City Clerk's Office or the City Attorney's Office for guidance. Below is a partial list of exemptions:
• Employees' private papers, unless they "relat[e] to the conduct of the public’s business [and are] prepared, owned, used, or retained by the agency." (CA GC §7920.530, or its successor). • Computer software "developed by a state or local agency ... includ[ing] computer mapping systems, computer programs, and computer graphic systems.” (§ 7922.585, or its successor). • Records not yet in existence: The CPRA covers only existing records, and an agency cannot be required to create a record, list, or compilation. “Rolling requests” for future-generated records are not permitted. • Attorney-client communications are confidential, including all communications between the City Attorneys, Department Heads, and staff (§§ 7927.705, 7927.205, 7930.110). • Home Addresses in DMV, voter registration, gun license, public housing, local agency utility, and public employee records are exempt, as are addresses of certain crime victims. (§§7923.600, City Council/RSA Agenda 67 Tuesday, May 28, 2024

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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 32 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 32 of 26 7923.800~7923.805, 7927.415, 7928.300, 7924.000, 7927.410, 7928.205). • Records concerning agency litigation are exempt, but only until the claim is resolved or settled. The complaint, claim, or records filed in court, records that pre-date the suit (e.g., reports about projects that eventually end in litigation), and final settlement records are public. (§§ 7927.200, 7927.205; Register Div. of Freedom Newspapers, Inc. v. County of Orange, 158 Cal. App. 3d 893 (1984)). • Personnel, medical and similar files are exempt only if disclosure would reveal intimate, private details. (§ 7927.700). Employment contracts are not exempt. (§ 7928.400). • Police Incident reports, rap sheets and arrest records are exempt (Penal Code §§ 11075, 11105, 11105.1), but the information in the “police blotter” (time and circumstances of calls to police; name and details of arrests, warrants, charges, hearing dates, etc.) must be disclosed unless disclosure would endanger an investigation or the life of an investigator. Investigative files may be withheld even after an investigation is over. (CA GC § 7923.600-7923.625). Identifying data in police personnel files and misconduct complaints are exempt, but disclosure may be obtained using special procedures under Evidence Code § 1043.
• Financial data submitted for licenses, certificates, or permits or given in confidence to agencies overseeing insurance, securities, or banking firms; tax, welfare, and family/adoption/birth records are exempt. (§§ 7929.000, 7927.705, 7928.000, 7930.005, or its successors).

Staff unsure whether a record should be released, exempted, or redacted should contact the City Clerk’s or Attorney’s Office.

Preparing a Response to a Records Request
When responding to a records request, staff shall provide a written response, such as an email or letter, unless the requestor cannot be reached in writing, in which case any telephone or in-person communication should be noted on the request form. Once the responsive documents are collected, they must be reviewed to ensure that only records eligible for disclosure are released and any necessary redactions and citations for withholding are completed. The staff member assisting with the request will notify the requestor when the records are available for review or provide them electronically or in person, as specified in the initial request. If there are any uncertainties regarding whether a record should be released, exempted, or redacted, staff should contact the City Clerk’s Office and/or the City Attorney’s Office for further guidance.

The California Public Record Act states that records should be provided in the format in which the City maintains them. The City can offer a different format, but it cannot require the requestor to accept an alternative format.

For example, if a record exists only on paper, the City cannot force the requestor to receive the document via email if they prefer to review it in person or purchase a photocopy.

The City is not obligated to create a record when a request is made. However, if records containing the requested information are already in the City’s possession, they must be provided. Creating a record may be appropriate in very limited situations, and guidance should be sought from the City Clerk’s Office to determine the best course of action.

If copies of records are requested, staff may require payment before making the copies. The response should include information about the identified responsive records, the total reproduction cost, and the provision that copies will be made once payment is received.

City Council/RSA Agenda 68 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 33 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 33 of 26 City Council/RSA Agenda 69 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 34 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 34 of 26 Fees
Requestors have the right to review requested records during regular business hours, under the presence of a City employee, in a manner that does not disrupt day-to-day operations. Duplication of records may be allowed, and fees for duplication are listed in the City’s Master Fee Schedule, which should be paid prior to providing copies of records. However, the City will not duplicate official architectural, engineering, and building plans without written permission from the licensed professional who prepared the plan(s) and the building owner, as required by California Health and Safety Code § 19851.

Requestors cannot be charged for staff time spent fulfilling a request, the cost of retrieving files from offsite storage, or any incidental research fee.

City Council/RSA Agenda 70 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 35 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 35 of 26 Chapter 8 - Disposition of Records
The proper disposition of records is an essential part of records management within the City of Union City. It involves the active, inactive, and final disposition period of records. During the active period, records are frequently used and readily accessible. The inactive period follows when the regular use of the record declines or ends, but the record still needs to be retained. The final disposition period is the end of the record's lifecycle, where a decision is made about the record, such as scanning it for long-term electronic storage or destroying it.

Proper disposition of records is crucial for protecting vital and historical records, ensuring compliance with regulatory retention requirements, and managing the costs of file maintenance, retrieval, and storage. The City of Union City primarily utilizes two types of record disposition: imaging of records to purge existing hard copies and the destruction of non-historical records at the end of the specified retention period. Prior authorization from the City Department Head, Office of the City Clerk, and Office of the City Attorney is required before any record destruction takes place. The completion of record management forms is necessary to obtain this authorization.

See Appendix C for copies of these forms and below for further details about processing requests.

Preservation of Permanent Records
The City recognizes its fundamental obligation to preserve its permanent records. In accordance with California Government Code § 12168.7, the City advocates for the utilization of digital preservation methods through a compliant Electronic Document Management System (EDMS), DocuWare. This modern approach ensures the integrity, authenticity, and accessibility of our records over time.

Digitally preserved records within DocuWare negate the necessity for physical copies as long as the digital copies are accurately scanned, verified, and stored within this Policytrusted system as defined by the Government Code.

This digital preservation approach extends to historical records such as resolutions, ordinances, and minutes of Brown Act-governed bodies, which can be securely and adequately preserved in digital format within DocuWare.

1. However, should there be a compelling legal or historical necessity, retaining original hard copies will be considered case-by-case, ensuring the City’s compliance with all applicable laws and regulations concerning record preservation.

The City is committed to maintaining a modern, compliant, and efficient records management practice that aligns with state guidelines and best practices, ensuring the long-term preservation and accessibility of its permanent records.

Imaging of Records
Before initiating a major project to scan records, staff should consult with the City Clerk’s Office for evaluation of current records and assistance in developing a plan to convert existing documents into electronic files using the Citywide Electronic Content Management System, DocuWare. The City Clerk’s Office has the expertise to ensure that all conditions for migration to DocuWare are met. DocuWare is not just a repository for records but also offers robust workflow capabilities.

DocuWare is best suited for managing records that exhibit one or more of the following characteristics:
• Multi-Departmental Usage: Records utilized by multiple departments or many individuals within a single department.

City Council/RSA Agenda 71 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 36 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 36 of 26 • Regular Access: Permanent records that are accessed frequently. • Long Retention Period: Records mandated for long-term retention. • Electronic Lifecycle: Records created, managed, and stored in an electronic format throughout their lifecycle.
• Public Demand: Records that are frequently requested by the public. • Voluminous Series: Record series that are extensive in volume, making onsite storage impractical, yet require frequent access, which would otherwise incur offsite storage and retrieval fees.

By consolidating records with these characteristics into DocuWare, we aim to optimize our records management processes, ensure compliance with retention schedules, and enhance accessibility while reducing storage and retrieval costs.

It is important to avoid scanning and storing records on local or internal drives, as they may lack necessary searching, storage, and security features. Storing records in this manner can strain the City’s information technology infrastructure and may not comply with the City’s Record Retention Schedule.

6.2 6.3 Destruction of Records

6.3.1 Destruction of Original Records After Migration to a Trusted Copy Once an original record has been migrated to a Trusted Copy, in accordance with the procedures for creating a Trusted Copy, the original record shall be immediately destroyed in the approved manner.

6.3.2 Destruction of Duplicate Copies
No Duplicate Copy will be maintained longer than the retention period of the Official Record, and may be destroyed at any time within the retention period.

Department Directors will ensure that employees follow the established procedures within Section 7 of this Policy.

Prior to the destruction of a Duplicate Copy, the employee shall ensure that:
a. The writing is, in fact, a Duplicate Copy and not an Official Record. b. The writing is no longer required for the operational needs of the department.

Duplicate Copies of certain records may be requested by, and provided to, outside entities via the California Public Records Act, legal discovery or other valid and approved methods of dispersion. The City realizes that it neither has control over, nor can it enforce the storage, management and disposal of, Duplicate Records released to outside entities.

6.3.3 Destruction of Transitory Records
A Transitory Record may be destroyed at any time. However, prior to the destruction of a Transitory Record, the employee shall consult with the City Clerk as needed and ensure that:
a. The writing is, in fact, a Transitory Record and not an Official Record. b. The writing is no longer required for the operational needs of the department.

6.3.4 Destruction of Non-Records:

A Non-Record may be destroyed at any time. Prior to the destruction of a Non-Record, the employee shall consult with the City Clerk as needed and ensure that:
a. The writing is, in fact, a Non-Record.
b. The writing is no longer required for the operational or reference needs of the department.

City Council/RSA Agenda 72 Tuesday, May 28, 2024

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RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 37 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 37 of 26 Destruction of Information on Obsolete Electronic EquipmentThe Records Retention Schedule is the legal authority for retaining and disposing of official records. Once records have met the minimum retention period specified in the schedule and are disposed of as approved by the Department Head, City Clerk, and City Attorney, they can be destroyed.

Records classified for destruction can be disposed of through traditional recycling methods. Records classified for secure destruction must be disposed of in a way that makes them unrecognizable and unusable, such as through shredding. The destruction process should be supervised by a City employee or performed by an approved agency. After obtaining authority to destroy obsolete records, the records can be destroyed, and a destruction inventory should be maintained.

Appendix C contains the Disposition Forms necessary for record disposition.

City Council/RSA Agenda 73 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 38 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 38 of 26 Chapter 9 - City of Union City Retention Schedule
The City of Union City has a comprehensive Record Retention Schedule that establishes the retention periods for various administrative, fiscal, and legal records of the City. The schedule is based on federal, state, and local mandates, business needs, and general knowledge regarding the appropriate duration for record retention. Each department is responsible for implementing the schedule for their specific records. However, there are certain exceptions and limitations to be considered:

1. Retaining Records: Departments should only retain records within the specified retention period indicated in the schedule. If there is a need to retain a record for a longer duration, the department should contact the City Clerk for assistance. Unnecessarily retaining records can be costly regarding space, filing equipment, and potential legal processes.

2. Litigation or Investigations: The schedule does not authorize the destruction of records that may be relevant to ongoing or pending litigation or investigations. Records potentially involved in such matters should be preserved until the legal issues are resolved.

The City’s Record Retention Schedule includes retention and disposition information for records common to multiple departments. Individual department schedules address records specific to each department. It is important to note that the City’s Record Retention Schedule is a comprehensive list that covers both records subject to release under the California Public Records Act (CPRA) and records exempt from the Act. While most records held by the City are releasable, some may be exempt.

Maintenance of the City’s Record Retention Schedule
Given the evolving nature of the City’s business practices, it is recognized that records, record types, and retention periods may require periodic updates. A thorough review and overhaul of the schedule is planned every five years. However, minor revisions and additions may be necessary in the interim. When such situations arise, staff should notify the City Clerk, who will initiate the schedule revision process. Revisions are typically submitted by department staff, reviewed by the City Clerk, and assessed by the City Attorney.

Utilization of the Record Retention Schedule
The Record Retention Schedule guides City staff regarding the appropriate length of time to retain records and the proper method for disposing of records that have exceeded their lifecycle. The next page provides a sample record from the Schedule and explanations of the categories used in the schedule.

City Council/RSA Agenda 74 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 39 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 39 of 26 Record Name
Whenever possible records have been combined into a series of like items for example “Ceremonial Documents”. In some cases, records are so unique that their record name stands alone such as “Building Permit”.

Also Called: When records go by more than one name, the alternative names are listed here.

Function: In this section the purpose or function of the record is described.

Content: A series of records may be comprised of several document types, documents that most likely will be found in this series are listed.

Total Retention: This is the total amount of time that the City is required, either by federal, state, local statute, or internal policy.

Disposition: Disposition refers to what will be done at the end of a records lifecycle; either:
destroyed, destroyed securely, or transferred to off-site storage Statutory
Reference:

This section will be used to note any applicable government code related to the record’s retention.

Location: Where the record is stored/can be found.

Note: Any other notes, exceptions, or special instructions relating to the record or record series are listed here.

Approval Date: This is the date that the specific record or record series was approved or updated.

Example:

Calendar and Scheduling Records
Also Called: Appointment books, work schedules, planners, daily assignment sheets Function:

Records kept that document and facilitate the routine planning and scheduling of meetings, appointments, daily tasks, work assignments, shift assignments, vacation and/or day off schedules.

Content: May include, but not limited to weekly schedule sheets, work schedules, appointment logs, and work assignment memos.

Total Retention: 2 years
Disposition: Destroy
Statutory
Reference:

CA GC §34090
Note: None
City Council/RSA Agenda 75 Tuesday, May 28, 2024

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UCCP #
Adopted: May XX, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 40 of 26 Approval Date: February 3, 2014
City Council/RSA Agenda 76 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 41 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 41 of 26 Appendix A - Records Inventory
Conducting a Records Inventory
A records inventory is a systematic process of gathering information for each file folder within an organization.

Conducting a thorough inventory helps understand the nature and volume of records held, aiding in making informed decisions regarding their storage, retention, or destruction. This process can significantly optimize storage space, potentially enabling the relocation of lesser-used files to inactive storage and destroying records that have met their retention periods based on the applicable laws and organizational policies. The information collected during the inventory process can be used in various ways in subsequent years, including:
 Locating and tracking old records stored in boxes or inactive storage areas.  Finding misfiled or lost file folders.
 Identifying and correcting inconsistencies in filing systems.  Creating an electronic master index for easy text searches.  Generating destruction lists and box labels.
 Managing the location of records stored off-site.
 Meeting the requirements for an index of records.
 Using in the event of a disaster to locate and protect valuable records.  Updating the retention schedule to ensure comprehensive coverage of all records.

Important Note: ORIGINAL records should not be destroyed until the destruction approval has been signed.

State law allows copies or drafts to be destroyed "when no longer required." Copies and drafts can be destroyed during the inventory process, provided the following conditions are met:
 You are certain the record is a copy or draft, not an original City record.  The record must be securely destroyed if it contains confidential data (e.g., citizens' names and phone numbers).

Inventory Worksheet
When conducting a records inventory, it is recommended to use a standardized form to ensure consistency in accounting for the files. This inventory should be conducted at the file level and include the precise location of each record. Use any available information to clearly identify the record's location, such as room names, room numbers, or geographical notations. For record rooms, it's helpful to label file cabinets and drawers. For example:

File cabinet: FC1
Drawers: a, b, c, etc.

Files in file cabinet 1, drawer b would be expressed as: FC1-b.

City Council/RSA Agenda 77 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 22 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 22 of 26 City Council/RSA Agenda 78 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 23 of 52
City Records Management Policy
City of Union City | Office of the City Clerk Page 23 of 26 City Council/RSA Agenda 79 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
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Adopted: May XX, 2024
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City of Union City | Office of the City Clerk Page 24 of 26 Appendix B - Box Label
When preparing records for storage in record boxes, it is important to ensure that the boxes are clearly labeled and organized for easy access. The following guidelines should be followed:
 Labels should be applied to the short end of each box for easy review of contents.  Boxes should be filled with records, but not packed so tightly that retrieval or insertion of records becomes difficult.
 A copy of the inventory should be placed inside the box on top of the records.

Sample Box Label:

Department & Division: Box #
Contents
Record Category Description/Note Date Range

Inventoried By (Print Name)/Date: Date Eligible for Destruction:

Example:

Department & Division: Facilities/Administration Box # 4 of 13 Contents
Record Category Description/Note Date Range
Correspondence City Infrastructure Project (admin) 1/2013 – 12/2014

Inventoried By (Print Name)/Date:

Tom Smith 4/5/2015
Date Box Eligible for Destruction: 12/2016
City Council/RSA Agenda 80 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 25 of 52
Adopted July 26, 2011 by City Council Resolution 4192-11 Prepared by Records Systems Associates, Inc. 25 City Records Management Policy
City of Union City | Office of the City Clerk Page 25 of 26 Appendix C – Records Disposition Authorization
City Council/RSA Agenda 81 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 26 of 52
Adopted July 26, 2011 by City Council Resolution 4192-11 Prepared by Records Systems Associates, Inc. 26 City Records Management Policy
City of Union City | Office of the City Clerk Page 26 of 26 City Council/RSA Agenda 82 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 27 of 52
Adopted July 26, 2011 by City Council Resolution 4192-11 Prepared by Records Systems Associates, Inc. 27 City Records Management Policy
City of Union City | Office of the City Clerk Page 27 of 26 City Council/RSA Agenda 83 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 28 of 52
Adopted July 26, 2011 by City Council Resolution 4192-11 Prepared by Records Systems Associates, Inc. 28 City Records Management Policy
City of Union City | Office of the City Clerk Page 28 of 26 City Council/RSA Agenda 84 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 29 of 52
Adopted July 26, 2011 by City Council Resolution 4192-11 Prepared by Records Systems Associates, Inc. 29 City Records Management Policy
City of Union City | Office of the City Clerk Page 29 of 26

6.3.5 Certain electronic equipment, including Trusted Systems, used by the City may contain methods of electronic storage of City information. This information may be captured and stored as the equipment is used in the normal course of business.

The City understands that, as electronic equipment and technology change, information processing systems and new storage methodologies may allow for the capture of confidential and non-confidential City information.

Prior to decommissioning the equipment, the responsible department shall ensure that all information relating to City business will be deleted or otherwise made illegible from any data storage systems on or within the equipment.

Under no circumstances shall any electronic equipment be released from City property for recycling, destruction or other disposition until the City information has been deleted. Written confirmation of the destruction of the information will be provided to the City Clerk.

6.3.6 Destruction of Non-paper Media Records
Official Records stored on non-paper media must be destroyed in a manner consistent with this Policy.

Documentation for the destruction of these records shall be prepared and retained in accordance with Section 7 of this Policy.

After all Official Records stored on non-paper media (e.g. magnetic tape, disks, diskettes or other magnetic medium) have been destroyed, the medium itself may be reused, recycled or destroyed. 7 PROCEDURES
The Procedures for the management, storage and preservation, and destruction of records are as follows:

7.1 Access to Electronic Records Systems
A Department Director, or designee, shall approve access to electronic records systems for any employees, contract employees, consultants, or volunteers, as needed to fulfill the requirements of their employment.

Any electronic records system is subject to audit on a periodic basis. An audit may include operations performed on the database, the date and time an operation occurred and by whom, the database record number, the database index and/or metadata associated with the record, or any other pertinent data where practical.

7.2 Process for Scanning and Imaging of City Records and Documents Laserfische is the City’s document management system for archiving electronic Trusted Copies and for electronic copies of documents for which there is no legal authorization for destruction (e.g. records affecting title to real property or liens thereon; minutes, ordinances, or resolutions of the legislative body or of a city board, agency or commission). These documents must be stored within Laserfische in “Tagged Image File Format” (TIFF), indexed as required by this Policy, and searchable utilizing Optical Character Recognition (OCR).

Laserfische is also used by departments as an operational tool for access and storage of documents related to current City business.

Procedures for scanning a hard-copy document as a TIFF image for storage in Laserfische as an Official Record shall be established and reviewed periodically by each department, based upon their specific needs. Priority shall be given to those records that must be retained on a permanent basis, and to those records which need to be frequently retrieved.

Examples of records eligible for scanning include, but are not limited to, the following:
 Ordinances & Resolutions
 Minutes
City Council/RSA Agenda 85 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 30 of 52
Adopted July 26, 2011 by City Council Resolution 4192-11 Prepared by Records Systems Associates, Inc. 30 City Records Management Policy
City of Union City | Office of the City Clerk Page 30 of 26  Plans and Permits
 Contracts and Agreements
 Approved Construction Plans
 Purchase Orders, Time Cards and other financial records Departments shall review and purge unnecessary documents from their records prior to scanning. Purging involves evaluating documents within a record, and discarding documents determined to be Transitory Records, Duplicate Copies or Non-Records after consulting with the City Clerk as needed.

After the TIFF images are created, the department shall verify the images are legible and complete. Images will be verified, indexed, and the OCR process completed as soon as possible after scanning occurs.

When creating an electronic Trusted Copy, the department must determine that the original record has been successfully transferred into electronic format as defined above. The original record will then be destroyed in accordance with this Policy.

Non-scanned images must be imported into Laserfische in TIFF format, indexed and the OCR process completed, thereby meeting all the same requirements as described above for scanned images.

These procedures will be evaluated by the City Clerk and updated, as needed.

7.3 Destruction of Official Records
Official Records, for which the retention period identified on the Records Retention Schedules has elapsed, will be destroyed in accordance with this Policy. Unless placed on legal hold by the City Attorney, records designated for destruction must be destroyed within the calendar year after the record expires.

A record that expires during the current calendar year must be destroyed by December 31st of the following calendar year. For example:

If expiration occurs on: Then destroy no later than:

January 1, 2011 December 31, 2012
December 31, 2011 December 31, 2012
Periodic reviews of records will be performed by Records Coordinators. Additionally, to ensure compliance with this Policy and the Records Retention Schedules, the City Clerk will annually designate a date (“Clean Your Files Day”) for departments to review their records and prepare requests for destruction.

Records for which the retention period has elapsed must be identified and included on an approved destruction request form, which is signed by the Department Director and forwarded to the City Records Manager. The City Records Manager will review the form for completeness and then forward the form to the City Attorney (or designee) for approval along with a complete inventory listing of the records to be destroyed.

Upon approval, the City Attorney shall return the form and inventory listing to the City Clerk for final review and processing.

Hard-copy records approved for destruction must be destroyed by the City Clerk (or designee) using one of the following methods:
 Recycle Bin: Expired documents that are not confidential.  Shredding: All other records approved for destruction.

NOTE: Confidential documents must be shredded by the City Clerk’s designee responsible for the destruction of those records. Commercial services may be used for destruction of paper documents, provided that destruction is completed at City facilities.

City Council/RSA Agenda 86 Tuesday, May 28, 2024

CITY OF UNION CITY

RECORDS AND INFORMATION MANAGEMENT PROGRAM POLICY
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 31 of 52
Adopted July 26, 2011 by City Council Resolution 4192-11 Prepared by Records Systems Associates, Inc. 31 City Records Management Policy
City of Union City | Office of the City Clerk Page 31 of 26 Destruction of Official Records in electronic format must follow the same approval process as outlined above for the destruction of hard-copy records. Upon approval, electronic records must be destroyed by the City Clerk (or designee) using methods that permanently delete the records.

The destruction process must include all Duplicate Copies of the Official Record.

Following the destruction of records, the City Clerk (or designee) shall certify that the records have been destroyed. All certificates of destruction shall be maintained by the City Clerk.

City Council/RSA Agenda 87 Tuesday, May 28, 2024

RESOLUTION NO. XXXX-24

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF

UNION CITY APPROVING THE REVISED RECORDS AND

INFORMATION MANAGEMENT POLICY
WHEREAS, effective records management ensures that the city maintains compliance with applicable laws and regulations, facilitates efficient city operations, and enhances the preservation of important historical and legal documents; and WHEREAS, the City Council previously adopted Resolution No. 4192-11 on July 26, 2011, which approved the existing Records and Information Management Policy; and WHEREAS, the existing Records and Information Management Policy has been reviewed and determined to require updates to align with current technological advancements and legal standards; and
WHEREAS, the proposed revisions to the Records and Information Management Policy, attached hereto as Exhibit A, include the integration of modern Electronic Document Management Systems, improved security protocols, and updated retention schedules; and WHEREAS, the City recognizes the need for ongoing policy adaptation to accommodate changes in state legislation and city requirements, as reflected by the inclusion of provisions for regular reviews and updates of the policy.

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

SECTION 1: The Records and Information Management Policy is hereby approved as revised and presented in Exhibit A.

SECTION 2: The City Clerk is authorized and directed to implement and administer the revised policy, ensuring all city departments comply with the updated practices and procedures outlined therein.

SECTION 3: The City Manager, City Attorney, and Department Directors are delegated responsibilities as detailed in the revised policy.

SECTION 4: The City Attorney is authorized to approve the destruction of records in accordance with the established Records Retention Schedules detailed in the revised policy.

SECTION 5: This resolution shall take effect immediately upon its adoption and supersedes Resolution No. 4192-11.

City Council/RSA Agenda 88 Tuesday, May 28, 2024
Resolution No. XXXX-24
Updating Records and Information Management Policy

PASSED, APPROVED, AND ADOPTED by the City Council of the City of Union City at a regular meeting held on this 28th day of May by the following vote:

AYES:

NOES:

ABSENT:

ABSTAIN:

APPROVED:

CAROL DUTRA-VERNACI
Mayor
ATTESTED: APPROVED AS TO FORM:

THAI NAM N. PHAM
City Clerk
KRISTOPHER J. KOKOTAYLO
City Attorney
Attachments:

1. Exhibit A – City of Union City Records and Information Management Policy City Council/RSA Agenda 89 Tuesday, May 28, 2024
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Adopted: May XX, 2024
CITY COUNCIL POLICY Page 1 of 31
City of Union City
Records and Information
Management Policy
City Council/RSA Agenda 90 Tuesday, May 28, 2024
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Adopted: May XX, 2024
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City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 2 of 26 Table of Contents
Introduction ................................................................................................................................................. 4 Modifications and Additions of This Manual ............................................................................................. 4 Contact Us............................................................................................................................................... 5 Chapter 1 - Establishing a Records Management System........................................................................... 6 Designating a Records Coordinator ......................................................................................................... 6 Record Inventories................................................................................................................................... 6 Chapter 2 - Governance and Administrative Responsibilities....................................................................... 8 City Council.............................................................................................................................................. 8 City Manager ........................................................................................................................................... 8 City Attorney ............................................................................................................................................ 8 City Clerk ................................................................................................................................................. 8 Department Directors............................................................................................................................... 9 Records Coordinators .............................................................................................................................. 9 City Staff .................................................................................................................................................. 9 Chapter 3 - Definitions............................................................................................................................... 10 Chapter 4 - Filing & Storage Practices....................................................................................................... 13 Choosing Files to Maintain..................................................................................................................... 13 Selecting Storage Areas ........................................................................................................................ 13 Naming Conventions.............................................................................................................................. 14 File System Index .................................................................................................................................. 14 File Tracking .......................................................................................................................................... 14 Disposition ............................................................................................................................................. 14 Chapter 5 - Electronic Files ....................................................................................................................... 15 Retention of Original Documents: .......................................................................................................... 15 Electronic File Storage........................................................................................................................... 15 File Formats........................................................................................................................................... 15 Storage.................................................................................................................................................. 16 Chapter 6 - Identifying Records ................................................................................................................. 17 What is a Record? ................................................................................................................................. 17 Non-Records.......................................................................................................................................... 17 City Council/RSA Agenda 91 Tuesday, May 28, 2024
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City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 3 of 26 Chapter 7 - Access, Privacy, and Freedom of Information......................................................................... 19 Records Exempt from Disclosure........................................................................................................... 19 Fees....................................................................................................................................................... 21 Chapter 8 - Disposition of Records ............................................................................................................ 22 Preservation of Permanent Records ...................................................................................................... 22 Imaging of Records................................................................................................................................ 22 Destruction of Records........................................................................................................................... 23 Chapter 9 - City of Union City Retention Schedule .................................................................................... 24 Maintenance of the City’s Record Retention Schedule........................................................................... 24 Utilization of the Record Retention Schedule ......................................................................................... 24 Appendix A - Records Inventory ................................................................................................................ 26 Conducting a Records Inventory ............................................................................................................ 26 Inventory Worksheet.............................................................................................................................. 26 Appendix B - Box Label ............................................................................................................................. 23 Appendix C – Records Disposition Authorization....................................................................................... 24 City Council/RSA Agenda 92 Tuesday, May 28, 2024
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City of Union City | Office of the City Clerk Page 4 of 26 Introduction
This Records and Information Management Program Policy ("Policy") establishes comprehensive and uniform methods for the cost-effective and efficient management of the City's public records (including creation, utilization, maintenance, security, retention, storage, preservation, and destruction) in accordance with legal requirements and professional standards.

Effective records management is vital for the City of Union City to support staff in their work and ensure the efficient operation of our municipality. Accessible records benefit our dedicated employees and uphold the public's right to examine the City's records, which document our rich history. This manual serves as a comprehensive guide, equipping City staff with the knowledge and tools necessary for effective records management and preserving our valuable records.

In addition to the City's established records management policies, staff must comply with other local, state, and federal mandates governing records retention. These mandates provide essential guidance and direction to ensure the proper handling and accessibility of records.

The California Public Records Act (CPRA), passed by the California State Legislature in 1968 and amended over time, grants the public access to government information, following the Federal Freedom of Information Act (FOIA) model. While most records created and held by the City are generally open to public examination, specific exemption categories exist. Further details regarding these exemptions can be found in this manual, as well as in the California Government Code or its successor, along with relevant case law.

Within the State of California, the elected Secretary of State is responsible for establishing the Local Government Records Program (CA GC§12236). This program, established in 1999 with the assistance of the City Clerk Association of California, is overseen by the State Archives to ensure proper records management at the local level.

The City Council of Union City provides guidance and adopts policies governing record production, maintenance, preservation, and disposition at the local level. This guidance is reflected in the City's Record Retention Schedule, which is created, implemented, and regularly updated by the City Clerk to meet evolving needs and legal requirements.

On July 26, 2011, the Union City Council adopted the City Records and Information Management (RIM) Policy, marking an important milestone in our commitment to effective records management.

In 2021, the state legislature enacted the CPRA Recodification Act (AB 473). Effective January 1, 2023, this act renumbered and reorganized the CPRA into a new Division 614 of the Government Code, beginning at §7920.005. Importantly, AB 473 was intended to be entirely non-substantive in effect, with no substantial changes to the law relating to public records inspection. Every provision of this act shall be applied to Division 614 and AB 73 in a manner consistent with the non-substantive intent of the act.

Modifications and Additions of This Manual
As records management practices evolve, this manual will require periodic modifications and additions to remain realistic and effective. Retention periods and disposition requirements may change over time, necessitating updates. The Office of the City Clerk welcomes comments and suggestions for necessary modifications and additions to ensure the ongoing relevance of this manual.

City Council/RSA Agenda 93 Tuesday, May 28, 2024
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City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 5 of 26 Contact Us
For further information on any records management or preservation issues, please contact:

Office of the City Clerk
34009 Alvarado-Niles Road
Union City, CA 94587
(510) 675-5448
City Council/RSA Agenda 94 Tuesday, May 28, 2024
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City of Union City | Office of the City Clerk Page 6 of 26 Chapter 1 - Establishing a Records Management System
Every day, the City of Union City generates records that document the government's actions and the community's history. The City is responsible for effectively maintaining and managing these records, ensuring their preservation as essential evidence with enduring and permanent value.

Records management encompasses more than records' retention, storage, and disposition. It includes all the requirements and practices related to record-keeping that enable an organization to establish and maintain control over information flow and administrative operations. A comprehensive records management system controls and manages records throughout their life cycle, from creation through active use, inactive storage, and final disposition. Retaining records beyond their necessary duration can lead to an accumulation of documents, making management challenging and potentially hindering the organization's efficient operation, especially when many of these documents may no longer hold value.

Objectives of a Records Management System:
 Develop policies and procedures for records management.  Conduct a survey or inventory of records in all formats.  Utilize technology for creating, storing, and retrieving records.  Properly destroy records at the end of their retention period and document destruction.  Store inactive records in a cost-effective and secure location.  Identify and preserve vital records.
 Identify and preserve permanent records.
 Develop a disaster preparedness plan to protect and recover records.  Implement filing and indexing systems.

Benefits of a Strong Records Management Program:
 Space savings.
 Reduced expenses for filing equipment.
 Increased efficiency in information retrieval.
 Compliance with records retention requirements.
 Identification and protection of vital records.
 Control over the creation of new records.
 Identification of historical records.

Designating a Records Coordinator
Each department will need to identify a person who will assist in coordinating the department's records program and understand the retention disposition of department records. This person does not necessarily have to hold a formally designated position solely responsible for records oversight. Often, it is someone to whom the Department Head can delegate decision-making authority over the department's records.

Record Inventories
An essential step in establishing a records management system is identifying existing records. Agencies must be aware of what records they have, their storage locations, the volume of records, and how they are utilized.

Inventories are not detailed lists of every single page or document. Instead, they are conducted at the record category level and should include:

City Council/RSA Agenda 95 Tuesday, May 28, 2024
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City Records Management and Information Policy
City of Union City | Office of the City Clerk Page 7 of 26  Record Category –This should align with the City's Record Retention Schedule. New record categories may be identified and added to the retention schedule during the inventory process.  What Format(s) is the Record Kept In – It is important to note if the record exists in multiple formats or locations. For example, is the record stored as hard copies in the file room and electronically on a computer drive? Ideally, records should not be duplicated across multiple locations. However, it is crucial to identify all storage locations during the inventory to avoid duplications.  The Length of Retention of the Records – It is important to be as specific as possible, including the purpose of the retention period.

When well-planned, record inventories should take at most a few days or weeks of staff time to conduct. The City Clerk is available to prepare and assist staff in conducting record inventories and subsequently establishing a records management system. It is recommended to begin the inventory with active records and those unique to the department's function. This inventory should include all records, regardless of format or storage location.

Once the categories are identified, they should be described in a way that even someone unfamiliar with the department or the City can easily understand the content of each series.

For a sample worksheet, refer to Appendix A.

City Council/RSA Agenda 96 Tuesday, May 28, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 8 of 26 Chapter 2 - Governance and Administrative Responsibilities This chapter defines key city officials' and departments' roles and responsibilities in governing and administering the Records and Information Management (RIM) Policy. It ensures that all parties involved know their duties and expectations in maintaining the integrity and compliance of the city’s records management system.

City Council
The City Council is responsible for the Records and Information Management Policy. The Council's duties include:
 Reviewing and approving the Records and Information Management Policy and any amendments thereto.
 Approving the Records Retention Schedules and any modifications.  Ensuring the policy aligns with the city's strategic objectives and compliance requirements.

City Manager
The City Manager is responsible for the overall administration of the Records and Information Management Policy, delegated as follows:
 Ensuring the policy is implemented effectively across all city departments.  Overseeing the activities of the City Clerk in their role as the administrator of the RIM program.  Addressing any escalated issues related to records management.

City Attorney
The City Attorney’s responsibilities encompass the legal oversight of the RIM Policy, including:
 Providing legal review of proposed amendments to the policy or the Records Retention Schedules.  Advising on changes in the law that affect records management practices.  Managing legal holds on records destruction in cases of pending or anticipated litigation or regulatory inquiries.
 Reviewing and approving or denying requests for records destruction in compliance with the policy.  Ensuring that all disclosures and non-disclosures of records comply with applicable public records laws.

City Clerk
As the designated administrator of the Records and Information Management Program, the City Clerk is tasked with:
 Implementing, coordinating, and overseeing the RIM program.  Appointing a City Records Manager, if necessary, to assist in managing the RIM program.  Providing training and guidance to city departments on effective records management practices.  Developing and maintaining protocols for destroying records, ensuring compliance with the Records Retention Schedules.
 Conducting periodic audits to ensure departmental compliance with the policy.  Maintaining a comprehensive log of all actions related to the RIM program, including training, audits, and records destruction.

City Council/RSA Agenda 97 Tuesday, May 28, 2024
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City of Union City | Office of the City Clerk Page 9 of 26 Department Directors
Each department director is responsible for:
 Implementing the RIM policy within their department.
 Appointing a Records Coordinator to manage day-to-day records management tasks.  Maintaining an updated inventory of all records and ensuring secure and efficient storage and retrieval.  Ensuring that all departmental records are managed according to the approved Records Retention Schedules.
 Coordinating with the City Clerk to address discrepancies or issues in records management practices.

Records Coordinators
Appointed by Department Directors, Records Coordinators handle the operational aspects of records management within their respective departments. Responsibilities include:
 Ensuring compliance with the RIM policy and the Records Retention Schedules.  Managing the active and inactive records, ensuring secure storage and timely destruction as per the schedules.
 Training departmental staff on records management procedures and best practices.

City Staff
Any City staff member who routinely works with the City's records, as required by their assignment, is responsible for:
 Reviewing this Policy and their department's Records Retention Schedule.  Maintaining the security of records that have been identified as confidential.  Retain duplicate Copies, Transitory Records, and Non-records only as long as they are of direct importance to the department's current operation.
 Surrendering all City records to their supervisors, the City Clerk, the City Manager, or the City Attorney when requested.
 Providing written notification to their Records Coordinator(s) and Department Director of any noncompliance with this Policy or the Records Retention Schedule.  Notifying the City Clerk and City Attorney of any requests for disclosure of records pursuant to the Public Records Act.

City Council/RSA Agenda 98 Tuesday, May 28, 2024
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City Records Management Policy
City of Union City | Office of the City Clerk Page 10 of 26 Chapter 3 - Definitions
This chapter defines key terms used throughout the Records and Information Management Policy.

Understanding these terms is crucial for the policy's effective implementation and management.  Writing: As defined by Government Code §7920.540, "Writing" includes any handwriting, typewriting, printing, photocopying, photographing, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing, any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, regardless of how the record has been stored.  Non-record Writing: Any writing not directly related to the conduct of the City's business. This includes reference materials such as textbooks, brochures, catalogs, or seminar announcements.  Record / Public Records / City Records: As defined by Government Code §7922.505, these include 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 its form or characteristics.  Record Series: A set of records which, as a whole, are created, stored, and maintained together. Used to organize records by function and/or document type within the City. Examples include Contracts, Purchase Orders, Resolutions, Minutes of official meetings, Timecards, and Financial Statements.  Trusted System: Defined by GC §12168.7(c) as a combination of techniques, policies, and procedures that ensure a retrieved or reproduced document from the system could not differ substantially from the original stored document.
 Trusted Copy: A copy of an originally created record produced on a Trusted System, controlled by operational procedures to ensure integrity, and free from unauthorized modifications. It replaces the original source document and is retained as the Official Record.  Official Record: The original record or "Trusted Copy" that holds legally recognized and enforceable quality as it contains information related to the conduct of the City's business.  Duplicate Copy: A copy of an Official Record not defined as a "Trusted Copy." This includes hard copies and electronic copies, such as database backups.
 Confidential Record: A "Confidential Record" refers to any record not disclosed to the public unless mandated by court order, complying with specific statutory exemptions. The term encompasses a variety of records governed by distinct legal frameworks, including but not limited to the California Public Records Act, Government Code §7921.0000 through §7921.010. Specific examples of "Confidential Records" include:
 Personnel Records: This includes personnel, medical, or similar files where disclosure would constitute an unwarranted invasion of personal privacy.  Pending Litigation or Claims: Records related to litigation or claims against the City are exempt from public disclosure until such matters are resolved, as specified in Government Code §7927.  Attorney/Client Privilege and Work Product: Communications from the City Attorney's office are presumed confidential, encompassing advice given within the scope of attorney-client privilege or as part of attorney work product.
 Police Records and Investigative Reports: This includes a wide array of sensitive records, such as police investigations, intelligence reports, information affecting public safety, juvenile records, and active case files.

City Council/RSA Agenda 99 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 11 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 11 of 26  Feasibility Studies: These are not disclosed until all property is acquired or contracts are executed unless otherwise required by law for property acquisition or public contracts.  Proprietary Information: Non-disclosure applies when information is provided under the expectation of confidentiality, has not been previously disclosed, or where disclosure could harm the rightful interests of the party providing the information. Examples include financial data or software code provided during licensing or certification processes.
 State Board of Equalization Data: In accordance with state law, confidential taxpayer information shared with or received from the Board is protected from unauthorized access, use, and disclosure.

Disclosure occurs only to authorized individuals with a legitimate business need, as explicitly authorized by the taxpayer.

Public Interest Balancing Test: Records not fitting a specific exemption category may still be withheld if the public interest in non-disclosure clearly outweighs the public interest in disclosure, according to Government Code §7922.000. Determinations under this test must be made in consultation with the City Attorney’s office, considering relevant case law.
 Vital Record: Records necessary to continue or resume basic City operations during a disaster.  Historical Records: These are valuable records for future researchers that document the City's accomplishments, changes, and growth.
 Active Records: Records that are referenced and readily accessible in the conduct of current City business.  Inactive Records: Records no longer referenced or required to be readily accessible in current City business. During their required retention period, they may be stored off-site or within the work area.  Retention Period: The length of time a particular record is retained by the City before it is disposed of according to the Policy. It is defined in the Records Retention Schedules.  Records Retention Schedules: Lists all record series prepared, owned, used, or retained by the City and specifies the required retention period. Approved by City Council resolution.  Citation(s): Legal bases listed in the Records Retention Schedules that mandate a minimum retention period, as required by federal, state, regional, or local governmental agencies.  Office of Record (OOR): The department responsible for maintaining a particular record series as per this Policy and the Records Retention Schedules. Typically, this department originates the record.  Transitory Records: Writings of short-lived importance used during a limited period and not retained in the ordinary course of business. This category includes preliminary drafts, notes, and interagency or intra-agency memoranda.
 Electronic Records: Records that contain data in formats readable by electronic devices. This encompasses various content types, such as text, numbers, graphs, line drawings, pictures, images, videos, and sounds.

Electronic Records are stored on diverse digital media including, but not limited to, solid-state drives (SSDs), cloud storage solutions, network-attached storage (NAS) systems, and other advanced data storage technologies, in addition to traditional media such as hard drives and USB flash drives.  Electronic Mail (E-mail): A method of exchanging messages between people using electronic devices. It is transmitted via the Internet or other digital networks, allowing for instant communication and document sharing. It is used extensively in professional, academic, and personal contexts and can include attachments such as documents, images, and links.

City Council/RSA Agenda 100 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 12 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 12 of 26  Databases: Electronic files that manage and store information useful to the department or division. It may be modified over time through additions, deletions, or other data changes.  Media: Refers to the various physical and digital formats used to store and maintain records. This includes traditional media such as paper documents, photographic materials, and microfilms, as well as digital media such as solid-state drives (SSDs), cloud storage services, network-attached storage (NAS) systems, and other advanced data storage technologies. Media serves as the substrate on which data is encoded, preserved, and accessed, facilitating the retention and retrieval of information in accordance with the City’s Records Management Policy.
 Indexes and Metadata: Essential tools for data management that enhance the organization, discovery, and retrieval of records. Indexes facilitate quick access through systematic arrangements of record identifiers, such as titles and numbers. Metadata describes the attributes of records, including content, format, authorship, and creation dates, supporting data lifecycle management, compliance, and security. Both are crucial for efficient digital archiving and e-discovery in modern database systems.

City Council/RSA Agenda 101 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 13 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 13 of 26 Chapter 4 - Filing & Storage Practices
When considering filing or record-keeping, it is important to recognize that the City of Union City's practices apply to electronic and hard-copy records. All principles applicable to paper filing systems also hold for electronic filing systems. When establishing a filing system, departments should aim for simplicity, easy accessibility for all staff, department-wide use, and effective management to ensure proper and timely disposition.

Various methods can be used to establish a filing system, such as alphabetical, numerical, alphanumeric, function-based, or series-driven. Each type has pros and cons, and a solution should be found for citywide implementation. Regardless of the chosen filing system, records must be "filed" or maintained in accordance with the City's Record Retention Schedule. Contact the City Clerk for assistance in developing a filing system.

Choosing Files to Maintain
Maintaining filing systems, especially paper-based ones, can be costly, requiring expenses for filing supplies, space, and staff time for establishment, management, and retrieval. When determining which records to maintain, record coordinators should consider the following:
 Is this record listed on the City’s record retention schedule? All records kept at the department level should be listed on the Citywide or department-specific portion of the retention schedule.  Does this record exist electronically? Printing electronic records solely to have a paper copy is unnecessary.
 Is my department the office of record? If another department is responsible for maintaining a record, it may temporarily keep it in a working file but should avoid duplicating files. For instance, the Office of the City Clerk serves as the office of record for city council minutes, resolutions, and ordinances.

Departments do not need to maintain these records in paper or electronic files since they are easily accessible through a Citywide Electronic Content Management System (ECMS), such as DocuWare.

Selecting Storage Areas
When determining where files should be located, several factors should be considered:
 Is the file area easily accessible and centrally located for staff within the workgroup using the files?  Does the room meet the requirements for storing records, such as ease of opening and closing cabinets, climate control (not damp or wet), proper lighting, and absence of pests?  Can the room be secured to store sensitive or confidential records? Is access restricted to prevent unauthorized removal and ensure the orderly return of files? Paper files can become heavy, and their numbers can accumulate rapidly. To prevent toppling or collapse, shelving, and cabinets should be anchored securely. Select shelving capable of supporting 50 pounds per square foot. The spacing between shelves should accommodate the easy placement and removal of record storage boxes.

Storing frequently accessed records in storage boxes is not ideal. Reserve storage boxes for records nearing the end of their active period or those intended for long-term storage. It is recommended to use uniform boxes measuring 15" x 10" x 12". Larger boxes can be more difficult to manage and move, while odd-sized or multiplesized boxes do not stack well and may lead to hazardous collapses or damaged records.

City Council/RSA Agenda 102 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 14 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 14 of 26 Boxes should be filled but not packed so tightly that records cannot be easily inserted or removed. Staff should leave room for potential future additions when storing records in boxes. Boxes should be clearly labeled on both short ends, displaying the contents and disposition information. Refer to Appendix B for a Sample Box Label.

Naming Conventions
When establishing a naming convention system, staff should consistently use commonly understood words and terms for file naming, avoiding abbreviations or jargon. The naming convention designed for a paper filing system should also be usable in an electronic filing environment and vice versa. Typically, a naming system consists of the record category and date components. When departments assign project or permit numbers where the year is involved, the year should be represented as a four-digit date (e.g., 2011-0001, not 11-0001) to ensure clarity.

It is recommended to use categories established in the Record Retention Schedule. Additionally, spell out all words to avoid different abbreviations by different individuals. Universal records management abbreviations can be used where applicable.

File System Index
If a department uses a filing system index, it should list the filed records and their locations. The file location information can range from providing a high-level description of the record category and the office holding the files to providing specific details such as the room, file cabinet, and drawer. This index should be regularly updated as records are added or removed from the system and reviewed annually.

File Tracking
It is essential to track files as they are temporarily removed from filing cabinets or rooms or recalled from off-site storage. Sign-out cards can be used and inserted into the location from where the file was taken. The sign-out card should include the date of removal and the person responsible for the file. This practice ensures the system's integrity and aids in retrieving records when needed.

Disposition
In a paper filing system, folders can be set up with labels indicating when the records become eligible for disposition, along with the naming convention. If a folder contains records with different disposition dates, this information can be noted on the folder label. It alerts staff that the folder requires periodic review for the proper disposition of items. For electronic records stored in DocuWare, the disposition date is assigned upon entering the record into the system. If the department uses an electronic system other than DocuWare, this information should be included in the file title or metadata/properties.

It is important to remember that not all records are meant to be retained indefinitely just because they exist.

Filing systems must be reviewed annually, and records should be disposed of according to the records retention schedule. Permission should be obtained before disposing of records, and the approval documentation will serve as the record of the disposition process.

City Council/RSA Agenda 103 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 15 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 15 of 26 Chapter 5 - Electronic Files
The City of Union City utilizes an electronic repository where departments can store permanent and temporary documents. All electronic records must follow the retention schedule and be disposed of accordingly. The City utilizes DocuWare as our official Trusted System for storing electronic records.

Retention of Original Documents:

California Government Code 34090 et. seq. permits the City to destroy some original documents after they have been imaged and retained per the Secretary of State's Uniform Statewide Standards. DocuWare meets these standards and is the City’s Trusted System. However, certain historical records, like those affecting property titles and court records, must be retained in their original form, regardless of whether they have been imaged.

Electronic File Storage
While file management principles are similar for paper and electronic files, some differences exist. Electronic files should be treated like paper files regarding naming conventions, accessibility, retention, and disposition.

Additionally, electronic files can contain additional information called metadata.

Metadata:

Metadata is structured information that describes, explains, locates, or makes it easier to retrieve, use, or manage an information resource, as defined by the National Information Standard Organization. We should use clear and organized metadata to categorize records stored in DocuWare. This descriptive metadata helps in basic identification through preset fields.

Identifying the most relevant information that would assist someone searching for a record is important.

The metadata requirements should be simple and manageable to maintain.

Example:

Type : Contract
Vendor Name : Valley Landscaping
Metadata : Agreement for landscape services at city-owned parks, facilities, and streetscape
Project # : Project # 12-RFP-PW-362
File Formats
When selecting a format for document storage, there are two main considerations:

1. What electronic format is allowed for archival storage by the California Secretary of State?; and

2. What format is commonly used by staff and the public? It is crucial to choose a format that is accessible and commonly understood. Additionally, the selected format should have market longevity and proven migration examples to ensure the records remain usable over time.

DocuWare supports various file formats, including Microsoft Office files, Portable Document Format and Format/A (PDF and PDF/A), and Rich Text Format (RTF).

City Council/RSA Agenda 104 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 16 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 16 of 26 Storage
There are a variety of ways to store electronic files and media:
 Local computer storage: Storing files on individual computers is not recommended due to vulnerability and the risk of loss, theft, or damage.
 City network drive: Storing files on the City network via a network drive folder provides better security and backup options. However, access to network drives is often restricted, making it challenging to access city records. Additionally, records stored on network drives are rarely reviewed, purged, or automatically set to retention.
 USB, CD/DVD, or other removable drives: Storing records on removable drives is discouraged as they are vulnerable and difficult to restore if lost or damaged.  DocuWare: Ideally, all electronic records should be stored in DocuWare. This system offers security, redundancy, and retention capabilities, ensuring the integrity and accessibility of city records.

City Council/RSA Agenda 105 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 17 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 17 of 26 Chapter 6 - Identifying Records
Under the California Public Records Act, a 'public record' is defined as any writing or recording that contains information related to the conduct of the public's business, regardless of its physical form or characteristics. This aligns with the City of Union City's understanding and interpretation. Records can include various forms, such as video and audio files and writings stored in computer systems used for conducting business.

Identifying records is a crucial step in effective records management. By consulting the City's Retention Schedule, staff can easily determine if a material qualifies as a record. If the material is listed on the schedule, it must be maintained in accordance with the specified retention period. However, sometimes it can be challenging to determine if a document or media is a record when it is not mentioned on the schedule. In such cases, staff should follow the records test provided on the next page to help make an initial determination. If it is still unclear or the material is a record but not included on the schedule, staff should contact the City Clerk's Office for further assistance.

What is a Record?
Records encompass any writing or recording that contains information related to the City's business, regardless of its physical form or characteristics. This means that records can include video and audio files and writings stored in computer systems used for conducting business.

Certain records hold enduring administrative, fiscal, legal, or historical value and should be permanently retained.

These records require special care and consideration regarding storage conditions and long-term preservation.

Examples of permanent records include meeting minutes from Brown Act-governed bodies, resolutions, and ordinances. On the other hand, records with short-term value should be destroyed once their retention period expires.

Non-Records
While records cover a wide range of recorded information, not all materials the City holds qualify as records.

Here are examples of non-records:
 Identical copies of documents stored in the same file.  Extra copies of printed or processed materials.
 Superseded manuals and directives (kept outside the office of record).  Blank forms.
 Materials from other agencies, individuals, or businesses that require no action.  Catalogs, trade journals, publications, or papers received from government agencies, commercial firms, or private institutions that require no action and are not part of an active case record.

Non-records do not need to be scheduled for retention or undergo destruction authorization or reporting. To avoid excessive accumulation, retaining only current and useful materials is necessary, promptly destroying nonrecords once their purpose has been fulfilled. Staff should be careful not to mix non-record materials with records when filing.

City Council/RSA Agenda 106 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 18 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 18 of 26 WHAT IS A RECORD?

1. Was the material mandated by statute
or regulation?

2. Does the material support a financial or
legal claim/obligation?

3. Is the material required to operate a
City program or provide program
support?

4. Was the material created or received
during City business?

5. Does the material document or
facilitate:
 The City’s actions
 Formulation of policies &
decisions City’s directives
 Board and committee meeting
minutes

6. Does the material protect government
and individual rights and interests?

7. Was the material filed, stored, or
otherwise systematically maintained by
the City?

8. Is the material appropriate for either
permanent or temporary preservation
by the City?

9. Does the material have administrative,
fiscal, or legal value?
If you answered yes to any of the questions,
the material is likely an official record. This
could include but is not limited to:
 Decision Papers;
 Correspondence;
 Video or Audio Files;
 Reports;
 Publications
If you answered no to the questions, the
material is most likely a non-record. This could
include but is not limited to:
 Materials that do not contribute to an
understanding of the City's operations or
decision-making processes;
 Materials that have no substantial
programmatic value;
 Extra copies of official records that are
obtained elsewhere, such as council staff
reports.

City Council/RSA Agenda 107 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 19 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 19 of 26 Chapter 7 - Access, Privacy, and Freedom of Information The City of Union City recognizes and supports the public's right to access the majority of records created and maintained by the City. In accordance with the California Public Record Request Act (CPRA), the City accepts, reviews, and responds to all public record requests received, regardless of the submission method, source, or purpose of the request. City staff is available to assist in identifying responsive records, describing the City's records and locations, and providing suggestions to ensure unobstructed public access to records.

The City must respond to all requests, either by providing the requested record or indicating that the record will be provided within ten calendar days. However, most requests can and should be fulfilled in a shorter timeframe.

It's important to note that a "response" does not necessarily mean the immediate production of records. It can also be an email or letter informing the requester of the availability of responsive records, stating that no records matching the request exist, or invoking the right for a 14-day extension in unusual circumstances.

As outlined in Chapter 6 and in accordance with the California Public Records Act, a 'public record' encompasses any writing or recording that contains information related to the City of Union City's conduct of public business.

This includes, but is not limited to, video recordings, database information, and other means of recording communication or representation. Staff should always refer to the previous chapter to understand what constitutes a record and the importance of differentiating between records and non-records.

Records Exempt from Disclosure
While the CPRA aims to ensure public access to records, it also outlines exemptions for certain information the City is prohibited from disclosing. These exemptions are defined in § 7927.5000 of the Government Code and case law. It's important to note that although the City may withhold these records, it can allow greater access if desired. However, "selective" or "favored" access is prohibited. Once a record is disclosed to one requester, it becomes public for all.

Exemptions can be categorized as exemptions provided under the CPRA, provided by other laws, and exemptions based on case law. Some examples of exemptions include employees' private papers unless they relate to public business, computer software developed by the City, records not yet in existence, attorney-client communications, certain home addresses, records concerning agency litigation, personnel, and medical files, police incident reports, and financial data submitted for licenses or permits. Staff still determining whether a record should be released, exempted, or redacted should consult with the City Clerk's Office or the City Attorney's Office for guidance. Below is a partial list of exemptions:
• Employees' private papers, unless they "relat[e] to the conduct of the public’s business [and are] prepared, owned, used, or retained by the agency." (CA GC §7920.530, or its successor). • Computer software "developed by a state or local agency ... includ[ing] computer mapping systems, computer programs, and computer graphic systems.” (§ 7922.585, or its successor). • Records not yet in existence: The CPRA covers only existing records, and an agency cannot be required to create a record, list, or compilation. “Rolling requests” for future-generated records are not permitted. • Attorney-client communications are confidential, including all communications between the City Attorneys, Department Heads, and staff (§§ 7927.705, 7927.205, 7930.110). • Home Addresses in DMV, voter registration, gun license, public housing, local agency utility, and public employee records are exempt, as are addresses of certain crime victims. (§§7923.600, 7923.800~7923.805, 7927.415, 7928.300, 7924.000, 7927.410, 7928.205).

City Council/RSA Agenda 108 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 20 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 20 of 26 • Records concerning agency litigation are exempt, but only until the claim is resolved or settled. The complaint, claim, or records filed in court, records that pre-date the suit (e.g., reports about projects that eventually end in litigation), and final settlement records are public. (§§ 7927.200, 7927.205; Register Div. of Freedom Newspapers, Inc. v. County of Orange, 158 Cal. App. 3d 893 (1984)). • Personnel, medical and similar files are exempt only if disclosure would reveal intimate, private details. (§ 7927.700). Employment contracts are not exempt. (§ 7928.400). • Police Incident reports, rap sheets and arrest records are exempt (Penal Code §§ 11075, 11105, 11105.1), but the information in the “police blotter” (time and circumstances of calls to police; name and details of arrests, warrants, charges, hearing dates, etc.) must be disclosed unless disclosure would endanger an investigation or the life of an investigator. Investigative files may be withheld even after an investigation is over. (CA GC § 7923.600-7923.625). Identifying data in police personnel files and misconduct complaints are exempt, but disclosure may be obtained using special procedures under Evidence Code § 1043.
• Financial data submitted for licenses, certificates, or permits or given in confidence to agencies overseeing insurance, securities, or banking firms; tax, welfare, and family/adoption/birth records are exempt. (§§ 7929.000, 7927.705, 7928.000, 7930.005, or its successors).

Staff unsure whether a record should be released, exempted, or redacted should contact the City Clerk’s or Attorney’s Office.

Preparing a Response to a Records Request
When responding to a records request, staff shall provide a written response, such as an email or letter, unless the requestor cannot be reached in writing, in which case any telephone or in-person communication should be noted on the request form. Once the responsive documents are collected, they must be reviewed to ensure that only records eligible for disclosure are released and any necessary redactions and citations for withholding are completed. The staff member assisting with the request will notify the requestor when the records are available for review or provide them electronically or in person, as specified in the initial request. If there are any uncertainties regarding whether a record should be released, exempted, or redacted, staff should contact the City Clerk’s Office and/or the City Attorney’s Office for further guidance.

The California Public Record Act states that records should be provided in the format in which the City maintains them. The City can offer a different format, but it cannot require the requestor to accept an alternative format.

For example, if a record exists only on paper, the City cannot force the requestor to receive the document via email if they prefer to review it in person or purchase a photocopy.

The City is not obligated to create a record when a request is made. However, if records containing the requested information are already in the City’s possession, they must be provided. Creating a record may be appropriate in very limited situations, and guidance should be sought from the City Clerk’s Office to determine the best course of action.

If copies of records are requested, staff may require payment before making the copies. The response should include information about the identified responsive records, the total reproduction cost, and the provision that copies will be made once payment is received.

City Council/RSA Agenda 109 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 21 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 21 of 26 Fees
Requestors have the right to review requested records during regular business hours, under the presence of a City employee, in a manner that does not disrupt day-to-day operations. Duplication of records may be allowed, and fees for duplication are listed in the City’s Master Fee Schedule, which should be paid prior to providing copies of records. However, the City will not duplicate official architectural, engineering, and building plans without written permission from the licensed professional who prepared the plan(s) and the building owner, as required by California Health and Safety Code § 19851.

Requestors cannot be charged for staff time spent fulfilling a request, the cost of retrieving files from offsite storage, or any incidental research fee.

City Council/RSA Agenda 110 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 22 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 22 of 26 Chapter 8 - Disposition of Records
The proper disposition of records is an essential part of records management within the City of Union City. It involves the active, inactive, and final disposition period of records. During the active period, records are frequently used and readily accessible. The inactive period follows when the regular use of the record declines or ends, but the record still needs to be retained. The final disposition period is the end of the record's lifecycle, where a decision is made about the record, such as scanning it for long-term electronic storage or destroying it.

Proper disposition of records is crucial for protecting vital and historical records, ensuring compliance with regulatory retention requirements, and managing the costs of file maintenance, retrieval, and storage. The City of Union City primarily utilizes two types of record disposition: imaging of records to purge existing hard copies and the destruction of non-historical records at the end of the specified retention period. Prior authorization from the City Department Head, Office of the City Clerk, and Office of the City Attorney is required before any record destruction takes place. The completion of record management forms is necessary to obtain this authorization.

See Appendix C for copies of these forms and below for further details about processing requests.

Preservation of Permanent Records
The City recognizes its fundamental obligation to preserve its permanent records. In accordance with California Government Code § 12168.7, the City advocates for the utilization of digital preservation methods through a compliant Electronic Document Management System (EDMS), DocuWare. This modern approach ensures the integrity, authenticity, and accessibility of our records over time.

Digitally preserved records within DocuWare negate the necessity for physical copies as long as the digital copies are accurately scanned, verified, and stored within this trusted system as defined by the Government Code. This digital preservation approach extends to historical records such as resolutions, ordinances, and minutes of Brown Act-governed bodies, which can be securely and adequately preserved in digital format within DocuWare.

However, should there be a compelling legal or historical necessity, retaining original hard copies will be considered case-by-case, ensuring the City’s compliance with all applicable laws and regulations concerning record preservation.

The City is committed to maintaining a modern, compliant, and efficient records management practice that aligns with state guidelines and best practices, ensuring the long-term preservation and accessibility of its permanent records.

Imaging of Records
Before initiating a major project to scan records, staff should consult with the City Clerk’s Office for evaluation of current records and assistance in developing a plan to convert existing documents into electronic files using the Citywide Electronic Content Management System, DocuWare. The City Clerk’s Office has the expertise to ensure that all conditions for migration to DocuWare are met. DocuWare is not just a repository for records but also offers robust workflow capabilities.

DocuWare is best suited for managing records that exhibit one or more of the following characteristics:
• Multi-Departmental Usage: Records utilized by multiple departments or many individuals within a single department.
• Regular Access: Permanent records that are accessed frequently. • Long Retention Period: Records mandated for long-term retention.

City Council/RSA Agenda 111 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 23 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 23 of 26 • Electronic Lifecycle: Records created, managed, and stored in an electronic format throughout their lifecycle.
• Public Demand: Records that are frequently requested by the public. • Voluminous Series: Record series that are extensive in volume, making onsite storage impractical, yet require frequent access, which would otherwise incur offsite storage and retrieval fees.

By consolidating records with these characteristics into DocuWare, we aim to optimize our records management processes, ensure compliance with retention schedules, and enhance accessibility while reducing storage and retrieval costs.

It is important to avoid scanning and storing records on local or internal drives, as they may lack necessary searching, storage, and security features. Storing records in this manner can strain the City’s information technology infrastructure and may not comply with the City’s Record Retention Schedule.

Destruction of Records
The Records Retention Schedule is the legal authority for retaining and disposing of official records. Once records have met the minimum retention period specified in the schedule and are disposed of as approved by the Department Head, City Clerk, and City Attorney, they can be destroyed.

Records classified for destruction can be disposed of through traditional recycling methods. Records classified for secure destruction must be disposed of in a way that makes them unrecognizable and unusable, such as through shredding. The destruction process should be supervised by a City employee or performed by an approved agency. After obtaining authority to destroy obsolete records, the records can be destroyed, and a destruction inventory should be maintained.

Appendix C contains the Disposition Forms necessary for record disposition.

City Council/RSA Agenda 112 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 24 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 24 of 26 Chapter 9 - City of Union City Retention Schedule
The City of Union City has a comprehensive Record Retention Schedule that establishes the retention periods for various administrative, fiscal, and legal records of the City. The schedule is based on federal, state, and local mandates, business needs, and general knowledge regarding the appropriate duration for record retention. Each department is responsible for implementing the schedule for their specific records. However, there are certain exceptions and limitations to be considered:

1. Retaining Records: Departments should only retain records within the specified retention period indicated in the schedule. If there is a need to retain a record for a longer duration, the department should contact the City Clerk for assistance. Unnecessarily retaining records can be costly regarding space, filing equipment, and potential legal processes.

2. Litigation or Investigations: The schedule does not authorize the destruction of records that may be relevant to ongoing or pending litigation or investigations. Records potentially involved in such matters should be preserved until the legal issues are resolved.

The City’s Record Retention Schedule includes retention and disposition information for records common to multiple departments. Individual department schedules address records specific to each department. It is important to note that the City’s Record Retention Schedule is a comprehensive list that covers both records subject to release under the California Public Records Act (CPRA) and records exempt from the Act. While most records held by the City are releasable, some may be exempt.

Maintenance of the City’s Record Retention Schedule
Given the evolving nature of the City’s business practices, it is recognized that records, record types, and retention periods may require periodic updates. A thorough review and overhaul of the schedule is planned every five years. However, minor revisions and additions may be necessary in the interim. When such situations arise, staff should notify the City Clerk, who will initiate the schedule revision process. Revisions are typically submitted by department staff, reviewed by the City Clerk, and assessed by the City Attorney.

Utilization of the Record Retention Schedule
The Record Retention Schedule guides City staff regarding the appropriate length of time to retain records and the proper method for disposing of records that have exceeded their lifecycle. The next page provides a sample record from the Schedule and explanations of the categories used in the schedule.

City Council/RSA Agenda 113 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 25 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 25 of 26 Record Name
Whenever possible records have been combined into a series of like items for example “Ceremonial Documents”. In some cases, records are so unique that their record name stands alone such as “Building Permit”.

Also Called: When records go by more than one name, the alternative names are listed here.

Function: In this section the purpose or function of the record is described.

Content: A series of records may be comprised of several document types, documents that most likely will be found in this series are listed.

Total Retention: This is the total amount of time that the City is required, either by federal, state, local statute, or internal policy.

Disposition: Disposition refers to what will be done at the end of a records lifecycle; either:
destroyed, destroyed securely, or transferred to off-site storage Statutory
Reference:

This section will be used to note any applicable government code related to the record’s retention.

Location: Where the record is stored/can be found.

Note: Any other notes, exceptions, or special instructions relating to the record or record series are listed here.

Approval Date: This is the date that the specific record or record series was approved or updated.

Example:

Calendar and Scheduling Records
Also Called: Appointment books, work schedules, planners, daily assignment sheets Function:

Records kept that document and facilitate the routine planning and scheduling of meetings, appointments, daily tasks, work assignments, shift assignments, vacation and/or day off schedules.

Content: May include, but not limited to weekly schedule sheets, work schedules, appointment logs, and work assignment memos.

Total Retention: 2 years
Disposition: Destroy
Statutory
Reference:

CA GC §34090
Note: None
Approval Date: February 3, 2014
City Council/RSA Agenda 114 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 26 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 26 of 26 Appendix A - Records Inventory
Conducting a Records Inventory
A records inventory is a systematic process of gathering information for each file folder within an organization.

Conducting a thorough inventory helps understand the nature and volume of records held, aiding in making informed decisions regarding their storage, retention, or destruction. This process can significantly optimize storage space, potentially enabling the relocation of lesser-used files to inactive storage and destroying records that have met their retention periods based on the applicable laws and organizational policies. The information collected during the inventory process can be used in various ways in subsequent years, including:
 Locating and tracking old records stored in boxes or inactive storage areas.  Finding misfiled or lost file folders.
 Identifying and correcting inconsistencies in filing systems.  Creating an electronic master index for easy text searches.  Generating destruction lists and box labels.
 Managing the location of records stored off-site.
 Meeting the requirements for an index of records.
 Using in the event of a disaster to locate and protect valuable records.  Updating the retention schedule to ensure comprehensive coverage of all records.

Important Note: ORIGINAL records should not be destroyed until the destruction approval has been signed.

State law allows copies or drafts to be destroyed "when no longer required." Copies and drafts can be destroyed during the inventory process, provided the following conditions are met:
 You are certain the record is a copy or draft, not an original City record.  The record must be securely destroyed if it contains confidential data (e.g., citizens' names and phone numbers).

Inventory Worksheet
When conducting a records inventory, it is recommended to use a standardized form to ensure consistency in accounting for the files. This inventory should be conducted at the file level and include the precise location of each record. Use any available information to clearly identify the record's location, such as room names, room numbers, or geographical notations. For record rooms, it's helpful to label file cabinets and drawers. For example:

File cabinet: FC1
Drawers: a, b, c, etc.

Files in file cabinet 1, drawer b would be expressed as: FC1-b.

City Council/RSA Agenda 115 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 22 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 22 of 26 City Council/RSA Agenda 116 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 23 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 23 of 26 Appendix B - Box Label
When preparing records for storage in record boxes, it is important to ensure that the boxes are clearly labeled and organized for easy access. The following guidelines should be followed:
 Labels should be applied to the short end of each box for easy review of contents.  Boxes should be filled with records, but not packed so tightly that retrieval or insertion of records becomes difficult.
 A copy of the inventory should be placed inside the box on top of the records.

Sample Box Label:

Department & Division: Box #
Contents
Record Category Description/Note Date Range
Inventoried By (Print Name)/Date: Date Eligible for Destruction:

Example:

Department & Division: Facilities/Administration Box # 4 of 13 Contents
Record Category Description/Note Date Range
Correspondence City Infrastructure Project (admin) 1/2013 – 12/2014 Inventoried By (Print Name)/Date:

Tom Smith 4/5/2015
Date Box Eligible for Destruction: 12/2016
City Council/RSA Agenda 117 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 24 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 24 of 26 Appendix C – Records Disposition Authorization
City Council/RSA Agenda 118 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 25 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 25 of 26 City Council/RSA Agenda 119 Tuesday, May 28, 2024
UCCP #
Adopted: May XX, 2024
CITY COUNCIL POLICY Page 26 of 31
City Records Management Policy
City of Union City | Office of the City Clerk Page 26 of 26 City Council/RSA Agenda 120 Tuesday, May 28, 2024
Agenda Item
DATE: 5/28/2024
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: JOAN MALLOY, CITY MANAGER
SUBJECT: ADOPT A RESOLUTION OF THE CITY COUNCIL OF THE CITYOF

UNION CITYAUTHORIZING THE CITY MANAGER TO EXECUTE A

FIVE-YEAR SOFTWARE AS A SERVICE AGREEMENT WITH GRANICUS

FOR THE ONEMEETING AGENDAAND LIVE MEETING MANAGEMENT
SOLUTION FOR A NOT-TO-EXCEED AGGREGATE SUM OF $250,117.66 Staff recommends that the City Counciladopt a resolution authorizing the City Manager to execute a Software-as-a-Service (SaaS) agreement with Granicus, Inc. to provide the OneMeeting Agenda and Live Meeting Management Solution for five years.

STRATEGIC PLAN ALIGNMENT
This initiative aligns with the City’s strategic plan, specifically Goal A, which is financial stability and sustainability. Adopting a more efficient, cloud-based agenda and live meeting management system like OneMeeting will streamline meeting preparations, enhance accessibility for City staff and constituents, and reduce long-term costs associated with system maintenance and data storage. This transition supports Strategy 1, which aims to establish a comprehensive fiscal sustainability plan, addressing the General Fund's long-term structural deficit by leveraging modern technologies to improve operationalefficiencies.

BACKGROUND
Granicus has notified customers that the City’s current agenda management solution, NovusAgenda, will be phased out. End-of-life support willend on October 31, 2024, and the service willconclude by September 30, 2025. In response, Granicus has provided the alternative OneMeeting as its replacement program for NovusAgenda. Granicus willcontinue to support NovusAgenda until the City fully transitions to OneMeeting, ensuring no service disruption during the migration period.

DISCUSSION
City Council/RSA Agenda 121 Tuesday, May 28, 2024
The proposed five-year agreement with Granicus involves transitioning to their OneMeeting product, ensuring continuity and enhancement in managing the City’s agenda and meeting processes. City Clerk Pham’s experience implementing OneMeeting at the City of Gilroy assures adept handling of the migration and operational phases.

Proposal Details:

The agreement includes all necessary services, such as data migration, system setup, and comprehensive training for City staff. The attached quote (Granicus Proposal for Union City CA Order # Q-333109) provides a detailed cost breakdown. It includes a one-time implementation cost of $26,970.10 and an annual recurring cost of $43,832.63 for years 1 through 3, adjusted in years 4 and 5 by a 3 percent increase. This includes the transition from NovusAgenda and allassociated enhancements. Transitioning to OneMeeting under the terms proposed by Granicus offers Union City a sustainable, advanced solution that aligns with our strategic goals and fiscal planning.

Benefits of Switching to OneMeeting

1. Enhanced Workflow/Routing: OneMeeting offers enhanced workflow and routing for items being reviewed, allowing greater efficiency in the review process.

2. Integration with Office 365: Staff reports will be written directly in the Office 365 environment, eliminating the need to copy and paste from Word into Novus' HTML-based system. This change will resolve issues with formatting, fonts, tables, and graphs.

3. Dynamic Changes to the Agenda: Any changes to the agenda cover sheet (such as teleconference information or special instructions) require contacting Granicus’s support team with at least one week's advance notice. With OneMeeting, staff can change the cover sheet without contacting Granicus’ support team.

4. Committee Manager Module: The new module will provide robust features for managing boards and commissions. This includes managing open positions, nominating and tracking appointing entities, role-based access control, end-to-end applicant tracking, custom forms and workflows, automated email functionality, and configurable report options.

5. Improved Publishing Efficiency: Publishing agendas will be much easier and faster than NovusAgenda.

This improvement will save significant time and effort for city staff.

6. Centralized Access: The agendas and minutes of the City Council and its advisory bodies will be located in one central location on the City’s website. Currently, only the agendas of the City Council and Planning Commission are posted online; with OneMeeting, all advisory bodies' agendas will be accessible.

FISCAL IMPACT
The one-time implementation cost is accounted for in the current IT budget. The annual recurring costs will begin in FY 2024-2025, and an additional $28,500 for the FY 2024-2025 service agreement will need to be added to the FY 2024-2025 budget. Staff will include the additionalamount needed in the proposed amendments to the second year of the biennial budget, which will be presented to the City Council in June.

RECOMMENDATION
Staff recommends that the City Counciladopt the attached resolution authorizing the City Manager to execute a Five-Year Service-as-a-Software Agreement with Granicus for the OneMeeting Agenda and Live Meeting Management Solution for a not-to-exceed aggregate sum of $250,117.66.

City Council/RSA Agenda 122 Tuesday, May 28, 2024
Prepared by:

Mario Vallejo, IT Director, and Thai Nam Pham, City Clerk Submitted by:

Thai Nam Pham, City Clerk
ATTACHMENTS:

Description Type
Draft Resolution Resolution
Exhibit A - Granicus Quote Q-333109 Attachment
City Council/RSA Agenda 123 Tuesday, May 28, 2024
RESOLUTION NO. XXXX-24

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF

UNION CITY AUTHORIZING THE CITY MANAGER TO

EXECUTE A FIVE-YEAR SOFTWARE AS A SERVICE

AGREEMENT WITH GRANICUS FOR THE ONEMEETING

AGENDA AND LIVE MEETING MANAGEMENT

SOLUTION FOR A NOT-TO-EXCEED AGGREGATE SUM
OF $250,117.66
WHEREAS, the City of Union City currently utilizes the NovusAgenda system provided by Granicus for agenda and video live meeting management, which is being phased out with endof-life support concluding on October 31, 2024, and the service ending on September 30, 2025; and
WHEREAS, the City has identified the need to transition to a more robust and efficient agenda and live meeting management system to ensure continued operational excellence and public service; and
WHEREAS, the OneMeeting product by Granicus has been selected as the system to meet the City's needs, offering enhanced features and wide adoption across municipalities in California; and
WHEREAS, the City Clerk of Union City has prior successful experience with the implementation of OneMeeting, ensuring an adept transition and effective utilization of the new system; and
WHEREAS, the total cost of implementation and the service fees for the OneMeeting system are outlined in the attached proposal as Exhibit A and are within the current budgetary allocations approved by the City Council.

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Union City hereby authorizes the City Manager to execute a Five-Year Software as a Service Agreement with Granicus for the OneMeeting Agenda and Live Meeting Management Solution, for a not-toexceed aggregate sum of $250,117.66, in a form approved by the City Attorney.

City Council/RSA Agenda 124 Tuesday, May 28, 2024
Resolution No. XXXX-24
SaaS Agreement with Granicus for Agenda Management Solution

PASSED, APPROVED, AND ADOPTED by the City Council of the City of Union City at a regular meeting held on this 28th day of May by the following vote:

AYES:

NOES:

ABSENT:

ABSTAIN:

APPROVED:

CAROL DUTRA-VERNACI
Mayor
ATTESTED: APPROVED AS TO FORM:

THAI NAM N. PHAM
City Clerk
KRISTOPHER J. KOKOTAYLO
City Attorney
Attachments:

1. OneMeeting Proposal and Granicus Software as a Service Agreement City Council/RSA Agenda 125 Tuesday, May 28, 2024
THIS IS NOT AN INVOICE Order Form
Prepared for
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

Granicus Proposal for Union City CA

ORDER DETAILS
Prepared By: Chloe Scheer
Phone:

Email: [email protected]
Order #: Q-333109
Prepared On: 16 May 2024
Expires On: 22 Apr 2024
Currency: USD
Payment Terms: Net 30 (Payments for subscriptions are due at the beginning of the period of performance.)

Period of Performance: The Agreement will begin on date of signature and will continue through the end of the then current billing term.

The Agreement will begin on date of signature and will continue through the end of the then current billing term, and will continue for an additional 48 months thereafter.

ORDER TERMS
Current Billing Term
End Date: 30 Jun 2024
City Council/RSA Agenda 126 Tuesday, May 28, 2024
Order Form
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

PRICING SUMMARY
The pricing and terms within this Proposal are specific to the products and volumes contained within this Proposal.

Terminating Subscriptions
Solution Quantity/Unit Prior Annual Fee
NovusVideo (3rd Party) 0 Each $6,414.65
NovusAGENDA 0 Each $8,506.50
SUBTOTAL: $14,921.15
Upon the signing of this Agreement, annual fees for the terminating subscription(s) shall cease. Any pre-paid fees for the terminating subscription(s) after the signing of this Agreement will be prorated from the signing of this Agreement to the end of the Client's then-current billing term, credited, and such credit applied to the annual fees for new subscriptions.

Client will continue to have access to and use the terminating solution until the new subscription(s) is/are deployed.

Upon the deployment of Client's new solution as determined at Granicus' sole discretion, Granicus shall remove access to the Client's terminating subscription(s).

One-Time Fees
Solution Billing
Frequency Quantity/Unit One-Time Fee
IQM2/Novus to OneMeeting Basic Data
Migration Upon Delivery 1 Each $17,718.75
OneMeeting Committee Management -
Setup & Configuration Upon Delivery 1 Each $1,592.85
GovMeetings Live Cast SetUp and
Config Up Front 1 Hours $212.00
Granicus Live Cast Encoder – Hardware Upon Delivery 1 Each $3,710.00 Granicus Video - Online Training Upon Delivery 6 Hours $2,544.00 Granicus Live Cast Encoder Setup and
Configuration Up Front 1 Each $927.50
US Shipping Charge C - Large Item Upon Delivery 1 Each $132.50 US Shipping Charge C - Large Item Upon Delivery 1 Each $132.50 Open Platform - Setup and
Configuration Up Front 1 Each $0.00
SUBTOTAL: $26,970.10
City Council/RSA Agenda 127 Tuesday, May 28, 2024
Order Form
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

New Subscription Fees
Solution Billing
Frequency Quantity/Unit Annual Fee
Agenda Automation - Tier 1
Annual 1 Each $13,086.87
Meeting Management - Tier 1
Annual 1 Each $9,814.56
Committee Management - Tier 1
Annual 1 Each $9,160.10
GovMeetings Live Cast
Annual 1 Each $10,181.08
Open Platform Suite
Annual 1 Each $0.00
Granicus Live Cast Encoding Software
Annual 1 Each $1,590.02
SUBTOTAL: $43,832.63
Please note, annual fees for new subscriptions will be prorated to align to Client's then-current billing term.

Exceptions include Recurring Captioning Services, SMS, and Targeted Messages.

City Council/RSA Agenda 128 Tuesday, May 28, 2024
Order Form
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

FUTURE YEAR PRICING
Period of Performance
Solution(s)
Year 2 Year 3 Year 4 Year 5
Agenda Automation - Tier 1 $13,086.87 $13,086.87 $13,479.48 $13,883.86 Meeting Management - Tier 1 $9,814.56 $9,814.56 $10,109.00 $10,412.27 Committee Management - Tier
1 $9,160.10 $9,160.10 $9,434.91 $9,717.95
GovMeetings Live Cast $10,181.08 $10,181.08 $10,486.51 $10,801.11 Open Platform Suite $0.00 $0.00 $0.00 $0.00
Granicus Live Cast Encoding
Software $1,590.02 $1,590.02 $1,637.72 $1,686.86
SUBTOTAL: $43,832.63 $43,832.63 $45,147.62 $46,502.05
City Council/RSA Agenda 129 Tuesday, May 28, 2024
Order Form
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

PRODUCT DESCRIPTIONS
Solution Description
Agenda Automation - Tier 1 Agenda Automation - Tier 1Includes: 2 workflows, 1 post workflow, 2 forms and up to 4 meeting types
Meeting Management - Tier 1 Meeting Management - Tier 1Includes: 2 workflows, 1 post workflow Committee Management - Tier
1 Committee Management - Tier 1Includes: up to 2 Unique Applications/Forms
IQM2/Novus to OneMeeting
Basic Data Migration
Basic data migration from IQM2 or Novus into OneMeeting. • Up to three years of meeting data
• Agendas PDFs, minutes PDFs and videos
• Migration will be worked on during the deployment and delivered once client is live on OneMeeting
OneMeeting Committee
Management - Setup &
Configuration
Committee Manager - Analysis, Setup and Configuration ServicesThese services focus on the analysis of your application submittal and application approval processes as well as the setup, configuration and design of these processes.

GovMeetings Live Cast govMeetings Live Cast provides the ability to manage public meetings from anywhere, on almost any device using cloud based software and a Granicus Live Cast encoder. It will stream public meetings in HD, allow users to live index items, record and publish minutes, and provide archive videos for on-demand viewing.

Granicus Live Cast Encoder –
Hardware
Granicus Live Cast encoder is the hardware appliance used convert the video feed for video streaming on the web. It also records the video and provides the MP4 file for archive playback.

Granicus Video - Online Training Granicus Video - Online Training Open Platform Suite Open Platform is access to MediaManager, upload of archives, ability to post agendas/documents, and index of archives. These are able to be published and accessible through a searchable viewpage.

City Council/RSA Agenda 130 Tuesday, May 28, 2024
Order Form
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

Solution Description
Granicus Live Cast Encoding
Software
Granicus Live Cast Software will convert the video feed for video streaming on the web which will also record video and provides the MP4 file for archive playback.

Only used with the Live Cast encoder hardware and Live Cast solution.

US Shipping Charge C - Large
Item
US shipping of a large item
US Shipping Charge C - Large
Item
US shipping of a large item
Open Platform - Setup and
Configuration
Setup and configuration for Open Platform
City Council/RSA Agenda 131 Tuesday, May 28, 2024
Order Form
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

TERMS & CONDITIONS
• This quote, and all products and services delivered hereunder are governed by the terms located at https://granicus.com/legal/licensing, including any product-specific terms included therein (the “License Agreement”). If your organization and Granicus has entered into a separate agreement or is utilizing a contract vehicle for this transaction, the terms of the License Agreement are incorporated into such separate agreement or contract vehicle by reference, with any directly conflicting terms and conditions being resolved in favor of the separate agreement or contract vehicle to the extent applicable. • If submitting a Purchase Order, please include the following language: The pricing, terms and conditions of quote Q-333109 dated 16 May 2024 are incorporated into this Purchase Order by reference and shall take precedence over any terms and conditions included in this Purchase Order. • This quote is exclusive of applicable state, local, and federal taxes, which, if any, will be included in the invoice. It is the responsibility of Union City CA to provide applicable exemption certificate(s). • Any lapse in payment may result in suspension of service and will require the payment of a setup fee to reinstate the subscription.
• Upon the effective date, this Agreement shall supersede and replace any previous agreement between the parties for the Terminating and/or Existing Subscriptions listed herein. All such prior agreements between the parties are hereby void and of no force and effect.

City Council/RSA Agenda 132 Tuesday, May 28, 2024
Order Form
Union City CA
Order #: Q-333109
Prepared: 16 May 2024

BILLING INFORMATION
Billing Contact: Purchase Order
Required?
[ ] - No
[ ] - Yes
Billing Address: PO Number:

If PO required
Billing Email: Billing Phone:

If submitting a Purchase Order, please include the following language:

The pricing, terms, and conditions of quote Q-333109 dated 16 May 2024 are incorporated into this Purchase Order by reference and shall take precedence over any terms and conditions included in this Purchase Order.

AGREEMENT AND ACCEPTANCE
By signing this document, the undersigned certifies they have authority to enter the agreement. The undersigned also understands the services and terms.

Union City CA
Signature:
\s1\
Name:
\n1\
Title:
\t1\
Date:
\d1\
City Council/RSA Agenda 133 Tuesday, May 28, 2024
Agenda Item
DATE: 5/28/2024
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: MARILOU AYUPAN, PUBLIC WORKS DIRECTOR
SUBJECT: ADOPT A RESOLUTION AUTHORIZING THE CITY MANAGER TO

APPROVE A PURCHASE ORDER WITH TOLAR MANUFACTURING
COMPANY OF CORONA, CA, IN THE AMOUNT OF $466,201.31, AND AMENDING THE FY 2023-2024 CAPITAL PROJECTS FUND BUDGET, TRANSFERRING $31,807.31 IN PREVIOUSLY RECEIVED

TRANSPORTATION DEVELOPMENT ACT (TDA) CAPITAL FUNDS TO THE BUS SHELTER EXPANSION PROJECT, CITY PROJECT NO. 23-07
Staff recommends the City Council adopt a resolution authorizing the City Manager to approve a Purchase Order with TOLAR Manufacturing Company of Corona, CA, in the amount of $466,201.31, and amending the FY 2023-2024 Capital Project Funds budget by transferring $31,807.31 in previously received Transportation Development Act (TDA) capital funds to Bus Shelter Expansion Project, City Project No. 23-07.

STRATEGIC PLAN ALIGNMENT
Goal D, Strategy 2: Environmental Sustainability and Infrastructure – Implement the City’s capital improvement plan.

BACKGROUND
On October 24, 2023, the City Counciladopted Resolution No. 6220-23, accepting $396,818 grant funds from the California Department of Transportation (Caltrans), Clean California Local Grant Program (State) to fund Union City Transit’s Bus Shelter Expansion Project, City Project No. 23-07 ("Project"). As part of the grant acceptance, the City executed Caltrans Restrictive Grant Agreement (RGA), Agreement Number 04-TRANSIT-15, See Attachments 1.

The October 24, 2023 staff report and attachments, which can be found here: Coversheet (novusagenda.com) , identifies the scope of the Project. Broadly, the Project includes:

Replacement of damaged shelters and those shelters that are not ADA compliant; City Council/RSA Agenda 134 Tuesday, May 28, 2024
Adding new shelters to several existing stops, mostly along major thoroughfares; Possibly relocating some stops to the far side of intersections to take advantage of Transit Signal Priority; Adding electronic and non-electronic signage to existing stops with shelters; and Adding trash receptacles at stops with new shelters.

At the same October meeting, City Council approved the transfer of $37,576 of California State Transit AssistanceState of Good Repair funds from Fund 5120 (Paratransit Fund) to Fund 4100 (Capital Projects Fund), totaling $434,394 for the Project.

DISCUSSION
With the implementation of the Project, Union City Transit will expand and enhance the number of bus shelters around the City in order to improve customer service and the community experience with public transit.

Union City Transit is a member of the California Association for Coordinated Transportation (CalACT), an agency that coordinates statewide bus shelter contracts (Contract No. 21-01) through the competitively-bid Morongo Basin Transportation Authority (Basin Transit/MBTA) Request for Proposal (RFP) for procurement process for transit agencies in the state. Union City Transit plans to purchase twenty-one (21) bus shelters, thirtyeight (38) map cases, twenty-nine (29) Way Sine electronic bus arrival signs, and twenty (21) garbage receptacles through the CalACT Contract No. 21-01.

On April 30, 2024, CalACT/Basin Transit executed an Assignment to Purchase Agreement, assigning Union City Transit with the option to purchase the shelters, map cases, signs, and garbage receptacles from the TOLAR Manufacturing Company of Corona, California. The cost proposal from TOLAR Manufacturing Company, in the amount of $466,201.31, is a fair and reasonable value for the items that need to be procured for the Project The manufacturing process will take approximately eighteen (18) weeks from order to delivery; this means the shelters should arrive in late September/early October 2024. Public Works is preparing construction plans for the installation of the Project. The Project is expected to be advertised for construction late summer with contract award in early October 2024 and completion by the end of 2024.

FISCAL IMPACT
The Bus Shelter Expansion Project, City Project No. 23-07, in the amount of $466,201.31, has an approved capital budget of $434,394 with a budget shortfall of $31,807.31.

There are sufficient capital funds in the Union City Transit Fund (Fund 5110), Transportation Development Act (TDA) funds, to fund this budget shortfall of $31,807.31, See Attachment 2.

There will be no impact to the General Fund.

RECOMMENDATION
Staff recommends the City Counciladopt a resolution:

1. Authorizing the City Manager to approve a Purchase Order with TOLAR Manufacturing Company of Corona, CA, in the amount of $466,201.31, for the Bus Shelter Expansion Project, City Project No. 23- 07; and

2. Amending the FY 2023-2024 Capital Projects Fund expenditure budget by approving the transfer of $31,807.31 from Transit Development Act (TDA) grant funds in Fund 5110 (Transit Fund) to Account City Council/RSA Agenda 135 Tuesday, May 28, 2024
Number 4100-3141-92307-54111 (Capital Projects Fund – Transit – Bus Shelter Expansion Project – Contractual Services) for the Bus Shelter Expansion Project, City Project No, 23-07.

Prepared by:

Steve Adams, Transit Manager
Submitted by:

Marilou Ayupan, Public Works Director
ATTACHMENTS:

Description Type
Attachment 1 - Clean CA Local Grant Attachment
Attachment 2 - TDAAllocation Instruction Attachment
Draft Resolution Resolution
Exhibit A - ShelterAgreement Exhibit
Exhibit B- TOLARBus Shelter Proposal Exhibit
City Council/RSA Agenda 136 Tuesday, May 28, 2024
DocuSign Envelope ID: 1 D4B2878-36F5-4E70-831 B-82E4E0F877D8 City of Union City-Union City Transit
Agreement Number 04-TRANSIT-15
AMS ADV ID: 0424000100

Clean California Local Grant Program (State)
Restricted Grant Agreement
This Restricted Grant Agreement (RGA), between the State of California acting by and through its Department of Transportation, referred to herein as CAL TRANS, and the CITY OF UNION CITYUNION CITY TRANSIT, hereinafter referred to as AGENCY, will commence on September 1, 2023, or upon approval by CAL TRANS, whichever occurs later. This RGA is of no effect unless approved by CAL TRANS. AGENCY shall not receive payment for work performed prior to approval of this RGA and before receipt of Notice to Proceed from CAL TRANS. This RGA shall expire on June 30, 2025.

Recitals

1. Under this RGA, CAL TRANS intends to convey State restricted grant funds to AGENCY, pursuant to Budget Act Line Item 2660-130-0001, who will implement the project pursuant to the attached Approved Grant Application and Amendment(s) to Grant Application, Attachment Ill under the terms, covenants, and conditions of this RGA.

2. CAL TRANS and AGENCY intend that only funds that are authorized as restricted grants will be subject to this RGA, and that no funds that should be the subject of a Joint Powers Agreement, lnteragency Agreement, or other non-grant agreement shall be subject to this RGA.

3. WHEREAS, the Clean CA Program, through its Clean CA Local Grants Program, is authorized under California Streets and Highways Code Section 91.41 to provide funding and resources to support local projects that advance the program's goals and objectives;

4. WHEREAS, California Streets and Highways Code Section 91.41 provides the legislative authority for the Clean CA Program to advance the following intent and objectives:
a. Reduce Waste and Beautify Public Spaces: The primary goal of the program is to allocate grants to local and regional public agencies, transit agencies, and tribal governments to reduce waste and debris within public rights-of-way, tribal lands, parks, pathways, transit centers, and other public spaces. The program aims to enhance, rehabilitate, restore, or install measures to beautify and improve these public spaces. b. Improve Public Health and Community Placemaking: The program seeks to enhance public health, cultural connection, and community placemaking by improving public spaces for walking and recreation. By investing in the improvement of these spaces, it aims to create a positive and welcoming environment for the community. c. Promote Equity for Underserved Communities: The program places a strong emphasis on advancing equity for underserved communities.
d. Support Sustainable Practices: The program encourages the implementation of sustainable practices in the beautification and enhancement of public spaces. This includes greening efforts, such as providing shade and reducing the urban heat island effect, as well as using native, low-water plants.
e. Engage Local Communities: The program promotes community engagement by requiring project proposals to reflect community priorities. It encourages the involvement of local communities in the development and selection of projects to ensure they meet the needs and preferences of the affected population.
f. Prohibit Displacement of Persons Experiencing Homelessness: The program prohibits City Council/RSA Agenda 137 Tuesday, May 28, 2024
DocuSign Envelope ID: 1 D4B2878-36F5-4E70-831 B-82E4E0F877D8 City of Union City-Union City Transit
Agreement Number 04-TRANSIT-15
AMS ADV ID: 0424000100

grants from funding projects that displace persons experiencing homelessness. This reflects the intention to address public space improvements without negatively impacting vulnerable populations.
g. Transparent and Efficient Grant Allocation: The program requires the program to issue a call for projects and announce grant awards. The guidelines for allocating grants must include project selection criteria and program evaluation metrics.

5. WHEREAS, the purpose of this RGA is to authorize Caltrans districts to enter into agreements with local agencies to support the development, implementation, and funding of transit partnership projects that align with the goals and priorities of the Clean CA Program and comply with California Streets and Highways Code Section 91.41;

6. WHEREAS, this RGA establishes a framework for Caltrans districts to provide financial contributions and other assistance to local agencies, fostering effective collaboration and coordination to deliver successful transit partnership projects;

7. WHEREAS, this RGA emphasizes transparency, objective evaluation, and fair allocation of resources, ensuring that projects scoring higher based on established criteria receive prioritization for funding and implementation;

8. WHEREAS, the Clean CA Program facilitates collaboration between Caltrans districts and local agencies to develop and implement transit partnership projects on local right-of-way to address transit demand, usage, and ridership in a strategic and impactful manner that align with the goals and priorities of the Clean CA Program and comply with California Streets and Highways Code Section 91.41;

9. WHEREAS, the Clean CA Program, in partnership with Caltrans districts, seeks to enhance local right-of-way areas to address transit needs, waste management challenges, graffiti mitigation, and aesthetic enhancement, thereby contributing to a positive and enjoyable transit experience for the community

10. WHEREAS, the Clean CA Program, established by the State of California, is a transformative initiative which promotes sustainable transportation alternatives, reducing greenhouse gas emissions, and combatting climate change to improve the overall quality of life for residents and visitors of California;

11. WHEREAS, the Clean CA Program envisions a comprehensive approach to address transportation challenges, enhance transit infrastructure, and support local agencies in their efforts to create efficient, safe, and environmentally friendly transit options;

12. NOW, THEREFORE, in consideration of the premises and mutual covenants herein contained, the Parties enter into this Contribution Agreement to advance the purpose and intent of the Clean CA transit initiative, harnessing the legislative authority provided under California Streets and Highways Code Section 91.41, and collaborating on transit partnership projects that contribute to a sustainable, innovative, and well-connected transportation network throughout the State of California.

Now, Therefore, based upon the terms, covenants, and conditions of this RGA, the parties agree as follows:

Section I
AGENCY Agrees:

To timely and satisfactorily complete all Project work described in Attachment Ill ("Project Work") City Council/RSA Agenda 138 Tuesday, May 28, 2024
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within the project budget and in accordance with the items of this RGA.

Section II
CAL TRANS Agrees:

That when conducting an audit of the costs claimed by AGENCY under the provisions of this RGA, to conduct the audit in accordance with applicable laws and regulations.

Section Ill
It Is Mutually Agreed:

1. Under this RGA, CAL TRANS will convey State grant restricted funds to AGENCY, pursuant to Budget Act Line Item 2660-130-0001, and AGENCY will use the funds to only conduct the scope of work identified in this agreement and authorized by Streets and Highway Code section 91.41 The funds subject to this RGA must be identified as available to a public entity that is responsible for implementing the scope of work authorized under the Clean California Program in CAL TRANS' budget, and AGENCY represents and warrants that it is a public entity that is responsible for implementing the scope of work authorized under the Clean California Program.

2. Under this restricted grant, funds may be only used for the purposes set forth in this RGA, AGENCY Resolution (Attachment IV), Approved Grant Application and Amendment(s) to Grant Application (Attachment Ill), and the Grant Program Guidelines (Attachment I), and the funds may only be used for costs and expenses that are directly related to such purpose.

3. AGENCY shall perform all the duties and obligations described in Bus Shelter Expansion, hereinafter "Project", subject to the terms and conditions of this RGA and Approved Grant Application and Amendment(s) to Grant Application (Attachment Ill), which are attached hereto as Attachment Ill.

4. The resolution authorizing AGENCY to execute this RGA pertaining to the above-described Project is attached hereto as Attachment IV.

5. All services performed by AGENCY pursuant to this RGA shall be subject to and performed in accordance with California Streets and Highways Code §91.41 including, but not limited to, Government Code Section 14460(a)(1), as well as all applicable Federal, State, and Local laws, regulations, and ordinances, all applicable CAL TRANS policies and procedures, and all applicable CAL TRANS published manuals, including, but not limited to, the Grant Program Guidelines (Attachment I).

California Government Code Section 14460(a)(1) provides: "The department [CAL TRANS], and external entities that receive state and federal transportation funds from the department, are spending those funds efficiently, effectively, economically, and in compliance with applicable state and Federal requirements. Those external entities include, but are not limited to, private for profit and nonprofit organizations, local transportation agencies, and other local agencies that receive transportation funds either through a contract with the department or through an agreement or grant administered by the department."
City Council/RSA Agenda 139 Tuesday, May 28, 2024
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6. Project funding is as follows:

City of Union City-Union City Transit
Agreement Number 04-TRANSIT-15
AMS ADV ID: 0424000100

Fund Title Fund Source Dollar Amount
Clean California Funds State General Fund (0001)
Budget Item 2660-130-001
State Program Code

20.30.010.900
FY 2023/24 $396,818.00
Total Project Costs $396,818.00
For Caltrans Use Only
I hereby Certify upon my own personal knowledge that budgeted funds are available for encumbrance.

Jie Chen ---== ---~-------
09/26/2023 $396,818.00 - l.

Accounting Officer Printed Accounting Officer Date Amount Certified Name Signature

7. This RGA is exempt from the legal review and approval by the Department of General Services, pursuant to Legal Opinions of the Attorney General: 58 Ops. Cal. Atty. Gen. 586 (1975), 63 Ops.

Cal. Atty. Gen. 290 (1980), 74 Ops. Cal. Atty. Gen. 10 (1991), and 88 Ops. Cal. Atty. Gen. 56.

8. Notification of Parties
a. AGENCY's Project Manager for Project is Steve Adams, (510) 675-5446. b. CAL TRANS' Contract Manager is Markus Lansdowne, (510) 715-9189. "Contract Manager" as used herein includes his/her designee.
c. All notices herein provided to be given, or which may be given, by either party to the other, shall be deemed to have been fully given when made in writing and received by the parties at their respective addresses:

City of Union City
Attention: Steve Adams, Transit Manager
Phone Number: (510) 675-5446
Email: [email protected]
Address: 34009 Alvarado-Niles Road, Union City, California 94587 California Department of Transportation
District 4, Maintenance
Attention: Markus Lansdowne, Acting D4 Clean CA Manager Phone Number: (510) 715-9189
Email: Markus. La [email protected] .gov
Address: 111 Avenue, Oakland, California 94612
City Council/RSA Agenda 140 Tuesday, May 28, 2024
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9. Period of Performance
City of Union City-Union City Transit
Agreement Number 04-TRANSIT-15
AMS ADV ID: 0424000100

a. Reimbursable work under this RGA shall begin no earlier than on September 1, 2023, following the written approval of CAL TRANS and AGENCY's receipt of the Notice to Proceed letter of this RGA by CAL TRANS. All reimbursable work shall terminate no later than December 31, 2024. Project closeout and final invoicing to CAL TRANS must be submitted no later than June 30, 2025. Work incurred after December 31, 2024 will not be reimbursed. Payment shall be forfeit for any and all invoicing submitted to CAL TRANS after June 30, 2025. Notwithstanding the foregoing, Caltrans will reimburse for actual close out costs incurred by AGENCY through June 30, 2025 (which, in total, shall not exceed 5% of the grant award). b. If requested by the CAL TRANS District Partnership Liaison, AGENCY will attend a kickoff meeting with CAL TRANS to be scheduled within one (1) week from receipt of Notice to Proceed sent by CAL TRANS.

10. Changes in Terms/Amendments
This Agreement may only be amended or modified by mutual written agreement of the parties.

11. Cost Limitation
a. The maximum total amount granted and reimbursable to AGENCY pursuant to this RGA by CAL TRANS shall not exceed $396,818.00.
b. It is agreed and understood that the Clean CA funds are limited to the amount granted.

CAL TRANS will only reimburse the cost of services actually incurred in accordance with the provisions of this RGA and as authorized by the CAL TRANS District Partnership Liaison at or below that fund limitation established herein.

12. Termination
a. CAL TRANS reserves the right to terminate this RGA upon written notice to AGENCY at least 30 days in advance of the effective date of such termination in the event CAL TRANS determines (at its sole discretion) that AGENCY failed to proceed with PROJECT Work in accordance with the terms of this RGA. In the event of termination for convenience, CAL TRANS will reimburse AGENCY for all allowable, authorized, and non-cancelled costs up to the date of termination.

AGENCY shall return any unused advance amounts which cannot be supported by eligible expenditure documentation.
b. This RGA may be terminated by either party for any reason by giving written notice to the other party at least 30 days in advance of the effective date of such termination. In the event of termination for convenience, CAL TRANS will reimburse AGENCY for all costs that are expressly allowable, pre-authorized in writing, and non-cancellable, up to the date of termination. c. AGENCY has 60 days after the Termination Date to submit accurate invoices to CAL TRANS to make final allowable payments for Project costs in accordance with the terms of this RGA.

Failure to submit invoices within this period of time shall result in a waiver by AGENCY of its right to reimbursement of expended costs. Costs that are reimbursed and later determined to be ineligible for reimbursement shall be returned by AGENCY to CAL TRANS.

13. Budget Contingency Clause
a. It is mutually agreed that if the US Congress or the State Legislature fail to appropriate or allocate funds during the current year and/or any subsequent years covered under this RGA do not appropriate sufficient funds for the program, this RGA shall be of no further force and effect.

In this event, CAL TRANS shall have no liability to pay any funds whatsoever to AGENCY or to City Council/RSA Agenda 141 Tuesday, May 28, 2024
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furnish any other considerations under this RGA and AGENCY shall not be obligated to perform any provisions of this RGA.
b. The certification of FY 2023/24 funds will be contingent upon the passage of the FY 2023/24 Budget. Payment for any work performed that is funded by FY 2023/24 will be delayed if the FY 2023/24 Budget is not signed by June 30, 2023. Pursuant to Government Code (GC), Section 926.10, no late payment penalty shall accrue during any time period for which no Budget Act in effect.
c. If funding for any fiscal year is reduced or deleted by US Congress or State Legislature for purposes of this program, CAL TRANS shall have the option to either terminate this RGA with no liability occurring to CAL TRANS, or offer an RGA Amendment to AGENCY to reflect reduced amount.

14. Payment and Invoicing
a. AGENCY, its contractors, subcontractors and sub-recipients shall establish and maintain an accounting system and records that properly accumulate and segregate incurred Project costs and matching funds by line. The accounting system of AGENCY, its contractors, all subcontractors, and sub-recipients shall conform to Generally Accepted Accounting Principles (GAAP) and any standards specified by the source of funds, to enable the determination of incurred costs at interim points of completion, and to provide support for reimbursement payment vouchers or invoices.
b. The method of payment for this RGA will be based on the actual allowable costs that are incurred in accordance with the provisions of this RGA and in the performance of the Approved Grant Application and Amendment(s) to Grant Application (Attachment Ill). CAL TRANS will reimburse AGENCY for expended actual allowable direct costs, and including, but not limited to, labor costs, travel, and contracted consultant services costs incurred by AGENCY in performance of the Project Work. Indirect costs are reimbursable only if the AGENCY has identified the estimated indirect cost rate in Attachment II and an approved Indirect Cost Allocation Plan or an Indirect Cost Rate Proposal as set forth in Section Ill-Cost Principles, Item 16d. The total cost shall not exceed the cost reimbursement limitation set forth in Section Ill-Cost Limitations, Item 11 a. Actual costs shall not exceed the estimated wage rates, labor costs, travel, and other estimated costs and fees set forth in Attachment Ill without an amendment to this RGA, as agreed between CAL TRANS and AGENCY. c. Reimbursement of AGENCY expenditures will be authorized only for those allowable costs actually incurred by AGENCY in accordance with the provisions of this RGA and in the performance of Project Work. AGENCY must not only have incurred the expenditures on or after the start date and the issuance of the Notice to Proceed letter for this RGA and before the Expiration Date but must have also paid for those costs to claim any reimbursement. d. The AGENCY indirect cost rate must be approved in writing by the California Department of Transportation Independent Office of Audits and Investigations or federal cognizant agency before any reimbursement payment is made by CAL TRANS to AGENCY for such cost. e. Travel expenses and per diem rates are not to exceed the rate specified by the State of California Department of Human Resources for similar employees (i.e. non-represented employees) unless written verification is supplied that government hotel rates were not then commercially available to AGENCY, its subrecipients, contractors, and/or subcontractors, at the time and location required as specified in the California Department of Transportation's Travel Guide Exception Process at the following link: https://travelpocketguide.dot.ca.gov/.

City Council/RSA Agenda 142 Tuesday, May 28, 2024
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Also see website for summary of travel reimbursement rules. f. AGENCY shall submit invoices to CAL TRANS at least quarterly, but no more frequently than monthly, in arrears upon completion of project tasks, milestone and/or deliverables in accordance with the Project Time line in Attachment Ill to the satisfaction of CAL TRANS District Partnership Liaison
g .. Invoices shall reference this RGA Number and shall be signed and submitted to CAL TRANS District Partnership Liaison, as stated in Section Ill-Notification of Parties, Item Be. h. Invoices shall include the following information:
1) Names of the AGENCY personnel performing work
2) Dates and times of Project Work
3) Locations of Project Work
4) Itemized costs as set forth in Attachment Ill, including identification of each employee, contractor or subcontractor staff who provided services during the period of the invoice, the number of hours and hourly rates for each employee, contractor, sub-recipient or subcontractor staff member, authorized travel expenses with receipts, receipts for authorized materials or supplies, and contractor, subrecipient and subcontractor invoices. 5) AGENCY shall submit written progress reports with each set of invoices to allow CAL TRANS District Partnership Liaison to determine if AGENCY is performing to expectations, is on schedule, is within funding cost limitations, to communicate interim findings, and to afford occasions for airing difficulties respecting special problems encountered so that remedies can be developed.
i. Incomplete or inaccurate invoices shall be returned to the AGENCY unapproved for correction.

Failure to submit invoices on a timely basis may be grounds for termination of this RGA for material breach per Section Ill-Termination, Item 12.
j. CAL TRANS will reimburse AGENCY for all allowable Project costs at least quarterly, but no more frequently than monthly, in arrears as promptly as CAL TRANS fiscal procedures permit upon receipt of an itemized signed invoice.
k. The RGA Expiration Date refers to the last date for AGENCY to incur valid Project costs or credits and is the date this RGA expires. AGENCY has until December 31, 2024 to make final allowable payments to Project contractors or vendors, and submit the Project's Final Report, as defined in Attachment I and a final invoice to CAL TRANS for reimbursement for allowable Project costs. Any unexpended Project funds not invoiced by the 60th day will be reverted and will no longer be accessible to reimburse late Project invoices contractor.

I. The final invoice will be paid upon submission by AGENCY to CAL TRANS and acceptance by CAL TRANS of the Final Delivery Report. Complete final delivery reports and invoices must be submitted to CAL TRANS by June 30, 2025.

15. Quarterly Progress Reporting
a. AGENCY shall submit written quarterly progress reports to the CAL TRANS District Partnership Liaison to determine if AGENCY is performing to expectations, is on schedule, is within funding cost limitations, to communicate interim findings, and to afford occasions for airing difficulties respecting special problems encountered so that remedies can be developed.

City Council/RSA Agenda 143 Tuesday, May 28, 2024
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16. Cost Principles
City of Union City-Union City Transit
Agreement Number 04-TRANSIT-15
AMS ADV ID: 0424000100

a. AGENCY agrees to comply with Title 2, Code of Federal Regulations (CFR), Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
b. AGENCY agrees, and will assure that its contractors, sub-recipients, in-kind contributors, and subcontractors will be obligated to agree, that (a) Contract Cost Principles and Procedures, 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the allowability of individual Project cost items and (b) and (b) all parties shall comply with Federal administrative procedures in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

Every sub-recipient receiving Project funds as a sub-recipient, contractor, or subcontractor under this RGA shall comply with Federal administrative procedures in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards to the extent applicable. c. Any Project costs for which AGENCY has received payment or credit that are determined by subsequent audit to be unallowable under 2 CFR, Part 200, and/or Part 48, Chapter 1, Part 31, are subject to repayment by AGENCY to CAL TRANS. Should AGENCY fail to reimburse moneys due CAL TRANS within 30 days of discovery or demand, or within such other period as may be agreed in writing between the parties hereto, CAL TRANS is authorized to intercept and withhold future payments due AGENCY from CAL TRANS or any third-party source, including, but not limited to, the State Treasurer, the State Controller or any other fund source.
d. Prior to AGENCY seeking reimbursement of indirect costs, AGENCY must have identified estimated indirect cost rate in Attachment II, prepare and submit annually to CAL TRANS for review and approval an indirect cost rate proposal and a central service cost allocation plan (if any) in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards and Chapter 5 of the Local Assistance Procedures Manual which may be accessed at: https://dot.ca.gov/-/media/dotmedia/programs/local-assistance/documents/lapm/ch05.pdf e. AGENCY agrees and shall require that all its agreements with consultants and subrecipients contain provisions requiring adherence to this section in its entirety except for section c, above.

17. Americans with Disabilities Act
By signing this Agreement, LOCAL AGENCY assures CAL TRANS that in the course of performing Project Work, it will fully comply with the applicable provisions of the Americans with Disabilities Act (ADA) of 1990, as amended, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA (42 USC Section 12101 et seq.).

18. Iran Contracting Act
Proposed Contractor must complete and submit to CAL TRANS the Iran Contracting Act Certification certifying that it is not on the most current DGS list of Entities Prohibited from Contracting with Public Entities in California per the Iran Contracting Act, 2010 (https://www.dgs.ca.gov/PD/Resources/Page-Content/Procurement-Division-Resources-ListFolder/List-of-lneligible-Businesses), before the Agreement has been executed, unless Contractor is exempted from the certification requirement by Public Contract Code Section 2205(c) or (d). If City Council/RSA Agenda 144 Tuesday, May 28, 2024
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claiming an exemption, the proposed Contractor shall provide written evidence that supports an exemption under Public Contract Code Section 2203(c) or (d) before execution of the Agreement.

19. Indemnification
a. Neither CAL TRANS nor any officer or employee thereof is responsible for any injury, damage, or liability occurring by reason of anything done or omitted to be done by AGENCY, its officers, employees, agents, its contractors, its subrecipients, or its subcontractors under or in connection with any work, authority, or jurisdiction conferred upon AGENCY under this RGA.

It is understood and agreed that AGENCY shall fully defend, indemnify, and save harmless CAL TRANS and all of CAL TRANS' officers and employees from all claims, suits, or actions of every name, kind, and description brought forth under, including, but not limited to, tortuous, contractual, likeness statutes under California Civil Code §§ 3344 and 3344.1, inverse condemnation, or other theories or assertions of liability occurring by reason of anything done or omitted to be done by AGENCY, its officers, employees, agents, contractors, subrecipients, or subcontractors under this RGA.
b. AGENCY agrees to fully defend, indemnify, and save harmless CAL TRANS and all of its officers and employees from any and all claims, lawsuits, or legal actions, including reasonable attorneys' fees and legal costs, relating to intellectual property claims arising from or related to the Project and/or any work procured under this RGA, including but not limited to claims based on (1) U.S. federal or state trademark infringement laws, (2) patent infringement laws (3) 17 U.S.C. §§ 101-810 (the Copyright Act of 1976, as modified), (4) 17 U.S.C. § 106A(a) (the Visual Artists Rights Act of 1990, "VARA"), (5) 17 U.S.C. § 113, (6) California Civil Code § 987 (the California Art Preservation Act), California Civil Code §989, or (7) any other rights arising under U.S. federal or state laws or under the laws of any other country that conveys rights and protections of the same nature as those conveyed under 17 U .S.C. §106A(a) and California Civil Code §987, including intellectual property claims arising from or related to breach of contract, inverse condemnation, conversion, and/or taking of property.

20. Nondiscrimination Clause (2 CCR 11105 Clause b)
a. During the performance of this RGA, the AGENCY, its contractors, its subrecipients, and its subcontractors shall not deny the contract's benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they discriminate unlawfully against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status. AGENCY shall ensure that the evaluation and treatment of employees and applicants for employment are free of such discrimination. b. AGENCY shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code Sections 12900 et seq.), the regulations promulgated thereunder (California Code of Regulations, Title 2, Sections 11000 et seq.), the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Gov. Code Sections 11135-11139.5), and the regulations or standards adopted by CAL TRANS to implement such article. c. AGENCY shall permit access by representatives of the Department of Fair Employment and Housing and CAL TRANS upon reasonable notice at any time during the normal business hours, but in no case less than 24 hours' notice, to such of its books, records, accounts, and all other City Council/RSA Agenda 145 Tuesday, May 28, 2024
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sources of information and its facilities as said Department or CAL TRANS shall require to ascertain compliance with this clause.
d. AGENCY and its contractors, its sub-recipients, and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement.
e. AGENCY shall include the nondiscrimination and compliance provisions of this clause in all agreements with its sub-recipients, contractors, and subcontractors, and shall include a requirement in all agreements with all of same that each of them in turn include the nondiscrimination and compliance provisions of this clause in all contracts and subcontracts they enter into to perform work under this RGA.

21. Retention of Records/Audits
a. AGENCY, its contractors, subcontractors, and sub-recipients, agree to comply with Title 2, Code of Federal Regulations (CFR), Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
b. AGENCY, its contractors, subcontractors, and sub-recipients shall establish and maintain an accounting system and records that properly accumulate and segregate incurred Project costs and matching funds by line. The accounting system of AGENCY, its contractors, all subcontractors, and sub-recipients shall conform to Generally Accepted Accounting Principles (GAAP), enable the determination of incurred costs at interim points of completion, and provide support for reimbursement payment vouchers or invoices. All accounting records and other supporting papers of AGENCY, its contractors, subcontractors and sub-recipients connected with Project performance under this RGA shall be maintained for a minimum of three (3) years from the date of final payment to AGENCY and shall be held open to inspection, copying, and audit by representatives of CAL TRANS, the California State Auditor, and auditors representing the federal government. Copies thereof will be furnished by AGENCY, its contractors, its subcontractors, and sub-recipients upon receipt of any request made by CAL TRANS or its agents. In conducting an audit of the costs and match credits claimed under this RGA, CAL TRANS will rely to the maximum extent possible on any prior audit of AGENCY pursuant to the provisions of State and AGENCY law. In the absence of such an audit, any acceptable audit work performed by AGENCY's external and internal auditors may be relied upon and used by CAL TRANS when planning and conducting additional audits. c. For the purpose of determining compliance with applicable State and AGENCY law in connection with the performance of AGENCY's contracts with third parties pursuant to Government Code Section 8546.7, AGENCY, AGENCY's sub-recipients, contractors, subcontractors, and CAL TRANS, shall each maintain and make available for inspection all books, documents, papers, accounting records, and other evidence pertaining to the performance of such contracts, including, but not limited to, the costs of administering those various contracts. All of the above referenced parties shall make such materials available at their respective offices at all reasonable times during the entire Project period and for three (3) years from the date of final payment to AGENCY under this RGA. CAL TRANS, the California State Auditor, or any duly authorized representative of CAL TRANS or the United States Department of Transportation, shall each have access to any books, records, and documents that are pertinent to a Project for audits, examinations, excerpts, and transactions, and AGENCY shall furnish copies thereof if requested. d. AGENCY, its subrecipients, contractors, and subcontractors will permit access to all records of employment, employment advertisements, employment application forms, and other pertinent City Council/RSA Agenda 146 Tuesday, May 28, 2024
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data and records by the State Fair Employment Practices and Housing Commission, or any other agency of the State of California designated by CAL TRANS, for the purpose of any investigation to ascertain compliance with this RGA.
e. Additionally, all grants may be subject to a pre-award audit prior to execution of this RGA to ensure AGENCY has an adequate financial management system in place to accumulate and segregate reasonable, allowable and allocable costs.
f. Any contract with a contractor, subcontractor, or sub-recipient entered into as a result of this RGA shall contain all the provisions of this article.

22. Adjudication of Facts in Disputes
a. Any dispute concerning a question of fact arising under this RGA that is not disposed of by agreement shall be decided by the CAL TRANS Contract Officer, who may consider any written or verbal evidence submitted by AGENCY. The CAL TRANS Contract Officer shall issue a written decision within 30 days of receipt of the dispute. If AGENCY rejects the decision of the CAL TRANS Contract Officer, AGENCY can pursue any and all remedies authorized by law. Neither party waives any rights to pursue remedies authorized by law.
b. Neither the pendency of a dispute nor its consideration by CAL TRANS Contract Officer will excuse AGENCY from full and timely performance in accordance with the terms of this RGA.

23. Third-Party Contracts
a. AGENCY shall perform the work contemplated with resources available within its own organization and no portion of the work shall be contracted to a third party without prior written authorization by the CAL TRANS District Partnership Liaison unless expressly included (subrecipient identified) in Attachment Ill as Project Work. b. All State-government-funded procurements must be conducted using a fair and competitive procurement process. AGENCY may use its own procurement procedures as long as the procedures comply with the local AGENCY's laws, rules, and ordinances governing procurement and all applicable provisions of State law, including, without limitation, the requirement that the AGENCY endeavor to obtain at least three (3) competitive bids for solicitation of goods, services, and consulting services (see Part 2, Chapter 2, Articles 3 and 4 of the Public Contract Code); a qualifications-based solicitation process, for which statements of qualifications are obtained from at least three (3) qualified firms for architecture and engineering services (see Title 1, Division 5, Chapter 1 O of the Government Code); and, the applicable provisions of the State Contracting Manual (SCM), Chapter 5, which are not inconsistent with this Item 23, Third Party Contracts. The SCM can be found and the following link: https://www.dgs.ca.gov/OLS/Resources/PageContent/Office-of-Legal-Services-Resources-List-Folder/State-Contracting. c. Any contract entered into as a result of this RGA shall contain all the provisions stipulated in this RGA to be applicable to AGENCY's sub-recipients, contractors, and subcontractors.

Copies of all agreements with sub-recipients, contractors, and subcontractors, must be submitted to the CAL TRANS District Partnership Liaison. d. CAL TRANS does not have a contractual relationship with the AGENCY's subrecipients, contractors, or subcontractors, and the AGENCY shall be fully responsible for all work performed by its subrecipients, contractors, or subcontractors.

City Council/RSA Agenda 147 Tuesday, May 28, 2024
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