CC Resolution No. 20-002 Rescinding Resolution No. 17-088 and Adopting an Updated Records Retention Schedule for the City of Cupertino and Authorizing the Destruction of Records RESOLUTION NO. 20-002
A RESOLUTION OF THE CUPERTINO CITY COUNCIL
RESCINDING RESOLUTION NO. 17-088 AND ADOPTING AN UPDATED
RECORDS RETENTION SCHEDULE FOR THE CITY OF CUPERTINO AND
AUTHORIZING THE DESTRUCTION OF RECORDS
WHEREAS, Section 34090 of the Government Code of the State of California
provides a procedure whereby any City record which has served its purpose and is no
longer required by law or business need may be destroyed; and
WHEREAS, there are both State and Federal requirements for the retention of
government records; and
WHEREAS, the City of Cupertino recognizes the importance of providing clear,
specific record descriptions and retention periods for current law to City records; and
WHEREAS, the Records Retention Schedule was designed to enable the efficient
application of these rules for the management, maintenance, retention, destruction, and
disposal of City records; and
WHEREAS, on March 4, 2002, the Cupertino City Council adopted Resolution No.
02-037 adopting the Local Government Records Retention Guidelines administered by
the California State Archives Division of the Secretary of State's office as the Records
Retention Schedule for the City of Cupertino; and
WHEREAS on May 1 2012 the Cupertino City Council rescinded Resolution No.
y , P ty
02-037 and adopted Resolution No. 12-039 amending the Records Retention Schedule to
add specific record types and extend timelines on certain record types; and
WHEREAS, on November 19, 2013, The Cupertino City Council rescinded y
Resolution No. 12-039 and adopted Resolution No. 13-094 adopting a Records Retention
Schedule for the City of Cupertino; and
WHEREAS, on September 5, 2017, The Cupertino City Council rescinded
Resolution No. 13-04 and adopted No. 17-088 adopting a Records Retention Schedule for
the City of Cupertino; and
Resolution No. 20-002
Page 2
WHEREAS, the City Clerk and City Attorney will have the authority to
periodically review and approve minor updates to the Records Retention Schedule as
necessary with input from the departments; and
WHEREAS,the term"records" as used herein shall comply with the definition for
"official records" in the City's Trusted Electronic System Policy.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of
Cupertino hereby takes the following action: j
Section 1: Rescinds Resolution No. 17-088
Section 2: The records of the City of Cupertino, as set forth in the Records
Retention Schedule Exhibit A,.attached hereto and incorporated herein by this reference,
are hereby authorized to be destroyed as provided by Government Code Section 34090
and 34090.5 and in accordance with the provision of said Schedule without further action
by City Council, provided that no records shall be destroyed without the prior review of
the owning Department Head and City Clerk, and review and approval of the City
Attorney.
Section 3: Litigation, claims, complaints, audits, Public Records Act requests,
and/or investigations suspend normal retention periods until the issue is resolved then
the record is subject to the stated retention period.
BE IT FURTHER RESOLVED that this Resolution is not a project under the
requirements of the California Quality Act of 1970, together with related State CEQA
Guidelines (collectively, "CEQA") because it has no potential for resulting in physical
change in the environment.In the event that this Resolution is found to be a project under
CEQA, it is subject to the CEQA exemption contained in CEQA Guidelines section
15061(b)(3) because it can be seen with certainty to have no possibility that the action
approved may have a significant effect on the environment. CEQA applies only to
actions which have the potential for causing a significant effect on the environment.
Where it can be seen with certainty that there is no possibility that the activity in question
may have a significant effect on the environment, the activity is not subject to CEQA. In
this circumstance, adopting a resolution to rescind Resolution No. 17-088 and adopting
an updated retention schedule for the City of Cupertino and authorizing the destruction
of records would have no or only a de minimis impact on the environment. The foregoing
determination is made by the City Council in its independent judgment.
Resolution No. 20-002
Page 3
PASSED AND ADOPTED at a regular meeting of the City Council of the City of
Cupertino this 21st day of January 2020 by the following vote:
Vote Members of the City Council
AYES: Scharf, Paul, Chao, Sinks
NOES: None
ABSENT: Willey
ABSTAIN: None
SIGN D:
Ste n Scharf,Mayor Date
City of Cupertino
ATTEST:
Kirsten Squarcia, City Clerk Date
City of Cupertino-Retention Schedule
ACRONYMS USED IN LEGAL CITATIONS
AC=While Active CL=Closed CU=Current Year D=Dal FR=Final Resolution LA Limitation on Action LI=Life(of program,asset)
M=Month MA Maturity MAINT=Maintain Records PR Permanent S=Superseded T=Termination Y=Year
Record No. Business Process Record Name and Description Example Records DepartmenOOffice of Record Retention Regulatory Citations Notes and Comments
001 Building,Development, Building Plans,Building Permits,and Related Documents Approved Building Plans Building Permanent CA-CRC 100.5-(I SOD)
Planning&Engineering Building Board of Appeals CA-CBC 107.5-(180D)
Permits,plans,and related documents associated with Cupertino's building construction Building Inspections CA-CCP 337.1-(LA4Y)
for non-residential and residential building and structures.Records include plans, Building Permits CA-CCP 337.15-(LAI OY)
permits,and documents related to the following: Certificate of Compliance Forms CA-GOV 945.8(a)(2)-(LA8M;LA2Y)
Certificates of Occupancy CA-GOV 34090-(2Y)
-New Construction Construction Applications CA-HSC 191150-(LI)
-Additions Elevation Certificates(under construction,construction drawing)
-Alterations Flood Proof Certificates
-Repel ro Geotechnical Reports
-Demolitions Refundable Deposits
-Swimming Pools/Spas Soils Reports
-Signs Smoke Detector/Carbon Monoxide Affidavits
-Altemative Energy Systems(Solar Panels,EV Charging,Solar Heating,etc.) Structural Calculations
-On-site Retaining Walls Subcontractor List
HOA Letters
002 Building,Development, Building,Facilities Construction Records DIP Life'+10Y CA-CCP 337.1-(LA4Y)
Planning&Engineering Electrical Wiring Schematics CA-CCP 337.15-(LA10Y)
Records and information regarding the structure of City buildings and facilities. Floor Plans CA-GOV 945.8(a)(2)-(LABM;LAZY)
Project Specifications CA-GOV 34090-(2Y)
Property Inventory CA-HSC 19850-(LI)
LI=Life of Building or Facility
003 Building,Development, Code Compliance and Enforcement Alarm Cards Code Enforcement 5Y CA-California Highway Patrol Abandoned NOTE:Records for repeat offendere may be
Planning&Engineering Certificates of Nuisance and Abatement Vehicle Abe""tRecords and information documenting compliance with City codes.including such issues Citations Handbook,HPH 87`1.V Chapter 3 m(CU+4Y) retained longer lc document a history of violations
as: Complaint Forms CA-GOV 945.8(e)(2)-(LABM;LAZY)
Compliance with Conditions of Approval CA•GOV 34090-(2Y)
-Abandoned vehicles Inspections/Enforcement(business,residential) CA-PEN 802-(2Y)
-Building violations Investigations CA-Law Enforcement Evidence and
-Conditions of approval Notices of Noncompliance P Property Management Guide
-Excess garbage Notices of Violation Cupertino Municipal Coda 1.10.040-
-Excessive noise Photographs (MAINT)
-Graffiti Political Sign Registration
-Nuisance animals Proofs of Service NOTE:Records for repeat offenders may be
-Parking enforcement retained longer to document a history of
-Protected trees violations
-Right-of-way obstructions
Sign violations
Trash
-Unlicensed home-based businesses
-Weed abatement
-Zoning violations
004 Building,Development, Encroachments Approval Letter for Completion and Release of Bond Engineering Permanent CA-CCP 337.1-(LA4Y)
Planning&Engineering Band Refunds CA-CCP 337.15-(LAi OY),
Records documenting encroachments upon City property. Private Encroachment Permits,Certificates CA-GOV 34090-(2Y)
Site Plans
005 Building,Development, Engineering Project Files-Construction and Administrative Records-Non- Certificates of Compliance/Notice of Non-Compliance Public Works While Active+l OY CA-CCP 337.1-(LA4Y)
Planning&Engineering Permanent Field Inspections,Closures CA-CCP 337.15-(LA1 OY)
Hydrology and Hydraulic Calculations CA-14 CCR 15095-(Reasonable)
Working records and information related to the administration,analysis,design, Inspections and Progress Meetings CA-GOV 945.8(a)(2)-(LABIA;LAZY)
development,planning,and construction of public Works,Capital Improvement(CIP)and Photos/Pictures CA-GOV 8548.7-(CL+3Y)
engineering pmfecle for City facilities and infrastructure.Includes: Project Budgets,Plans and Schedules CA-GOV 34090-(2Y)
Real Estate Appraisals US-2 CFR 200.333-(AC+3Y)
-Projects funded from various sources Including bonds,grants,capital Improvement and Semi-annual Labor Reports US-24 CFR 92.508(c)-(AC+SY)
general fund Specifications,Calculations US-24 CFR 570.502(a)(7XI)(A)-(LA4Y)
-Review of private improvements that connect to public infrastructure Stop Nuticas US-29 CFR 97.42(b)-(AC+3Y)
-Working development projects that touch public land or dghtaf-way Studies and Surveys
Prepared by rater,InfoSource 12/11/2019 Page 1
City of Cupertino-Retention schedule
Record No. Business Process Record Name and Description Example Records Retention Regulatory Citations Notes and Comments
Department/Office of
Record
008 Building,Development, Engineering Project Files-Final Documents-Permanent Affidavits Public Works Permanent CA-CCP 337.1-(LA4Y)
Planning&Engineering As-Built Designs,Drawings,Plans,Specifications,City Facility Blueprints CA-CCP 337.15-(LA10Y)
Records end information related to completed public works,Capital Improvement(CIP) Calculations CA-14 CCR 15095-(Reasonable)
and engineering projects for City facilities and Infrastructure, CEQA/NEPA Compliance Records CA-GOV 945.8(a)(2)-(LABM;LAZY)
Certificates and Cerfificaticns CA-GOV 8548.7-(CL+3Y)
Completion Reports CA-GOV W90-(2Y)
Development Impact Fees and Reconciliations CA-HSC 19850-(LI)
Environmental Documents and Reports US-2 CFR 200.333-(AC+3Y)
Geotechnical Reports US-24 CFR 92.508(c)-(AC+5Y)
Grading Plans US-24 CFR 570.502(a)(7)(1)(A)-(LA4Y)
Impact Fee Related Studies and Reports
Improvement Projects(bicycles,pedestrian)
Insurance(endorsements,waivers,limits)
Mitigated Negative Declaration
Notices of Determination&Exemption
Quality Control Plan
Site Plans
Titre Reports
Underground Utilities Maps
007 Building,Development, Hamrdous Waste-Monitoring and Remediaton Employee Hamrdous Chemical Exposure Operations While Active+30Y CA-8 CCR 3204(d)-(CL+30Y)
Planning&Engineering Hamrdous Material Incident Reports Environmental Programs CA-CCP 338.1-(LASY)
Planning,monitoring and contingency/emergency action plans for hazardous waste, Hazardous Material Inspection CA-GOV 945.8(a)(2)-(LABM;LAZY)
emergency and spill response,natural and exposure emergencies,notifications and Hamrdous Substances Shipping Manifests CA-GOV M90-(2Y)
=one!:environmental action plans and supporting documentation;hazardous Hamrdous Waste US-29 CFR 1910.1 020(d)(4)-(CL+30Y)
munications plans,including labeling,and SIDS consols. Proposition 85 Monitoring
Response Plana,Programs
Safety Data Sheets(SDS)
Site Mitigation&Remediabon
Toxic Substance Inventory
008 Building,Development, Housing&Human Services Program Files Applications Housing While Active+SY CA-GOV 945.5(a)(2)-(LABM;LAZY)
Planning&Engineering Below Market Rate Housing Program Documents(purchase,refinance, CA-GOV 8540.7-(CL+3Y)
Records and information regarding programs that provide assistance to home rental) CA-GOV 34090-(2Y)
purchasers and home owners,Including: Community Development Block Grant Project Files US 24 CFR 5.514-(5Y)
Correspondence US-24 CFR 570.502-(AC+3Y;AC+4Y)
-Below Markel Rate(BMR)purchase and rental program Metrics US-24 CFR 908.101-(AC+3Y)
-Human service grant program to non-profits Reporting
009 Building,Development Planning and Zoning Projects and Services Administrative Meeting Minutes,Decisions,and Appeals City Clerk Permanent CA-CCP 337.1-(LA4Y)
Planning&Engineering ABC Notifications for Liquor Licenses Planning CA-CCP 337.15-(LA10Y)
Records and Information pertaining to all planning and mining activities,including: CEQA Noticing CA-GOV 945.8(a)(2)-(LABM;LA2Y)
Conditions of Approval CA-GOV 12901-(FR+1 Y)
-Approved and denied permanent enticements Conditional Use Permits CA-GOV 34090-(2Y)
-Cultural resources designations/aft—Ii-a(CRD) 0-ign Review CA-HSC 19650-(LI)
-General plan amendments Development Regulations
-Minor exceptions Entitlements(administrative,planning)
-Planned unit developments(PUD) Environmental Documents and Reports
-Residential pi—ned developments(RPD) General Plan
-Subdivisions Home Occupancy Permits
-Transfer development credits Impact Fee Related Studies and Reports
-Urban service area amendments Land Use Permits,Studies
-Variances Live Entertainment Permits
-Williamson Act cancellations Master Plans and Specific Plans(parking,sign,streets,frees)
Mitigated Negative Declaration
Notices of Determination&Exempfion
Planning Pmject Files(approved applications,architectural&design
reviews,plan reviews,project maps,tentative maps,
Sign/Bannor Permits
Special Events(on City,public or private property)
Su divisions(major,minor)
Temporary Use Permits
Tree Removal Permits
Zoning,Ramming and Map Amendments
Prepared by Kalxen Info9ource 12/11/2019 Nit.2
City of Cupertino-Retention Schedule
Record No. Business Process Record Name and Description Example Records Department/Off".of Retention Regulatory Citations Notes and Comments
Record
010 Building,Development, Property,Infrastructure Maps,Plans and Drawings Aerial Photos Community Development Permanent CA-CCP 337.15-(IA10Y)
Planning 8 Engineering Approved Plans(Traffic Signal Plans,Interconnect Plans,ADA Transition Innovation Technology CA-GOV 34090(a)-(PR)
Final maps,plans and drawings pertaining to City properties and infrastructure. Plan,Bike/Pedestrian Plan) Public Works CA-HSC 1g850-(LI)
Assessor Parcel Maps US-44 CFR 60.3-(MAINT)
Annexation Maps
Drainage
Flood Elevation Certificates
Functional Classification Maps
Improvement Plans,Drawings
Lot Line Adjustment Maps
Lot Numbers
Master Maps(CIP,historic,drainage)
Mylars
Parcel Mergers
Parcel Maps
Record of Survey
Rights of Way
Signal Plans
Signing and Striping Plans
Sphere of Influence
Street Address Files
Streetlights
Tract Maps
Traffic Signal Plans,Interconnect Plans
Water and Wastewater Systems
011 Building,Development, Traffic and Transportation Planning ADA Compliance(ramps,sidewalks) Public Works While Active+2Y CA-GOV 945.8(a)(2)-(LABM;LAZY)
Planning 8 Engineering Bicycle Plans CA-GOV 3409a-(2Y)
Records and Information of traffic engineering and transportation programs and planning Investigations
activities,including: Recommendations
Signs
-Safe route to school program Signals
-Education and outreach to schools and parents StreeVHighway Studies/Surveys(speed studies)
-Efforts to Improve traffic and circulation Surveys and Studles(engineering,feasibility,speed,trafic)
Temporary Street Closures
Traffic Counta/5urveys/Studies
Traffic Plans(management,master)
012 Building,Development, Water,Solid Waste,and Storm Water Audits and Audit Reports Environmental Programs While Active+SY CA-COP 338-(LA3Y)
Planning B Engineering Drinking Water Violations(per lease agreement) Public Works CA-COP 338.1-(LAZY)
Records and informetion associated with compliance and maintenance for stormwater Environmental Conservation,Programs CA-GOV 945.6(a)(2)-(LABM;LAZY)
co
nveyance system and solid waste.Includes: Monitoring and Testing(stormwater,water quelity,runoff) CA-GOV 34090-(2Y)
NPDES Permits CA-HSC 25244.19-(4Y)
-Compliance with San Francisco Regional Water Quality Control Board(76 agencies) Pollution Control Permits CA-HSC 25244.20-(4Y)
-Compliance with Santa Clare Valley Urban Runoff Pollution Prevention Program(14 Recycling(campaigns,e-waste,events,reports,CalRecycle Annual US-40 CFR 70.6-(CL+5Y)
agencies) Report) US-40 CFR 122.21-(3Y)
-Inspection program records(construction sites,landscape treatment,etc.) Storm Water Management Plan and Pollution Reports US-40 CFR 122.41-(3Y)
-Resource recovery program(garbage,composting,recycling,CalRecycle) Trash Management Plan US-40 CFR 122.44-(3Y)
Water Quality Management Plan(WQMP) US-40 CFR 261.32-(3Y)
Cuperbno's Municipal Annual Lease Report
IND-IDDE Proactive 8 Reactive Stormwater Inspections 8 Citations
013 Elections Election Records-Administrative Files Correspondence City Clerk 4Y CA-GOV 34090-(2Y)
Documentation of the administration of City elections. Research Notes CA-GOV 81009(f)(9)-(4Y;2Y)
014 Elections Election Records-Assessment Districts-Far Future Use Ballots City Clerk BM CA-ELEC 17200-(8M)
Tally Sheets CA-ELEC 17302-(8M)
Documentation of elections pertaining to assessment districts. CA-ELEC 17304-(13M)
CA-ELEC 17308-(eM)
CA-ELEC 17503-(6M)
015 Elections Election Records-Candidates Nominated,Elected and Not Elected Candidate Statements City Clerk Term of Office+4Y CA-ELEC 17100(a)-(T+4Y)
Nomination Papers
Records and Information related to the filing of nominations,candidate and election Registrar of Voters Required Documents
documentation for City offices. Supplemental Nomination Papers
016 Elections Election Re..rite-Committees FP PC Sense 400,111,111 Forms City Clerk 7Y CA-GOV 81 009(c)-(7Y)
Records and information related to the fling of FPPC forms for Political Action
Committees and General Purpose Committees.
Prepared by Kai—InfeSource 12/12/2019 Page 3
City of Cupertino-Retention Schedule
Record No. Business Process Record Name and Description Example Records DepartmentlOffice of Retention Regulatory Citations Notes and Com—nts
Record
017 Fectons Election Record-Initiative,Recall,or Referendum Administration City Attorney Opinions City Clerk 4Y CA-GOV 81000(f)(g)-(4Y;2Y)
Ballot Measure(Arguments For Against,Full Text,Rebuttals,Impartial
Records related to the submission and processing of initiative,referendum,recall,or Opinion)
ballot measures,excluding petitions. Election Results
Petition Administration
aid El,cficns Election Records-Initiative,Recall,or Referendum Petitions Petitions City Clark BM CA-ELEC 17200-(8 Months)
CA-ELEC 17400-(B Months)
Petitions for initiative,referendum,recall,or ballot measures,whether successful or not
019 Ebcticns Election Records-Proposition 218 Protest Procedure Ballots Citywide Permanent California Constitution Art XIII
Notices
Records related to administration of notifications and protests associated with taxes, Protest Letters
sessmanis.and fees subject to Prop 218. Public Hearing Material
020 Elections FPPC Forms-Mandated Reporting FPPC Series 800 Forms City Clerk 7Y CA-GOV 34090-(2Y)
CA-GOV 81009(e)-(7Y)
Forms mandated by stale law related to receipt and redistribution of gifts and honoraria,
ceremonial roles,and holding of multiple positions for certain employees,elected or
appointed officials.or consultants.
021 ElecBons FPPC Forms-Statements of Economic Interest Farm 700 City Clerk Term't7Y CA-GOV 34090-(2Y)
CA-GOV 81009-(4Y,TY)
Statements of economic interest mandated by state law for certain employees,elected or
appointed officials,or consultants. 'Tenn=Term of Office,Term of Service or
Termination of Employment
022 Financial Accounts Payable and Receivable Aging Reports Finance BY CA-COP 337-(LA4Y)
Bankruptcy Proofs of Claim CA-COP 338-(LAW)
Records and Information related to the accounting of monies paid or received by the City Cash Records(cash disbursement,cash register receipts,cash receipts) CA-GOV 945.8(e)(2)-(LABM;LAZY)
including payment for financial obligation and Citywide revenue receipts. Collections CA-GOV 850.7-(CL+3Y)
Construction Performance Bond Reimbursements CA-GOV 34090-(2Y)
Credit Memos US-26 CFR 31.6001-(CU+4Y)
Expense Reports,Reimbursements for Employees and Officials US-25 USC 5531-(LABY)
Fees and Taxes US-48 CFR 4.705-1-(4Y)
FEMA Reimbursements
Fines,Forfeitures and Penalties
Form 1099 Records and Farm W-9 Records
Invoices and Vouchers
Payables
Purchasing Card Expense Reconciliation/Allocations
Recolvabl,s
Reconciliations
Refunds
Sales and Use Taxes Paid
Tax Revenue(propertytaxes,transient occupancytaxes,utility user
taxes)
U81ily Fees Billed by City(water,waste water,calculations)
Uh try Bills Paid by City
023 Financial Bank Account information Bank Account Administration Finance 4Y CA-GOV 945.5(a)(2)-(LA6M;LAZY)
Bank Statements CA-GOV 34090-(2Y)
Records and information ralal,d to banking authorities,activifies,transactions and Checks,(canceled,copies) US-48 CFR 4.705-1-(4Y)
correspondence.This category includes reconciliations. Check Registers,Journals
Corrections/Returns I Adjustments
Deposit Slip/Receipts
Electronic Banking Transactions
Purchasing Card Statements
Reconciliations
Signature Cards
Tmnsfers/Wires
Treasurer Receipts
024 Financial Budget Planning Budget Development Documents Finance 4Y CA-GOV 34090-(2Y)
Trial Balance/Balance Sheets(Finals)
Records and Information regarding the development and tracking of City budgets.
025 Financial Business Licenses Annual Licenses Finance While Active+4Y CA-CCP 337-(LA4Y)
Applications CA-GOV 945.8(a)(2)-(LABM;LA2Y)
Records and information documenting the Issuance of City business licenses. Business Licenses(applications,fees,financial history,reports) CA-GOV 34090-(2Y)
Home Business Licenses
Short-term Rentals
Prepared by Kaizen InfoSource 12/12/2019 Page 4
City of Cupertino-Ratendon Schedule
Record No. Business Process Record Name and Description Example Records Department/Office,of Retention Regulatory Citations Notes and Comments
Record
02s Financial Debt,Investments Annual Reports Community Development Maturity+l OY CA-CCP 336-(LA5Y)
Arbitrage Reports Finance CA-CCP 337-(LA4Y)
Records and Information relating to City financing and debt activities. Bond Insurance Transcripts CA-CCP 337.5-(L.A1 OY)
Bonds(CFD,continuing disclosures,bond rating repots,official CA-CCP 338-(LA3Y)
Statements) CA-GOV 945.8(a)(2)-(LABM:LAZY)
Certificates of Deposit(CDs) CA-GOV 8546.7-(CL+3Y)
Fiduciary Debt and Investments CA-GOV 34090-(2Y)
Financial Investment Planning US-26 CFR 301.6501-(CU+3Y)
General Obligation Bonds
Investment Reporting and Portfolio Management *Maturity includes cancellation and
Local Agency Investment Fund(LAIF) redemption
Payment History/Schedules
Quarterly Investment Report
Recognized Obligation Payment Schedules(ROPS)
Reporting(continuing disclosure,Mello-Roos,state reports)
Security Instruments
Third Party Trustee Account Statements
027 Financial Financial Reporting-Annual,Periodic CAFR Workpapers Finance BY CA-GOV 945.0(a)(2)-(LA6M;LAZY)
Payroll Reports(HRA,RMT,ICMA 457 accounts,Nationwide,deferred CA-GOV 34090.(2Y)
Annual and periodic financial reports,whether required by regulations or generated to compensation) US-28 CFR 1.1401-2-(CU+1Y)
track financial transactions and achievements by the City. Revenue/Expenditures Reports US-20 USC 8531-(LABY)
Treasurer's Report
Workers Compensation Reports
028 Financial Financial Reporting-Official Annual Budget Finance Permanent CA-GOV 945.8(a)(2)-(LA6M;LA2Y)
Annual Report of Financial Transactions To State CA-GOV 34090-(2Y)
Official financial reports of the City. Annual State Controller Filings US-28 CFR 1.1481-2-(CU+1Y)
Audited Financial Statements US-20 USC 6531-(LABY)
CAFR(final)
Local Government Compensation Report
PERS Reports
State Controller's Report
029 Financial Financial,Strategic Planning Business Plans Citywide 2Y CA-GOV 34090-(2Y)
Financial Plans
Records and information relating to financial planning and forecasting future costs. Forecasts
Rate/Fee Schedules(development,utilities,licenses,permits)
Strategic Plans(technology,CIP)
030 Financial Fixed Assets Acquisitions Finance Life'10Y CA-CCP 337.15-(LAI OY)
Amortization CA-GOV 34090-(2Y)
Records and information related to the ownership,transfer,acquisition,disposition, Asset Retirement Records US-28 CFR 1.1461-2-(CU+1Y)
capital leased,or Improvement of fixed assets owned by or used by the City. Dispositions US-26 USC 8.531-(LABY)
Capital Asset Records
Capital Improvements 'Life of Asset
Depreciation Schedules
Equipment Rental/Usage Reports
Fixed Asset Reports
Fixed Asset Ledger
Fixed/Capiwl Asset Accounting
Possessory Interest
Sales
Valuation Information
031 Financial General Ledger,Journal Entries,Budget Adjustments Account Ledgers Finance BY CA-GOV 34090.(2Y)
Balance Sheets US-26 CFR 1.1461-2-(CU+1Y)
Records and information related to the transfer of charges between accounts and Budget Adjustments US-26 CFR 31.6001-(CU+4Y)
summaries of account information,including year end summaries of general ledger Cash Journal Entries US-2e USC 6531-(LABY)
transactions, Chart of Accounts
Downloads/Data Exports
Expenditure Reports
General Ledger
Journal Entries and Backup Documentation
Revenue and Expense Reports
Sub-Ledgers
Summary Reports
Trial Balance
Year-End/Account Detail History Report
Prepared by Kahan lnfeSource 12/11/2019 _
City of Cupertino-Retention Schedule
Record No. Business Process Record Name and Description Example Records DapartmengOffice of Retention Regulatory Citations Notes and Comments
Record
032 Financial Grants and External Funding Sources Applications(including project proposals) Citywide While Active+7Y CA-GOV 34090-(2Y)
Audits CA-Office of Emergency Services 2019
Documents the application,evaluation,awarding,administration,monitoring,reporting, Award Notification Subreclpient Handbook§11210-(AC+7Y)
and status of grants and other funding sources in which the City is the recipient or Funding Requests(State Funded) US-2 CFR 200.333-(CL+3Y)
administrator.Includes: Grant Administration US-24 CFR 570.502(a)(7)(1)(A)-(LA4Y)
Grant Funding
-Community Development Block Grant(CDBG)(State Funded Program) Grant Evaluations Unsuccessful applications are retained fort
-Combined Federal,State,Local Grants Payroll(certified,Davis Bacon) years.
-Federal Grants Program Rules,Regulations,Procedures
Local Grants Reports to Funding Agencies NOTE:If a grant requires longer retention,its
-State Grants Semi-annual Labor Reports specific requirements will take precedence.
Transportation Agencies Grant Funding(VTA,MTC,ASAG,BAAOMD)
033 Financial Payroll Deduction Authorizations,Registers,Reports - Finance BY CA-2 CCR 570.5-(5Y)
Defamed Compensation CA-2 CCR 571(b)(1)(E)-(5Y)
Records and information related to the accounting of payroll earnings,deductions,and Educational Reimbursements CA-22 CCR 1085-2(c)-(CW4Y)
issuance.This also includes records and information reflecting all earnings and benefits Employee Master File CA-GOV 12M-(2Y;T+2Y)
paid to each employee,including: Federal and Slate Tax CA-LAB 226a-(3Y)
Payroll Checks,Copies,Stub Reports CA-LAB 1174-(SY)
-Name,address,SSN Payroll Certifications,Controls,Earnings CA-LAB 1197.5-(LAZY,LA3Y)
-Total amount and date of payments Payroll Taxes CA-UIC 1132-(LA3Y)
-Period of service covered for each PERS Reporting(earnings and benefits fw a pay Period) Cupertino Municipal Coda 3.37.060-(4Y)
-Withholding. Timekeeping Records(timecards,out p(class lormshepods,extra help US-28 CFR 31.6001-(CU+4Y)
-Tax collected raquasrs) US-26 USC 0531-(LA6Y)
W-2,W-4 US-29 CFR 516.5-(3Y)
US-29 CFR 516.6-(2Y)
US-2 9 CFR 1820.32-(2Y)
US-29 CFR 1827,3-(3Y)
US-48 CFR 4.705-2-(4Y;2Y)
034 Financial Real Property Transactions Acquisitions City Clerk Permanent CA-CCP 315-(LA1 OY)
Attachments Community Development CA-CCP 337-(LA4Y)
Records and information related to the ownership,acquisition,disposition,transfer of, Buildings Finance CA-CCP 337.1-(LA4Y)
lease of,or improvement of real property,infrastructure and facilities including grant Community Development Block Grant(CDBG)Properly Acquisitions Public Works CA-CCP 337.15-(LAI OY)
deeds,owned by or used by the City. Deeds of Trust CA-GOV 945.6(a)(2)-(LA6M;LAZY)
Development Agreements CA-GOV 8540.7-(CL+3Y)
Dispositions CA-GOV 34090(a)-(PR)
Grant Deeds
Housing Authority Owned Properties
Land
Loans
Mortgagee
Notice of Pendency of Actions
Possessory Interest
Promissory Notes
Property Transaction(DDA,DA,etc.)
Right of Way
Sales
Subdivision Improvement Agreements(SIAs)
Valuation Information
035 Financial Unclaimed Funds Unshed Checks Finance 10Y CA-CCP 1513-(3Y)
Unclaimed Funds CA-GOV 34090-(2Y)
Records and information pertaining to periodic publication of outstanding checks that are US-Uniform Unclaimed Property Act(2016),
3 years or older,After the City goes through Its due diligence of trying to find the rightful Section 404-(t 0Y)
owner,Finance returns any unclaimed funds to the City.
036 General&Administrative Agreements,Contracts and Leases-Construction,Development,Improvements to Addendums and Amendments City Clark Permanent CA-CCP 315-(LA10Y)
Infrastructure,Real Property and Facilities AgreementslContracts Community Development CA-CCP 337.1-(LA4Y)
Attachments/Exhibits CA-CCP 337.15-(LA10Y)
Executed agreements and contracts for construction and/or improvements to the City's Bonds(copies) CA-CCP 343-(LA4Y)
infrastructure,real property and facilities.Examples include: Certificates of Completion(COCs) CA-GOV 945.6(a)(2)-(LABM;LAZY)
Insurance Documentation CA-GOV 8546.7-(CL+3Y)
-Affordable Housing Agreements Change Orders,Side Letters,Task Orders CA-GOV 34090(a)-(PR)
-Below Market Rate Housing Agreements Disclosures US-29 CFR 516.5-SY)
-Housing&Human Services Grant Contracts Letters of Intent US-40 CFR 122.21(p)-(3Y)
-Leese Acquisitions Leasehold/ienant Improvements Memoranda of Understanding(MOUs) US-40 CFR 122.410)-(3Y)
-Notice of Restdcb n Notices of Completion(NOCs)
-Property Improvement Contracts Plane and Specifications
-Regulatory Agreements Statements of Work(SOWs)
-Water Agreements Warranties
-Water Supply Agreements
Prepared by Kalten InfoSourre 12/11/2019 Pa 6
any of Cupertino-Retennon Schedule
artmanfl0 fice of
Record No. Business Process Record Name and Description Example Records DepRecord Retention Regulatory Citations Notes and Comments
037 General&Administrative Agreements,Contracts and Leases-Goods and Services and Other Non- Addandums and Amendments City Clerk Permanent CA-CCP 337-(LA4Y)
Infrastructure Attachments/Exhibits CA-CCP 337.1-(LA4Y)
Bonds CA-CCP 343-(LA4Y)
Executed agreements and contracts for goods and services(which includes all types of Certificates of Insurance
CA-GOV 8548.7-(CL+3Y)
contracts and agreements,including franchise,purchase orders,or non-real property Contact Releases(resale,refinance,option to purchase,restriction, CA-GOV 34080-(2Y)
leases)and associated ancillary documents,between the City and other parties. assignmentofoption) US-29 CFR 510.5-(3Y)
Disclosures US-40 CFR 122.21(p)-(3Y)
Letters of Intent US-40 CFR 122.410)-(3Y)
License Agreements,Licenses
Licensing,Licenses(general)
Maintenance Agreements
Memoranda of Agreement(MOAs)
Memoranda of Understanding(MOUs)-other than labor MOUs
Standard Consultant Agreement
Services Agreement
Services Agreement for Design Professionals
Rental Agreements
Statements of Work(SOWs)
Warranties
038 General&Administrative Asset Management,Maintenance•Furniture,Fixtures,and Other Equipment Actions Taken Innovation&Technology Life'+10Y CA-CCP 337-(LA4Y) •Life of Asset
Air Quality Permits and Inspections Public Works CA-CCP 337.15-(LA10Y)
Records related to the installation,management,and maintenance of City fixed and Backflow Inspections CA-GOV 945.8(a)(2)-(LABM;LA2Y)
movable assets,including real property and infrastructure,such as: Certifications and Inspections CA-GOV 8548.7-(CL+3Y)
Complaints and Trouble Reports CA-GOV 34090-(2Y)
-Backflow devices Deily Work Reports
-Bridges Custodial Services
-Cameras Equipment Certifications and Inspections
-City-owned buildings and structures,computing devices,and infrastructure over$5,000 Issues Log
-Cityawned tees Inventories
-Elevators Maintenance,Repair,&Replace Work Orders,Inspections&Service
-Equipment and vehicles Requests
-Fiber optics Maintenance Reports
-Landscape irrigation Pesticide(treatments,applications)
-Parks,sports fields,paths/trails,and pools Tree Removals
-Playgrounds Utilities Meter Records(including deposits)
-Sidewalks and curbs
-Soler panels
-Slormwaler system
-Streagights
-Sim is(roadways,medians,street signs,street sign supports,striping,legends,
calming devices)
-Traffic Signals
039 General&Administrative Audits-Internal,External and Administration Annual Audit Reports Citywide 6Y CA-GOV 945.B(a)(2)-(LABM;LA2Y)
Audi:Files,Plans CA-GOV 8546.7-(CL+3Y)
Records and Information related to Internal,external and regulatory audits and Audit Schedules CA-GOV 34090-(2Y)
administration of associated auditing activities,including reviewing and documenting Audit Workpapers US-2B USC 8531-(LABY)
operational,compliance,or financial information created as a part of an audit. Auditors Reports
Blennial Reviews
Flood Insurance Rate Credit Audits
General Purpose Financial Audits,Single Audits
Grand Jury Reports
Management Responses
Petty Cash Audits
Responses
Results
Workpapers
040 General&Administrative City Webalte f,lasil,Content2Y CA-GOV145.B(a)(2)-(LABM;LAZY)
eb Pages CA-GOV 34090-(2Y)
Coolant of the City's website and web pages.
Prepared by Kalxen InfaSource 12/11/2019 page 7
❑ty of Cupertino-Retentlee Schedule
Record No. Business Process Record Narita and Description Example Records DapartmantlOff1ce of Retention Regulatory Citations Notes and Comments
Record
041 General&Administrative Communication,Outreach,Media and Public Relations Block Leader Records Citywide 4Y CA-CCP 337-(LA4Y)
Brochures,Flyers CA-GOV 8546.7-(CL+3Y)
Records and Information regarding internal and external-facing communications, Cable Television Station Operating Records CA-GOV 34090-(2Y)
advertising and press relations materials,and community programs Including operation Community Surveys
of the local Government access wbla television station,the City's radio station,and Events(sign-hr sheers)
documentation of outreach ecfivides/events held in cooperation or for the benefit of City FCC License
staff and for the local community. Health Fairs
Housing Workshop
Mailers
Neighborhood Watch Records
Parks and Recreatian Commission Video Recordings
Press Releases _
Public Information l Outreach/Education
Publications Produced by the City(City Manager items ofinterest,
newsletter)
Social Media Posts
Speeches
Videos for Public Events
Waivers of Liability
Website Documentation
042 General&Administrative Economic Development Programs Applications City Manager While Active+4Y CA-CCP 337-(LA4)
Brochures Community Development CA-GOV 945.6(a)(2)-(LABM;LAZY)
Records and information documenting the CIty9 economic development programs, Correspondence CA-GOV 8546.7-(CL+3Y)
including: Economic Development Strategy CA-GOV 3409D-(2Y)
Impact Fee Schedule US-2 CFR 200.333-(CL+3Y)
-Business improvement districts(property based-PBID,tourism based-TBID) Market Studies
-Parklel program Pilot Programs
-Fagade program Website
043 General&Administrative Emergency Management Annexes(internal opere6onal instructions on how to respond to City Manager While Active+2Y CA-GOV 945.6(a)(2)-(LABM;LAZY)
emergency situations) CA-GOV 34090-(2Y)
All documentation for dealing with preparation for and response.m emergencies, Business Continuity Plans
disasters and/or system failures for City facilities.Includes the Emergency Response Disaster Council
Programs,the Oil—Corps Program,and the Emergency Operations Center. Disaster Recovery Plan
Drill Records
Emergency Alerts
Emergency Contact Lists,Employee Lists,Roster of Workers
Emergency Evacuation Procedures
Emergency Preparedness Team
Evacuation Plans
Heard MiUgaUan Plan
044 General&Administrative Fuel Expense Management Fuel Card Authorlations Finance 2Y CA-GOV 945.6(a)(2)-(LA6M;LAZY)
Fuel Reports,Billing Reports,Journals CA-GOV M90-(2Y)
Records related to the purchase,tracking and management of expenses for fuel for City
vehicles.
045 General&Administrative Fuel Tank Management California Air Resources Board Certificate Public Works Life-+10Y CA-23 CCR 2712-(Life of lank) 'Life of Tank
Fuel Storage Tanks(above ground,underground) CA-CCP 338.1-(LASY)
Records related to the management of City fuel storage tanks. CA-GOV M.6(a)(2)-(LABM;LAZY)
CA-GOV 34090-(2Y)
CA-HSC 25285-(5Y)
CA-HSC 252g2-(1Y)
CA-HSC 25293-(MAINT)
046 General&Administrative General Administration Budget Workpapers Citywide While Acliva+2Y CA-GOV 34090-(2Y)
City Generated Routine Studies/Reports(e.g.,rate studies,vacant land
General internal administrative records of City departments.Including: inventory studies)
-Documentation of department activities Confidential Invoice Backup(outside counsel billing)
Routine reports generated by the City Department Administrative Documents(calendars,committees,goals,
-Information captured on a log or a list objectives,meeting agendas,meeting minutes,meeting tapes/recording,
-Routine correspondence,memos,notes and emaile that do not pertain to another plans)
category Employee Communication Letters(announcements,newprograms,
-Department projects,Including unsuccessful project documentation notices)
In-House Committees/Employee Committees
Logs(bid openings,booking number,case number,daily DRR,
subpoenasreceived)
Office Files,Office Manager Files
Organia8on Charts
Research on Pending Legislation
Supplies Management
Zoning Confirmation Letters
Prepared by Kaixen InfoSourca 12/11/2019 Page.
Oty of Cupertino-Retention Schedule
Record No. Business Process Record Name and Description Example Records Deportment/
Offica of Retention Regulatory Citations Notes and Comments
Record
047 General B Administrative Historical Documents,Events,Memorabilia,Collections,Artifacts Biographies of City Officials City Clerk Permanent CA-GOV 34090-(2Y)
Census Information City Manager
Records and information documenting the history and significant milestones of the City City Council Meeting Video Recordings Communications
such as when a significant decision wee made,a momentous weather event,or City Generated Historical Studies/Reports Video
noteworthy avant(e.g.,Steve Jobs presenting to City Council),the 1st of an event such City Incorporation
as Sister City Initial formation or recognition,but not an annual recording of the avant or City Manager,City Official Communications,Speeches,Videos(historic,
activities thereafter. significant,State of the City)
City Publications(historic,significant,examples:Scene,Parks and
Recreation Catalog)
City Seal
Council District Maps
Demographics
Elections(historic,significant)
Grand Jury Documentation
History Cards(historical personnel rosters)
Hlsloncal Facilities
News,Press Releases(historic,significant)
Photo Collections and Publicity Photographs
Planning Commission Meeting Video Rewrt ings
Proclamalions/Ceremonial Documents
Registered Lagos
048 General B Administrative Incident Reports Emergency Services Citywide 2Y CA-GOV 945.B(a)(2)-(LAOM;LAZY)
False Alarm Reports CA-GOV 34000.(2Y)
Records and information associated with department responses to fires and emergency Hazardous Waste Spills
incidents,Including medical emergencies. Incident Reports
Investigation Reports
NOTE:This categorydoes not pertain to incident reports that become part cis Police Mandated Reporting:Child Abuse,Elder Abuse
se file. Pothclas
Sewer Overflow
Suspicious Activity Reports(SARs)
Tree Down
049 General&Administrative Operational Maps Community Outreach Innovation Technology While Ac1jve+2Y CA-GOV 34090-(2Y)
Fiber Optic
Informal maps and geographical informadon pertaining to City operations and constituent Road Closures
services. Sheet Sweeping Schedule
Tree Maintenance Zones
Trash Pick-up
Zoning/General Plan
050 General&Administrative Permits Issued Applications Citywide While Ac11ve+4Y CA-CCP 337-(LA4Y)
Field Use Permits CA-GOV 34090-(2Y)
Documentation of permits Issued by the City,other than building and planning Permits. Fire Cupertino Municipal Code 11.24.220-
Handbill Permits (MAINT)
Hydrant Permits
Massage Therapist Permits(and annual health certificates)
Parade Permits
Solicitor Permits
Street Permits
Taxi Permits
Temporary Open Air Acfivities Permits
Temporary Parking Permits
Tent Permits
Transportation Permits(oversize,overweight,wide load)
051 General&Administrative Policies and Procedures Administrative Policies and Procedures Citywide While Active+4Y CA-CCP 337-(LA4Y)
Brand Guidelines CA-GOV 945.8(a)(2)-(LABM;LAZY)
All administrative documentation of City policies and procedures. City Council Policies and Procedures CA-GOV 34090-(2Y)
Department Policies and Procedures
Directives
Facility Rental Policy and Procedures
General Order,
Guidelines
Handbooks
Policies
Procedure Manuals
Procedures
Program/Initiative Plans
SOP.
Standards
Prepared by Kalxen InfaSource 12/11/2019 Page 9
City of Cupertino-Retention 5c1,.dule
Record No. Business Process Record Name and Description Example Records DepartmentrOffice of Retention Regulatory Citations Notes and Comments
Record
052 General&Administrative Procurement-Agreements and Contracts Hsd Awarded Bids,Awards(unaccepted,rejected) Citywide 2Y CA-GOV 34090-(2Y)
Exhibits
Records and information created or retained in the preparation of purchasing or Price Lists
acquisition of goods and services,bulwhere the purchase order,contract,or agreement Quotations
s not awarded. Requisitions -
Requests for
Information(RFI)
Requests for Proposal(RFP)
Requests for Quote(RFO)
Scorecards
Specification.
053 G—ml&Admimstradve Procurement-Purchasing and Requisitioning Bids,Awards Citywide 4Y CA-CCP 337-(LA4Y)
Bands CA-GOV 945.8(a)(2)-(I-ABM;LA2Y)
Records and information created or retained In the purchasing or acquisition of goads Change Orders CA-GOV 8546.7-(CL+3Y)
and services.Documentation that includes the terms and conditions under which Evaluation Sheets CA-GOV 34090-(2Y)
vendors will provide goods or services. Exhibits US-29 CFR 516.5-(3Y)
Notices of Intent(to award,to bid)
Price Lists
Proof of Insurance Certificates
Proposals
Purchase Orders
Quotations
Receiving Reports
Requisitions
Requests for Proposal(RFP)
Requests for Qualifications(RFO)
Specifications
054 General&Administrative Public Information Requests Formal Public Records Requests City Attomey 2Y CA-GOV 34090-(2Y)
Subpoenas for records and/or testimony(cases in which City is not a City Clerk
Records requested by the public,required for provision to the public,and related party)
Inquiries.
055 General&Administrative Public Notloes Affidavits of Mailing Citywide 2Y CA-GOV 945.6(a)(2)-(LABM;LAZY)
Affidavits of Posting CA-GOV 34090-(2Y)
Records documenting compliance with laws requiring public notice of government Ai davits of PublicatianlLeeal Notices
activities.Subjects Include assessments,elections,land use changes,public meetings Public Hearing Notices
and hearings,sale of property,and other legal notices. Public Meeting Notices
O56 General&Administrative Records,Information Management-Active and Inactive Records Document Hold Notices,Updates City Clerk t0Y CA-CCP 315-(LA10Y)
Inactive Records Storage Information(inventories,indexes,transmittals) CA-CCP 337-(LA4Y)
Documentation of the management of active and inactive records in compliance with Lists of Blared Records CA-CCP 337.15-(LAtoY)
Record.and Information Management policy and procedures. Record.Transfers(to storage,to other depts.) CA-GOV 945.6(a)(2)-(LABM;LAZY)
CA-GOV 8546.7-(CL+3Y)
CA-GOV 34090-(2Y)
057 General&Administrative Records,Information Management-Records of Destruction Certificates of Destruction City Clerk Permanent CA-CCP 315-(LA10Y)
Lists of Destroyed Records CA-CCP 337-(LA4Y)
Documentation of records destroyed in accordance with Records and Information CA-CCP 337.15-(LA10Y)
Management policy and procedures. CA-GOV 945.6(a)(2)-(LABM;LAZY)
CA-GOV 850.7-(CL+3Y)
CA-GOV 34090-(2Y)
058 General&Administrative Security Closed Circuit Television Recordings CCTV Security Video Innovation Technology 1Y CA-GOV 34090.6-(1Y)
Public Works Operations
Closed circuit TV video recordings made to monitor the security of City facilities and
operations.
059 General&Administrative Security,Access Operations Access Controls(active and inactive) Innovation Technology While Active+2Y CA-GOV 945.6(a)(2)-(LA6M;LA2Y)
Access Report. Public Works Operations CA-GOV 34090-(2Y)
Records and information regarding physical access controls and protection far City Card Key System Records(active and inactive)
buildings and facilities. Daily Activity Logs
Facility Key Lists(active and inactive)
Key Cards
Transaction Logs
060 Ganaral&Administrative P,1aIn,.bi`tY Climle Ation Plan(CAP)-linked to General Plan Sustainability While Active+SY CA-GOV 34090-(2Y)
ClimateGreenhouse Gas Inventory Report
cord. d information of the City'.programs and activities to provide greater Utility Cast&Consumption Tracking(energy,wafer, wer)-Basellne
vironmental accountability and encourage green business practices. year and all Intervening years leading up to goal as related to CAP
Prepared by Kalxen InfaSource 12/11/2019 °see to
City of Cupertino-Retention Schedule
Record No. Business Process Record Name and Description Example Records Depor[menVOffica of
Record Retention Regulatory Citations Notes and Comments
061 General&Administrative Vendor,Supplier Files Contractors-Vendor List Citywide 2Y CA-GOV 34090-(2Y)
Vendor Packets
Records end information of suppliers and vendors to all City organizations created or Vendor Applications,Profiles
retained in the purchasing or acquisition of goods and services.
062 Human Resources Benefit Plans Broker Correspondence Human Resources Life'+BY CA-GOV 945.8(a)(2)-(LABM;LAZY)
Group Insurance Cost Data CA-GOV 8546.7-(CL+3Y)
Plans established to provide employee benefits and associated administrative CeIPERS Actuarial Reports CA-GOV 34090-(2Y)
documents,including: CeIPERS Medical Plan US-29 CFR 1602.30-(3Y)
CeIPERS Retirement Plan US-29 USC 1027-(BY)
-Dental Summary Plan Descriptions US-29 USC 1059-(T+1Y)
-Vlsicn Wellness Program Records US-29 USC 1113-(LABY)
-Life Insurance US-29 USC 1451-(LA6Y)
-Long-term care
-Deferred compensation 'Life of Plan or Benefit
-Section 125 plan(flax spending)
-Disability(shortflong time)
-PARS retirement for unbenefiled part time employees
EAP
-CalPERS Retirement&CeIPERS Health
063 Human Resources Employee Benefit Files Benefits Files,Enrollments,Appeals Human Resources While Active+BY CA-22 CCR 1085-2-(CU+4Y)
Beneficiary Designations CA-GOV 34090-(2Y)
Employee election(selection),enrollment or termination forms and related CeIPERS Service-Prior-to-Membership US-20 CFR 301.6501-(CU+3Y)
correspondence,including transmissions to carriers of additions,changes.claims and Death Claims,Life Event Documents US-29 CFR 825.500-(3Y)
delebons(may include employee records subject to HIPAA requirements). Disability Claims US--29 USC 1027-(BY)
Employee Cost-Sharing Amounts US-29 USC 1059-(T+1Y)
Employment Status,Changes(authorizations,terminations,confirmations,
status changes,coverage changes)
Flexible Spending Enrollment
Life Insurance Notification LeftemIE01
Pension Plan Applications,Claims
Premium Information
Required Benefits Reporting
Su Iemental Forms
064 Human Resources Labor Relations Confidential Memos Human Resources While AcUve+BY CA-CCP 337-(LA4Y)
Costing CA-Go V 8546.7-(CL+3Y)
Documentation related to the negotiations between labor unions for collective bargaining Ground Rules CA-GOV
12946-(2Y)
purposes. Handouts CA-GOV 340go-
(2Y)
Information Requests US-29.CFR 516.5-(3Y)
Miscellaneous Information
Notes
Proposals-City
Proposals-Union
ads Human Resources Labor Relations Grievances Grievance Files/Commission Hearing Human Resources Final Resolution+eY CA-CCP 337•(LA4Y)
Gdevance/Hearing Logs CA-GOV 12946-(2Y)
Documentation related to labor grievances filed under current collective bargaining Union Grievances US-26 CFR 31.6001-1-(CU+4Y)
agreements. US-29 CFR 1602.31-(FR+2Y)
066 Human Resource, Occupational Health Records Drug Screening Human Resources Closed+BY CA-8 CCR 10102-(Injury+SY or
Ergonomic Evaluations Closed+lY)
Documents pertaining to worker health and safety,including drug screening records of Noise Exposure,Audiometric Testing Records CA-8 CCR 14300.33-(5Y)
City employees,and workers compensation(may include employee records subject to Pre-Employment Physicals CA-GOV 945.6(e)(2)-(LABM;LAZY)
HIPAA requirements). Safety Committees CA-GOV 34090-(2Y)
TB Tests CA-LAB S40B-(LA1Y;LA240W)
Workers Compensation CA-LAB 5410-(LA5Y)
CA-LAB 6401.7-(MAN-0CA-29 CFR 1904.33-(GU+5Y)
US-29 CFR 1 910.95-(2Y)
Prepared by Kaiten Info$ource 12/11/2019 Pas,11
City of Cupertino-Retention Schedule
Record No. Business Pra - Record Name and Description Example Records DepartmentlOffice of Retention Regulatory Citations Notes and Comments
Record
067 Human Resources Personnel Files-Employees Applications,Applicant Reference Verifications Human Resources Termination+BY CA-2 CCR 11013-(FR+2Y)
Awards,Rewards,Commendations,Certificates CA-GOV 945.6(a)(2)-(LABM;LA2Y)
All documents related to paid employees(full and part-time)including but notlimited to: Department of Justice Reports and Clearances CA-GOV 12946-(2Y;T+2Y)
Disciplinary Actions CA-GOV 34090-(2Y)
-selection/hiring Drivers License Data-Class C CA-VEH 1808.1(c)-(1Y)
-assignments Employee Policy Acknowledgements US-29 CFR 825.500-(MAINT)
-promotion Employment Authorizations(confirmations,status changes,terminations) US-29 CFR 1602.14-(FR+1Y)
-demofiun Ezil Records US-29 CFR 1602.31-(T+2Y)
-transfer Individual Education,Development,Training Records US-29 CFR 1827.3-(T+1 Y)
-layoff Job Offer Letters US-41 CFR 80-1.12(a)-(2Y)
-termination/resignation Leave of Absence Documentation,FMLA US-41 CFR 00-741,80-(2Y)
-pay rates/other terms of compensation Medical Restrictions
-work autharizabons Oaths of Office
-reclassifications Performance Evaluations,Reviews or PIPS
Personnel Transaction Forms
Policy Acknowledgements
Reco nifion
068 Human Resources Risk Management-Insurance Coverage Binding Information City Attorney While Active+BY CA-22 CCR 3267-2-(MAINT)
Binders Human Resources CA-CCP 337-(LA4Y)
Records detailing the City's general coverage against property damage and liability, Broker Correspondence CA-GOV 945.6(a)(2)-(LABM;LAZY)
including renewal submission information,insurance quotes,&broker correspondence. Certificates of Insurance CA-GOV 8546.7-(CL+3Y)
(NOTE Third party proofs-of-insurance associated with facility rentals or City projects Completed Applications CA-GOV 34090-(2Y)
are retained with those rental or project files.) Flood Insurance
Insurance Policies
Insurance Quotes
Insurance Submissions
Liability Insurance
Pooled Liability Assurance Network Joint Powers Authority(PLAN JPA)
Ranewal Strategy
069 Human Resources Salary,Compensation Classification Studies Human Resources BY CA-GOV 34090-(2Y)
Compensation Program,Planning,Analysis US-29 CFR 1602.14-(FR+1Y)
Documentation ofjob classification compensation. Cost of Living Adjustments US-29 CFR 1802.31-(2Y)
Jab Descriptions
Job Evaluation Documentation
Salary Range History
Selery Schedules
Salary Surveys
Salary Table
070 Human Resources Staffing and Recruitment Applications,CVs,Resumes(rejected,unsolicited) Human Resources 3Y CA-2 CCR 11013(c)(2)-(2Y) NOTE:Background checks for personnel hired are
Applicant Tracking Records(hired,rejected) Parks&Recreation CA-GOV 12946-(2Y) part of the personnel file,
Records and information related to recruitment of qualified persona for both paid and Background Checks,Investigations-candidates not hired/accepted CA-GOV 34090-(2Y)
unpaid position with the City,whether full time or part-time temporary,including: Examination Results and Rankings US-29 CFR 1802.31(2Y)
Interview Notes US-29 CFR 1627.3(b)(1)-(1Y)
-Applications and related records of candidates interviewed but not hired or accepted Jab Descriptlona
-Applications received but not acted upon Job Postings,Announcements
Job Specifications
Miscellaneous Hiring Process Notes
Personnel Requisitions
Position Information
Pre-Hire Screening-candidates not hired/accepted
Test Resulla(non-hires)
Test and Examination Materials
071 Human Resources Training Records-City Staff(Full and Part-time)and Officials Attendance Citywide 8Y CA-8 CCR 3203-(CU+1Y)
Briefing/Unit Training CA-GOV 34090-(2Y)
All documents related to general and specialized technical education and training taken Certification Records CA-GOV 53235.2b-(5Y)
by officials,paid employees and unpaid volunteers,including: Compliance Training CA-GOV 53237.2(b)-(5Y)
Individual Educator,Development
-Child Pmtective Services 8.Boundaries Tailgates
-Cybersecurity
Ethics
-Fire Extlngulsher
-Firel Aid/CPR
-Harassment
-Lifeguard Certification
Safe Food
-Specialized Equipment
-Supervisor
-Violence in the Workplace
Prepared by Karen InfaSource 12/11/2019 Page 12
City of Cupertino-Ratantlen Schedule
Record No. Business Process Record Name and Description Example Records DepartmengOffice of Retention Regulatory Citations Notes and Comments
Record
072 Human Resources Training Records-Materials,Courses,Scheduling Attendance Lists Cityvvde While Active-BY CA-GOV 945.6(a)(2)-LAW:LA2Y)
Employee Development CA-GOV 12946-(2Y)
Documentation regarding the content of courses and schedules for training offered to Presentation Materials CA-GOV 34090-(2Y)
employees,officials and volunteers. PowerPoint Slide Decks US-29 CFR 1602.14-(FR+IY)
Rosters
Sign-in Sheets
Testing/Qualifications
Training Bulletins
073 Human Resources Volunteers and Unpaid Intern,-Recruitment and Personnel Files Applications,Applicant Reference Verifications Citywide Terminafion+2Y CA-GOV 945.6(a)(2)-(LAeM;LAZY)
Medical Restrictions CA-GOV 12946-(2Y)
All documents related to unpaid volunteers and interns including but not limited to: Policy Acknowledgements CA-GOV 34090-(2Y)
Volunteer Acknowledgements US-29 CFR 1602.31(2Y)
-selection US-29 CFR 1827.3(b)(1)-(1Y)
-assignments
-termination/resignation
074 Human Resources Work Authorizations and Supporting Documentation 1-9 Documents and copies of associated documents Human Resources Terminafion+3Y CA-GOV 34090-(2Y)
Immigration Supporting Documentation US-8 CFR 274a(2)-(3Y or T+1Y,whichever
Employment eligibility verification forms collected for active employees and supporting is longer)
documentation regarding immigration status. US-20 CFR 655.760-(T+1Y)
075 Innovation Technology Application,System Development and Maintenance Business,Functional Requirements Innovation Technology Life'+2Y CA-GOV 945.6(d)(2)-(LAeM;LAZY)
Change Requests CA-GOV 34090-(2Y)
Technical documentation related to development of City technology processes, Data Element Attribute Reports
applications,GIS,Telecommunications Systems,or the Citys website,as well as Data Migration Documentation 'Life of Application.
conversions,changes or modifications to existing applications or systems. Database Dictionary/Schema
End User Documentation,User Manuals
Hardware Configurations
Mobile Services
Network Circuits Inventories
Net,.k/Equipment Control Support Documentation
Source Code
System Documentation(codabooks,record layouts,reference guides,
schematics,specifications)
System,Application Maintenance Documentation(hardware/operating
system requirements,monhwing logs,operating manuals)
07B Innovation Technology Business Continuity Records-Computing Equipment and Network Operations Business Continuity Plans City Manager Until Superseded or 2Y, CA-GOV 945.6(a)(2)-(LAeM;LAZY)
Disaster Recovery Plan Innovation Technology Whichever is Longer CA-GOV 34090-(2Y)
All documentation for dealing with preparation for and responses to emergencies, Emergency Response
disasters and/or system failures for City computing resources.
077 Innovation Technology Technology Help Dask,Access and Security Audit Trail Files Innovation Technology 3Y CA-GOV 945.B(a)(2)-(LAeM;LAZY)
Automated Logs CA-GOV 34090-(2Y)
Records and technical documentation of system access,internal controls and system Change Management Casa Files CA-CIV 1798.27-(3Y)
security.Includes data/information security breaches,notifications,and supporting Computer Usage Files
documentation. Data Breaches(notifications,reports,responses)
Data Sets,Extracted Data Summaries
Flrewall
Special Access Approvals
Trouble Tickets
Usage Reports(summary,system)
User Access Records(passwords,requests,accounts)
User Incident,Response Files
078 Innovation Technology Telecommunications Records Phone Services Records Innovation Technology 2Y CA•GOV 945.6(a)(2)-(LAeM;LAZY)
CA-GOV 34090-(2Y)
Records and information associated with the planning,management and maintenance of
the City's VOIP phone system.
079 Legal&Compliance Internal Legal Advice and Opinions Confidential Memos Citywide 2Y CA-GOV 945.8(a)(2)-(LAeM;LAZY)
Opinions CA-GOV 34090-(2Y)
Memoranda containing legal advice prepared by the City Attorneys for City departments.
(NOTE:Legal advice and opinions associated with specific projects will be retained with
the project file.)
080 Legal&Compliance Joint Powers Authority Agreements Addendums and Amendments City Clerk Permanent CA-CCP 337.1-(LA4Y)
Attachments/Exhibits CA-CCP 343-(LA4Y)
Executed agreements between the City and one or more public agencies that share a JPA CA-GOV 945.6(11)(2)-(LAeM;LAZY)
cam I on power and want to Jointly Implement programs,build facilities,or deliver CA-GOV 8548.7-(CL+3Y)
services. CA-GOV 34090-(2Y)
Prepared by Wien InIS-rca 12/11/2019 Page 13
Oty of Cupertino-wwntlon Schedule
tlOffi of
Record No. Business Process Record Name and Description Example Records Dape man on Record Retention Regulatory Citations Notes and Comments
081 Legal B Compliance Litigation and Third Parry Claims Complaints City Attorney Final Resolution+10Y CA-2 CCR 11013-(FR+2Y)
Court Orders CA-8 CCR 10102-(5Y;CL+1 Y)
Records generated for or related to any case or action before a judicial,arbitrel,or Discovery CA-22 CCR 1085-2-(CU+4Y)
administrative officer or body. Exhibits CA-CCP 315-(LA10Y)
Judgments _ CA-CCP 337.15-(LA10Y)
Pleadings CA-GOV 945.6(a)(2)-(LABM;LA2Y)
Related Correspondence CA-GOV 8546.7-(CL+3Y)
Releases CA-GOV 34090-(2Y)
Summons CA-LAB 5410-(LA5Y)
Tort Claim. CA-RTC 19704-(LABY)
CA-UIC 1132-(LA3Y)
US-26 CFR 31.6001-(CU+4Y)
US-26 CFR 301.6501-(3Y)
US-28 CFR 301.6532-1-(LAZY)
US-28 CFR 301.6532-2-(LA5Y)
US-28 USC 6531-(LABY)
US-28 USC 8532-(LA2Y)
US-29 USC 255-(LA2Y)
US-29 USC 626(d)-(LA300D)
US-42 USC 2000e-5(e)-(LAI80D)
US-42 USC 2000a-5(f)-(LAI 80D)
net Legal&Compliance Recorded Documents Abandonments City Clerk Permanent CA-GOV 34090(a)-(PR)
Annexations Planning
Records and information pertaining to those original key documents recorded on behalf Condemnations Public Works
of the City. Conveyances
Covenants
Deeds
Dead Restrictions
Easements
Liens
Lot Line Adjustments
Promissory Notes
Quitclaim.
Reconveyances
Resale Restrictions
Rights-of-Way
Vacations
083 Legal&Compliance Regulatory Reporting Census Reports(C-404) Citywide BY CA-8 CCR 14300.33(a)-(CU+5Y)
EEOC Reports CA-GOV 34090-(2Y)
Official non-financial reports Issued by City organizations to comply with regulatory Labor Reports US-29 CFR 405.9-(5Y)
requirements. OSHA 300 Reports US-29 CFR 1602.14-(FR+lY)
Strong Motion instrumentation Program(SMIP)Reports US-29 CFR 1802.30-(3Y)
US-29 CFR 1602.32-(3Y)
US-29 CFR 1904.33-(5Y)
084 Legal&Compliance Risk Management-Claims By or Against the City Accidentllncidenl Reports City Attorney Final Resoludon+5Y CA-CCP 337-(LA4Y)
Actuarial Reports Citywide CA-COP 338.1-(LA5Y)
Records detailing claims lodged by or against the City,other than for Workers Annual Audit of Open Claims CA-GOV 945.6(e)(2)-(LABM;LAZY)
Compensation. - Appraisals CA-GOV 34090-(2Y)
Claims By/Against the City
Closing Letter,
Damage Estimate Reports
Supporting Documentation
Insurance Claims,Appraisals,Reports
I—a gafigns
085 Legal B Compliance Settlement Agreements Settlement Agreements(confidential and non-confidential) City Attomey Permanent CA-CCP 337-(LA4Y)
City Clerk CA-GOV 8546.7-(CL+3Y)
Records of fine)sett—ent agreements. CA-GOV 34090-(2Y)
086 Legislative Appointments to Boards,Commissions and Committees Applications(appointed,unsuccessful) City Clerk Term of Office+2Y CA-GOV 34090-(2Y)
Ballots
Staff records related to appointments made by authorized elected officials to councils, Interview Notes
committees,boards,and commissions. Letters of Appointment
Letters of Recommendation
Maddy Act Lists
Oaths of Office
Policy Acknowledgments
Resumes
Submitted Documents
Prepared by Kahan InfoSource 12/11/2019 page 14
t
City of Cupertino-Ratentlon 5rhedu Is
Record No. Business Process Record Name and Description Example Records Departmengoffice of Record .Retention Regulatory Citations Notes and Comments
087 Legislative Audio Recordings of Public Meetings Audio Recordings Communications 30D or Until Minutes are CA-GOV 54953.5(b)-(30D)
Innovation Technology Approved,Whichever is
Audio recordings of meetings of City advisory and legislative bodies made solely for the Video Longer
purposes of transcribing meeting actions for written minutes.
088 Legislative Legislative and Advisory Councils,Boards Committees&Commissions- Agenda Packets(includes staff reports) City Clark Permanent CA-CCP 315-(LA10Y)
Legislative Affairs Agenda Summary Reports Citywide CA-CCP 321-(LASY)
Agendas CA-CCP 338-(LASY)
Records of actions taken by City boards,commissions,committees,councils, Appeals CA-CCP 338a-(LASY)
subcommittees,and task forces,whether having legislative authority of their own(i.e., Bylaws CA-CCP 337-(LA4Y)
subject to the Brown Act),or for the purposes of informing or advising the City Council or City-wide Plans/Programs Adopted CA-CCP 337.5-(LA1 OY)
other City legislative bodies.Includes Correspondence CA-GOV 945.8(a)(2)-(LA8M;LAZY)
Formation Documents(Including 501 C3 and IRS documents) CA-GOV 34090(e)-(PR)
-Administrative Hearing Committee Legislative Packets
-Audit Commifi a Meeting Minutes
-Bicycle Pedestrian Commission Minute Books&Index
-City Council Municipal Code
Design Review Committee Opinions on Pending Legislation '
-Economic Development Committee Ordinances
-Environmental Review Committee Petitions and Decisions
-Fine Ana Commission Resolutions
-Housing Commission Transcriptions of audio recordings of meetings
-Legislative Review Committee
-Library Commission
-Parks and Recreation Commission
-Planning Commission
-Public Safety Commission
-Sustainability Commission
-Technology,Information&Communication Commission
-Teen Commission
089 Legislative Oaths of Office-Elected Officials Oaths of Office City Clark While Active+2Y CA-GOV 945.8(a)(2)-(LA8M;LAZY)
Documentation of oaths of office taken by elected officials. CA-GOV 34090-(2Y)
090 Legislative Video Recordings of Public Meetings Video Recordings Communications 30D CA-GOV 54953.5(b)-(30D)
Video
Video recordings of meetings of City advisory and legislative bodies,City Council
appointed Committees,and other official public meetings subject to the Brown Act,
excluding City Council,Planning Commission,&Park and Recreation Commission
091 Parks&Recreation Kitchens at Blackberry Farms,Quinlan,and Senior Center Food Handler Cards Parks&Recreation While Ac8ve+2Y CA-GOV 945.8(a)(2)-(LA8M;LA2Y)
Health Inspections CA-GOV 34090-(2Y)
Records and Information associated with operating the kitchen facilities at Blackberry CA-HSC 113725.1-(MAINT)
Farms,Quinlan,and the Senior Center, CA-HSC 113948(f)-(MAINT)
CA-HSC 114381(a)-(MAINT)
092 Parks&Recreation Recreation Facility Rentals and Reservations 501 C3 Affirmation Letters Parks&Recreation While Active+4Y CA-CCP 337-(LA4Y)
501 C3 Fonns CA-CCP 338-(LA3Y)
Records and information documenting rental arrangements for the Clive parks and Facility Rentals(use applications-approved and unapproved,permits, CA-GOV 945.8(a)(2)-(LA8M;LA2Y)
national facilities. meervation books,insurance cartlficetes,event representative,repots, CA-GOV 8548.7-(CL+3Y)
sports field rosters) CA-GOV 34090-(2Y)
Facility Reservations
Inspection Reports(preranta/,post-rental)
Set-up Charts
Prepared by Kahen InfoSource 12/11/2019 Page 15
City of Cupertino-Retention Schedule
Record No. Raciness Process Record Name and Description Example Retards Dapartment/OBtsa of Retention Regulatory Citations Notes and Comments
Record
093 Parks&Recreation Recreation Programs and Services-City Programs Applications Parks&Recreation While Active+3Y CA-22 CCR 65523-(2Y)
Art Display Waivers CA-22 CCR 101221-(AC+3Y)
Records and Information documenting the Citys recreational programs and community Authorimtions to Give Medicine to Minors(applying sunscreen,Epf pans, CA-GOV 945.6(a)(2)-(LABM;LAZY)
services,Including: etc.) CA-GOV 34090-(2Y)
BeforelAfter School Cara Participant Records(emergency inPormation
-Aquatics cards,behavior wnta-ups)
-Golf course Bingo Item Incorporation(Senior Advisory Council)
-Athletic fields Bingo State Permit
-Blackberry Farm Check/Credit Card Refunds(not sent to Finance)
-Community gardens City-run Sports Team Rosters
-McClellan Ranch Preserve Drop-in Passes,Guest Passes
-Quinlan canter Financial Assistance Forms
-Recreallonal child care Health Insurance Counseling and Advocacy Program(HICAP)
-Senior canter Housing Appointment Sign-in Sheets
•Senior Advisory Council Membership Records
-Sport center Program/Event Evaluations
-Sports leagues Registrations Forms
-Stephens Creek corddor facility Senior Adults Legal Assistance(SALA)
-Teen center Sign-in,Sign-out Sheets
-Youth camps Volunteer Applications
Waivers and Waiver Releases(classes,programs,hips)
Withdravrel Forms
094 Parks&Recreation Senior Ceea Manalament Records Casa Files Parks&Recreation Closed-7Y CA-BPC 2919-(7Y)
Intake Forms CA-BPC 4980.49-(7Y)
Case management files for services provided to seniors(may include records subject to CA-BPC 4993-IN)
CA-CCP 335.1-(LA2Y)
HIPAA requirements). CA-CCP 340.15-(LAZY)
CA-GOV 945.6(a)(2)-(LABM;LAZY)
CA-GOV 34090-(2Y)
Prepared by kaizen InfoSourae 12/11/2019 Pace 16