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HomeMy WebLinkAboutRESO 102291 Resolution No. 10229 Resolution of the Council of the City of Palo Alto Adopting a Citywide Records Retention Schedule and Repealing Resolution No. 9565 R E C I T A L S A. The destruction of certain public records is authorized by State law in Government Code sections 34090, et seq. B. A system for the retention and schedule for the destruction of records and working papers that are no longer needed for administrative, legal, fiscal, historical, or research purposes is deemed appropriate. C. The City Clerk has developed and is responsible for the City's Records and Information Management ("RIM") Program, including guidelines and procedures prepared pursuant to that Program. D. On April 22, 1996 pursuant to Resolution No. 7579, the Council adopted records retention schedules for the Police, Planning and Community Environment, Public Works, and Utilities Departments and amended records retention schedules for the offices of the City Attorney, City Auditor, City Clerk and City Manager, Administrative Services, Community Services, Fire and Human Resources Departments. E. The Council adopted revised citywide records retention schedules on February 5, 2007 pursuant to Resolution No. 8688 and on December 7, 2015 pursuant to Resolution 9565. F. It is now necessary and desirable to adopt revised citywide records retention schedules. G. The City Attorney has reviewed and approved the proposed records retention schedules. The Council of the City of Palo Alto RESOLVES as follows: SECTION 1. The Council hereby authorizes the head of each department to maintain and destroy records in accordance with their respective departmental retention schedules, attached hereto and incorporated herein by reference, subject to the written approval of the City Attorney prior to any proposed destruction, and subject further to the Records and Information Management Program and any guidelines or procedures the City Clerk may from time to time promulgate thereunder. Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 2 SECTION 2. Resolution No. 9565 is hereby repealed. SECTION 3. The Council finds that the adoption of this resolution does not constitute a project for purposes of the California Environmental Quality Act, and, therefore, no environmental assessment is required. INTRODUCED AND PASSED: JUNE 16, 2025 AYES: BURT, LAUING, LU, LYTHCOTT-HAIMS, RECKDAHL, VEENKER NOES: ABSENT: STONE ABSTENTIONS: ATTEST: City Clerk Mayor APPROVED AS TO FORM:APPROVED: Deputy City Attorney City Manager City Clerk Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 READING THE RETENTION SCHEDULE: A "HOW TO" GUIDE BACKGROUND The Retention Schedule, as approved by the City Council through Resolution, is a legal document. It identifies the types of records and information used and managed by a department, how long that information must be retained at the office and/or off-site, and when it may be destroyed. Each department is required to have a current Schedule. It is the responsibility of the department to notify the City Clerk’s Office of any business, organizational, functional, or legal changes which would impact their specific Schedule. The City Clerk’s Office coordinates with the departments and Office of the City Attorney (which reviews the schedules for compliance with all government codes and regulations) prior to approval by the City Council. The Schedules should be reviewed for accuracy every two to three years by the City Clerk’s and City Attorney’s Offices in conjunction with each respective department. DEFINITIONS Description – This is the general description of a group of records with similar business functions and retention requirements. The description must coincide with file titles maintained by the department. Total Retention – This refers to the length of time a record must be kept before it is eligible for destruction. C – Current refers to the current calendar year in which a record is made. The Retention period begins the first day of the following calendar year. (For example, C+2 means that any record created in 2025 is kept for the two following years, 2026 and 2027. The record would be eligible for destruction after December 31, 2027). PER – Permanent refers to records that should be kept in perpetuity and never destroyed. S – Supersede indicates that old items are replaced by a more current version. TER—Termination refers to the end date of a contract, agreement, term, etc. Statutory Reference – This field includes regulations and codes that govern the retention of a specific record type. All references are to California Code unless otherwise noted. Remarks – This field includes general comments about the information in this row. When "Department Opinion" is noted in this column, it means that the Department has decided to maintain the record longer than the legal requirement. "Attorney Opinion" indicates that the retention requirement was established pursuant to the opinion of the City Attorney based on research, past litigation history, and/or the potential for future litigation on this topic. The 2025 revision preserves Department and Attorney Opinions from previous versions of the schedule. Page 1 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto  Records Retention Schedule    Administrative Services  Series Description Total  Retention  Statutory  Reference Remarks    C = Current Year  PER = Permanent  TER = Termination   S = Supersede  ADMINISTRATION          Correspondence, Messages,  Timecards, Staff Meetings, Studies  C+3    Auditors Opinions  3 Gifts to the City, Cash & Tangible  Property  C+6   Scanned list on CD Rom in Admin  Svcs Dept files  TREASURY           4  INVESTMENT MANAGEMENT‐ Security Purchases, Sales &  Investment Reports  C+7    Auditors Opinion  5 DEBT MANAGEMENT‐           (a) Deceased Insurance C+3    Department Opinion    (b) Final Bond TER+4   Duplicate Stored Offsite as vital  copy backup    (c)  Covenant Compliance TER+7   Duplicate stored offsite as vital  copy backup    (d)  Bank Records C+7   Duplicate stored offsite as vital  copy backup  REVENUE COLLECTION          6 (a)  Deposit/Reconciliation  Documentation  C+2 GC 34090     (b)  Parking Permit Records C+4 GC 34090        (c)  Collection Records – UUT,  Parking Citations, Delinquent  Accounts, Transient Occupancy Tax  C+5    Department Opinion    BUSINESS LICENSE TER+4 GC 34090;  CCP 337       LIENS & RELEASES  (a) Recorded Liens & Releases  (b) Supporting Recorded  Documentation    PER  TER+2 GC 34090     BUDGET          7 BUDGET           (a) Final Budget, CIP Budgets, Fee  Schedule  TER+4         (b) Supporting Documents for  Change Requests, Amendments,  Worksheets, Fee Schedules & Cost  Plans  C+2    Auditors Opinion     (c) Long Range Plans Studies,  Reports, Measurements, Forecasts  & Projections  C+3    Auditors Opinion  REAL ESTATE          8 BINDING INSTRUMENTS         Page 2 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto  Records Retention Schedule    Administrative Services  Series Description Total  Retention  Statutory  Reference Remarks    C = Current Year  PER = Permanent  TER = Termination   S = Supersede    (a)   Land – Deeds, Easements PER    Duplicate of City Clerk    (b)   Easement Vacations, Leases &  Purchases  PER   Duplicate of City Clerk    (c) Encroachments, Agreements &  Conveyances  PER   Duplicate of City Clerk  PURCHASING          9  (a)      Council Approved Contracts,  Solicitations & Documents. All Open  Council Approved Contracts,  Solicitations & Documents  TER+ 4   CCP 337.2   CCP 343    Council Approved Contracts  duplicate of City Clerk     (b) Service Contracts, Purchase  Orders, Blanket Purchase Orders &  Solicitations & Documents  i. Purchase Orders/Blanket Orders  ii. Service Order Contracts  TER+4 TER+4      CCP 337.2   CCP 343        (c) Bids Unawarded Solicitations &  Documents  C+2 GC 34090 Department Opinion vital while  orders are open  10  INTERNAL VENDORS ‐  (Stores &  Print Shop) Reports, Orders,  Returns, Disposal Forms Journal &  Requisitions  C+4    Department and Auditors Opinion  ACCOUNTING          11 YEAR‐END REPORTS            (a) Budget‐to‐Actual C+2 GC 34090       (b) Comprehensive Annual Financial  Report (ACFR)  PER       (c) General Ledger, Encumbrance  Report  C+2 GC 34090       (e) Audit Work Papers & Journal  Entries  C+2  GC 34090  Digital copies of audit work  papers: saved on S drive, Journal  Entries saved on SAP effective  March 2023     (f) ANNUAL PUBLIC IMPROVEMENT  CORPORATION‐STATE  CONTROLLERS REPORT  C+7    Digital copies only     (g) PIC TAX Return C+7    Digital copies only    (g) Annual Street Report C+7    Digital copies only    (h) City Financial Transaction Report       Digital copies only   Utility Receipt Stubs C+2       ACCOUNTS PAYABLE         12 A/P + UTILITY CHECK   REGISTERS (WARRANTS)  C+7  C+7   Department and Auditors Opinion  (voided checks) Digital copies only  13  CANCELLED/VOIDED   WARRANTS. CHECK VOID FORMS +  BACKUP  C+4  C+7     Department and Auditors Opinion  (VOIDED CHECKS) Digital copies  only  14 VOUCHER PACKETS.   GENERAL WARRANT COPIES WITH  C+5  C+7   Department and Auditors Opinion  Digital copies only    Page 3 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto  Records Retention Schedule    Administrative Services  Series Description Total  Retention  Statutory  Reference Remarks    C = Current Year  PER = Permanent  TER = Termination   S = Supersede  BACKUP FOR A/P, UTILITY REFUNDS,  3RD PARTY AND WIRE TRANSFERS  15 CAPITAL PROJECTS TER+7    Department and Auditors Opinion    Project Files, Street Reports, &  Community Development Block  Grant (CDBG) Billings    Community Development Block  Grant (CDBG) Billings / Drawdown       Digital copies only    UNIVERSITY AVENUE SPECIAL  ASSESSMENT PARKING DISTRICT  C+7   Digital copies only    ANNUAL INTERGOVERNMENTAL  EXPENDITURES REPORT  C+7   Digital copies only    ZFIR03 AUTHORIZED SIGNATURE  COVER SHEETS  C+7     Cover sheet for batches off  invoices from departments sent to  A/P. Has list of invoices enclosed  and department authorization to  process the invoices.      A/P JOURNAL LOG C+7   Digital copies only    AUTHORIZING SIGNATURE FORMS C+7    Digital copies only    TAX RECORDS – Sales Tax Filings,  1099 Tax Filings & Registers  C+7   Digital copies only  ACCOUNTS RECEIVABLE and CASH RECEIPTS           16  Backup for invoices created (such as  Airport, Avenidas, & Palo Alto  Community Childcare, Stanford, VTA  and others)             b) Facility Cash Receipts, Revenue  Collections Cash Receipts, and  Utility Cash Receipts  C+7 GC 34090,  CCP 338  Federal & State Audit  Requirements Duplicate stored offsite as vital  copy backup Department Opinion   Digital copies only  21 PAYROLL  C+7   29 CFR  Section  1627.3  Labor  Relations  Section  1174  California  Labor Code  Section  1174  Public Employees Retirement  System and Department Opinion ‐‐  Duplicate stored offsite as vital  copy backup    Garnishment Orders C+7   SB 807 1/2022 CA Record  Retention ‐ 4 Years    Direct Deposit/ W4 Changes C+7    IRS Requirement ‐ 4 years  Page 4 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto  Records Retention Schedule    Administrative Services  Series Description Total  Retention  Statutory  Reference Remarks    C = Current Year  PER = Permanent  TER = Termination   S = Supersede    Copies of PSO PAF C+7   4 Years HR owns original copy  retention    CalPers Reporting C+7   4 Years HR owns original copy  retention    Third Party Reporting C+7    4 years    Payroll Quarterly Tax Reports C+7    IRS Requirement ‐ 4 years    Payroll Masterfile C+7    4 years    Payroll Reconciliations C+7    In accordance with GL    Payroll Journals C+7    In accordance with GL     W2 Copies C+4    IRS Requirement ‐ 4 years  ENTERPRISE/ GENERAL LEDGER ACCOUNTING         23 GL Accounts Reconciliations  C+7        24 Reconciliations of utility and other  clearing accounts  C+5       25 Receipts/stubs from the daily utility  payments process (batch detail)  C+2+2  months GC 34090     26 Audit Backup & Journal Entries  Backup  C+2 GC 34090     27         28  Fixed assets backup of journal  entries, capitalization, disposals &  reconciliations  TER + 3                      Page 5 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule City Attorney’s Office Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS General Info/Subject Files C+9 GC 34090 Restricted access to any files may contain confidential documents. Keep files until subject matter is no longer active. Required to keep until reasonable threat of legal action has passed. General Correspondence C+9 GC 34090 Contracts, invoices, and purchase orders originating in City Attorney’s Office TER+10 Review on a file by file basis for destruction SUBJECT FILES Legal memoranda to City Council C+11 Review on file by file basis for destruction Settlement Agreements C+10 Settlement agreements with ongoing relevance retained for as long as needed Municipal prosecutions TER+10 Review on file by file basis for destruction Attorney-led investigations C+10 Review on file by file basis for destruction 900 Claims TER+10 Required to keep until reasonable threat of legal action has passed. On a file by file basis assign archive time Civil litigation files C+10 Required to keep until reasonable threat of legal action has passed. On a file by file basis assign archive time Page 6 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule City Auditor Series Description Total Retention Statutory Reference Remarks SUBJECT FILES 4 Publications (Audit Reports), Status Reports, Revenue Reports, Council Reports PER GC 34090 Department Policy.Post-2025, publications included City Council /Committee agenda packets are kept by CLK 5 Work Papers (supporting documentation for published reports) C+7 GC 34090 While City Auditor is outsourced, duplicates kept by relevant department as needed. 6 Revenue Audit Work Papers (Sales, TOT, UUT, Prop. Tax etc.) C+7 GC 34090 While City Auditor is outsourced, duplicates kept by relevant department as needed. 7 Fraud, Waste, and Abuse Hotline documentation TER+5 GC 34090 While City Auditor is outsourced, duplicates may be kept by another associated department as needed. Page 7 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule City Clerk’s Office Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 100 Domestic Partnership Affidavits & Statements PER GC 34090 101 FINANCIAL DOCUMENTS a) Contracts awarded by City Clerk Department, except construction b) Contracts awarded by City Council, except construction c) City Clerk Purchase Orders d) Construction contracts awarded by City Council TER+4 TER+4 C+2 PERM PAMC 2.08.110; CCP 337 PAMC 2.08.110; CCP 337 City Clerk Purchase Orders duplicate of ASD 102 General Correspondence C+2 GC 34090 103 LEGAL ADVERTISING C+4 CCP 343, 349 et seq.; GC 911.2 Includes public hearing notices, legal publications 104 PUBLIC RECORDS REQUESTS Requests, responses, and log TER+2 GC 34090 TER = Resolution Date ADMINISTRATIVE HEARING RECORDS 106 Alarm and Parking Ticket Appeal Hearings TER+2 GC 34090 Includes Initial Review document 108 Other Administrative Hearings C+5 GC 34090 Public Works and Community Services Department hearings 109 Parking Citation Adjudications (Request for Initial Review) TER+2 GC 34090 Department opinion 110 Utility User Tax Hearings C+10 GC 34090 ELECTIONS/POLITICAL REFORM ACT 111 AB1234 ETHICS TRAINING – Proof of training attendance C+5 GC 53235.2b 113 CAMPAIGN DISCLOSURE STATEMENTS- a) Elected Members & Log of Filers, their Controlled Committees, and committees supporting such officeholders and candidates b) Non-elected candidates, committee supporting non- elected candidates c) Others -- Committees, Supporting/Opposing Measures, General Purpose, Independent expenditure, major donor committees d) Copies received (e.g. Form 410)(paper) e) Electronically filed PER C+5 C+7 C+4 PER GC 81009 (g) GC 81009(b) GC 81009(c) GC 81009(f) GC 84615(i) After two years on file, an electronic copy of the statement may be retained and originals discarded (GC 81009(g)) Original electronic form must be kept for at least 10 years Page 8 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule City Clerk’s Office Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 114 CONFLICT OF INTEREST CODE PER PAMC 2.08.110 Code is Adopted by Resolution, Resolution is Permanent 115 FPPC AGENCY FORMS a) Gift to Agency Report -- Form 801 b) Behested Payment Report - - Form 803 c) New Positions -- Form 804 d) Consultants -- Form 805 e) Public Official Appointments -- Form 806 C+7 C+7 S+4 C+4 C+2 FPPC 18944 GC 82015 FPPC 18734 FPPC 18734 FPPC18705.5 FPPC Retention Current on City Website 116 NOMINATION PAPERS TER+4 EC 17100 Non-elected TER = Term of office or failure date Unless requested per EC 17100(b) 117 PETITIONS, INITIATIVES, REFERENDUM, RECALL & CHARTER AMENDMENTS Petition TER+8 months EC 17200 EC 17400 (Recall petitions) 7924.100- 7924.110 (PRA reference) PA Charter Articles VI and IX RESTRICTED ACCESS TER = date of election result certification Department Opinion 8/14 Certain records may be kept for historical/reference purposes 117b Certification of Election Results C+10 EC 15372 118 SAMPLE BALLOT PER GC 34090 119 STATEMENT OF ECONOMIC INTEREST – Form 700 (Designated Filers) & Log of Filers C+7 GC 81009(e)-(g) Originals retained C+7 Copies retained C+4 "Wet" paper filed forms can be digitized after 2 years 120 STATEMENT OF ECONOMIC INTEREST – Form 700 (GC 87200 Filers) & Log of Filers C+4 GC 81009(d)-(g) Originals forwarded to State. Copies retained C +4 GC 87200 Filers include City Council Members, the City Attorney, City Manager, Planning Commissioners, and the Administrative Services Director (CFO) LEGISLATIVE HISTORY 121 BOARDS & COMMISSIONS a) Applications & Appointments I. Appointed II. Not Appointed b) Letters of Appointment TER+5 C+2 TER+2 GC 34090; GC 40801 TER = Leaving Office date CL = Close of recruitment TER = Leaving Office date TER = Leaving Office date Page 9 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule City Clerk’s Office Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede c) Notices of Termination d) Oaths of Office e) Recruitment Outreach f) General Correspondence g) BCC Handbook TER+2 TER+6 TER+2 C+2 S 122 CITY COUNCIL ROSTER PER Department Opinion Paper C+2 123 COUNCIL & STANDING COMMITTEES MEETINGS a) Agenda Packets -- Docs. and information submitted to Council including questions and answers to Council agenda items b) Agendas c) Minutes d) DVDs/Recordings e) Proof of Agenda Posting PER PER PER PER C+2 GC 34090; GC 40801 54960.1(c)(1) GC 34090 Department Opinion Department Opinion 2025 Agenda Packets not PER before 2024 Department Opinion 10/14 124 COUNCIL MEMBER – b) Biographies c) Photos d) Emergency Standby Council Oaths of Office and Report PER PER PER Department Opinion 10/14 125 OATHS OF OFFICE a) Elected Council Member TER+2 6 PER GC 34090; 29 USC 1113 TER = Leaving Office date Department Opinion 8/14 126 ORDINANCES PER GC 34090; PAMC 2.08.110 127 PROCLAMATIONS C+2 GC 34090 128 RESOLUTIONS PER GC 34090; PAMC 2.08.110 128a MUNICIPAL CODE PER GC 34090 Added in 2025 129 RECORDS & INFORMATION MANAGEMENT- a) Retention Schedules & Manuals b) Destruction Certificates c) Transfer Lists d) Inventory Database S+4 PER PER S GC 34090 GC 34090 Department Opinion 8/14 Department Opinion 130 STATE OF THE CITY ADDRESS - DVD/recording and Speech PER GC 34090 Department Opinion 8/14 REAL PROPERTY 131 ANNEXATIONS/ACQUISITION PER GC 34090a 132 ASSESSMENTS PER Department Opinion 133 BINDING INSTRUMENTS a) Land -- Deeds, Easements, Record of Land Use Action b) Easements, Vacations, Leases & Purchases a) PER b) PER c) PER GC 340 90a Department Opinion Duplicate of County Recorder TER = paid in full TER = paid in full Page 10 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule City Clerk’s Office Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede c) Encroachments, Conveyances d) Community Development Block Grants (CDBG) i. Deeds of Trust ii. Promissory Notes iii. Agreements e) Certificates of Compliance. f) Real Property Agreements, i.e. Regulatory Agreements, Declaration of Restrictive Covenants, Occupancy, Land Use, and Development Restriction Agreements d) TER+6 e) PER f) PER 134 BONDS TER+10 GC 34090 CCP 337.5 Duplicate of County Recorder 135 DEEDS OF TRUST TER+6 CCP 336a 136 LIENS, CONDEMNATION PER GC 34090a 137 SUBDIVIDER AGREEMENTS PER GC 65864 & 65869.5 SUBJECT FILES 138 CABLE TELEVISION – Franchise & Licenses PER GC 34090 City Attorney Opinion 9/87 139 CEQA POSTINGS C+2 PRC 21152 (c) GC 34090 140 CIVIL GRAND JURY REPORTS PER CPC 933 141 CLAIMS AGAINST THE CITY C+5 PAMC 2.28.230 & 2.28.240 Duplicate of City Attorney 142 FLOOD BASIN PER GC 34090 City Attorney Opinion 9/87 143 NORTHERN CALIFORNIA POWER AGENCY – Agreements including Transmission Agency of Northern California PER PAMC 2.08.110 City Attorney Opinion 9/87 144 PAC BELL/PG&E PER GC 34090 Department Opinion 1992 145 POLICE AUDITOR REPORTS PER GC 34090 Department Opinion 4/2015 146 POLICIES (a) Council Policies S+2 GC 34090 147 STANFORD (Including Sand Hill Road, Willow Rd. Extension) PER PAMC 2.08.110 City Attorney Opinion 9/87 148 SUBJECT FILES – All subject files included, unless specifically set forth elsewhere. C+2 GC 34090 Confidential Legal Opinions are not public information and are restricted from public access. 149 WATER RIGHTS – Agreements and Clean Up PER GC 34090 City Attorney Opinion 1995 150 YACHT HARBOR PER PAMC 2.08.110 City Attorney Opinion 9/87 Page 11 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule City Manager’s Office Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 001 Personnel Information, Budget Information While useful Duplicate records of other departments 003 Economic Development Files for Projects throughout City of PA PER May be stored off-site Sister Cities C+2 GC 34090 LEGISLATIVE HISTORY 004 Legislative Letters C+5 SUBJECT FILES 005 Files established pertaining to various subjects, Project files, Chronological Files C+2 GC 34090 POLICIES AND PROCEDURES 006 Official copies of all City Policies and procedures S Each department should have a current copy of the Policies & Procedures TRANSPORTATION BICYCLES 016 a) Bike Boulevard PER GC 34090 Unique project, historical significance, model for other jurisdictions in and out of U.S. Department Opinion b) Bike Counts C+5 GC 34090 c) Bike Facilities, Lockers/Racks C+2 GC 34090 d) Bike Locker Rental Program C+2 GC 34090 e) Bike Operations (signing/striping, signal detection), paths, Routes and Trails C+2 GC 34090 f) Pedestrian and Bicycle Advisory Committee C+5 GC 34090 017 FUNDING-Fuel Efficient Traffic Signal Management Program (FETSIM) Applications, Prop 116 Applications, Surface Transportation Program (STDP)/Congestion Mitigation and Air Quality (CMAQ)Applications and Transportation Development Act (TDA) Article 3 Applications PER GC 34090 24 CFR 200.334 24 CFR 570.502 29 CFR 97.42 018 NEIGHBORHOOD STUDIES C+2 Department Opinion Page 12 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule C = Current Year PER = Permanent TER = Termination S = Supersede PARKING 019 a) Assessment Districts PER Multiple Depts Opinion b) Carpool/Vanpool Program C+2 GC 34090 c) Facilities(garages/lots) PER GC 34090 Department Opinion d) Permit Policy/Management S+2 Department Opinion e) Residential Permit Parking C+2 f) Structures PER Department Opinion g) Surveys C+2 h) Zones C+2 Department Opinion i) Congestion Pricing C+5 Department Opinion 020 PERMITS/TRAFFIC CONTROL- Certificates of Insurance and Traffic Control Plans C+2 GC 34090 TRAFFIC REFERENCE 021 a) Bike-correspondence, other jurisdiction bike plans, safety/education C+2 GC 34090 Department Opinion/Online Reference b) Demographic Data PER Department Opinion c) Traffic Flow Maps C+5 GC 34090 022 REGIONAL AGENCIES C+2 GC 34090 023 SCHOOL SAFETY C+2 GC 34090 024 TRAFFIC STUDIES C+5 GC 34090 Department Opinion a) Traffic Calming b) Traffic Signals c) Other Traffic Studies 025 Traffic Operations Accidents (high accident location/accident data and reports) C+2 GC 34090 026 Plans PER H&S 19850 Page 13 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Community Services Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE SERVICES 1 Personnel – Current Employees Performance Reviews & Work Schedules C+2 2 Security Documents, Work Orders, Correspondence Inventories, Logs & Reports C+2 GC 34090 3 Policy – Policies, Procedures & Forms S CA Opinion 4 a) Stores Req b)Purchase Orders c)Contracts TER+3 TER+3 TER+4 5 Volunteer Records C+2 GC 34090 6 Accounting – Sales Receipts, Deposits, Sales Logs, Ledgers, Fees/Fines, Bills & Transit Books C+2 Community Services Opinion ARTS & SCIENCES DIVISION 7 Art Loan Program C+2 GC 34090 8 Theatre Records – Costume & Prop Loans and Booth Level Settings C+2 GC 34090 9 Art Collection C +2 Community Services Opinion 10 Public Art Commission – a) Action Agenda a) Proof of Posting b) Minutes of all meetings c) General Correspondence d) Proof of Agenda Posting PER C+2 PER C+2 C+2 Community Services Opinion Agendas Duplicates of City Clerk 11 Exhibits – Junior Museum & Baylands Interpretive Center PER Community Services Opinion 12 Animal Permits – Junior Museum & Zoo TER+2 Fish & Game Sections 3200, 3204 HUMAN SERVICES & CUBBERLEY DIVISION Human Relations Commission – a) Agendas and Packets b) Proof of Publication c) Minutes of all meetings d) General Correspondence e) Proof of Agenda Posting PER C+2 PER C+2 C+2 GC 34090 Agendas Duplicates of City Clerk RECREATION AND GOLF DIVISION 20 Use Permits – Fields, Parks, Courts, Certificates of Insurance, Facilities Applications & Logs and Group Agreements C+2 GC 34090 21 Waivers, Cancellation/Transfer Forms C+2 GC 34090 22 Recreation Foundation – Minutes, Correspondence & Financial Information C+2 Page 14 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Community Services Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Parks & Recreation Commission - a) Action Agenda a) Proof of Posting b) Minutes of all meetings c) General Correspondence d) Proof of Agenda Posting PER C+2 PER C+2 C+2 GC 34090 Agendas Duplicate of City Clerk Fee Reduction Program C+2 Department Opinion 2024 ANIMAL SERVICES 23 Veterinary Medical Records – all records relating to animal inventory and care TER+3 BP 4081 FAC 32003€ PC 597.1(d) Previously in Police Dept. retention schedule. Retained by contractor Pets in Need Page 15 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Fire Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 1 DEPARTMENT MANAGEMENT C+2 GC 34090 General Order, Special Orders, Bulletins While Useful Department Opinion Policies and Procedures S+6 GC 34090 45 CFR Part 164.530 Memorandum of Agreements TER+4 Duplicate of Human Resources (HR) General Correspondence C+2 GC 34090 001(a) Code Books, Ordinances PER GC 34090(e) California Fire Code, Ordinances duplicate of City Clerk 2 DEPARTMENT PLANS PER Strategic Plans/Master Planning Documents S+2 3 GENERAL CORRESPONDENCE & REPORTS C+2 GC 34090 Correspondence, memos, emails, press releases C+2 GC 34090 Committee reports, minutes, public file review requests While Useful Duplicate of City Clerk Special studies, community relations While Useful 4 BIDS-UNACCEPTED While Useful Duplicate of Purchasing 5 OTHER DEPARTMENTS While Useful Duplicate of Other Departments Staffing roster, timecards, leave reports While Useful Duplicate of Administrative Services (ASD) Contracts and accounting reports, purchase orders, deposits, receipts TER+4 CCP 337 CCP 337.15 Duplicate of ASD; Council approved contracts duplicate of City Clerk Records retention schedule S Duplicate of City Clerk 6 EMPLOYEE FILES 006(a) Training records, certificates C+2 GC 34090 Duplicate of HR 006(b) Employee records While Useful Duplicate of HR 006(c) DMV Driver Tests and records C+2 GC 34090 Duplicate of HR 7 EMPLOYEE INJURY/EXPOSURE While Useful Duplicate of HR Page 16 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Fire Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Employee accident and exposure reports PER 29CFR1910.1020 Department Opinion Individual and summary statistics PER SUBJECT FILES FIRE PREVENTION 8 FIRE PREVENTION: Code Enforcement actions TERCL+5 CFC 104.6 Site Plans While Useful Requests for service, complaints. C+2 Sprinkler system & Fire Alarm periodic testing reports & inspections C+6 Electronic 5 Year tests: Keep C+6 Stored by 3rd Party Vendor 008(a) FIRE INVESTIGATION REPORTS & PHOTOS TER+6 CFC 104.6.2 PC 801 TER= for as long as the structure or activity to which such records relate remains in existence 008(b) FIRE/HOMICIDE INVESTIGATION REPORTS & PHOTOS PER PC 799 C+6 onsite; PER offsite 008(c) ARSON /JUVENILE FIRESETTER SUSPECTS C+6 CFC 104.6; PC 801 Include interviews, documentation and classroom materials for junior firesetters 9 ANNUAL FIRE (CFC) PERMITS C+2 GC 34090 10 STREET & NUMBER ASSIGNMENT While Useful CFC 103.3.4 PAMC 16.36.030 Duplicate of Planning and Development Services 11 FIRE INSPECTIONS (Bureau and Engine Company inspections) TER+6 CFC 104.6.2 Department Opinion Records of Inspection; routine, special, new construction & tenant improvement-related. PER CFC 104.6.2 Electronically stored in Accela Pre-Citation Letters, Notice of Violation letters. C+2 GC 34090 12 CERTIFICATIONS GC 34090 Flame Resistance PER Electronically stored in Accela Use and Occupancy Certificate PER Electronically stored in Accela 13 SPRINKLERS & FIRE SUPPRESSION SYSTEMS Life of Building (LoB) CFC 104.6 Pertains to real property. May include blueprints, reports, inspection results, permits. Keep 2 years onsite, permanent offsite Page 17 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Fire Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Design, Flow, Installation documents LoB Plan review comments LoB 14 BUILDING PROJECTS LoB GC 34090(a) Pertains to real property. May include blueprints, reports, inspection results, permits. Keep 2 years onsite, permanent offsite New Construction & Tenant Improvement Projects, including underground tank installations and repairs PER Electronic Electronically stored in Accela Alternate means and methods applications PER CFC 104.6.4 Electronically stored in Accela Plan review comments PER Electronically stored in Accela SUPPRESSION 15 INCIDENTS (fire, medical, hazmat, etc.) PER Electronically stored in RMS 015(a) Dispatch and daily logs C+2 GC 34090 Release to Union; do not destroy 015(b) Fire Incident Reports; all except arson related PER CFC 104.6 PC 801 Electronically stored in RMS 015(c) Fire Incident and other Field Reports; arson related PER CFC 104.6 PC 801 Electronically stored in RMS 015(d) Fire Incident and other Field Reports; arson with death involved PER PC 799 Electronically stored in RMS 015(e) Pre-Hospital Care Report (PCR) PER 45 CFR Part 164.530 Electronically stored in RMS 16 ENGINE/TRUCK EQUIPMENT 016(a) Daily & Monthly logs C+2 GC 34090 016(c) Maintenance Program. C+2 GC 34090 HAZARDOUS MATERIALS 17 ANNUAL HAZARDOUS MATERIALS STORAGE PERMIT TER+ 2 GC 34090 18 CALCULATIONS- Seismic and secondary containment C+ 2 GC 34090 19 SITE CLEANUP Spill Reports & facility closure related information; related inspections. Does not PER GC 34090(a) Pertains to real property. Electronically stored in California Environmental Reporting Service (CERS) Page 18 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Fire Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede include reports for activities regulated by Calif. Regional Water Resources Control Board or Calif Dept of Toxic Substances. 20 HAZARDOUS MATERIALS & UNDERGROUND TANK INSPECTIONS, routine, special, and enforcement related C+6 CCR 27, 15188 Department Opinion C+5 Required. Keep additional time for consistency with other inspection records. Electronically stored in CERS 21 HAZARDOUS MATERIALS BUSINESS PLANS C+2 GC 34090 Electronically stored in CERS UNDERGROUND TANKS 22(a) UST closures and/or removals and related documentation. Does not include reports for activities regulated by Calif. Regional Water Resources Control Board or Calif. Dept of Toxic Substances. PER GC 34090(a) Pertains to real property. May include blueprints, reports, inspection results, permits Electronically stored in CERS 022(b) Periodic testing, monitoring and special reports C+2 GC 34090 Electronically stored in CERS PROGRAMS 23 SPECIAL PROGRAMS: Strike teams and mutual aid response C+12 GC 34090 Existing Department Opinion is C+12. Note that GC 34090 requires only C+2 23 (a) Disaster Service Worker: All associated documents TER + 30 CCR 19, 2573.2 GC 3105, 6250 Required for injury Claims 24 PARAMEDICS: Training and testing C+4 CCR 22, Div 9, sec 100101 Page 19 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Human Resources Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 1 GENERAL – Correspondence, Timecards, Contracts, Subject Files, Budgets, Projects C+2 GC 34090 2 STANDARDS – Policies, Rules, Bills, & Regulations C+2 GC 34090 EMPLOYMENT 4 RECRUITMENT – Applications, Resumes, Alternate Lists, Testing C+3 42 USC Sections 2000e-8; 29 CFR Section 1602.12 and 1602.14 Restricted Access 5 PERSONNEL FILES (a) Regular Employees TER+15 29 CFR Section 1627.3 Labor Code Section 1174 Access may digitally store after 2 years and shred Restricted Access PERSONNEL FILES (b) Water Quality Control Plant -- Senior Chemist, Chemist, Laboratory Tech, Senior Industrial Waste Investigator, Industrial Waste Investigator, Senior Mechanic, Mechanic, Senior Operator, WQC Plant Operators I/II, Industrial Waste Inspectors, Electricians, Supervisor, WQCP Operations, Manager/Assistant Manager, WQCP, and Manager, TER+30 29 CFR 1910.1020; Cal OSHA 8 Cal Code Regs 3204 Access may digitally store after 2 years and shred Restricted Access *There may be other employees in safety-sensitive position in other locations with same extended retention schedule 5 PERSONNEL FILES (c) Hourly Employees TER+5 29 CFR Section 1627.3 Labor Code Section 1174 Access may digitally store after 2 years and shred Restricted access 6 RETIREMENT – Public Employee Retirement System TER+4 29 USC Sections 1001 – 1381 29 CFR Section 1627.3 Restricted Access 7 CLASSIFICATION: Requests for reclassification, PDQs, Job Descriptions, Desk Audits C+3 Labor Code Section 1197.5(e) PDQ = Position Description Questionnaire BENEFITS 8 EMPLOYEE BENEFIT FILES - DCAP), Deferred Comp, Dental, EAP, Life, Medical, Vision/LTD Claim Applications, Leave, Domestic Partner Reimbursement C+4 29 CFR Section 1627.3 Restricted Access DCAP = Dependent Care Assistance Program EAP = Employee Assistance Program LTD = Long Term Disability Page 20 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Human Resources Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 9 FPPC AGENCY FORMS a) 804 New Positions -- Form 804 b) Consultants -- Form 805 C+4 C+4 FPPC 18734 FPPC 18734 Duplicate of City Clerk RISK MANAGEMENT/WORKERS' COMP 10 WORKERS COMPENSATION Claim Files PER Labor Code Section 5410 8 CCR 3204(d)(1) 8 CCR 10102 GC 12946 Files are held at Administrator’s Office, City only keeps working file Restricted Access 11 Authority for California Cities Excess Liability (ACCEL) JPA Agenda Files C+3 Department Opinion 12 DMV Employer Pull Notice Program Reports C+4 (only if employee has violation on record) Department Opinion Restricted Access 13 DRUG TESTING C+5 49 CFR Section 199 DOT 49 CFR Part 40 Subpart P Sect 40.333; 49 CFR 40.333 and Sect 40.25 Restricted Access 14 SAFETY REPORTS a) Investigation Reports b) Hearing Tests PER TER+5 C+4 8 CCR 3203(b)(1)-(2), 8 CCR 3203(c)(2), Department Opinion INSURANCE (a) Insurance bond policies (b) Insurance certificates TER+10 PER CCP 337.2; 343 GC 34090 INFECTIOUS DISEASE & OCCUPATION EXPOSURE FILES PER 29CFR 1910.1030(h); 29 CFR 1910.1020; 8CCR3204(d)(1)(B) OCCUPATIONAL MEDICAL TEST TER+5 FMLA 1993 US OSHA; 29 CFR 1910.1020; 29 CFR 1602.30- 1602.32; OSHA; 8CCR5100(d)(2)OSHA Page 21 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Human Resources Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede LEAVE - DISABILITY TER+5 FMLA 1993 US OSHA; 29 CFR 1910.1020; 29 CFR 1602.30- 1602.32; OSHA 8CCR5100(d)(2)OSHA Accident, Incident, and Injury Reports PER 8 CCR 10102 GC 12946 HUMAN RESOURCES DEVELOPMENT 16 TRAINING – Program Lists, Instructor Lists, Class Rosters, & Evaluations C+2 49 CFR 199.17 49 CFR 199.227 Department Opinion EMPLOYEE RELATIONS 17 NEGOTIATIONS – Notes, Notebooks, Correspondence, Contracts, & MOA C+10 29 USC Sections 211 (c), 203 (m), 207 (g) Restricted Access 18 COMPENSATION – Mgmt. Salary History Sheets, Job Descriptions, Salary Surveys, Compensation Plans C+7 Department Opinion 19 GRIEVANCES – Arbitration, Grievances Reports, SEIU Window Period Requests, Sexual Harassment & Discrimination C+7 29 CFR Section 1602.21 (h) Restricted Access PERSONNEL MANAGEMENT 21 EMPLOYEE RIGHTS: Safety and General Employees TER+5 GC 12946, 29 CFR 1602.12 23 CLASSIFICATION AND COMPENSATION SURVEYS C+2 GC 12946, 34090; 29 CFR 516.6(2); 29 CFR 1602.14 25 LEAVE - MEDICAL TER+5 FMLA 1993 US OSHA; 29 CFR 1910.1020; 29 CFR 1602.30 27 SALARY INFORMATION - Salary schedule, Salary resolutions PER GC 34090; GC 12946; 29 CFR 516.6(2) Page 22 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Information Technology Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 001 Subject files, general correspondence, C+2 GC 34090 SUBJECT FILES 002 Phone Log Files C+2 GC 34090 Call records 003 Service Desk Tickets C+2 GC 34090 IT Service Desk Tickets 004 Financial System Data Backup C+7 GC 34090 SAP Database Backups 005 Contracts a) Under $5000 b) $5000 and over c) $85000 and over TER+4 TER+4 TER+4 CCP 37.2 CCP 343 GC 34090 Duplicate of ASD City Council approved contracts duplicate of City Clerk 006 Hardware and software inventories S+2 GC 34090 Running inventories of hardware and software used to track locations, to whom assigned, and licensing information, as needed Page 23 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Library Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS Department Administration Work Schedules, Volunteer Records, Budget Preparation, Surveys, Statistics, Projects, Staff Reports, Org Chart, Memberships, Legal Opinion, Staff Development and Training, Community Relations, Benchmark Data C+2 GC 34090 Standards Department Policies and Procedures, Strategic Plan, Safety/Security Manual, Disaster Plan S GC 34090 General Correspondence & Reports Correspondence, Memos, Emails, Press Releases, Committee Reports, Meeting Notes, Working Files C+2 GC 34090 Email messages related to a current project or a policy-making decision should be retained along with related records Employee Files (Regular & Hourly) PAFs, Appraisals, Work Injury, Job Descriptions, Requests for Reclassification, Recruitment -- applications, resumes While useful Duplicate of HR LEGISLATIVE HISTORY Library Advisory Commission a) Agenda c) Minutes of Meetings PER PER GC 34090 Library Advisory Commission dissolved in 2020. SUBJECT FILES Library Databases Customers, Circulation and Inventory Subscriptions and Licenses S+2 GC 34090 Patron use and circulation records are exempt from Public Records Act under certain conditions; GC 7927.105, GC7927.100 Grants & Donations Applications Awards Non-monetary Donations Reimbursements C+5 GC 34090 24 CFR 200.334 24 CFR 570.502 29 CFR 97.42 Department Opinion Capital Improvements Project Files, Specifications, Contracts, Agreements, Equipment, Maintenance, Licenses, Inventory Life of building Duplicate of Public Works City Council approved contracts duplicate of City Clerk Page 24 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Library Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Publicity/Publications Promotional Materials C+2 GC 34090 State Library Public Library Survey Reimbursements C+2 GC 34090 Operational Reports Daily Log, Cash Handling, Bank Deposits, Debt Collection Management Incident Reports C+2 C+5 GC 34090 Public Programming Development and Administration of Programs for the Public (children, students, adults) C+2 GC 34090 Collection Records Records documenting the selection and acquisition of new materials for the Library's collections and the physical movement of materials between the facilities and storage areas C+2 GC 34090 Historical Reference History of Palo Alto City Library PER GC 34090 Department Opinion Page 25 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Office of Emergency Services Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 1 DEPARTMENT MANAGEMENT General Order, Special Orders, Bulletins, Policies and Procedures S GC 34090 Employment Memorandum of Agreements While Useful GC 34090 Duplicate of Human Resources 2 DEPARTMENT PLANS PER Department Opinion Strategic Plans/ Master Planning Documents C+2 GC 34090 3 GENERAL CORRESPONDENCE & REPORTS C+2 GC 34090 003c Budgets, Purchase Orders Time Keeping, Correspondence, Surveys, Statistical Reports C+5 GC 34090 004h Equipment Records TER+2 GC 34090 Retained until termination of equipment's use; Manuals, instructions, procedures, assignments, maintenance EMPLOYEE FILES 006(a) Training records, certificates C+2 GC 34090 Duplicate of HR (TER+3, 29 CFR 1627.3) SPECIAL PROGRAMS 023(a) Disaster Service Worker: Emergency Services Volunteers All associated documents TER+30 CCR 19, 2573.2, GC 3105, 6250 Required for injury claims Page 26 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Planning and Development Services Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATION 001 OTHER DEPARTMENTS Personnel Records, Purchase Orders, Payment Claim Vouchers, Legislation, Final Budget, Correspondence with Other Departments and Records Requests While Useful GC 34090 Duplicate of Other Departments 002 DEPARTMENT ADMINISTRATION Department Procedures, Equipment, Inventories, Budget Preparation, and Final Budget Correspondence, General Correspondence C+2 GC 34090 003 CONTRACTS a) Contracts under 85,000 plus all records associated b) Full Cost Recovery Contracts TER+4 TER+4 CCP 337 CCP 343 GC 34090 Department Opinion 004 ADMINISTRATIVE REFERENCE Fee Schedules, Orgs, List, Ordinance Binder, Planning Ethics, Data Collection S GC 34090 Department Opinion LEGISLATIVE HISTORY 5 PLANNING COMMISSION, ARCHITECTURAL REVIEW BOARD, HISTORIC RESOURCES BOARD AND DIRECTOR'S HEARINGS a) Minutes b) Agendas and Packets c) Correspondence with Staff/Public - project based d) Proof of Agenda Posting PER PER C+2 C+2 GC 34090 Hardcopy format, Boards - Summary. PTC – Verbatim Agendas duplicates of City Clerk SUBJECT FILES 6 COUNTY OF SANTA CLARA While Useful GC 34090 Duplicate of Santa Clara County 7 BUILDING PLANS a)Approved PER H&S 19850 Digital Format b)Superseded C+2 H&S 19850 Hardcopies Page 27 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Planning and Development Services Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 8 DISCRETIONARY PLANNING ENTITLEMENTS a) Applications b) Maps - Zoning, Tentative Subdivision, Preliminary Parcel, Comp Plan Land Use, et al c) Permit Extensions (currently a 2-yr window with a 1-yr extension) d) Record of Land Use Actions e) CEQA determinations, EIR, Negative Declarations PER PER C+2 PER PER GC 34090 Department Opinion Digital Format (stored offsite) Digital Format Saved Within Application files that are scanned into GIS/DOXview 10 HISTORIC INVENTORY PER GC 34090 Digital Format--Currently updated via GIST 11 ZONING ORDINANCES PER GC 34090 Duplicate of City Clerk 12 COMPREHENSIVE PLAN AND AMENDMENTS PER GC 34090 Duplicate stored offsite as vital copy backup w/ Amendments Resolutions Duplicate of City Clerk 13 COMMUNITY DEVELOPMENT BLOCK GRANTS (CDBG) a) Project Files TER+5 24 CFR Part 570 2 CFR 200.334 HCD CDBG Grants Management Manual, Chapter 10 https://www.hcd.ca.gov/grants-and- funding/programs- active/community-development- block-grant b) Program Reference Forms, Procedures and Brochures C+3 15 HOUSING a) General Information and References - Outside Materials While Useful Department Opinion b) Housing Studies and Programs C+3 GC 34090 c) HOME Funding-General (If individual home loans keep permanently) TER+5 24 CFR Part 570 Federal regulation federally funded programs and labor standard compliance files d) Below Market Rate (BMR) Units, In Lieu Hosing Mitigation PER GC 34090 Department Opinion e) Below Market Rate Administration C+2 GC 34090 DEVELOPMENT CENTER ADMINISTRATIVE RECORDS 1 OTHER DEPARTMENTS Personnel Records, Safety Files, Purchase Orders, Payment Claim Vouchers, City Manager’s Reports, While Useful GC 34090 Duplicate of other Departments Page 28 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Planning and Development Services Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Legislation, Litigation, Final Budget, Equipment and Facility Maintenance, Time Sheets, Correspondence with Other Departments and Retention Schedules 2 DEPARTMENT ADMINISTRATION C+2 GC 34090 Daily Deposit Copies, Department Procedures, Equipment, Inventories, Budget Preparation, and Final Budget Correspondence 3 CONTRACTS a) Contracts under $85,000 plus all records associated b) Full Cost Recover Contracts c) Contracts over $85,000 plus all records associated TER + 4 TER +4 TER +4 CCP 337 CCP 343 GC 34090 Duplicate of Administrative Services City Council approved contracts duplicate of City Clerk DEVELOPMENT CENTER SUBJECT FILES 4 PERMIT RECORDS Address changes, Permit applications, Building Use & Occupancy applications and certificates, Department correspondence. PER Electronically Stored in Geographic Information System (GIS) or Accela 5 INSPECTION RECORDS Survey letters, Special inspection –final inspection reports, SB407 certificate of compliance forms, Stop work correspondence. PER 6 Plans PER H&S 19850 7 CODE ENFORCEMENT Complaints, inspections, photographs, violations, reports, notices, citations TER+2 NOTE: Development Center Retention Schedule merged into Planning & Development Center Retention Schedule and transportation records merged into City Manager’s Office. Page 29 of 48 GC 34090 GC 34090 GC 34090 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Police Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 3 (a) Personnel Training S GC 34090 Bulletins, training class certificates 3 (a)(1) Lesson Plans C+15 GC 34090 Scope, content, time period of courses 3 (b) Personnel TER+7 GC 34090 3 (b)(1) Applicant Fingerprint Files TER+3 GC 34090 Includes paperwork authorizing fingerprinting and background checks for City employment applicants, all license and permit applicants and volunteer applicants. 3 (c) Volunteer Files TER+2 GC 34090 Volunteers’ identification, contact information 003b Policy, Forms, Brochures C+2 GC 34090 003c Budgets, POs Time Keeping, Correspondence, Surveys, Statistical Reports, Contracts TER+5 GC 34090 CCP 337 003e Alarm Records C+2 GC 34090 Alarm documents & correspondence, alarm permit applications/permits, false alarm notifications, false alarm records 001q Administrative/Internal Affairs Investigations – Documents relating to complaints or investigations in response to citizens’ complaints regarding members of the Department. a) Not sustained b) Sustained TER + 5 TER+15 PC 832.5(b), EVC 1045, PC 801.5, PC 803(c), VC 2547 GC 12946 Provided documents are not evidence in any claim filed or criminal investigation, or part of any pending records request or litigation . TER = conclusion of investigation 001k News Release C+2 GC 34090 Website 2 years; moved to the Investigatory file if applicable 001k Social Media Content C+2 GC 34090 001t Administrative Citations TER+2 GC 34090 Noise, Animal, Parking/Traffic TER = conclusion of administrative review hearing, if held. 001r PAPD Policy Manual S GC 34090 Living Document ANIMAL SERVICES RECORDS 001p Nuisance Complaints, Animal Bite Reports and Hearings, C+10 GC 34090 PAMC = Palo Alto Municipal Code Page 30 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Police Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede PAMC Violations and warnings issued. PAMC 6.28.030 FAC 32003(e), 31621 - 31626 10 Animal Licenses C+2 GC 34090 Dog – 3 years from expiration 001n Animal Control Officer – Activity records and logs C+2 GC 34090 COMMUNICATION RECORDS 1 (a) 911 Recordings (b) Other Phone Recordings, not on 911 lines C+2 years and 1 day GC 34090.6 Exception: Recordings flagged as evidence in a criminal prosecution or litigation hold request received shall be preserved for 100 days after conclusion of the court action, or as needed. System programed to re- write unless flagged 003f Mobile Audio Video Records (MAV) C+2 GC 34090.6 PC 1054 Exception: Recordings flagged as evidence in a criminal prosecution or litigation hold request received shall be preserved for 100 days after conclusion of the court action or as needed. System programmed to re- write unless flagged DAR - Digital Audio Recordings 003g Interior Video Recordings AIB or ISD when initiated C2 GC 34090.6 PC 1054 Exception: Recordings flagged as evidence in a criminal prosecution or litigation hold received shall be preserved for 100 days after conclusion of the court action, or as needed 003h Routine Perimeter Security Video 100 Days GC 34090.6 INVESTIGATIVE RECORDS 001e Police Reports – ODI (Optical Document Imaging) System and supporting hard copy Reports C+100 GC 34090 Reports scanned into the ODI system from 6-15-92 to 12-31-06. Unless report is a Permanent Record or ordered Sealed by Court Order PC 800 PC 801 PC 799 Page 31 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Police Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 001e Traffic Collision Fatality Reports C +20 GC 34090 Regardless of the medium 001e (1)Police Reports/PDF Scanned – All Felonies, high Misdemeanor cases. C +100 PC 800 PC 801 PC 799 (Felony Capital Crimes punishable by Death, Life Imprisonment ) PC 1054 Starting 2007 Hard Copies will be kept in conjunction with PDF Prosecution for an offense punishable by imprisonment in state prison for 8 years or more must commence within 6 years after offense commission. Commencement of prosecution defined in PC 804. *Exception: PC 803 – Tolling/Extension of time periods; Appeals process - - . 001f (1)Non Criminal Police Reports/PDF Scanned – Lost/Found Property, Injured or sick persons; missing persons where person has returned; traffic collision reports not used as the basis for criminal charges etc. C+10 GC 34090 Starting 2007 Reports will be scanned to PDF. Any CLETS entry must be canceled prior to purge if applicable. 12-1-2021 – all reports scanned as PDF 001v Arrest/Conviction HS Section 11357 (b), (c), (d), (e) or H&S Section 11360 (b) violations – Occurring after January 1, 1996 Mandatory destruction from date of conviction or date of arrest with no conviction HS 11361.5 Applicable to convictions occurring after 1-1-1996 or arrests not followed by a conviction occurring after 1-1-1996; Exception: H&S 11357(e), the record shall be retained until a juvenile offender attains 18 years of age – then destroyed pursuant to 11361.5 001l FI Cards – Field interview Cards C+2 GC 34090 Includes photo if taken 001k (1) Daily Bulletins C+2 GC 34090 001e (2) Registrants – Sex, Arson, Narcotics TER or until S DOJ Guidelines Fingerprint Card, Photo and info forwarded to DOJ 001e (3) Criminal Reports (Misdemeanor low Felony) and Domestic Violence Reports C+15 FC 6228(d) GC 34090 Remove property from CLETS, no suspect or open investigations pending. MISC REPORTS AND DOCUMENTS 004a Court Board C+2 GC 34090 Court Notices Page 32 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Police Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 004b Court Liaison Tracking Systems C+5 GC 34090 Booking/Filing Lists and Logs, Informal Discovery requests and Correspondence. Formal Discovery scanned to Investigatory File 004c Subpoenas (Duplicate) C+2 GC 34090 Subpoena Duces Tecum (SDT) filed with case Report once completed if applicable 004d Statistical – Crime Analysis and other reports C+2 GC 34090 Internally generated information using activity logs, citizen requests, . Reports created for a variety of purposes. Some original reports sent to DOJ & FBI 004f Sealed – Adult /Factual Innocent Mandatory Destruction upon and pursuant to Court Order PC 851.8 Unless sealed pursuant to PC 851.91 and PC 851.92. Does not include letter of finding sent to the defendant for grants/denials 001j Restraining Orders C or until S Destroy after law enforcement actions described in PC 273.5, 273.6, 646.9, 12028.5, 13700 and Family Code Sections 6380-6383 are fulfilled and effective date of Restraining Order has expired 001g Traffic Citations (copies) C+2 GC 34090 Original hard copy is forwarded to court, citation records are sent electronically to the court. Agency copy kept for processing. Parking Citations forwarded to Revenue Collections 004h Equipment Records – includes , PAS Records and Radar Calibration Logs, Weapons Records, ALPR Stats; Flock and Star Chaser Forms TER+2 GC 34090 f 004i License/Permits C+2 GC 34090 Parade, Noise Exemption, Special Events, Block Party, Taxi, Masseuse. No longer interested forms to be sent Page 33 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Police Department Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede to DOJ for applicant expired applicant information. 004j Warrants: Warrants attaining purge date are sent to Santa Clara Co DA’s office for review of extension of warrant/ Active case or purge. All CLETS/AWS systems must be updated or cancelled. (1)Felony Felony – C+ 10 GC 34090 (2)Misdemeanor Misdemeanor – C+7 PC 799 (3)Infraction Infraction – C+7 PC 800/801 004l Records requests, correspondence C+2 GC 34090 The destruction of felony, misdemeanor, and infraction Crime/Supplemental Reports is permitted providing: (1)They do not relate to an unadjudicated arrest except for HS 11357 or HS 11360 violations; (2)They do not relate to unserved warrants; (3)They do not involve identifiable items which have not been recovered; (4)The do not relate to PC 290, PC 457.1, or HS 11590 Registrants; (5)They do not relate to violations listed in PC Sections 799 and PC 800; (6)The cases are not presently involved in either a civil or criminal litigation. Page 34 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Public Works Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATION 1 PERSONNEL Confidential Documents While useful Duplicate of Human Resources 1 Contracts/purchase orders awarded by PW Department, except construction/capital improvement TER+4 CCP 337 CCP 343 AIRPORT AGREEMENTS/CONTRACTS While useful TER+4 CCP 337 CCP 343 1 BUDGET Budget Change Requests PER Duplicate of Office of Management & Budget 2 CAPITAL IMPROVEMENTS a) Project Files, Work Orders, Schedules, Bidders List, Correspondence, Change Order b) Specifications, Reports Plans, Contracts and Subdivisions PER H&S 19850 GC 4003 Life of Structure 2 GENERAL Correspondence Membership Information Notice to Airmen (NOTAM) C+2 GC 34090 GRANTS Applications Awards PER 2 CFR 200.334 Department Opinion OPERATIONAL REPORTS Daily, Weekly, Monthly, Quarterly, and Annually C+4 GC 34090 Federal Aviation Administration (FAA) PERMITS PER STAFF Evaluations Personnel Action Forms S+5 Labor Code Section 5410 Duplicate of HR TENANT FILES Applications Payments/Receipts Log Leases PER ENGINEERING SERVICES 005 013 ASSESSMENT DISTRICT Boundaries & Rolls PER GC 34090 006 020 BENCHMARK DATA Horizontal, Vertical & Control PER GC 34090 Department Opinion - Need this data for historical reference material 007 011 CAPITAL IMPROVEMENTS a) Project Files, Work Orders, Schedules, Bidders List, Correspondence, Change Order PER H&S 19850 GC 4003 Life of Structure Page 35 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Public Works Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede b) Specifications, Reports Plans, Contracts and Subdivisions c) Street Reports 8 CERTIFICATES OF COMPLIANCE PER GC 34090 Duplicate of City Clerk 9 CERTIFICATES OF INSURANCE S GC 34090 10 ENCROACHMENT PERMITS a) Permanent Encroachments b) Temporary Encroachments PER C+2 GC 34090 11 FLOOD ZONE Elevation Certificates & Letter of Map Amendments PER GC 34090 12 MAPS – Annexations, Park Dedication, Tract, & Block S GC 34090 Keep current map version only 13 PERSONNEL Evaluations Personnel Action Forms S Duplicate of HR 14 PRIVATE DEVELOPMENT REVIEWS C+2 GC 34090 15 SOIL REPORTS PER Department Opinion - Need this data for historical reference material 16 STREET WORK PERMITS PER GC 34090 17 SUBDIVISIONS a) Agreements b) Parcels and Subdivision Maps PER S+2 GC 34090 Keep current map version only 18 SURVEYS – Recording Data and Maps PER GC 34090 Department Opinion - Need this data for historical reference material ENVIRONMENTAL SERVICES 19 ENVIRONMENTAL FILES PER Department Opinion 20 Discharger permits and permit support documents Permit expiration or facility closure + 3 years 40 CFR Federal Pretreatment Regulations Other Discharger data and records C+12 40 CFR 141.91 Federal Pretreatment Regulations WATER QUALITY CONTROL PLANT 35 FLOW Discharge Data and Reports PER 40 CFR 122.41 Department Opinion 36 MAINTENANCE Flow Strip charts, Instrument Calibrations, Operations, Maintenance & Laboratory Records, & Crane Maintenance and Certification, State Certification C+4 Department Opinion 37 NPDES (National Pollution Discharge Elimination System) – Permits and Reports PER 40 CFR 122.28 Department Opinion Page 36 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Public Works Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 38 PERMITS Pressurized Vessels, Air & Industrial Waste TER+4 GC 34090 39 SAFETY Meetings and Training C+4 GC 34090 40 SEPTIC & RECLAIMED WATER Permits, Fees, Billings C+4 GC 34090 Department Opinion 41 PERSONNEL Accident report, accident investigation, or other personnel event resulting in change of policy TER+30 Department Opinion Duplicate of HR ZERO WASTE Landfill Daily Log Operator Assignments and Maintenance Activities C+5 GC 34090 Landfill Reports & Records PER GC 34090 Landfill tollbooth receipts C+5 Household Hazardous Waste Manifest & Reports PER SMaRT Station & Kirby contract data C+10 Department Opinion Waste Contractor data -- GreenWaste of Palo Alto C+10 Department Opinion Recycling Programs S+2 GC 34090 SUSTAINABILITY Climate Action Plan Reporting C+25 GC 34090 Department Opinion Sustainability Project Documentation C+10 GC 34090 Department Opinion Greenhouse Gas Inventory Data PER GC 34090 Department Opinion EQUIPMENT MANAGEMENT 21 Transactions – Parts, Fuel, and Gas Tags C+2 GC 34090 22 Vehicles – Registrations & DMV Correspondence Life of Vehicle DMV Requirement FACILITIES MANAGEMENT 23 BUILDING MAINTENANCE Contracts City Manager Reports Specifications Bidders List Change Orders Payment Files TER+4 C+2 GC 34090 CCP 337 CCP 343 24 CAPITAL IMPROVEMENTS a) Project Files, Work Orders, Schedules, Bidders List, Correspondence, Change Order PER H&S 19850 GC 4003 CCP 337.15 Department Opinion Page 37 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Public Works Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede b) Specifications, Reports Plans, Contracts and Subdivisions 25 GENERAL - Correspondence Forms C+2 GC 34090 26 PERSONNEL Division Staff Schedules Personnel Action Forms Injury/Accident Reports TER Labor Code Section 5410 Originals to HR, copy kept in individual’s file until employee termination 27 REPORTS Quarterly Summary of maintenance labor and material costs for Parking Lots C+2 GC 34090 28 SUBJECT FILES C+2 GC 34090 29 WORK REQUESTS Labor and Material Tracking Key Requests Service Calls C+2 GC 34090 STREETS/SIDEWALKS/STORM DRAIN 30 26 32 25 DAILY REPORTS Operator assignments & equipment status Storm Drain Work Orders C+5 GC 34090 33 Tree line clearing, landscaping plans, pesticide spraying, inventory & irrigation plans C+2 GC 34090 34 WORK ORDERS Streets, sidewalk, signs, sweeping, trees C+5 GC 34090 35 Urban Forestry C+2 GC 34090 Page 38 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede ADMINISTRATIVE RECORDS 001 Management books, CIP Budget, Working Files, Operating & Safety, Staff Meetings, Correspondence, Budget Change Requests, Journal Entries Shipping Receipts, Depreciation, Proof of Publication C+2 GC 34090 Master Plans PER Department Opinion WGW Ops Dailies WGW Ops Stand-by/Call Out Time Report Shipping records Internal vs. Outside Vendor C+2 C+2 C+2 Department Opinion SUBJECT FILES 002 Policies, Procedures, Processes, Marking Requirements, Engineering Standards, Electric Service Requirements, Cable Specs, Forms, Best Management Practices S+2 GC34090 Department Opinion 003 Drivers License Records While Useful Duplicate of DMV CONTRACTS 005 Construction & Services/Products over $25,000 While Useful CCP 337 Council approved contracts duplicate of City Clerk 005 Services/Products under $25,000 TER+5 CCP 337 City Attorney Opinion Construction PER CCP 337.15 Council approved contracts duplicate of City Clerk 005 Unaccepted Bids C+2 GC 34090 Electric and Gas Meter S+7 Purchase and Sales Agreements - EEI & NAESB S+7 Department Opinion for retention in Dept. files Renewable Energy Certificate Master Agreement S+7 Dept. Opinion for retention in Dept. files Master Agreement -- Transaction and/or Confirmation Agreements -- including supporting documentation (deal sheet, shopping sheet, authorization etc.) TER+7 CCP 337 Retained in Utilities Dept. Bilateral Commodity and/or related service agreements TER+7 If within City Manager authority, then retained in Utilities Dept. If Council approved, retained in City Clerk's Office PROJECT FILES Page 39 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 006 Internal working files PER Department opinion RATES 007 Rates – All Services PER Department opinion REPORTS 009 Statistical, sales, annual consumption analysis and various spreadsheets C+2 GC 34090 UTILITY ADVISORY COMMISSION 010 Agenda Proof of Posting Minutes of all meetings General Correspondence Proof of Agenda Posting PER C+2 C+2 Agendas Duplicate of City Clerk TASK FORCE 011 City of Palo Alto and SCVWD Meetings C+2 GC 34090 011 Any task force – internal and/or external C+2 GC 34090 REGULATIONS 013 National Gas Act Pipeline Safety Act Natural Gas Policy Act CVPIA While Useful C+2 C+2 C+2 Duplicate of Other Agency CVPIA = Central Valley Project Improvement Act 013 Correspondence w/ Agency C+2 GC 34090 STUDIES - SURVEYS 014 Gas System Study Distribution Electro Magnetic Field Survey and Energy Case Studies Commodity Resource C+2 C+2 C+2 GC 34090 CUSTOMER SERVICES 015 Customer Correspondence Letters, faxes, emails C+2 Department Opinion 015 Service: GC 34090 All listed will be scanned and retained electronically • Residential Service Agreement C+3 • Residential Service Application C+3 • Commercial Service Agreement PER • Commercial Service Application PER Page 40 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede • Utilities Account Change C+3 • Make Change to Account C+3 • Account Closure Request C+3 • Close Utilities Account C+3 • Revert to Owner Request PER • Revert to Owner Application PER 015 Demolition Request Demolition Application Temporary Power Temporary Power Application Hydrant Water Application Hydrant Meter Application C+3 C+3 C+2 C+2 C+2 C+2 Department Opinion Department Opinion 015 Billing • Consumption Adjustment • Correct Misread and Billings • Miscellaneous Adjustment • Apply Credit or Debit • Invoice Cancellation • Cancel Rebill Invoice • PV Statements • Monthly PV Status C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 All are created and saved on electronic templates 015 Credit & Collections • Rate Assistance • Annual Application Renewal • Project Pledge • One time Submission • Bankruptcy • LIHeap • LIHeap send discs C+2 C+2 PER PER C+3 C+2 C+2 Department Opinion LIHeap = Low Income Home Energy Assistance Program 015 Meter Reading C+2 Department Opinion • Customer Read Cards • Reads Submitted by Customers • Customer Read Emails • Electronic Read Submitted by Customers • On/and Off Orders • Electronic in SAP CONSTRUCTION Page 41 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede 016 Acquisitions, Easement, Design, Drawings, Specifications, Photos, Permits, Soil Reports, Correspondence, Quotes, Payments & Schedules PER GC 34090 Historical CPAU Work Orders As-Built Maps Valve Cards PER California Department of Transportation CPAU Work Orders of Abandoned Pipe As-Built Maps of Abandoned Pipe Valve Cards of Abandoned Valves PER Department Opinion ICOMMM Lateral Work Orders ACP Forms C+5 C+5 Department Opinion REGULATORY AGENCIES 017 Reports to • Federal Register C+2 GC 34090 • U.S. Dept of Energy • PG&E • State Regulatory Agencies (e.g. Public Utilities Commission) • California Energy Commission • California Air Resource Board REGULATORY RECORDS Sanitary Sewer Overflow (SSO) Reports Sanitary Surveys C+5 C+10 40 CFR 141.33 RWQCB Statistics, reports, correspondence Water Discharge Form Water Discharge Monitoring C+5 C+5 40 CFR 122.41 Annual Report for Public Works Storm Water Department Water Connection Records, Device Locations, and Water Maps PER GC 34090 Reports: Compliance documentation Average amount of pollution discharged into waters Compliance documentation • Corrosion Control C+12 40 CFR 141.91 • Discharge Monitoring C+5 40 CR 141.91 • Drinking Water Corrections C+10 40 CFR 141.33 • Lead Service Line C+12 40 CFR 141.91 Water/Sewer Infrastructure Data in GIS SUP GC 34090 Page 42 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Underground Utility Locating C+6 CAGC Title 1 Division 5 Chapter 3.1 Article 2 Section 4216 Exception Collection Reviews, Waste Logs C+2 GC 34090 Paradigm Data Sheets Cathodic Work Orders Cathodic Protection with Gas Distribution Map Exposed Pipe Reports Steel Pipeline Tapping Coupon Records Annual Report to DOT Emergency Response Plan Operations and Maintenance Manual PER PER PER PER TER+5 C+5 C+5 C+5 California Department of Transportation EMPLOYEE TEST RECORDS Gas Operator Qualification C+5 California Department of Transportation Employee Water Distribution Certification Employee Water Treatment Certification Employee Backflow Certification Employee Cross Connection Certification C+3 C+3 C+3 C+3 State Welding Record (form 225A) PER California Department of Transportation TESTS/INSPECTIONS/SURVEYS Backflow Annual Certifications C+3 State FSR Gas Leak Investigations (818 Form) FSR Stop Card Database Gas Shop Stop Card Water Shop Stop Card C+7 PER PER PER California Department of Transportation Gas Receiving Stations Odorant and Oil Drip Water Meter Test Results Gas Meter Test Results Meter Leak Tags Abnormal Operating Conditions (AOC) PER PER PER PER PER PER California Department of Transportation Page 43 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Water Quality-Water Sources: • Testing • Fluoride Summary • Ground Water Elevation • Bacteriologic Analysis • Chemical Analysis • Reservoirs, Wells & Rainfall Gauge Water Maintenance Records C+10 C+5 Title 22 CCR 66261.24(a)(7) 40 CFR 141.33 State CPAU Gas Pipeline Patrol Program CPAU WGW Operations Pre- Tested Pipe Tag (Form 503) CPAU WGW Operations Grade 1 Log Re-Checks Gas Leakage Survey C+5 PER C+5 C+5 California Department of Transportation 019 Equipment Records Life of Equip + 2 GC 34090 019 General Information Regulating Specifications & Testing Gas Leakage Survey Meter Leak Tag AOC CPAU/WGW Operations Pre- Tested Pipe Tag Gas/Water Shop Stop Card Odorant & Oil Dip Valve Cards Valve Cards of Abandoned Valve Welding Record Gas Receiving Station PER Form 503 Form 225A ELECTRIC UTILITY 052 048 Electric--Circuit Map, Electric Distribution, Street Light Block, EV Charger Maps C+2 GC 34090 Duplicate stored offsite as vital copy backup Maps: Electric Distribution, Pole Test Block, Distribution Block, Street Light Block, Hardware and Coax Current while active,+ 2 years off site 053 049 Underground District: Transmission Line Logs & Correspondence C+2 GC 34090 054 050 Work Orders: PER Department Opinion Page 44 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Pacific Bell, Cable Co-op, PG&E, and Intents 055 051 Acquisitions, Design, Drawings, Specs, Permits, Correspondence quotes, Payments & Schedules CIP/Construction PER Department Opinion - Historical 056 Electric Vehicles: Power Delivery Records Life of Vehicle +2 off site GC34090 057 Street Lights: Lighting, Program Materials C+2 GC 34090 058 Joint Pole Applications TER+5 Department Opinion Customer Services Projects Applications, Plans, Invoices C+2 ELECTRIC OPERATIONS 059 Compliance/Inspections/Locating • Field Switch/Man on Line Logs • Overhead/Underground Compliance Records • Underground Service Alert Notices a. Completed Tickets b. Original Email Notices PER PER C+6 C+2 C+1 on site C+1 on site Onsite 060 Customer Service – UCC Dispatch Logs PER Electronic copy on S drive 061 Street Lights/Traffic Signal/Fiber Notifications – SL & TS Maintenance – WO - TS C+6 Work transaction recorded in SAP. Mark-up records maintained on site 062 055 Substations a) Equipment (transformers, switches, breakers, capacitors, relays) • Specifications • Inspection • Inventory • Replacement • Disposal Life of Equip +2 Department Opinion Duplicate stored offsite as vital copy backup 062 055 Substations b) Operations (troubleshooting, line logs, load reports, power factor, fences, cost data) C+6 18 CFR Sections 125.3(23) & 125.3(26) Inspection records and equipment test records stored electronically on F:drive C+3 on site + 3 years off-site 064 055 Substations c) Relay and fuse curves, fault current, calculations, supervisory control, automation and C+2 GC 34090 Duplicate stored offsite as vital backup copy Page 45 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede distribution automation (SCADA) and Control Information MARKETING SERVICES Program Development PER Department Opinion 061 064 Customer Applications Smart Energy Program CAP PV Partners Program Solar Water Heating Program Solar Water Heating Loan Program 1970-1990 Palo Alto Green Program Palo Alto Green Gas/New PA Green Fiber Program Customer Applications Rebate Application & agreement Rebate Applications Old Program -- files at The State Signed Agreements C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 C+2 GC 34090 Department Opinion Department Opinion Department Opinion Department Opinion Council approved contracts duplicate of City Clerk 062 066 Vendor contract invoices 3rd Pary Programs Monthly/quarterly/annual electronic records TER+4 CCP 337 Department Opinion 063 066 Key Account Engineering Audit Reports BI Reports Pcard receipts C+2 C+2 C+2 GC 34090 Department Opinion 067 Public Outreach Program marketing materials Customer Workshops & Facility Manager Meetings C+6 C+2 Department Opinion SUPPLY RESOURCE GROUP 070 Settlement Date Commodity Invoices/payment records TER+2 PER Department Opinion Keep for two years past contractual limitation of invoice dispute 071 Regulatory Reference Materials (e.g. – laws, ruling, orders, court cases, settlements) While Useful Duplicate of Other Agency Page 46 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Risk Management FO and BO Transaction oversight Monthly BO reports FO and BO Quarterly reports FO Weekly Reports C+6 Department Opinion 078 Rates Documents Rates/Pricing Cost of Service Studies S+7 080 Resource Plans Long-term Electric Acquisition Plan, Gas Long-Term Plan, Water Integrated Resources Plan S+2 Department Opinion Adopted plans duplicate of City Manager Electric Portfolio Models Commodity Costs Protections & Uncertainty Assessment - load and resource balance - supply costs - transmission cost - interconnection - agency costs - hydrology - plant operation and maintenance - regulatory costs C+7 for annual budget models Maintained in electronic models - overwritten as necessary Electric Procurement Plan Procurement Plans -- Needs Analysis Load/Resource Balance Targets Authorizations C+5 Department opinion Voluntary Certification and Verification C+7 Department Opinion § Reports to certifying and verifying agencies such as The Climate Registry for GHG Inventory and for Carbon Neutral Plan (Electric Power Sector) § Reports from certifying and verification agencies such as audit reports § Risk Oversight Committee § New Models § Standards of Conduct R&D Program PET Projects related documentation C+6 Department Opinion Page 47 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 City of Palo Alto Records Retention Schedule Utilities Series Description Total Retention Statutory Reference Remarks C = Current Year PER = Permanent TER = Termination S = Supersede Policies Analysis of plans, programs, and policies that become adopted by Council S+2 Department Opinion Page 48 of 48 Docusign Envelope ID: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 Certificate Of Completion Envelope Id: F1AF9083-EC87-49A0-9D54-B275FBCBC7A8 Status: Completed Subject: RESO 10229 - Record Retention Schedule Source Envelope: Document Pages: 50 Signatures: 5 Envelope Originator: Certificate Pages: 2 Initials: 0 Christine Prior AutoNav: Enabled EnvelopeId Stamping: Enabled Time Zone: (UTC-08:00) Pacific Time (US & Canada) 250 Hamilton Ave Palo Alto , CA 94301 Christine.Prior@PaloAlto.gov IP Address: 165.225.242.87 Record Tracking Status: Original 6/25/2025 10:54:21 AM Holder: Christine Prior Christine.Prior@PaloAlto.gov Location: DocuSign Security Appliance Status: Connected Pool: StateLocal Storage Appliance Status: Connected Pool: City of Palo Alto Location: Docusign Signer Events Signature Timestamp Jennifer Fine jennifer.fine@paloalto.gov Deputy City Attorney COPA Security Level: Email, Account Authentication (None) Signature Adoption: Pre-selected Style Using IP Address: 170.85.54.82 Sent: 6/25/2025 10:57:27 AM Viewed: 7/2/2025 8:52:48 AM Signed: 7/2/2025 8:53:19 AM Electronic Record and Signature Disclosure: Not Offered via Docusign Mahealani Ah Yun Mahealani.AhYun@paloalto.gov Security Level: Email, Account Authentication (None) Signature Adoption: Pre-selected Style Using IP Address: 2601:640:8e80:6e70:45f7:341e:4159:f91 Sent: 7/2/2025 8:53:21 AM Viewed: 7/10/2025 8:21:03 AM Signed: 7/10/2025 8:21:15 AM Electronic Record and Signature Disclosure: Not Offered via Docusign Ed Shikada Ed.Shikada@paloalto.gov Ed Shikada City of Palo Alto Security Level: Email, Account Authentication (None) Signature Adoption: Pre-selected Style Using IP Address: 199.33.32.254 Sent: 7/10/2025 8:21:17 AM Viewed: 7/10/2025 11:08:44 AM Signed: 7/10/2025 11:08:50 AM Electronic Record and Signature Disclosure: Not Offered via Docusign Ed Lauing Ed.Lauing@paloalto.gov Security Level: Email, Account Authentication (None) Signature Adoption: Pre-selected Style Using IP Address: 73.158.105.71 Sent: 7/10/2025 11:08:52 AM Viewed: 7/10/2025 3:00:31 PM Signed: 7/10/2025 3:00:50 PM Electronic Record and Signature Disclosure: Not Offered via Docusign Signer Events Signature Timestamp Mahealani Ah Yun Mahealani.AhYun@paloalto.gov Security Level: Email, Account Authentication (None) Signature Adoption: Pre-selected Style Using IP Address: 2601:640:8e80:6e70:2947:37f2:a6ab:a3e0 Signed using mobile Sent: 7/10/2025 3:00:51 PM Viewed: 7/10/2025 3:01:48 PM Signed: 7/10/2025 3:02:01 PM Electronic Record and Signature Disclosure: Not Offered via Docusign In Person Signer Events Signature Timestamp Editor Delivery Events Status Timestamp Agent Delivery Events Status Timestamp Intermediary Delivery Events Status Timestamp Certified Delivery Events Status Timestamp Carbon Copy Events Status Timestamp Witness Events Signature Timestamp Notary Events Signature Timestamp Envelope Summary Events Status Timestamps Envelope Sent Hashed/Encrypted 6/25/2025 10:57:27 AM Certified Delivered Security Checked 7/10/2025 3:01:48 PM Signing Complete Security Checked 7/10/2025 3:02:01 PM Completed Security Checked 7/10/2025 3:02:01 PM Payment Events Status Timestamps