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AGENDA

REGULAR MEETING OF THE LAKEPORT CITY COUNCIL


(ALSO MEETS AS THE CITY OF LAKEPORT MUNICIPAL SEWER DISTRICT, THE LAKEPORT INDUSTRIAL
DEVELOPMENT AUTHORITY, THE MUNICIPAL FINANCING AGENCY OF LAKEPORT and THE SUCCESOR
AGENCY TO THE FORMER LAKEPORT REDEVELOPMENT AGENCY)
Tuesday, January 15, 2019
City Council Chambers, 225 Park Street, Lakeport, California 95453
Any person may speak for three (3) minutes on any agenda item; however, total public input per item is not to exceed 15 minutes, extended at the discretion of the
City Council. This rule does not apply to public hearings. Non-timed items may be taken up at any unspecified time.
CLOSED SESSION: 5:15 p.m.
1. Conference with Legal Counsel; Anticipated Litigation (Gov. Code §
54956.9(d)(2) & (d)(3)):
A point has been reached where, in the opinion of the City Council on
the advice of its legal counsel, based on the below-described existing
facts and circumstances, there is a significant exposure to litigation
against the City:
Facts and circumstances that might result in litigation but which the City
believes are not yet known to potential plaintiff or plaintiffs. (Gov. Code
§ 54956.9(e)(1)).
I. CALL TO ORDER & ROLL CALL: 6:00 p.m.
II. PLEDGE OF ALLEGIANCE:
III. ACCEPTANCE OF AGENDA/ URGENCY ITEMS: Move to accept agenda as posted, or move to add or delete items.
To add item, Council is required to make a majority decision that an urgency
exists (as defined in the Brown Act) and a 2/3rds determination that the need to
take action arose subsequent to the Agenda being posted.
IV. CONSENT AGENDA: The following Consent Agenda items are expected to be routine and noncontroversial. They will be acted upon by
the Council at one time without any discussion. Any Council Member may request that any item be removed from
the Consent Agenda for discussion under the regular Agenda. Removed items will be considered following the
Consent Calendar portion of this agenda.

A. Ordinances: Waive reading except by title, of any ordinances under consideration at this
meeting for either introduction or passage per Government Code Section 36934.
B. Minutes: Approve minutes of the City Council regular meeting of December 18, 2018.
C. Renew Emergency Resolution: Confirm the continuing existence of a local emergency in the City of Lakeport.

D. Property Transfer: 902 Bevins Court, Approve the transfer of 902 Bevins Court from the City of Lakeport to the
APN 025-462-11: Successor Agency of the Former Lakeport Redevelopment Agency.

E. Records Retention Schedule (v6.0): Adopt the proposed resolution adopting a records retention schedule, and
authorizing destruction of certain City records and rescinding Resolution No.
2668 (2018).

F. Contract: Loan Underwriting Authorize the City Manager to execute the professional services agreement with
CDS, for federal grant loan underwriting services.

G. Contract: Grant Administration Authorize the City Manager to execute a professional services agreement with
Adams Ashby Group LLC, for federal grant administration.

V. PUBLIC PRESENTATIONS/REQUESTS:
A. Public Input: Any person may speak for 3 minutes about any subject within the authority of the City Council, provided that the
subject is not already on tonight’s agenda. Persons wishing to address the City Council are required to complete a
Citizen’s Input form and submit it to the City Clerk prior to the meeting being called to order. While not required,
please state your name and address for the record. NOTE: Per Government Code §54954.3(a), the City Council
cannot take action or express a consensus of approval or disapproval on any public comments regarding matters
which do not appear on the printed agenda.

B. Presentation: Presentation of awards to the winners of the Holiday Decorating Contest


sponsored by the Lakeport Main Street Association (LMSA).
City Council Agenda of January 15, 2019 Page 2

VI. PUBLIC HEARING:


A. CDBG Grant Application: 1. Hold a public hearing, and
2. Adopt a resolution approving an application for funding and the
execution of a grant agreement and any amendments thereto for the
2018 funding year of the State CDBG program.
VII. COUNCIL BUSINESS:
A. City Clerk
1. Appointment to the Lakeport Appoint Alan Flora to the Lakeport Fire Protection District Board to a term
Fire Protection District Board: effective January 1, 2019, and expiring December 31, 2022.

2. Appointments of Liaisons to 1. Mayor Barnes to appoint Council Members as liaisons to various Boards,
Community Boards & Committees, and Commissions; and
Committees: 2. Council to adopt a resolution appointing representatives to represent
and vote on behalf of the City at the League of California Cities,
Redwood Empire Division Business meetings and represent the City and
vote at Division Legislative Committee meetings.

B. Finance Director

1. 2018-19 Recognized Sitting as the Successor Agency to the Former Redevelopment Agency:
Obligations Payments:
1. Approve ROPS 19-20 for the period of July 1, 2019 through June 30,
2020 for presentation and adoption by the Countywide Oversight
Board.

C. City Manager

1. Property Donation: Approve a resolution accepting the property at 500 N. Main Street (APN: 025-
381-080-000), also known as the Bank of America Branch Building, and to
authorize the City Manager to do any and all things which may be necessary or
advisable to effectuate this Resolution.

1. Mural: Approve a mural, based on artwork submitted by Ben Van Steenburgh, for the
south facing wall of the Lakeport Fire Station #50.

VIII. CITY COUNCIL COMMUNICATIONS:


A. Miscellaneous Reports, if any:
IX. ADJOURNMENT:
Materials related to an item on this Agenda submitted to the Council after distribution of the agenda packet are available for public inspection in the City Clerk’s Office at 225
Park Street, Lakeport, California, during normal business hours. Such documents are also available on the City of Lakeport’s website, www.cityoflakeport.com, subject to
staff’s ability to post the documents before the meeting.
The City of Lakeport, in complying with the Americans with Disabilities Act (ADA), requests individuals who require special accommodations to access, attend and/or
participate in the City meeting due to disability, to please contact the City Clerk’s Office, (707) 263-5615, 72 hours prior to the scheduled meeting to ensure reasonable
accommodations are provided.

_______________________________________
Hilary Britton, Deputy City Clerk
MINUTES
REGULAR MEETING OF THE LAKEPORT CITY COUNCIL
(ALSO MEETS AS THE CITY OF LAKEPORT MUNICIPAL SEWER DISTRICT, THE LAKEPORT INDUSTRIAL DEVELOPMENT
AUTHORITY, THE MUNICIPAL FINANCING AGENCY OF LAKEPORT and THE SUCCESSOR AGENCY TO THE FORMER LAKEPORT
REDEVELOPMENT AGENCY)
Tuesday, December 18, 2018
I. CALL TO ORDER & ROLL CALL: Mayor Turner announced that the Lakeport Main Street Association would not
present awards to the winners of the Holiday Decorating Contest. The winners
will be announced at next meeting. Mayor Turner called the meeting to order at
6:00 p.m., with Council Member Barnes, Council Member Mattina, Council
Member Parlet, Council Member Spurr and Mayor Turner present.

II. PLEDGE OF ALLEGIANCE: The Pledge of Allegiance was led by Nick Walker.
III. ACCEPTANCE OF AGENDA/ URGENCY ITEMS: A motion was made by Council Member Barnes, seconded by Council Member
Parlet, and unanimously carried by voice vote, to accept agenda (minus item VI.B
the presentation of awards to the winners of the Holiday Decorating Contest
sponsored by the Lakeport Main Street Association.)
There were no urgency items.
IV. CONSENT AGENDA: The following Consent Agenda items are expected to be routine and noncontroversial. They will be acted upon by
the Council at one time without any discussion. Any Council Member may request that any item be removed from
the Consent Agenda for discussion under the regular Agenda. Removed items will be considered following the
Consent Calendar portion of this agenda.

A. Ordinances: Waive reading except by title, of any ordinances under consideration at this
meeting for either introduction or passage per Government Code Section 36934.
B. Minutes: Approve minutes of the City Council December 3, 2018 Special Joint Meeting and
the regular meeting of December 4, 2018.
C. Warrants: Approve the warrant register of December 7, 2018
D. Renew Emergency Resolution: Confirm the continuing existence of a local emergency in the City of Lakeport.

E. Maddy Act: Direct the City Clerk to prepare the 2019 Maddy Act Appointments List and post
at City Hall and the Lakeport Public Library.

F. Meeting Cancellation: Authorize the cancellation of the regular meeting of January 1, 2019.

G. Notice of Completion: Lakeshore ER Adopt the resolution accepting construction of the Lakeshore Boulevard
Project: Roadway Repair Project by Granite Construction Company and authorize the
filing of the Notice of Completion.
H. Dispatch Contract: Authorize the City of Lakeport to contract with the County of Lake for Dispatch
Services.

Vote on Consent Agenda: A motion was made by Council Member Mattina, seconded by Council Member
Spurr, and unanimously carried by voice vote, to approve Consent Agenda items
A-H.
V. COUNCIL REORGANIZATION
A. Oaths of Office: City Clerk Buendia Administered oaths of office to Council Members Turner and
Mattina for their 2018-2022 terms.

B. Council Reorganization: City Clerk Buendia requested nominations for Mayor.


A nomination was made by Council Member Spurr. The nomination was
unanimously confirmed by voice vote to appoint Tim Barnes as Mayor for a
period of one year.
City Clerk Buendia requested nominations for Mayor Pro Tem.
City Council Minutes of December 18, 2018 Page 2

A nomination was made by Mayor Barnes. The nomination was unanimously


confirmed by voice vote to appoint George Spurr as Mayor Pro Term for a period
of one year.
VI. PUBLIC PRESENTATIONS/REQUESTS:
A. Public Input: Suzanne Russell spoke about commission and committee appointments stating
the process is unfair.

Kurt Ackermann spoke about nuisance vehicles parked on Page Drive.

Ann Blue stated that she was unhappy with the process for commission and
committee appointments.

B. Presentation: The presentation of awards to the winners of the Holiday Decorating Contest was
postponed to a future meeting.

C. New Employee Introductions: Public Works Director Grider introduced new Public Works employees Hector
Heredia and Codie Lairson.
Chief Rasmussen introduced new employee Sergeant Michael Davis.
VII. COUNCIL BUSINESS:
A. City Clerk:
1. Appointments to the Lakeport City Clerk Kelly Buendia presented the Staff Report.
Economic Development
Supervisor Tina Scott asked a question of the Council.
Advisory Committee (LEDAC):
A motion was made by Council Member Parlet, seconded by Council Member
Mattina and unanimously carried by voice vote, to appoint four (4) members,
Denise Combs, William Eaton, Terre Logsdon and Wilda Shock, to the Lakeport
Economic Development Committee effective January 1, 2019, with terms
expiring December 31, 2020.

2. Appointments to the Measure City Clerk Kelly Buendia presented the Staff Report.
Z Advisory Committee (MZAC)
A motion was made by Council Member Spurr seconded by Council Member
Turner and unanimously carried by voice vote, to appoint two (2) members,
Susan King and Verna Schaffer to the Measure Z Advisory Committee (MZAC)
effective January 1, 2019, with terms expiring December 31, 2022.

3. Appointments to the Lakeport City Clerk Kelly Buendia presented the Staff Report.
Planning Commission:
Michael Froio expressed dissatisfaction with the Ad Hoc Committee’s
recommendation and read a statement.
Suzanne Russell was opposed to selecting new members over existing members
of the Planning Commission.
Suzanne Lyons asked whether candidates had attended any Planning
Commission meetings.
Yvonne Jones spoke about the application process and in favor of Michael Froio.
Tina Scott spoke in favor of Michael Froio.
Michael Green spoke in favor of the process but supported keeping Michael
Froio.
A motion was made by Council Member Turner, seconded by Council Member
Parlet, and unanimously carried by voice vote, to appoint three (3) members,
Michael Froio, Jerri Driver and Mark Mitchell to the Planning Commission
effective January 1, 2019, with terms expiring December 31, 2022.

4. Appointments to the Traffic City Clerk Kelly Buendia presented the Staff Report.
Safety Advisory Committee:
A motion was made by Council Member Spurr, seconded by Council Member
Parlet, and unanimously carried by voice vote, to appoint (3) members, Ashley
City Council Minutes of December 18, 2018 Page 3

Barrett, David Brown, and Vicki Cole to the Traffic Safety Advisory Committee
effective January 1, 2019 with terms expiring December 31, 2022.

5. Appointments to the Parks and City Clerk Kelly Buendia presented Staff Report.
Recreation Commission:
Suzanne Lyons advocated for her seat on the Parks and Recreation Commission.
Michael Froio spoke on behalf of Suzanne Lyons.
Suzanne Russell spoke on behalf of Suzanne Lyons.
Ann Blue spoke about her participation on the Park and Recreation Commission.
Wayne Yahnke spoke about his contributions to the community.
Bill Graham spoke about the walking path and in favor of Suzanne Lyons.
A motion was made by Council Member Turner, seconded by Council Member
Mattina to appoint Wayne Yahnke and Lynn Andre. The motion failed.
A motion was made by Council Member Turner, seconded by Council Member
Mattina and unanimously carried by voice vote, to appoint two (2) members,
Wayne Yahnke and Suzanne Lyons to the Parks and Recreation Commission
effective January 1, 2019, with terms expiring December 31, 2020.
VIII. CITY COUNCIL COMMUNICATIONS:
A. Miscellaneous Reports, if any: City Manager Silveira gave an update on Wi-Fi, City Hall Holiday schedule, and
wished everyone a Merry Christmas and happy New Year.
City Attorney Ruderman wished everyone a Merry Christmas and happy New
Year.
Finance Director Nick Walker wished everyone a Merry Christmas and happy
New Year.
Public Works Director Grider wished everyone a Merry Christmas and happy New
Year.
Chief of Police Rasmussen reviewed an officer exposure incident.
Community Development Director Ingram wished everyone a Merry Christmas
and happy New Year.
Mayor Barnes thanked the Council for the appointment as Mayor. He stated that
he was glad to hear the officer was doing well.
Council Member Parlet commended Kurt Ackermann for coming in, discussed
code enforcement, and wished everyone Merry Christmas and happy New Year.
Council Member Spurr wished everyone happy and safe Christmas.
Council Member Turner commended Mayor Barnes on his first meeting as mayor
and wished everyone happy holidays.
Council Member Mattina congratulated the new Mayor and Mayor Pro Tem.
IX. ADJOURNMENT: Mayor Barnes adjourned the meeting at 7:47 p.m.

_______________________________________
Tim Barnes, Mayor
Attest:

_______________________________________
Kelly Buendia, City Clerk
ATTACHMENT 1

CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Continuation of Local Emergency Declaration MEETING DATE: 01/15/2019

SUBMITTED BY: Margaret Silveira, City Manager

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


The City Council is being asked to review the need to continue the proclamation declaring a Local State
of Emergency due to conditions of extreme peril as a result of the River Fire, re-named along with the
Ranch Fire, the Mendocino Complex fire and provide direction.

BACKGROUND/DISCUSSION:
On July 28, 2018, the Director of Emergency Services for the City of Lakeport declared a local State of
Emergency in connection with the conditions of extreme peril to the safety of persons and property
within the city as a result of the River Fire, re-named the Mendocino Complex fire in combination with
the Ranch Fire. In accordance with the Emergency Services Act Section 8630(b) and Lakeport Municipal
Code section 2.28.130, the City Council ratified the declared emergency on July 30, 2018 under
Resolution 2679 (2018). Under Lakeport Municipal Code section 2.28.150, the City Council shall review,
at least every 14 days, the need for continuing the emergency declaration until the local emergency is
terminated.
The City Council, at a Special Meeting on August 13, 2018, continued the emergency declaration via
Resolution 2680 (2018). The City Council subsequently continued the emergency declaration on August
21, 2018, September 18, 2018, October 2, 2018, October 16, 2018, November 6, 2018, November 20,
2018, December 4, 2018, and December 18, 2018. Since a need still exists for the declaration, Council is
asked to review and continue the declaration. Should the need continue, staff will return this item at
the next regularly scheduled City Council meeting.

OPTIONS:

Approve the need for the continuation of the proclamation declaring a Local State of Emergency due to
Mendocino Complex fire; or proclaim the termination of the Local State of Emergency

FISCAL IMPACT:
None $ Budgeted Item? Yes No
Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $
Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other:
Meeting Date: 01/15/2019 Page 1 Agenda Item #IV.D.
ATTACHMENT 1
Comments:
SUGGESTED MOTIONS: Move to confirm the continuing existence of a local emergency in the City of
Lakeport.
Attachments: 1. Resolution No. 2679 (2018)

Meeting Date: 01/15/2019 Page 2 Agenda Item #IV.D.


ATTACHMENT 1
IV.D - Attachment11
ATTACHMENT
RECORDING REQUESTED )
BY AND WHEN RECORDED )
RETURN TO: )
)
)
City of Lakeport )
225 Park Street )
Lakeport, CA 95453 )
)
Attn: Hilary Britton )
)
______________________________________________________________________________________
SPACE ABOVE THIS LINE FOR RECORDER'S USE ONLY
025-462-11
APN: __________________

0 - Property is located in the City of Lakeport


Documentary Transfer Tax is $___________________
___ Computed on full value of property conveyed or,
___ Computed on full value less liens and
Encumbrances remaining at time of sale
____________________________________________
Signature of Declarant or Agent Determining Tax.
City of Lakeport

QUITCLAIM DEED

For a valuable consideration, the receipt and legal sufficiency of which is hereby
acknowledged, City Of Lakeport (“Grantor”),
does hereby remise, release and forever quitclaim to Successor Agency to the Former Lakeport Redevelopment Agency
(“Grantee”), its successors and assigns, any and all right, title and
interest in and to the real property legally described in Exhibit “A” attached hereto and incorporated
herein by this reference (the “Property”), including without limitation all easements and
improvements therein.

City of Lakeport

________________________________
Timothy Barnes, Mayor
VERIFICATION OF CONTENT

The undersigned, being duly sworn says that he is Mayor of the aforesaid interest in the
property described in the foregoing notice, that he has read the same, and knows the
contents thereof, and that the facts stated therein are true.

_____________________________
Date Signed Timothy Barnes, Mayor
City of Lakeport

A notary public or other officer completing this certificate verifies only the
identity of the individual who signed the document to which this certificate is attached,
and not the truthfulness, accuracy, or validity of that document.

State of California )
County of Lake )

On , 20___, before me, ,


personally appeared __________________________________________ who proved to me on
the basis of satisfactory evidence to be the person whose name is subscribed to the within
instrument and acknowledged to me that he executed the same in his authorized capacities,
and that by his signature on the instrument the person, or the entity upon behalf of which the
person acted, executed the instrument.

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing
paragraph is true and correct.

WITNESS my hand and official seal.

Date

Notary Public
(Seal)
EXHIBIT “A”

LEGAL DESCRIPTION OF THE PROPERTY

Lot 4, as shown on that certain map entitled "Baker's Subdivision", filed in the office of the
County Recorder of said Lake County on February 26, 1987 in Book 14 of Subdivision Maps at
pages 35 through 38, inclusive.
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Agency
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Records Retention Schedule Update: Version 6.0 MEETING DATE: 01/15/2019

SUBMITTED BY: Kelly Buendia, Administrative Services Director

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


The City Council is being asked to adopt a resolution modifying its current Records Retention Schedule.

BACKGROUND/DISCUSSION:
The Administrative Services Director/City Clerk administers the City’s Records Management Program, including
its records retention policies. A consultant, Gladwell Governmental Services, Inc., was brought in as an expert in
local government records to assist with the Records Management Program.
The purpose of the program is to apply efficient and economical methods to the creation, utilization,
maintenance, retention, preservation and disposal of all records managed by the City. The retention schedule is
not intended to be a static document, but instead, should be updated periodically to reflect current laws and
best practices.
The City adopted a retention schedule created by Gladwell Governmental Services for the records retention
policy in 2015, and has subsequently amended the retention schedule annually to reflect changes in statutes
that affect recommended retention periods.
Unfortunately, the Department was not able to complete the annual FY 2017-18 update in 2018, so the updates
referenced in this resolution reflect the recommendations that Ms. Gladwell made for 2018. Staff will submit
the FY 2018-19 recommended changes for Council approval at a later date.
Ms. Gladwell recommended the City modify the retention period for several records series in order to be in
alignment with current statutes (as of 2018), best practices of other cities, and in full compliance with law.
These changes are incorporated as Exhibit A of the proposed resolution, and highlighted in strike-through
format as Attachment 1 to this staff report.
Notable among the proposed changes are as follows:
1. City Wide: Changes to references.
2. City Attorney: Changes to references.
3. City Clerk: Addition of CC-039 - Enterprise System Catalogue (posted on line)
4. Human Resources: Changes to references.
5. Building Department: Change the retention period of BL-004 - Building Plans and Construction
Documents - Finaled – Single Family Residential - SFR and Appurtenances from Permanent to 180 days.
6. Engineering: Add “Pavement Management” to ENG-028
7. Finance: Remove “Issued” from FIN-008
8. Police: Add PD-070 - Citations - Payment Plans for outstanding parking citations received by indigent
persons; Add “Cannabis” to PD-037, 041, 042.
Meeting Date: 01/15/2019 Page 1 Agenda Item #IV.F.
9. Parks and Building Maintenance: Changes to references.
10. Pool: Changes to references.
11. Sewer: Changes to references
12. Streets: Changes to references.
13. Underground Utilities: Changes to references
14. Water: Changes to references
The adoption of this revised retention schedule will result in efficiency gains and cost savings.

OPTIONS:
Adopt revised retention schedule or provide direction to staff.

FISCAL IMPACT:
None $ Budgeted Item? Yes No
Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $
Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other:
Comments: The City will realize significant savings both in labor and storage expenses; including the avoidance
of future storage and/or construction costs.

SUGGESTED MOTIONS:
Move to adopt the proposed resolution adopting a records retention schedule, and authorizing destruction of
certain City records and rescinding Resolution No. 2668 (2018).

Attachments: 1. Proposed Changes to Retention Schedule in Strike-Through Format


2. Proposed Resolution

Meeting Date: 01/15/2019 Page 2 Agenda Item #IV.F.


ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Accident, Incident, Injury Copies - Copies -
AS / Human reports: EMPLOYEES, with When No When No Mag, Copies retained for reference;
CW-001
Resources associated MSDS, if a Longer Longer Ppr GC §34090.7
chemical was involved Required Required
Copies - Copies -
AS / Human Accident, Incident, Injury When No When No Mag, Copies retained for reference;
CW-002
Resources reports: PUBLIC Longer Longer Ppr GC §34090.7
Required Required
Accounts Payable, Invoices,
Petty Cash, Travel
Copies - Copies -
Reimbursement, Warrant All originals go to Finance
When No When No Yes: Before Mag,
Finance CW-003 Requests, etc. (these are copies); GC
Longer Longer Payment Ppr
§34090.7
Required Required
ALL backup is forwarded to
Finance
Brown Act challenges must be
filed within 30 or 90 days of
Affidavits of Publications /
Mag, action; Statute of Limitations
Public Hearing Notices / Legal
Lead Dept. CW-004 2 years 2 years Mfr, OD, on Municipal Government
Advertising / Affidavits of
Ppr actions is 3 - 6 months; CCP
Posting
§§337 et seq, 349.4; GC
§§34090, 54960.1(c)(1)
Agenda Packets / Staff Copies - Copies -
Mag,
Reports: City Council / When No When No Yes: After
AS / City Clerk CW-005 Mfr, OD, S GC §34090.7
Redevelopment / Successor Longer Longer QC &OD
Ppr
Agency / Oversight Board Required Required
Agreements & Contracts ALL
Copies - Copies - All agreements that are
Mag, Yes: Upon
When No When No approved by the City Council
AS / City Clerk CW-006 (Specifications / Scope of Mfr, OD, S Completio
Longer Longer are sent to the City Clerk; GC
Work, Notices of Completion, Ppr n
Required Required §34090.7
etc.)

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Covers E&O Statute of
Limitations (insurance
Agreements & Contracts: certificates are filed with
ADMINISTRATIVE FILES agreement); Published Audit
Standards=4-7 years; Statute
Mag, Yes: Upon
(Correspondence, Project Completion + Yes: Before of Limitations: Contracts &
Lead Dept. CW-007 Completion 10 years Mfr, OD, S/I Completio
Administration, Project 10 years Completion Spec's=4 years, Wrongful
Ppr n
Schedules, Certified Payrolls, Death=comp. + 5 years,
Insurance Certificates, Developers=comp. + 10 years;
Invoices, Logs, RFP, etc.) Statewide guidelines propose
termination + 5 years; CCP
§337 et. seq., GC §34090

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Some grant funding agencies
require audits; Statute of
Limitations for Errors &
Omissions is 10 years;
Published Audit Standards=4-7
years; Statute of Limitations:
Agreements & Contracts:
10 years or Contracts & Spec's=4 years,
ADMINISTRATIVE FILES Completion +
After Wrongful Death=comp. + 5
(with Grant Funding) 10 years or
Funding years, Developers=comp. + 10
After Funding Mag, Yes: Upon
Agency Yes: Before years; Statewide guidelines
Lead Dept. CW-008 (Correspondence, Project Completion Agency Audit, Mfr, OD, S/I Completio
Audit, if Completion propose termination + 5 years;
Administration, Project if required, Ppr n
required, CCP §337 et. seq., 2 CFR
Schedules, Certified Payrolls, whichever is
whichever is 200.333; 21 CFR 1403.36 &
Insurance Certificates, longer
longer 1403.42(b); 24 CFR 85.42,
Invoices, Logs, RFP, etc.)
91.105(h), 92.505, &
570.502(b), 28 CFR 66.42; 29
CFR 97.42; 40 CFR 31.42; 44
CFR 13.42; 45 CFR 92.42;
OMB Circular A-133; GC
§34090
Agreements & Contracts:
UNSUCCESSFUL BIDS,
The RFP / RFQ and the
UNSUCCESSFUL
successful proposal becomes
PROPOSALS or RESPONSES Mag,
Lead Dept. CW-009 2 years 2 years part of the agreement or
to RFPs (Request for Ppr
contract (City Clerk is OFR);
Proposals) and/or RFQs GC §34090
(Request for Qualifications)
that don't result in a contract

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Copies - Copies -
Audits / Audit Reports / CAFR -
When No When No Mag,
Finance CW-010 Comprehensive Annual Copies; GC §34090.7
Longer Longer Ppr
Financial Reports
Required Required
Bids: See Agreements &
CW-011
Contracts
When No When No
Boards and Committees: Longer Longer City preference; State law only
Tape
Staffing Dept. CW-012 AUDIO RECORDINGS of Required - Required - requires for 30 days; GC
(Mag)
Meetings / Audio Tapes Minimum 2 Minimum 2 §54953.5(b)
years years
Boards, Commissions, &
Committees: City Council
All recommendations are
Subcommittees Mag,
Staffing Dept. CW-013 2 years 2 years presented to the City Council;
Ppr
GC §34090 et seq.
(Composed solely of less than
a quorum of the City Council)
Boards, Commissions, &
Committees: External
When No When No
Organizations Mag,
CW-014 Longer Longer Non-records
Ppr
Required Required
(e.g. County Board of
Supervisors)
Boards, Commissions, &
Committees: Residents When No When No
Brown Act challenges must be
Advisory Bodies Formed by Longer Longer
Mag, filed within 30 or 90 days of
Staffing Dept. CW-015 CITY COUNCIL Required - Required -
Ppr action; GC §§34090,
Minimum 2 Minimum 2
54960.1(c)(1)
AGENDAS, AGENDA years years
PACKETS

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Boards, Commissions, &
Committees: Residents Notes taken to facilitate the
Advisory Bodies Formed by Mag, writing of the minutes can be
Staffing Dept. CW-016 CITY COUNCIL P P Yes Mfr, OD, S No destroyed after minutes have
Ppr been adopted; GC §34090 et
MINUTES, RESOLUTIONS & seq.
BYLAWS
Brochures: See Reference
CW-017
Manuals
Copies - Copies -
Mag, Final must be filed with County
When No When No Yes: Current Yes: After
Finance CW-018 Budgets - Finals Mfr, OD, S/I Auditor; GC §34090.7, 40802,
Longer Longer Fiscal Year 5 years
Ppr 53901
Required Required
Cash Receipts Detail / Backup
Lead Dept. & Mag, City preference (not all detail is
CW-019 / Accounts Receivable Detail / 2 years 2 years
Finance Ppr sent to Finance); GC §34090
Refund Detail
When No When No
Longer Longer Mag,
Department Preference; GC
Lead Dept. CW-020 City Attorney Opinions Required - Required - Yes Mfr, OD, S
§34090
Minimum 2 Minimum 2 Ppr
years years
Copies - Copies -
When No When No
AS / City Clerk Mag,
Longer Longer Yes: Before Yes: After
AND Finance / CW-021 Claims Mfr, OD, S/I GC §§34090.7, 34090.6
Required Required Settlement Settlement
Risk Manage. Ppr
(Upon (Upon
Settlement) Settlement)

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Committees Internal -
Attended by employees: All
Records
Mag,
Lead Dept. CW-022 2 years 2 years GC §34090
Ppr
(e.g. Records Management
Committee, In-House Task
Forces, etc.)
City preference; Statute of
When No When No Limitations for personal
Lead Complaints / Concerns from Longer Longer property, fraud, etc. is 3 years;
Mag,
(Responding) CW-023 Citizens Computer Tracking Required - Required - Claims must be filed in 6
Ppr
Dept. Software or Correspondence Minimum 2 Minimum 2 months; CCP §§338 et seq.,
years years 340 et seq., 342, GC §§945.6,
GC §34090
CW-024 Contracts: See Agreements
Copies - Copies -
Copies or duplicates of any When No When No
CW-025 Mag Ppr GC §34090.7
record Longer Longer
Required Required
Correspondence - ROUTINE
Dept. that (Content relates in a
Authors substantive way to the
Document conduct of the public's
business) Mag,
or CW-026 2 years 2 years GC §34090
Ppr
Receives the
City's Original (e.g. Administrative, Chronological,
General Files, Letters,
Document
Memorandums, Reading File,
Working Files, etc.)

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Correspondence - Electronic and paper records
TRANSITORY / are filed and retained based
PRELIMINARY DRAFTS, upon their content. E-mails,
Interagency and Intraagency electronic records, or social
Memoranda not retained in the media postings where either
ordinary course of business the Content relates in a
substantive way to the
Content NOT Substantive, or conduct of the public's
NOT made or retained for the business, or ARE made or
Dept. that purpose of preserving the retained for the purpose of
Authors informational content for preserving the informational
Document future reference When No When No content for future reference
Mag, are saved outside the e-mail
or CW-027 Longer Longer
(e.g. calendars, checklists, e-mail Ppr system by printing them out
Receives the Required Required
or social media posting NOT made and placing them in a file
City's Original
or retained for the purpose of folder, or saving them
Document
preserving the informational electronically; If not mentioned
content for future reference, here, consult the City Attorney
invitations, instant messaging,
to determine if a record is
inventories, logs, mailing lists,
considered transitory /
meeting room registrations, supply
inventories, telephone messages, preliminary drafts. GC §34090,
text messages, transmittal letters, GC §6252; 64 Ops. Cal. Atty.
thank yous, requests from other Gen. 317 (1981)); City of San
cities, undeliverable envelopes, Jose v. Superior Court (Smith).
visitors logs, voice mails, S218066. Supreme Court of
webpages, etc.) California, 2017
Copies - Copies -
Deeds, Easements, Final When No When No Mag, Send all originals to the City
AS / City Clerk CW-028
Orders of Condemnations (All) Longer Longer Ppr Clerk; GC §34090.7
Required Required

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
As long as the drafts and notes
are not retained in the "Regular
When No When No
Drafts & Notes: Drafts that are Mag, Course of Business". Consult
Lead Dept. CW-029 Longer Longer
revised (retain final version) Ppr the City Attorney to determine
Required Required
if a record is considered a
draft. GC §§34090, 6252,
Facility Use Applications / Mag,
Lead Dept. CW-030 2 years 2 years GC §34090
Facility Use Permits Ppr
The Lead Department should
print out historical documents
(or save source data) prior to
GIS Database / Data / Layers When No When No replacing the data, if they
Lead Dept. CW-031 (both City-wide and Longer Longer Yes Mag require the data or output for
Specialized) Required Required historical purposes;
Department Preference
(Preliminary documents); GC
§34090 et seq.
Grants (UNSUCCESSFUL Mag,
Lead Dept. CW-032 2 years 2 years GC §34090
Applications, Correspondence) Ppr

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Meets auditing standards;
Grants / CDBG / Reimbursable Grants covered by a
Claims / FEMA Claims Consolidated Action Plan are
(SUCCESSFUL Reports, other required for 5 years; Uniform
records required to pass the Admin. Requirements for
funding agency's audit, if Grants to Local Governments
After
required) is 3 years from expenditure
Funding After Funding
report or final payment of
Agency Agency Audit,
Applications (successful), grant Mag, grantee or subgrantee;
Lead Dept. CW-033 agreement, program rules, 2 years Audit, if if required -
Ppr statewide guidelines propose 4
regulations & procedures, reports Required - Minimum 5
years; 2 CFR 200.333; 21 CFR
to grant funding agencies, Minimum 5 years
1403.36 & 1403.42(b); 24 CFR
correspondence, audit records, years
85.42, 91.105(h), 92.505,
completion records
570.490, & 570.502(a&b), 28
Excludes State Prop 1B (2006 CFR 66.42; 29 CFR 97.42; 40
Transportation Projects), which the CFR 31.42; 44 CFR 13.42; 45
State requires for 35 years CFR 92.42; OMB Circular A-
110 & A-133; GC §34090
Send all grievances to Human
Resources; All State and
Copies - Copies -
Personnel / AS Federal laws require retention
Grievances and Informal When No When No Yes: Before Mag,
/ Human CW-034 until final disposition of formal
Complaints (Employees) Longer Longer Disposition Ppr
Resources complaint; State requires 2
Required Required
years after action is taken; GC
§§12946, 34090

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Longest Statute of
Limitations is 10 years;
Insurance Certificates -
Mag, Conforms with Agreement
Miscellaneous (from outside Yes:
Mfr, Yes - After Retention (usually filed with
Lead Dept. CW-035 companies, that cannot be 11 years 11 years Before S
OD, QC & OD agreement); statewide
matched with a contract or Completion
Ppr guidelines propose
agreement)
permanent; CCP §337 et
seq.; GC §34090
Copies - Copies -
When No When No
Mag, Risk Management
Lawsuits, Litigation, Pending Longer Longer Yes: Before Yes: After
City Attorney CW-036 Mfr, OD, S/I administrates claim; GC
Litigation Required Required Settlement Settlement
Ppr §§34090.7, 34090.6
(Upon (Upon
Settlement) Settlement)
Originals are signed by the
Mag,
Lead Dept. CW-037 Leave Slips 5 years 5 years employee, and not forwarded
Ppr
to Finance; GC §34090
Previous MSDS may be
obtained from a service; MSDS
may be destroyed as long as
a record of the chemical /
Material Safety Data Sheet
substance / agent, where &
(MSDS) / Safety Data Sheet
While Mag, when it was used is
(SDS) Chemical Use Report Yes - After
Lead Dept. CW-038 Chemical In 30 years 30 years Mfr, OD, S
Form (or records of the QC & OD maintained for 30 years;
Use Ppr Applies to qualified employers;
chemical / substance / agent,
where & when it was used) Claims can be made for 30
years for toxic substance
exposures; 8 CCR
3204(d)(1)(B)(2 and 3), 29
CFR 1910.1020(d)(1)(i), GC

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Copies - Copies -
Mag, Originals maintained by City
When No When No
AS / City Clerk CW-039 Minutes - City Council Yes (all) Mfr, OD, S No Clerk Permanently; GC
Longer Longer
Ppr §34090.7
Required Required
Copies - Copies - Return any whole unused
Mag,
Municipal Code (these are When No When No Yes: Current codes to the City Clerk;
AS / City Clerk CW-040 Mfr, OD, I No
copies) Longer Longer Original Originals maintained by City
Ppr
Required Required Clerk Permanently; GC §34090
When No When No Non-records - may be obtained
Lead Dept. CW-041 Newspaper Clippings Longer Longer Ppr from the newspaper company;
Required Required GC §34090
Statute of Limitations on
Notices: Public Hearing
Mag, Municipal Government actions
Staffing Dept. CW-042 Notices and Proofs of 2 years 2 years
Ppr is 3 - 6 months; CCP§337 et
Publications
seq; GC §34090
Copies - Copies -
Mag,
When No When No Originals maintained by City
AS / City Clerk CW-043 Ordinances - City Council Yes (all) Mfr, OD, S No
Longer Longer Clerk Permanently; GC §34090
Ppr
Required Required
Originals are signed by the
Overtime Sheets / Overtime Mag,
Lead Dept. CW-044 5 years 5 years employee, and not forwarded
Cards Ppr
to Finance; GC §34090
Send to Send to
Ensure records kept in
Human Human
Department files comply with
AS / Human Resources Resources Before Mag,
CW-045 Personnel Files City policy (all originals are
Resources Upon Upon Separation Ppr
sent to Human Resources); GC
Separation or Separation or
§34090.7
Transfer Transfer

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Preliminary Drafts; Notes
After After
maintained in a separate folder
Incorporation Incorporation Before
Personnel Files (Supervisor's Mag, to be incorporated into
Lead Dept. CW-046 into into Annual
Notes) Ppr performance evaluation, or to
Performance Performance Evaluation
document progressive
Evaluation Evaluation
discipline; GC §34090 et seq.
Mag,
Lead Dept. CW-047 Personnel Work Schedules 2 years 2 years GC §34090
Ppr
Prop. 218 Fees & Charges:
Lead Dept. CW-048 Ballots and/or protest letters, 2 years 2 years Ppr GC §53753(e)(2)
Mailing List
Transitory records not retained
Prop. 218 Fees & Charges:
Lead Dept. CW-049 3 months 3 months Ppr in the ordinary course of
Undeliverable Mail
business; GC §34090
Public Relations / Press Mag,
Lead Dept. CW-050 2 years 2 years GC §34090
Releases Ppr
Lead Dept. Real Estate Appraisal Reports: Not accessible to the public;
Mag,
(Who Ordered CW-051 Property NOT purchased, 2 years 2 years Statewide Guidelines show 2
Ppr
the Appraisal) Loans not funded, etc. years; GC §§34090, 6254(h)
Not accessible to the public
When No When No until purchase has been
Lead Dept. Real Estate Appraisal Reports: Longer Longer Mag, completed; meets grant
Yes: Before Yes: After
(Who Ordered CW-052 Purchased Property, Funded 2 years Required - Required - Mfr, OD, S auditing requirements; 2 CFR
Purchase Inactive
the Appraisal) Loans Minimum 3 Minimum 5 Ppr 200.333; 24 CFR 85.42 &
years years 91.105(h), & 570.502(b); 29
CFR 97.42, GC §34090
Copies - Copies -
Records Destruction Lists /
When No When No Mag,
AS / City Clerk CW-053 Certificate of Records GC §34090.7
Longer Longer Ppr
Destruction
Required Required

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-13

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Reference Materials: Policies,
Procedures, Brochures, Flyers,
Manuals, Newsletters, etc: When No When No
Mag,
CW-054 Produced by OUTSIDE Longer Longer Non-Records
Ppr
ORGANIZATIONS (League of Required Required
California Cities, Chamber of
Commerce, etc.)
Reference Materials: Policies, When No When No
Procedures, Brochures, Flyers, Longer Longer Statewide guidelines propose
Mag,
Lead Dept. CW-055 Manuals, Newsletters, etc: Required - Required - superseded + 2 or 5 years; GC
Ppr
Produced by YOUR Minimum 2 Minimum 2 §34090
Department years years
Reference Materials: Policies,
Procedures, Brochures, Flyers,
When When Mag,
Lead Dept. CW-056 Manuals, Newsletters, etc: Copies; GC §34090.7
Superseded Superseded Ppr
Produced by OTHER
Departments
Reference or Working Files:
CW-057
See Correspondence
Reports and Studies Mag, Administratively and
Yes: After
Lead Dept. CW-058 (Historically significant - e.g., 10 years P P Mfr, OD, S/I Historically significant,
10 years
Zoning Studies) Ppr therefore retained
Information is outdated after 10
Reports and Studies (Other years; statewide guidelines
Mag,
Lead Dept. CW-059 than Historically significant 10 years 10 years propose 2 years; If historically
Ppr
reports - e.g. Annual Reports) significant, retain permanently;
GC §34090
Copies - Copies -
Mag, Originals maintained by City
When No When No
AS / City Clerk CW-060 Resolutions - City Council Yes (all) Mfr, OD, S No Clerk Permanently; GC
Longer Longer
Ppr §34090.7
Required Required

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-14

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
When No When No
Longer Longer
Special Projects / Subject Files Mag, Department Preference; GC
Lead Dept. CW-061 Required - Required -
/ Issue Files Ppr §34090 et seq.
Minimum 2 Minimum 2
years years
When No When No
Subject / Reference Files:
Longer Longer
Subjects other than Specifically Mag, Department Preference; GC
Lead Dept. CW-062 Required - Required -
Mentioned in Retention Ppr §34090 et seq.
Minimum 2 Minimum 2
Schedules
years years
Surveys / Questionnaires (that
the City issues).

If a summary of the data is


Mag,
Lead Dept. CW-063 compiled, the survey forms are 2 years 2 years GC §34090
Ppr
considered a draft or transitory
record, and can be destroyed
as drafts (When No Longer
Required)
Tapes / DVD Recordings: See
CW-064
Boards & Commissions

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved


Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-15

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Originals are signed by the
employee, and not forwarded
to Finance; Department
preference; Meets auditing
standards (audit + 4 years);
Time Sheets / Time Cards /
Mag, IRS requires 4 years; Ca.
Lead Dept. CW-065 Overtime Sheets / Overtime 5 years 5 years
Ppr requires 2 yr min.; FTB keeps 3
Cards / Leave Slips
years; Published articles show
4 -10 years; IRS Reg §31.6001-
1(e)(2), R&T §19530; LC §
1174(d); 29 CFR 516.5 &
516.6(c); GC §34090
Department preference; Ethics
Training is 5 years; Statewide
guidelines propose 7 years;
Calif. Labor Division is required
Training - ALL COURSE to keep their OSHA records 7
RECORDS years; EEOC/FLSA/ADEA
Mag,
Yes: When (Age) requires 3 years for
Lead Dept. CW-066 2 years 5 years 7 years Mfr, OD, S
(Attendance Rosters, Outlines Inactive promotion, demotion, transfer,
Ppr selection, or discharge; State
and Materials; includes Ethics
& Safety training & Tailgates) Law requires 2 -3 years for
personnel actions; 8 CCR
§3203 et seq., 29 CFR
1602.31, LC §6429(c); GC
§§12946, 34090, 53235.2(b)

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference (Courts
treat volunteers as
employees);
Volunteer / Unpaid Intern Inactive / Inactive /
EEOC/FLSA/ADEA (Age)
Lead Dept. CW-067 Applications & Agreements - Separation + 3 Separation + Ppr
requires 3 years for promotion,
Successful years 3 years
demotion, transfer, selection,
or discharge; 29 CFR 1602.31
& 1627.3(b)(1)(i)&(ii), GC
Department preference (Courts
treat volunteers as
Volunteer / Unpaid Intern employees);
Applications & Agreements - EEOC/FLSA/ADEA (Age)
Lead Dept. CW-068 3 years 3 years Ppr
Unsuccessful or Pending requires 3 years for promotion,
Applicants demotion, transfer, selection,
or discharge; 29 CFR 1602.31
& 1627.3(b)(1)(i)&(ii), GC

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY ATTORNEY Page CA-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Off-site, Vital? after
(in office) Retention Options M=Mfr
OD or Mfr) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
When No When No
Longer Longer Yes:
Mag, Mfr, Department Preference; GC
Lead Dept. CA-001 City Attorney Opinions Required - Required - Yes S After QC
OD, Ppr §34090
Minimum 2 Minimum 2 & OD
years years
When No When No
Admin. Longer Longer Some material may be required
Services / CA-002 Closed Session Material Required - Required - Mag, Ppr for reference, depending upon
City Attorney Minimum 2 Minimum 2 subject; GC §34090
years years
Department Preference for
Admin. Yes:
Lawsuits / Litigation - Historical Yes: Until Mag, Mfr, historical purposes; CCP §§ 337
Services / CA-003 Resolution P P S After
Cases Resolution OD, Ppr et seq.; GC §§ 911.2, 945.6,
City Attorney Settled
34090, 34090.6; PC §832.5(b)
Department Preference; Covers
Admin. Yes: various statute of limitations;
Lawsuits / Litigation - Routine Resolution + Yes: Until Mag, Mfr,
Services / CA-004 Resolution 5 years S After CCP §§ 337 et seq.; GC §§
Cases 5 years Resolution OD, Ppr
City Attorney Settled 911.2, 945.6, 34090, 34090.6;
PC §832.5(b)
When No When No
Admin. Longer Longer Some material may be required
Subject / Project Files (Cable TV,
Services / CA-005 Required - Required - Mag, Ppr for reference, depending upon
etc.)
City Attorney Minimum 2 Minimum 2 subject; GC §34090
years years

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Brown Act challenges must be
filed within 30 or 90 days of
Affidavits of Publications / action; Statute of Limitations on
Mag, Mfr,
Lead Dept. CC-001 Legal Advertising / Affidavits of 2 years 2 years Municipal Government actions
OD, Ppr
Posting is 3 - 6 months; CCP §§337 et
seq, 349.4; GC §§34090,
54960.1(c)(1)
Agendas (Face Sheets) - City
Council, Redevelopment,
Successor Agency, Oversight
Admin.
Board, Public Financing Yes: Until Mag, Mfr, Department Preference; GC
Services / CC-002 2 years 2 years S No
Authority, Housing Authority, After Meeting OD, Ppr §34090 et seq.
City Clerk
Municipal Finance Authority,
Industrial Development
Authority
Agenda Packets / Staff
Reports - City Council,
Redevelopment, Successor
Admin.
Agency, Oversight Board, Yes: Until Mag, Mfr, Department Preference; GC
Services / CC-003 10 years 10 years S No
Public Financing Authority, After Meeting OD, Ppr §34090 et seq.
City Clerk
Housing Authority, Municipal
Finance Authority, Industrial
Development Authority

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Agreements - ALL - Approved
If Imaged, Infrastructure,
CIPs, DDAs, OPAs, MOUs,
MOAs
Other contracts are maintained
Agreement or Contract by the Lead Department
includes all contractual managing the contract;
obligations (e.g. Department Preference; All
infrastructure, JPAs, & Mutual
Amendments, Scope of
Aid contracts should be
Admin. Work or Successful Yes: Before Mag, Mfr, Yes: Upon permanent for emergency
Services / CC-004 Proposal) & Insurance Completion P P S
Completion OD, Ppr Completion preparedness; Statute of
City Clerk Certificates Limitations is 4 years; 10 years
for Errors & Omissions; land
Examples of Infrastructure: records are permanent by law;
Architects, CIPs (Capital CCP §337 et. seq., GC §34090;
Improvement Projects,) City Contractor has retention
Manager employment contracts, requirements in 48 CFR 4.703
franchise agreements, subdivision
improvement agreements,
development, Joint Powers,
MOUs, retirement, water rights,
etc.

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Agreements - ALL - Approved
Non-Infrastructure that are
NOT Imaged
Other contracts are maintained
by the Lead Department
managing the contract; Covers
Agreement or Contract
E&O Statute of Limitations;
includes all contractual Published Audit Standards=4-7
Admin. obligations (e.g. Completion + Yes: Before Mag, Mfr, Yes: Upon years; Statute of Limitations:
Services / CC-005 Amendments, Scope of Completion 10 years S/I
10 years Completion OD, Ppr Completion Contracts & Spec's=4 years,
City Clerk
Work or Successful Wrongful Death=comp. + 5
Proposal) & Insurance years, Developers=comp. + 10
Certificates years; Statewide guidelines
propose termination + 5 years;
Examples of NON-Infrastructure: CCP §337 et. seq., GC §34090
Consulting, disposal, leases, loans,
mutual aid, professional services,
settlement, services, etc.
Admin. Applications for Boards, Term of Term of
Department preference; GC
Services / CC-006 Commissions or Committees - Office + 2 Office + 2 Mag, Ppr
§34090
City Clerk Successful years years
Admin. Applications for Boards,
Services / CC-007 Commissions or Committees - 2 years 2 years Mag, Ppr GC §34090
City Clerk Unsuccessful
Admin. Committee Rosters / Boards,
Services / CC-008 Commissions and Committees 2 years 2 years Mag, Ppr GC §34090
City Clerk (Maddy Act)
Economic Interest Filings City maintains original
Admin.
(FPPC 700 Series Forms - Mag, Mfr, Yes: After 2 statements; GC §81009(e)&(g);
Services / CC-009 2 years 5 years 7 years S/I
Statement of Economic OD, Ppr years GC §81009(f)&(g); 2 CCR
City Clerk
Interests): ALL 18615(d)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-4

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Admin.
Mag, Mfr, Yes: After 1 GC §53235.2(b) 12946, 29
Services / CC-010 Ethics Training Certificates 5 years 5 years S/I
OD, Ppr year USC 1113
City Clerk
Admin. Must post on website; 2 CCR
FPPC Form 801 (Gift to
Services / CC-011 7 years 7 years Mag, Ppr 18944(c)(3)(G); GC §81009e;
Agency Report)
City Clerk GC §34090;
Admin.
FPPC Form 802 (Event Ticket Must post on website for 4
Services /
CC-012 / Pass Distributions Agency 7 years 7 years Mag, Ppr years; GC §81009€; GC
City
Report) §34090
Manager
Admin.
FPPC Form 803 (Behested
Services / CC-013 7 years 7 years Mag, Ppr GC §81009e; GC §34090
Payment Report)
City Clerk
Admin.
FPPC Form 804 (Agenda FPPC Regulation 18734(c); GC
Services / CC-014 P P Mag, Ppr
Report of New Positions) §81009e; GC §34090
City Clerk
Admin.
FPPC Form 805 (Agency FPPC Regulation 18734(c); GC
Services / CC-015 P P Mag, Ppr
Report of Consultants) §81009e; GC §34090
City Clerk
Admin. FPPC Form 806 (Agency Must post on website; 2 CCR
Services / CC-016 Report of Public Official 7 years 7 years Mag, Ppr 18702.5 18705.5(b)(3); GC
City Clerk Appointments) §34090; GC §81009(e)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-5

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ELECTIONS - CONSOLIDATED
Campaign Filings (FPPC 400
Admin.
Series Forms & Form 501): Mag, Mfr, Yes: After 2 Paper must be retained for at
Services / CC-017 2 years P P S
SUCCESSFUL CANDIDATES OD, Ppr years least 2 years; GC §81009(b)(g)
City Clerk
(Elected Officials)
Campaign Filings (FPPC 400
Admin.
Series Forms & Form 501): Mag, Mfr, Yes: After 2 Paper must be retained for at
Services / CC-018 5 years 5 years S
UNSUCCESSFUL OD, Ppr years least 2 years; GC §81009(b)(g)
City Clerk
CANDIDATES
Campaign Filings (FPPC 400
Admin. Series Forms): THOSE NOT
Paper must be retained for at
Services / CC-019 REQUIRED TO FILE 4 years 4 years Mag, Ppr
least 2 years; GC §81009(b)(g)
City Clerk ORIGINAL WITH CITY CLERK
(copies)
Campaign Filings (FPPC 400
Admin.
Series Forms): OTHER Paper must be retained for at
Services / CC-020 7 years 7 years Mag, Ppr
COMMITTEES (PACS - not least 2 years; GC §81009(c)(g)
City Clerk
candidate-controlled)
Elections - GENERAL,
WORKING or
ADMINISTRATION Files
Admin. (Correspondence, Applications
Services / CC-021 for vacancies on the Council, 2 years 2 years Mag, Ppr GC §34090
City Clerk Precinct Maps, County Election
Services, Candidate
Statements to be printed in the
Sample Ballot, etc.)
Admin.
Elections - HISTORY Files Mag, Mfr, Department preference; GC
Services / CC-022 P P S No
(Sample Ballot, Results) OD, Ppr §34090
City Clerk

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-6

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Results + 8 Results + 8 Not accessible to the public;
months, or months, or The 8 month retention applies
Admin. Final Final after election results, or final
Elections - Petitions (Initiative,
Services / CC-023 Examination Examination Ppr examination if no election,
Recall or Referendum)
City Clerk if No Election if No Election unless there is a legal or FPPC
+ 8 mo. 1 + 8 mo. 1 proceeding. EC §§17200(b)(3),
year year 17400
(End of Elections Section)
Admin.
Enterprise System Catalogue Minimum 2 Minimum 2
Services / CC-039 Mag GC §34090
(posted on line) years years
City Clerk
City Clerk determines historical
significance; records can
Historical Records & Historical
Admin. address a variety of subjects
Projects (e.g. Incorporation, Mag, Mfr,
Services / CC-024 P P S No and media. Some media (e.g.
City Seal, Awards of significant OD, Ppr
City Clerk audio and video tape) may be
historical interest, etc.)
limited because of the media's
life expectancy; GC §34090
Admin. Minutes - City Council,
Mag, Mfr,
Services / CC-025 Redevelopment, Successor P P Yes (all) S No GC §34090
OD, Ppr
City Clerk Agency, Oversight Board, etc.
Admin. When No When No Preliminary drafts not retained
Municipal Code Administration,
Services / CC-026 Longer Longer Mag, Ppr in the ordinary course of
Distribution, etc.
City Clerk Required Required business; GC §34090
Admin. Municipal Code and History
Mag, Mfr,
Services / CC-027 File (always retain 1 2 years P P S No GC §34090
OD, Ppr
City Clerk supplement)
Admin.
Mag, Mfr,
Services / CC-028 Ordinances (City Council) P P Yes (all) S No GC §34090 et. seq.
OD, Ppr
City Clerk

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-7

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Petitions (submitted to Council
on any subject - Dog Parks,
Admin.
Parking, Traffic Calming, etc.) Law requires 1 year for
Services / CC-029 1 year 1 year Ppr
petitions; GC §50115
City Clerk
See Elections for Initiative,
Recall or Referendum Petitions
Admin.
Services / CC-038 Proclamations 2 years 2 years Mag, Ppr GC §34090
City Clerk
Proof of Publication / Public Statute of Limitations on
Hearing Notices / Certificate of Municipal Government actions
Lead Dept. CC-030 2 years 2 years Mag, Ppr
Posting / Legal Advertising is 3 - 6 months; CCP§337 et
(Usually kept with Project Files) seq; GC §34090
Real Property - Records that
Admin.
Affect the Title to Real Property Mag, Mfr,
Services / CC-031 2 years P P S/I No GC §34090
(Deeds, Easements, Liens, OD, Ppr
City Clerk
Rights of Way, etc.)
Admin. Recordings / Tapes of City Department Preference; State
Services / CC-032 Council Meetings - Audio 2 years 2 years Mag, OD law only requires for 30 days;
City Clerk Recordings GC §54953.5(b)
Department preference; Video
Admin. Recordings / Tapes of City
recording of meetings are only
Services / CC-033 Council Meetings - Video 2 years 2 years Mag, OD
required for 90 days; GC
City Clerk Recordings / DVD-R
§§34090.7, 34090
Admin. Records Destruction Lists /
Mag, Mfr, Yes: After Department Preference; GC
Services / CC-034 Certificates of Records P P S
OD, Ppr QC & OD §34090 et. seq.
City Clerk Destruction
Admin. Records Retention Schedules /
Mag, Mfr,
Services / CC-035 Amendments to Records 10 years P P I GC §34090 et. seq.
OD, Ppr
City Clerk Retention Schedules

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / CITY CLERK Page CC-8

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Admin.
Services / CC-036 Request for Public Records 2 years 2 years Mag, Ppr GC §34090
City Clerk
Resolutions
Admin.
Mag, Mfr,
Services / CC-037 P P Yes (all) S No GC §34090 et. seq.
City Council, Redevelopment, OD, Ppr
City Clerk
Successor Agency, etc.

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
HUMAN RESOURCES
Admin. Department Preference; IRS: 4
1095-C (Employer-Provided
Services / years after tax is due or paid; 6
HR-027 Health Insurance Offer and 2 years 3 years 5 years Mag, Ppr
Human CFR 31.6001-1(e)(2), GC
Coverage)
Resources §34090
EEOC / ADEA (Age) requires 1
year after benefit plan
Admin. termination; Federal law requires
Duration of Duration of Yes: For
Services / Benefit Plan Documents 6 years after filing date for
HR-001 the Contract the Contract Duration of Mag, Ppr
Human (CalPERS, Optical, Dental, etc.) retirement; State Law requires 2
+ 6 years + 6 years Contract
Resources years after action; 29 CFR
1627.3(b)(2); 29 USC 1027; GC
§§12946, 3409
CalPERS Benefit Administration
Department Preference; 6 years
Admin.
for retirement benefits; State
Services / (Includes contract amendment,
HR-002 6 years 6 years Mag, Ppr Law requires 2 years after
Human actuarial reports, service credit
action; 29 CFR 1627.3(b)(2); 29
Resources reports, annual employee listing,
USC 1027; GC §§12946, 3409
etc.)
Admin.
Department Preference;
Services / CalPERS Reports - Annual
HR-003 2 years 3 years 5 years Mag, Ppr Retained to match other auditing
Human Employer Statements
periods; GC §34090
Resources
Bureau of National Affairs
When No When No recommends 2 years for all
Admin. Classification / Reorganization
Longer Longer supplementary Personnel
Services / Studies (for employee
HR-004 Required - Required - Mag, Ppr records; Wage rate tables are 1
Human classifications and department
Minimum 3 Minimum 3 or 2 years; State requires 2
Resources structures)
years years years; 29 CFR 516.6, 29 CFR
1602.14, GC §§12946, 34090

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Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference;
EEOC/FLSA/ADEA (Age)
requires 3 years for promotion,
When No When No
Admin. demotion, transfer, selection, or
Longer Longer
Services / Mag, Mfr, Yes: After 1 discharge; State Law requires 2 -
HR-005 Classification Specifications Required - Required - S/I
Human OD, Ppr year 3 years; retirement benefits is 6
Minimum 3 Minimum 3
Resources years from last action; 29 CFR
years years
1602.31 & 1627.3(b)(ii), 8 CCR
§3204(d)(1) et seq., GC
§§12946, 34090; 29 USC 1113
Bureau of National Affairs
When No When No recommends 2 years for all
Admin.
Longer Longer supplementary Personnel
Services /
HR-006 Compensation Surveys & Studies Required - Required - Mag, Ppr records; Wage rate tables are 1
Human
Minimum 3 Minimum 3 or 2 years; State requires 2
Resources
years years years; 29 CFR 516.6(2), 29 CFR
1602.14, GC §§12946, 34090

All State and Federal laws


Admin. require retention until final
Department of Fair Employment Final Final
Services / disposition of formal complaint;
HR-007 & Housing (DFEH or EEOC) Disposition + Disposition + Mag, Ppr
Human State requires 2 years after "fully
Claims 3 years 3 years
Resources and finally disposed"; 2 CCR
11013©; GC §§12946, 34090
Transitory or source records not
retained in the ordinary course
Admin.
When When of business; CHP audits every 2
Services /
HR-008 DMV Pull Notices Superseded Superseded Mag Ppr years; Bureau of National Affairs
Human
or Separated or Separated recommends 2 years for all
Resources
supplementary Personnel
records; GC §34090

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Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
D.O.T. Requires 5 years for
positive tests, refusals, annual
summaries, etc, 1 year for
negative tests; EEOC / FLSA /
Admin.
ADEA (Age) requires 3 years
Services / Drug & Alcohol Test Results (All -
HR-009 2 years 3 years 5 years Mag Ppr physical examinations; State
Human Positives and Negatives)
Law requires 2 years; 29 CFR
Resources
1627.3(b)(1)(v), GC §§12946,
34090; 49 CFR 655.71 et seq.;
49 CFR 382.401 et seq. 49 CFR
653.71
Admin. EEO-4 Reports and records
Services / required to generate EEO-4
HR-010 3 years 3 years Mag, Ppr 29 CFR 1602.30
Human report (Self-Identification Form,
Resources etc.)
Non-citizens must re-certify
periodically; Required for 1 year
from termination or 3 years from
Admin. hiring, whichever is later; EEOC
Services / Separation + Separation + / FLSA / ADEA (Age) requires 3
HR-011 I-9s Mag, Ppr
Human 3 years 3 years years for "any other forms of
Resources employment inquiry"; State Law
requires 2 -3 years; 8 CFR
274a.2; 29 CFR 1627.3(b)(i); GC
§§12946, 34090
Labor Relations Files
Admin.
Services / (Negotiation Notes, Department Preference; GC
HR-012 5 years 5 years 10 years Mag, Ppr
Human Correspondence, Interpretation of §34090
Resources MOU Provisions, Documentation,
etc.)

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Do not duplicate or distribute without prior written permission Revision Approved:
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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference; EEOC /
Admin. Personnel Background Packet - FLSA / ADEA (Age) requires 3
Services / POLICE & OTHER EMPLOYEES Separation + Separation + years; State Law requires 2 - 3
HR-013 Mag, Ppr
Human - SUCCESSFUL Employees 3 years 3 years years; 29 CFR 1672.3(b)(i), 29
Resources (Hired) CFR 1602.14 et seq., GC
§§12946, 34090
Department preference; EEOC /
Admin. FLSA / ADEA (Age) requires 3
Personnel Background Packet -
Services / years; State Law requires 2 - 3
HR-014 POLICE & OTHER EMPLOYEES 3 years 3 years Mag, Ppr
Human years; 29 CFR 1672.3(b)(i), 29
Unsuccessful (not hired)
Resources CFR 1602.14 et seq., GC
§§12946, 34090
Department Preference; statute
of limitations for retirement
benefits is 6 years from last
action; EEOC/FLSA/ADEA (Age)
Admin. Personnel Files - Employees
Yes: After requires 3 years for promotion,
Services / Separation + Separation + Mag, Mfr,
HR-015 S Separation + demotion, transfer, selection, or
Human Includes Oaths of Office, and 7 years 7 years OD, Ppr
1 year discharge; State Law requires 2 -
Resources Disaster Service Workers Oaths
3 years; 29 CFR 1602.14,
1602.31 & 1627.3(b)(ii), GC
§§12946, 34090; 29 USC 1113,
GC §3105; LC §1198.5

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Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-5

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Personnel Files - Medical File (all
Department preference; Files
employees)
maintained separately; Claims
Admin. can be made for 30 years for
Pre-employment Clearances, Yes: After
Services / Separation + Separation + Yes: Until Mag, Mfr, toxic substance exposure; 8
HR-016 ADA Accommodations, 23 years S Separation +
Human 7 years 30 years Separation OD, Ppr CCR §3204(d)(1) et seq., 8 CCR
Respiratory Fit Tests, Hearing 1 year
Resources 5144, 29 CFR
Tests, Incidents / Accidents
1910.1020(d)(1)(i), GC §§12946,
where no medical services were
34090
provided, etc.
Recruitment and Testing File

(Includes Advertisements,
Department preference; EEOC /
Applications for Unsuccessful
Admin. FLSA / ADEA (Age) requires 1-3
Candidates, Job Brochures, Test
Services / years; State Law requires 2 - 3
HR-017 Data, Testing Analysis & 3 years 3 years Mag, Ppr
Human years; 29 CFR 1627.3(b)(i), 29
statistical Metric, Interview Notes,
Resources CFR 1602.14 et seq. 2 CCR
Job Analysis, Rating Sheets,
11013©; GC §§12946, 34090
Scantrons, Rater's Profile &
Confidentiality Agreement,
Flowchart, Eligible Lists, etc.)
When No When No
Admin.
Studies & Surveys Conducted on Longer Longer
Services / Department preference; GC
HR-018 Behalf of the City (Sick Leave, Required - Required - Mag, Ppr
Human §34090
Attrition, Benefits, etc.) Minimum 3 Minimum 3
Resources
years years
Admin.
Services / Workers Compensation Claim Meets auditing standards; GC
HR-019 5 years 5 years Mag Ppr
Human Runs §34090
Resources

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Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference; Files
Separation +
20 years or maintained separately; Claims
Admin. 30 years or
Termination Yes: After can be made for 30 years for
Services / Separation + Termination Yes: Until Mag, Mfr,
HR-020 Workers Compensation Claims of Benefits, S Separation + toxic substance exposure; 8
Human 10 years of Benefits, Separation OD, Ppr
whichever is 1 year CCR §3204(d)(1) et seq., 29
Resources whichever is
longer CFR 1910.1020(d)(1)(i), GC
longer
§§12946, 34090
RISK MANAGEMENT
Admin.
Services /
Human Accident, Incident, Injury Reports Department Preference; GC
HR-021 2 years 2 years Mag, Ppr
Resources That do NOT Result in a Claim §34090
/ Risk
Manage.
Admin.
Services /
Human Department preference; GC
HR-022 Actuarials 10 years 10 years Ppr
Resources §34090
/ Risk
Manage.
Admin.
Department Preference; Covers
Services /
Final Final various statute of limitations;
Human Yes: Until Mag, Mfr, Yes: After
HR-023 Claims (Liability Claims) Resolution + Resolution + S CCP §§ 337 et seq.; GC §§
Resources Resolution OD, Ppr QC & OD
5 years 5 years 911.2, 945.6, 34090, 34090.6;
/ Risk
PC §832.5
Manage.
Admin.
Services /
Human Insurance Policy Applications / Yes: Until Mag, Mfr, Yes: After Department preference; GC
HR-024 P P S/I
Resources Policies (City-owned Policies) Separation OD, Ppr QC & OD §34090
/ Risk
Manage.

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Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMIN. SERVICES / HUMAN RESOURCES Page HR-7

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Admin.
Services /
When No When No Department Preference (the
Human
HR-025 Loss Runs Longer Longer Mag Ppr Claims Management System is
Resources
Required Required the original); GC §34090
/ Risk
Manage.
Calif. Labor Division is required
Admin. to keep their records 7 years;
Services / OSHA requires 5 years; State
Human OSHA Inspections & Citations, law requires 2 years; 8 CCR
HR-026 5 years 5 years Ppr
Resources Log 200 and Log 300, 301, 301A §3203(b)(1), 29 CFR 1904.33,
/ Risk OMB 1220-0029, 8 CCR
Manage. 14300.33; GC §34090.7; LC
§6429c

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Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: COMM. DEV. / BUILDING & CODE ENFORCEMENT Page BLD-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
BUILDING & SAFETY
Comm. Department Preference - Data
Develop. / BL-001 Building Permit Database Indefinite Indefinite Yes (all) Mag is interrelated; GC §34090, H&S
Building §19850
Comm. Mag, Statewide guidelines propose
Yes: After
Develop. / BL-002 Building Permits / Address Files P P Yes (all) Mfr, OD, S permanent; GC §34090, H&S
QC & OD
Building Ppr §19850
Department preference;
Comm. Mag, Preliminary drafts not retained
Building Plans - Expired or Yes: After
Develop. / BL-003 P P Mfr, OD, S in the ordinary course of
Withdrawn QC & OD
Building Ppr business; CBC §104.7;
H&S§19850, GC §34090
Law does not require plans to
be filed for dwellings less than 2
stories, garages &
Building Plans and Construction
Comm. Mag, appurtenances, farms/ranches,
Documents - Finalled - SINGLE Yes: After
Develop. / BL-004 180 days P 180 days P Yes Mfr, OD, S 1-story with bearing walls less
FAMILY RESIDENTIAL - SFR and QC & OD
Building Ppr than 25'; CBC requires 180
APPURTENANCES
days from completion date;
CBC 104.7 & 107.5,
H&S§19850, GC §34090

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: COMM. DEV. / BUILDING & CODE ENFORCEMENT Page BLD-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Building Plans and Construction
Documents - Finalled -
Department Preference; Law
INDUSTRIAL, COMMERCIAL,
requires for the life of the
MULTI-FAMILY DWELLINGS,
building for commercial and
Comm. PLACES OF PUBLIC Mag,
Yes: After common interest dwellings only;
Develop. / BL-005 ACCOMMODATION, TENANT P P Yes (all) Mfr, OD, S
QC & OD Statewide guidelines propose 2
Building IMPROVEMENTS Ppr
years for blueprints &
specifications; CBC 104.7 &
(includes commercial structural 107.5, H&S§19850, GC §34090
plans, Hazardous Materials
Questionnaire, etc.)
Comm. Mag,
Yes: After Department Preference; GC
Develop. / BL-006 Certificates of Occupancy P P Yes (all) Mfr, OD, S
QC & OD §34090
Building Ppr
Until Cleared Until Cleared
Construction Notices / Inspection or Project or Project
Comm.
Notices Completion Completion
Develop. / BL-007 Mag, Ppr Preliminary Drafts; GC §34090
(correction notices, compliance When No When No
Building
orders, stop work notices, etc.) Longer Longer
Required Required
Comm. Department Preference; (meets
Private Land Developer Trust Close + 5 Close + 5
Develop. / BL-008 Mag, Ppr municipal government auditing
Accounts / Deposits years years
Building standards); GC §34090
Comm. When No When No Preliminary drafts not retained
Develop. / BL-009 Reports: Building Activity Longer Longer Mag, Ppr in the ordinary course of
Building Required Required business; GC §34090 et seq.
Comm. Requests & Permissions to Receive
Develop. / BL-010 Copies of Plans (to and from 2 years 2 years Mag, Ppr GC §34090 et seq.
Building Architects)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: COMM. DEV. / BUILDING & CODE ENFORCEMENT Page BLD-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Comm.
Uniform Building Codes / California When When
Develop. / BL-011 Mag, Ppr GC §50022.6
Building Codes Superseded Superseded
Building
CODE ENFORCEMENT
Comm.
Mag, Yes:
Develop. /
CE-001 Citations / Notice of Violations 2 years 2 years Mfr, OD, S/I When GC §34090
Code
Ppr Inactive
Enforce.
When No When No
Comm. Code Enforcement / Abatement Department preference; Case is
Longer Longer
Develop. / Case Files (Includes appeals and Yes: Until open until satisfactorily resolved
CE-002 Required - Required - Mag, Ppr
Code Code Enforcement Complaint Resolution (some cases are not resolved);
Minimum 2 Minimum 2
Enforce. Letters) CFC §104.3.4, GC §34090
years years
Comm.
Develop. / Yes: Until
CE-003 Liens P P Mag, Ppr GC §34090(a)
Code Resolution
Enforce.

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ENGINEERING Page ENG-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference; Finals
Mag, are maintained by City Clerk;
Abandonments / Vacations Yes: After
Engineering ENG-001 P P Yes (all) Mfr, OD, S Department file may include
(Streets) / Survey File QC & OD
Ppr correspondence; GC §34090
et seq.
Mag,
Aerial Maps / Photographs - Analog Yes: After Department Preference; GC
Engineering ENG-002 P P Mfr, OD, S/I
or Digital & Index to Aerials QC & OD §34090
Ppr
Assessment District / Community
Facilities Districts / Maintenance Department Preference;
District / Landscape & Lighting / Mag, Statute of Limitations is 4 - 10
Yes: Until Yes: After
Engineering ENG-003 Street Improvement District Projects P P Mfr, OD, S/I years (for Errors & Omissions);
Completed QC & OD
/ Underground Utility Districts Ppr CCP §§337. 337.1(a), 337.15,
(FORMATION, BOUNDARIES, 343; GC §34090.7
ENGINEERS REPORTS, MAPS)
Mag,
Yes: After Department Preference; GC
Engineering ENG-004 Benchmarks P P Mfr, OD, S/I
QC & OD §34090
Ppr
Some grant funding agencies
Capital Improvement Projects (CIP): require audits; Statute of
Administration File 1 years or Completion + Limitations for Errors &
After 10 years or Omissions is 10 years;
Project Administration, Certified Funding After Funding Published Audit Standards=4-7
Payrolls, Construction Manager's Logs, Upon Agency Agency Yes: Until years; Statute of Limitations:
Engineering ENG-005 Mag, Ppr
Daily Inspections, Insurance Completion Audit, if Audit, if Completed Contracts & Spec's=4 years,
Certificates, Project Schedules, required, required, Wrongful Death=comp. + 5
Progress meetings, Punch Lists, Real whichever is whichever is years, Developers=comp. + 10
Estate Appraisals, RFIs & Responses, longer longer years; Statewide guidelines
etc. propose termination + 5 years;
CCP §337 et. seq., GC §34090

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ENGINEERING Page ENG-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Capital Improvement Projects (CIP):
Permanent File

Plans, Specifications & Addenda, Department preference;


Agreement / Contract, Successful retained for disaster
Proposal, Change Orders, EIRs, Mag, Yes:
Upon Yes: Until preparedness purposes;
Engineering ENG-006 Negative Declarations, Categorical P P Mfr, OD, S/I Complet.
Completion Completed Statewide guidelines propose
Exemptions, Operations & Maintenance Ppr + 10 years
Permanent for Infrastructure
Manuals (O&M Manuals,) Materials
Testing Reports, Grading Permits,
plans; GC §34090
Hazardous Materials Plans, Notice of
Completion, Photos, Soils Reports,
Studies, Submittals, Surveys, etc.
Department preference; Some
Yes: While Mag, correspondence from
Correspondence - Regulatory Minimum 2 Minimum 2 Yes: After
Lead Dept. ENG-007 Active Mfr, OD, S Regulatory Agencies need to
Agencies years years QC
Issues Ppr be retained for long periods of
time; GC §34090
Department preference; Finals
Mag, are maintained by City Clerk;
Yes: After
City Clerk ENG-008 Deeds, Easements, Liens P P Yes (all) Mfr, OD, S Department file may include
QC & OD
Ppr correspondence; GC §34090
et seq.
Mag,
Yes: After Department Preference; GC
Engineering ENG-009 Design & Construction Standards P P Mfr, OD, S/I
QC & OD §34090
Ppr
Drafts should be destroyed;
Drawings, Maps, Plans and Record Some maps are also retained
Mag,
Drawings, Large-Format Drawings, Yes: After by Planning; Selected maps
Engineering ENG-010 P P Yes (all) Mfr, OD, S
Survey Record Maps, Capital QC & OD are retained in Public Works
Ppr
Improvement Project "As-Builts" for administrative purposes;
GC §34090, 34090.7

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Covers statute of limitations for
Encroachment Permits: Temporary
Public Works contracts (4 years); Statewide
(Street Permits, Temporary Expiration + 4 Expiration + 4 Yes: Until
/ Land ENG-011 Mag, Ppr guidelines propose Permanent;
Construction, Sidewalk Repairs, years years Completion
Develop. CCP § 337 et. Seq.; GC §
Traffic Control, Utility Cuts etc.)
34090
Encroachments - Permanent Mag,
Yes: After Department Preference; GC
Engineering ENG-012 (Permanent structures in the City's P P Mfr, OD, S
QC & OD §34090
Right of Way) Ppr
Engineering Studies / Surveys -
Mag,
Preliminary Studies / Project Minimum 10 Minimum 10 Yes: After Department Preference; GC
Engineering ENG-013 Mfr, OD, S/I
Assessments (Not Acquired or years years QC & OD §34090
Ppr
Developed)
Mag,
Engineering Studies / Surveys (City Yes: After Department Preference; GC
Engineering ENG-014 P P Mfr, OD, S/I
Built Projects) QC & OD §34090
Ppr
Geotechnical and Soils Reports; Mag,
Yes: After Department Preference; GC
Engineering ENG-015 Hydrology Reports (Authored by the P P Mfr, OD, S
QC & OD §34090
City or their contractors) Ppr
Mag,
Yes: After Department Preference; GC
Engineering ENG-016 Grading Plans P P Mfr, OD, S
QC & OD §34090
Ppr
When No When No
Preliminary drafts; GC §34090
Building ENG-017 Plan Checks for Building Permits Longer Longer Mag, Ppr
et seq.
Required Required

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ENGINEERING Page ENG-4

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Securities (Performance
Bonds, Letters of Credit, CD's,
etc.) are released after the
Private Land Development Bonds: Release of Release of Mag,
Notice of Completion is issued
Engineering ENG-018 Subdivision Bonds/ Letters of Bond / Letter Bond / Letter Mfr, OD, S No
and replaced with the Warranty
Credit of Credit of Credit Ppr
Bond, which is released 1 year
after the Notice of Completion
date. GC §34090
Private Land Development Projects Statute of Limitations for Errors
/ Job Files: Administration File & Omissions is 10 years;
Published Audit Standards=4-7
Construction Inspections, Photos, years; Statute of Limitations:
Private Lab Verifications, Testing Lab Upon Completion + Yes: Until Contracts & Spec's=4 years,
Engineering ENG-019 Final Reports 10 years Mag, Ppr
Completion 10 years Completed Wrongful Death=comp. + 5
years, Developers=comp. + 10
Examples: CUPs, Lot Line
Adjustments, Parcel Maps, Precise
years; Statewide guidelines
Alignment, Specific Plans, Split Lots, propose termination + 5 years;
Subdivisions, Tracts,. TPMs, TSMs CCP §337 et. seq., GC §34090
Private Land Development Projects
/ Job Files: Permanent Files

Drainage, Driveway, Encroachments,


Grading Plans, Rights of Way, Department preference;
Stormwater, etc. retained for disaster
Mag,
Upon Yes: Until Yes: After preparedness purposes;
Engineering ENG-020 P P Mfr, OD, S/I
Dedications, Easements, Completion Completed QC & OD Statewide guidelines propose
Ppr
Abandonments (City Clerk is OFR) Permanent for Infrastructure
plans; GC §34090
Examples: CUPs, Lot Line
Adjustments, Parcel Maps, Precise
Alignment, Specific Plans, Split Lots,
Subdivisions, Tracts, TPMs, TSMs

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ENGINEERING Page ENG-5

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Reports: Geotechnical Reports, Mag,
Yes: After Department Preference; GC
Engineering ENG-021 Soils Reports, Drainage, Special P P Yes (all) Mfr, OD, S
QC & OD §34090
Studies Ppr
Mag,
Yes: After Department preference; GC
Engineering ENG-022 Rights of Entry P P Yes (all) Mfr, OD, S
QC & OD §34090 et seq.
Ppr
When No When No
State of SWITRS - Statewide Integrated
ENG-023 Longer Longer Mag Ppr Non-Records (Sheriff)
California Traffic Records System
Required Required
Department preference; GC
Engineering ENG-024 Traffic Complaints 2 years 2 years Mag, Ppr
§34090
Mag, Department preference; Drafts
Yes: After
Engineering ENG-025 Traffic Signal Inventory Superseded Superseded Yes Mfr, OD, S should be destroyed; GC
QC & OD
Ppr §34090
Mag, Department preference; Drafts
Yes: After
Engineering ENG-026 Traffic Signal Locations P P Yes Mfr, OD, S should be destroyed; GC
QC & OD
Ppr §34090
Mag, Department preference; Drafts
Replaced + 5 Replaced + 5 Yes: After
Engineering ENG-027 Traffic Signal Timing Yes Mfr, OD, S should be destroyed; GC
years years QC & OD
Ppr §34090
When No When No
Traffic Studies / Traffic Counts / Longer Longer Mag,
Yes: After Department preference; GC
Engineering ENG-028 Transportation Studies / Pavement Required - Required - Mfr, OD, S
QC & OD §34090
Management Minimum 10 Minimum 10 Ppr
years years
Mag, Department preference; Drafts
Transportation Master Plans / Yes: After
Engineering ENG-029 P P Yes Mfr, OD, S should be destroyed; GC
Traffic Master Plans QC & OD
Ppr §34090

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: ENGINEERING Page ENG-6

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department Preference
(required for 3 years); GC
Lead Dept. ENG-030 Underground Service Alerts (USA's) 3 years 3 years Mag, Ppr
§§4216.2(d) & 4216.3(d),
34090

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
FINANCE / ADMINISTRATION
Department Preference (meets
Assessment Districts / municipal government auditing
Yes:
Finance / Community Facilities Districts, Mag, Mfr, Yes: After 1 standards); Statewide guidelines
FN-001 2 years 3 years 5 years Current S/I
Admin. etc. - Financial Records / OD, Ppr year propose audit + 4 years;
Fiscal Year
Assessor Rolls Published articles show 3 - 7
years; GC §34090
Audit Reports / CAFR -
Finance / Comprehensive Annual Financial Mag, Mfr, Yes: After 1 Department Preference (copies);
FN-002 2 years P P S/I
Admin. Reports and related Audit OD, Ppr year GC §34090.7
Opinions
Department Preference (meets
municipal government auditing
Finance / Yes: Until Mag, Mfr, Yes: After 1 standards); Statewide guidelines
FN-003 Audit Work Papers 2 years 3 years 5 years S/I
Admin. Paid OD, Ppr year propose audit + 4 years;
Published articles show 3 - 7
years; GC §34090
Yes: Department preference
Finance /
FN-004 Budgets - Adjustments 5 years 5 years Current Mag, Ppr (Approved by the City Council);
Admin.
Fiscal Year GC §34090 et seq.
Yes: Department Preference; Must be
Finance / Mag, Mfr, Yes: After 1
FN-005 Budgets - Adopted / Final 2 years P P Current S/I filed with County Auditor; GC
Admin. OD, Ppr year
Fiscal Year §34090.7, 40802, 53901
When No When No Yes:
Finance / Budgets - Preliminary, Backup
FN-006 Longer Longer Current Mag, Ppr Preliminary drafts; GC §34090
Admin. Documents
Required Required Fiscal Year
Department Preference (meets
Finance / Single Audits / Transportation Mag, Mfr, Yes: After 1
FN-007 5 years P P S/I municipal government auditing
Admin. Audits / PERS Audit, etc. OD, Ppr year
standards); GC §34090

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
FINANCE / GENERAL ACCOUNTING
Department Preference; IRS: 4
years after tax is due or paid
Finance / (longer for auditing & contractor
General FN-008 1099's / 1096's Issued / W-9s 5 years 5 years Mag, Ppr delinquency); Ca. FTB: 3 years;
Accounting IRS Reg §31.6001-1(e)(2), R&T
§19530, GC §34090, 29 USC
436
Accounts Payable / Invoices and Department Preference (meets
Backup (Excluding Grants) municipal government auditing
Finance /
Yes: Until Mag, Mfr, Yes: After 1 standards); Statewide guidelines
General FN-009 2 years 3 years 5 years S/I
(Includes Invoices, Travel Paid OD, Ppr year propose audit + 4 years;
Accounting
Expense Reimbursements, Published articles show 3 - 7
Warrant Request, etc.) years; GC §34090
Finance /
Department Preference; GC
General FN-010 Actuarial Valuation Reports 10 years 10 years Mag, Ppr
§34090
Accounting
Bank Statements and Trustee
Statements, Fiscal Agent Department Preference;
Finance /
Statements, Investment Account Published articles show 3 - 4
General FN-011 2 years 3 years 5 years Mag, Ppr
Statements, Bank years; GC §34090, 26 CFR
Accounting
Reconciliations, Bank Deposits, 31.6001-1
Bank Transmittal Advice

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Department Preference; Statute


of Limitations for bonds,
Bond Official Statements /
mortgages, trust deeds, notes or
Transcripts / Certificates of
debentures is 6 years; Bonds
Finance / Participations (COPs) - Includes Fully Fully
Yes: Until issued by local governments are
General FN-012 Continuing Disclosure Reports Defeased + Defeased + Mag, Ppr
Maturity 10 years; There are specific
Accounting 10 years 10 years
requirements for disposal of
See Bank Statements for
unused bonds; CCP §§336a(1)
statement retention.
337.5(a); 26 CFR 1.6001-1(e):
GC §43900 et seq.
Department Preference;
Finance / Cash Receipts / Daily Cash
Published articles show 3 - 4
General FN-013 Summaries / Cashiers Reports / 2 years 3 years 5 years Mag, Ppr
years; GC §34090, 26 CFR
Accounting Cash Reports
31.6001-1
Finance /
Checks / Warrant Register Mag, Mfr, Yes: After Department Preference; GC
General FN-014 2 years 3 years 5 years S
Report (issued) OD, Ppr QC & OD §34090
Accounting
Department Preference; meets
Finance /
Mag, Mfr, Yes: After municipal government auditing
General FN-015 Checks / Warrants (Cashed) 2 years 3 years 5 years S
OD, Ppr QC & OD standards; GC §34090, CCP §
Accounting
337
Department preference; All
tangible property held by
Finance / government agencies escheats
Escheat (Unclaimed money /
General FN-016 5 years 5 years Mag, Ppr after 3 years; Statute of
uncashed checks)
Accounting Limitations is 1 year for seized
property; CCP §§340(d), 1519;
GC §34090
Finance /
Data Fields / Records are
General FN-017 Financial Services Database Indefinite Indefinite Yes Mag
interrelated; GC §34090
Accounting

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-4

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Investment Reports / Treasurer's Department Preference; Meets
General FN-018 5 years 5 years Mag, Ppr
Reports auditing standards; GC §34090
Accounting
Department Preference; Meets
auditing standards; Published
Investments / Arbitrage /
articles show disposal + 7 years
Finance / Certificate of Deposit / Investment
Yes: Until for security brokerage slips;
General FN-019 Bonds (Receipts / Advisor 5 years 5 years Mag, Ppr
Paid statewide guidelines propose
Accounting Reports / Trade Tickets / LAIF
permanent; FTC Reg's rely on
(Local Agency Investment Fund))
"self-enforcement";
GC§§ 34090, 43900
Department Preference; meets
municipal government auditing
Finance /
Journal Entries / Journal Mag, Mfr, standards; Statute of Limitations
General FN-020 2 years 3 years 5 years S/I No
Vouchers OD, Ppr is 4 years; statewide guidelines
Accounting
propose Audit + 5 years; GC
§34090, CCP § 337
Reports, Subsidiary Ledgers,
Reconciliations, Registers,
Finance / When No When No Department preference
Transaction Histories, Balance
General FN-021 Longer Longer Mag, Ppr (Financial System qualifies as a
Sheets, Revenue & Expenditure
Accounting Required Required trusted system); GC §34090
Reports, etc. (MONTHLY OR
PERIODIC)

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-5

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Reports: Annual State or
Federal: State Controller's
Report, Local Government
Compensation Report, Gas Tax,
Finance /
MOE (Maintenance of Effort) Department Preference; Meets
General FN-022 5 years 5 years Mag, Ppr
Report, Fixed Charge Special auditing standards; GC §34090
Accounting
Assessment Report, Public Self
Insurer Report (SIP Report),
Street Report, Jet Fuel Tax,
Smog / Green Fee, etc.
Finance /
Sale or Sale or Department Preference; GC
General FN-023 Vehicle Titles ("Pink Slips") Mag, Ppr
Disposal Disposal §34090
Accounting

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-6

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PAYROLL
CalPERS Reports - Annual Department Preference;
Finance /
FN-024 Valuation Reports, Actuarial 2 years 3 years 5 years Mag, Ppr Retained to match other auditing
Payroll
Valuation Reports periods; GC §34090
DE-6, DE-7, DE-9, DE-43, W-3, &
Department Preference; IRS: 4
DE-166, 941 Forms, IRS 5500
yrs after tax is due or paid; Ca.
Forms (Employee Benefit Plans),
Finance / FTB: 3 years; Articles show 7
FN-025 PERS / FICA & Medicare 2 years 3 years 5 years Mag, Ppr
Payroll years; 26 CFR §31.6001-1(e)(2),
Adjustments - Quarterly Payroll
R&T §19530; 29 CFR 516.5 -
Tax Returns / OASDI, Federal
516.6, 29 USC 436, GC §34090
Tax Deposits, Adjustments, etc.

Produced by Deferred Comp.


Provider; consistent with
Finance / Deferred Compensation (City proposed statewide guidelines;
FN-026 2 years 3 years 5 years Mag, Ppr
Payroll Statements) published articles for bank
statements show 4 -7 years; GC
§304090, 26 CFR 31.6001.1
Payroll Reports - Periodic
Finance / (includes Deduction Registers, Department preference; GC
FN-028 2 years 3 years 5 years Mag, Ppr
Payroll Leave Registers, Time §34090
Transaction Reports, etc.)
Department Preference; IRS: 4
yrs after tax is due or paid; Ca.
FTB: 3 years; Articles show 7
Finance /
FN-029 W-2's 2 years P P Mag, Ppr years; IRS Reg §31.6001-
Payroll
1(e)(2), R&T §19530; 29CFR
516.5 - 516.6, 29USC 436, GC
§34090

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-7

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
IRS Regulation 31-6001-1 four
years after the due date of such
No Longer in No Longer in tax for the return period to which
Finance /
FN-039 W-4's Effect + 4 Effect + 4 Mag, Ppr the records relate, or the date
Payroll
years years such tax is paid, whichever is the
later. GC §34090; 26 CFR
31.6001-1; GC §34090
PURCHASING
Department preference; Meets
Finance /
FN-030 Purchase Orders & Backup 2 years 3 years 5 years Mag, Ppr auditing standards; GC §34090
Purchasing
et seq.
When No When No
Finance / Preliminary drafts; GC §34090 et
FN-031 Vendor List / Bidder List Longer Longer Mag, Ppr
Purchasing seq.
Required Required
UTILITY BILLING / REVENUE SERVICES
Accounts Receivable / Utility
Billing - ALL Revenue -
Finance / Department preference; Meets
Transient Occupancy Tax (TOT)
Revenue FN-032 2 years 3 years 5 years Mag, Ppr auditing standards; GC §34090
Applica+C33tions & Returns,
Services et seq.
Damage to Public Property,
Invoices to Outside Entities, etc.
Finance / When No When No Preliminary drafts not retained in
Revenue FN-033 Bankruptcies - NOT pursued Longer Longer Mag, Ppr the ordinary course of business;
Services Required Required GC §34090
Department Preference
Finance /
Bankruptcies - Where a claim is (negative information remains on
Revenue FN-034 2 years 3 years 5 years Mag, Ppr
filed credit ratings for 7 years); GC
Services
§34090

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-8

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference;
Finance /
Collections / Collection Agency Delinquencies remain on credit
Revenue FN-035 7 years 7 years Mag, Ppr
Statements reports for 7 years; GC §34090
Services
et seq.
Finance / Department preference; Meets
Judgment + Judgment +
Revenue FN-036 Small Claims Court Judgments Mag, Ppr auditing standards; GC §34090
5 years 5 years
Services et seq.
Finance /
Utility Billing Database / Data Fields / Records are
Revenue FN-037 Indefinite Indefinite Yes Mag
Cashiering Database interrelated; GC §34090
Services

LAKEPORT, CA ©1995-2018 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved
Do not duplicate or distribute without prior written permission Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
DISPATCH
Department Preference;
Audio Recordings or Tapes - Statewide guidelines propose
(CAD/RMS) Recordings of 180 days (legally mandated for
Police /
PD-001 Telephone & Radio 180 days 180 days Mag 100 days); (may be discoverable
Dispatch
Communications Dispatch Tapes or made public in some
(CAD) circumstances), GC §§34090,
34090.6
When No When No
Police / Vehicle Repossession Preliminary Drafts; GC§ 34090 et
PD-002 Longer Longer Mag, Ppr
Dispatch Notifications (Call for Service) seq.
Required Required
DETECTIVES / INVESTIGATIONS
Detectives Investigation Files When No When No Final reports and records are
Police /
PD-003 and Arrest Files - Crimes Other Longer Longer Mag, Ppr transferred to the case file stored
Investigat.
Than Homicide Required Required in Records; GC §34090 et seq.

Final reports and records are


Police / Detectives Investigation Files Mag, Mfr, Yes: After
PD-004 P P S/M/I transferred to the case file stored
Investigat. and Arrest Files - Homicide OD, Ppr QC & OD
in Records; GC §34090 et seq.
Informant information; Does not
contain criminal intelligence
Police /
PD-005 Informant Files 5 years 5 years Mag, Ppr information concerning
Investigat.
individuals; Department
preference GC §34090

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Files contain criminal intelligence
information concerning an
individual only if there is
reasonable suspicion that the
individual is involved in criminal
conduct or activity and the
Police / Intelligence Files (Criminal No Longer No Longer Mag, Mfr, Yes: When information is relevant to that
PD-006 S/I
Investigat. Intelligence Files) than 5 years than 5 years OD, Ppr Superseded criminal conduct or activity.
Misleading, obsolete or unreliable
information is required to be
destroyed; remaining records
must not be retained longer than
5 years; 28 CFR 23.20(h); GC
§34090
When No When No
Longer Longer
Police / Mag, Mfr, Yes: When Department preference (Not
PD-007 Investigation Files Required - Required - S/I
Investigat. OD, Ppr Superseded Intelligence files); GC §34090
Minimum 2 Minimum 2
years years
Department Preference to
provide information to other
agencies; Non-records used for
Police /
PD-008 Pawn Slips 2 years 2 years Mag, Ppr investigations; Originals entered
Investigat.
into the State Automated
Property System; most agencies
retain for 2 years; GC §34090

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Department preference; Pursuant


to PC §457.1 et seq.; required to
Police / Mag, Mfr, Yes: After 5 register for life; If released from
PD-009 Registrants: Arson - Adults 5 years P P S/M/I
Investigat. OD, Ppr years CYA, records are destroyed after
age 25 or sealing pursuant to
W&I §781; GC §34090.7
Pursuant to PC §457.1 et seq.; If
Registrants: Arson - Juveniles Age 25 or Age 25 or released from CYA, records are
Police / Mag, Mfr, Yes: After
PD-010 released from California Youth Sealing Date Sealing Date S/M/I destroyed after age 25 or sealing
Investigat. OD, Ppr QC & OD
Authority + 5 years + 5 years pursuant to W&I §781; GC
§34090.7
Department Preference; After
2021, Offenders can petition
Police / Registrants: Sex Offenders - Mag, Mfr, Yes: After Court for removal 10 or 20 years
PD-011 P P S/M/I
Investigat. Adults OD, Ppr QC & OD after offense, provided there are
no subsequent offenses;
Pursuant to PC §290 et seq.
After 2021, Offenders can
P P
petition Court for removal 10 or
or Sealing or Sealing
Police / Registrants: Sex Offenders - Mag, Mfr, Yes: After 20 years after offense, provided
PD-012 Date + 5 Date + 5 S/M/I
Investigat. Juveniles OD, Ppr QC & OD there are no subsequent
years (or years (or
offenses; Pursuant to PC §290
Court Order) Court Order)
et seq.; W&I §781;
When No When No
Veterans Advisory Commission Brown Act challenges must be
Longer Longer
Police / filed within 30 or 90 days of
PD-013 Required - Required - Mag, Ppr
Investigat. AGENDA PACKETS & action; GC §§34090,
Minimum 2 Minimum 2
AGENDAS 54960.1(c)(1)
years years

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Copies - Copies -
Veterans Advisory Commission
When No When No Mag, Mfr, Yes: After Send originals to the City Clerk;
City Clerk PD-014 Yes S
Longer Longer OD, Ppr 10 years GC §34090.7
MINUTES
Required Required

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PATROL
3 years is required for animal
Canine (Police Dogs) Program
Police / Separation + Separation + care / treatment records; FA
PD-015 Files / Training Files: Animal Mag, Ppr
Patrol 3 years 3 years §32003(e), PC §597.1(d); GC
Files
§34090 et seq.
Canine (Police Dogs) Program
Police / Department preference; GC
PD-016 Files: Action Reports, Monthly 5 years 5 years Mag, Ppr
Patrol §34090 et seq.
Reports
Police / Department preference; GC
PD-017 PAS Device Calibration Logs 5 years 5 years Mag, Ppr
Patrol §34090 et seq.
Police /
PD-018 Patrol Ride-A-Long Waiver Form 2 years 2 years Mag, Ppr GC §34090 et seq.
Patrol
Police /
PD-019 Pursuit Critiques 2 years 2 years Mag, Ppr GC § 34090 et seq.
Patrol
When No When No
Longer Longer
Police / Department preference; GC
PD-020 Special Events / Ops Plan Required - Required - Mag, Ppr
Patrol §34090 et seq.
Minimum 2 Minimum 2
years years
Life of the Life of the
Police / Traffic Control: Radar Department preference; GC
PD-021 Equipment + Equipment + Mag, Ppr
Patrol Calibration Records §34090 et seq.
2 years 2 years
Police / Use of Force Review (Involving Incident + 5 Incident + 5 Department preference; GC
PD-022 Mag, Ppr
Patrol Employees) years years §§12946, 34090

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PROPERTY & EVIDENCE / LABORATORY
Follows the
Police / Follows the
Retention Mag, Mfr, Yes: After 1 Department Preference; GC
Property & PD-023 Crime Report Photos Retention of S/I
Period of the OD, Ppr year §34090
Evidence the Evidence
Evidence
Police /
Property & PD-024 Forfeiture Notification 2 years 2 years Mag, Ppr GC §34090
Evidence
Police /
Gun and Narcotics Destruction Department Preference; GC
Property & PD-025 10 years 10 years Mag, Ppr
Log (Documents related to) §34090
Evidence
Follows the
Police / Follows the
Retention Mag, Mfr, Yes: After 1 Department Preference; GC
Property & PD-026 Latent Print File Retention of S/I
Period of the OD, Ppr year §34090
Evidence the Evidence
Evidence
Police /
Lost & Found Property
Property & PD-027 2 years 2 years Mag, Ppr GC §34090
(Documents related to)
Evidence

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
RECORDS
Backgrounds (Excludes
Police /
PD-028 Employees) - Local Criminal 2 years 2 years Mag, Ppr GC §34090
Records
History Review
Department preference (the
Statute of Limitation for
Police / Citations - Moving Violations,
PD-029 2 years 2 years Mag, Ppr collections is 5 years from the
Records Marijuana, Parking
date of the last violation); CVC
40222(b); GC §34090
Department preference (the
Fully Paid, Fully Paid,
Citations - Payment Plans for Statute of Limitation for
Police / Written off, Written off,
PD-070 outstanding parking citations Mag, Ppr collections is 5 years from the
Records or Forgiven or Forgiven
received by indigent persons date of the last violation); CVC
+ 5 years + 5 years
40222(b); GC §34090
Crime Statistics / Uniform Crime
Police /
PD-030 Reports (UCR) - Summaries 2 years 2 years Mag, Ppr GC §34090
Records
(BCS)
When No When No
Police / Field Investigation Cards (FI's) - Preliminary Drafts; GC§ 34090 et
PD-031 Longer Longer Mag, Ppr
Records After Entry into to RMS seq.
Required Required
Police / Field Investigation Cards (FI's) -
PD-032 2 years 2 years Mag, Ppr GC §34090
Records NOT entered into to RMS
Police /
PD-033 NCIC Validation 2 years 2 years Mag, Ppr GC §34090
Records
Department preference; EEOC /
Personnel Background Packet - FLSA / ADEA (Age) requires 3
Yes: After
Police / POLICE EMPLOYEES or Yes: Until Mag, Mfr, years; State Law requires 2 - 3
PD-034 5 years 5 years S Separation
Records CADETS Unsuccessful (NOT Separation OD, Ppr years; 29 CFR 1672.3(b)(i), 29
+ 1 year
hired) CFR 1602.14 et seq GC
§§12946, 34090

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Final Final
Police / Department preference; GC
PD-035 Pitchess Motion Files Disposition + Disposition + Mag, Ppr
Records §34090
5 years 5 years
POLICE REPORTS / INCIDENT
REPORTS:
Firearm Firearm
Police / Mag, Mfr, Yes: After
PD-036 Found or Found or Yes S/M/I PC§ 11108(b); GC§ 34090
Records Firearms entered into CLETS OD, Ppr QC
Recovered Recovered
(if not Permanent Retention) -
Found / Recovered Firearms
POLICE REPORTS / INCIDENT
REPORTS:

Misdemeanor or Infraction -
Adult Marijuana / Cannabis -
Police / H&S §11357(b)(c)(d)(e) or H&S Yes: Before Mag, Mfr, Yes: After ("Shall" Destroy); H&S §11361.5;
PD-037 2 years 2 years S/M/I
Records §11360(b) (with procedure in Disposition OD, Ppr QC & OD GC §34090
H&S §11361.5) - Except those
with outstanding stolen property,
including firearms, or lost
firearms, serious felonies, or
synthetic cannabis
Provided there are no
outstanding warrants,
POLICE REPORTS / INCIDENT
unrecovered identifiable items,
REPORTS:
criminal deaths, they are not
historically significant, and it is
Police / ALL, Except Those Specifically Mag, Mfr, Yes: After
PD-038 5 years 5 years Yes S/M/I not classified under PC §800 &
Records Mentioned in the Schedule OD, Ppr QC & OD
290 and H&S §11850; Stat. of
Limit. is 2 yrs; Destroy juvenile
e.g., 5150, Detention Reports,
marijuana after age18; H&S
etc.
§11361.5, GC §34090, PC §802,
PC §§187, 800 et seq.

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
POLICE REPORTS / INCIDENT
REPORTS:
Department Preference; DOJ
retains CACI (Child Abuse
Capital Crimes / Homicides /
Central Index) information for
Major Crimes / Serious
adults 100 years; No limitations
Police / Felonies / Sex Crimes / Child Mag, Mfr, Yes: After
PD-039 P P Yes S/M/I on commencement of action;
Records Abuse / Felony DNA (Crimes OD, Ppr QC & OD
Courts keep permanently PC §§
Subject to the Death Penalty), 261, 286, 288, 288a, 288.5, 289,
Sex Crimes, Substantiated Child 289.5, 290, 799, 803(h), 11169 et
Abuse or Severe Neglect (Adults seq.; 11170(a); WIC 707(b)
Only) (PC §288, 290, WIC
707(b)), PC 803(h)
POLICE REPORTS / INCIDENT
REPORTS:
Individual petitions District
Factually Innocent Petition Date of Date of Attorney; Sheriff concurs that
Police / Yes: Before Mag, Mfr, Yes: After
PD-040 Accepted Records Sealed Arrest + 3 Arrest + 3 S/M/I person is factually innocent, then
Records Disposition OD, Ppr QC & OD
Pending Destruction - Except years years seals record ("Shall" Destroy);
those with outstanding stolen GC §34090; PC §851.8(a)
property, including firearms, or
lost firearms
POLICE REPORTS / INCIDENT Date of Date of
REPORTS: Incident + 10 Incident + 10
years, years,
Police / Mag, Mfr, Yes: After PC §§11169(i); 11170(a); GC
PD-065 If No If No Yes S/M/I
Records Juvenile Child Abuse or OD, Ppr QC §34090
Subsequent Subsequent
Severe Neglect
Reports Reports

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

POLICE REPORTS / INCIDENT


REPORTS:
Conviction Conviction
Misdemeanor or Infraction -
or Arrest (if or Arrest (if (Courts and other Agencies
Police / Juvenile Marijuana / Cannabis - Yes: Before Mag, Mfr, Yes: After
PD-041 No No S/M/I "Shall" Destroy); H&S §11361.5;
Records H&S §11357(E) - Except those Disposition OD, Ppr QC & OD
Conviction) Conviction) GC §34090
with outstanding stolen property,
+ 2 years + 2 years
including firearms, or lost
firearms, serious felonies, or
synthetic cannabis

POLICE REPORTS / INCIDENT


REPORTS:
Offender is Offender is (Courts and other Agencies
Police / Misdemeanor or Infraction
PD-042 18 Years 18 Years Yes Mag, Ppr "Shall" destroy); H&S§ 11361.5
Records Marijuana / Cannabis §11357(de)
Old Old et seq., 11357(de)
- Juvenile on School Grounds
during School Hours (with
procedure in H&S §11361.5)
Until CLETS Until CLETS
POLICE REPORTS / INCIDENT Entry No Entry No
Police / REPORTS: Longer Longer Yes: Before Mag, Mfr, Yes: After Department Preference; GC
PD-043 S/M/I
Records Exists - Exists - Disposition OD, Ppr QC & OD §34090
Missing Persons (Returned) Minimum 2 Minimum 2
years years

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

POLICE REPORTS / INCIDENT


REPORTS: Statute of Limitations runs up to
age of majority + 8 years; sealed
Sealing Date
Sealed Juvenile and Ward Sealing Date records for juveniles and wards
Police / + 5 years Yes: Before Mag, Mfr, Yes: After
PD-044 Cases - Except Child Abuse or + 5 years (or S/M/I of the Court must be destroyed 5
Records (Or Court Disposition OD, Ppr QC & OD
Severe Neglect, (Substantiated),, Court Order) years after sealing date; CCP
Order)
those with outstanding stolen §§340.1, GC §34090; W&I
property, including firearms, or §§389(a), 781(d)
lost firearms
Police /
PD-045 Public Information Requests 2 years 2 years Mag, Ppr GC §34090
Records
Department Preference;
Police / Registration is required for 5
PD-046 Registrants: Narcotic 5 years 5 years Mag, Ppr
Records years; GC §34090, H&S §11590
et seq., H&S §11594(a)
Police / Data Fields / Records are
PD-047 RMS Database Indefinite Indefinite Yes Mag
Records interrelated; GC §34090
Police / Subpoenas (Police Civil
PD-048 2 years 2 years Mag, Ppr GC §34090
Records Personal Appearance)
TEMPORARY HOLDING FACILITY
Police /
Temp. Booking Folders (Property, Department preference; GC
PD-049 2 years 2 years Mag, Ppr
Holding Medical, etc.) §34090 et seq.
Facility
Police /
Temp. Department preference; GC
PD-050 Booking Log 2 years 2 years Mag, Ppr
Holding §34090 et seq.
Facility

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police /
Temp. Cell Checks / Cell Log / Department preference; GC
PD-051 2 years 2 years Mag, Ppr
Holding Sergeant's Log §34090 et seq.
Facility
TRAINING / PROFESSIONAL STANDARDS
Police /
Training / CCW (Carry Concealed Expiration + Expiration + Department Preference; GC §
PD-052 Yes Mag, Ppr
Profess. Weapon) Permits - Approved 2 years 2 years 34090 et seq.
Standards
Police /
Training / CCW (Carry Concealed
PD-053 2 years 2 years Yes Mag, Ppr GC § 34090 et seq.
Profess. Weapon) Permits - Denied
Standards
Department Policies & When No When No
Police /
Procedures / Operation Longer Longer
Training / Mag, Mfr, Yes: After Department Preference; GC §
PD-054 Directives / General Orders / Required - Required - S/I
Profess. OD, Ppr superseded 34090 et seq.
Lexipol (Department Policies and Minimum 5 Minimum 5
Standards
Procedures) years years
Officer Recordings: Body-Worn
Police / PC§ 832.18(b)(5)(E); GC
PD-066 Cameras – LOGS of Access or P P Mag
Operations §34090.6 et seq.
Deletion of Data
Follows the
Officer Recordings: Body-Worn Follows
Retention of
Cameras - that ARE evidence, retention for
Police / the PC§ 832.18(b)(5)(B)&(C); GC
PD-067 Officer Involved Shootings / Evidence, Mag
Operations Evidence, §34090.6 et seq.
Detention or Arrest / Minimum 2
Minimum 2
Complaints years
years
Officer Recordings: Body-Worn
Police / PC§ 832.18(b)(5)(A); GC
PD-068 Cameras - that are NOT 60 days 60 days Mag
Operations §34090.6 et seq.
evidence

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).

Consistent with Lexipol Section


422 449; Those segments of
Officer Recordings: Mobile videos that are determined to be
Police / Audio Video (MAV) Recordings evidence are copied onto a
PD-069 2 years 2 years Mag
Records (Mobile in-Car Video) that are different tape and retained for the
not evidence same length of time as the crime
report (see crime reports for legal
citations); GC §34090.6 et seq.

State requires for at least 5 years


Personnel Discipline File - for Civilian's Citizen's complaints;
Internal Affairs Investigations / other State & Federal laws
Police / Complaints: CIVILIAN CITIZEN- require retention until final
Final Final
Training / GENERATED COMPLAINTS disposition of formal complaint;
PD-056 Disposition + Disposition + Mag, Ppr
Profess. State requires 2 years after
5 years 5 years
Standards (May include criminal acts, moral action is taken; Statute of
turpitude, complaints generated Limitations is 4 years for
from a citizen) misconduct; EVC § 1045(b)(1),
GC §§12946, 34090; VC §2547
Department preference; EEOC /
FLSA / ADEA (Age) requires 1-3
Police / Personnel Discipline File -
Final Final years; State Law requires 2 - 3
Training / Internal Affairs Investigations /
PD-057 Disposition + Disposition + Mag, Ppr years; 29 CFR 1627.3(b)(i), 29
Profess. Complaints: INTERNAL
5 years 5 years CFR 1602.14 et seq. 2 CCR
Standards COMPLAINTS
7287.0(c)(2), GC §§12946,
34090

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference;
Statewide guidelines propose 7
years; Calif. Labor Division is
required to keep their records 7
Personnel Files - Police
Send to Send to years; OSHA requires safety
Police / Department Employees or
Human Human Yes: After training 5 years;
Training / Cadets Yes: Until Mag, Mfr,
PD-058 Resources Resources S Separation EEOC/FLSA/ADEA (Age)
Profess. Separation OD, Ppr
Upon Upon + 1 year requires 3 years for promotion,
Standards Includes Evaluations, Separation Separation demotion, transfer, selection, or
Commendations, etc. discharge; State Law requires 2 -
3 years; 29 CFR 1627.3(b)(ii), 8
CCR §3204(d)(1) et seq., GC
§§12946, 34090
Department preference;
Statewide guidelines propose 7
years; Calif. Labor Division is
required to keep their records 7
Send to Send to years; OSHA requires safety
Police / Personnel Files - Training File
Human Human Yes: After training 5 years;
Training / Yes: Until Mag, Mfr,
PD-059 Resources Resources S Separation EEOC/FLSA/ADEA (Age)
Profess. Includes Training Certificates, Separation OD, Ppr
Upon Upon + 1 year requires 3 years for promotion,
Standards etc.
Separation Separation demotion, transfer, selection, or
discharge; State Law requires 2 -
3 years; 29 CFR 1627.3(b)(ii), 8
CCR §3204(d)(1) et seq., GC
§§12946, 34090
When No When No
Police /
Reports and Studies regarding Longer Longer
Training / Department Preference; GC §
PD-060 Police operations (not historical - Required - Required - Mag, Ppr
Profess. 34090 et seq.
staffing, overtime, etc.) Minimum 2 Minimum 2
Standards
years years

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Image: Destroy
Inactive
Active Total Media I=Import Paper after
(OFR) (Records Vital?
(in office) Retention Options M=Mfr Imaged &
Center)
S=Scan QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department preference; Rosters
are sent to POST; Statewide
guidelines propose 7 years; Calif.
Labor Division is required to keep
Training - COURSE RECORDS
their records 7 years; OSHA
Police /
requires safety training 5 years;
Training / (Attendance Rosters, Outlines
PD-061 5 years 5 years Mag, Ppr EEOC/FLSA/ADEA (Age)
Profess. and Materials; includes Use of
requires 3 years for promotion,
Standards Force training, safety training,
demotion, transfer, selection, or
etc.)
discharge; State Law requires 2 -
3 years; 29 CFR 1627.3(b)(ii), 8
CCR §3204(d)(1) et seq., GC
§§12946, 34090
Department preference; EEOC /
Police / FLSA / ADEA (Age) requires 3
Inactive / Inactive / Yes: After
Training / Yes: Until Mag, Mfr, years; State Law requires 2 - 3
PD-062 Volunteer Background Packet Separation + Separation + S Separation
Profess. Separation OD, Ppr years; 29 CFR 1672.3(b)(i), 29
3 years 3 years + 1 year
Standards CFR 1602.14 et seq GC
§§12946, 34090
Department preference; EEOC /
Police / FLSA / ADEA (Age) requires 3
Inactive / Inactive / Yes: After
Training / Volunteer Personnel Files Yes: Until Mag, Mfr, years; State Law requires 2 - 3
PD-063 Separation + Separation + S Separation
Profess. (CERT, Etc.) Separation OD, Ppr years; 29 CFR 1672.3(b)(i), 29
3 years 3 years + 1 year
Standards CFR 1602.14 et seq GC
§§12946, 34090
Police /
Weapons Database /
Training / Data Fields / Records are
PD-064 Department Weapons Indefinite Indefinite Yes Mag
Profess. interrelated; GC §34090
(Department-issued Weapons)
Standards

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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works
/ Parks & Department Preference; GC
P&BM-001 AQMD Permits (Generators, etc.) 5 years 5 years Mag, Ppr
Building §34090; 40 CFR 70.6
Maint.
Public Works
Generator Operation Logs (for fixed Department Preference (2
/ Parks &
P&BM-002 / stationary generators) / 3 years 3 years Mag, Ppr years is required by AQMD);
Building
Inspections GC §34090
Maint.
Department Preference (test
Public Works results for hazardous waste
Mag,
/ Parks & Hazardous Waste Manifests / Yes: After generators are required for 3
P&BM-003 5 years P P Mfr, OD, S
Building Certificates of Disposal QC & OD years); 40 CFR 262.40, 8 CCR
Ppr
Maint. 3204(d)(1)(A), 22 CCR
66262.40
Public Works
/ Parks & Operations & Maintenance Manuals Life of Facility Life of Facility Department Preference; GC
P&BM-004 Mag, Ppr
Building (O&M Manuals) or Equipment or Equipment §34090 et. seq.
Maint.
Public Works
/ Parks &
P&BM-005 Playground Inspections 2 years 2 years Ppr GC §34090
Building
Maint.
Pre-Trip Inspections / DOT Program
/ CHP Inspections / Vehicle Safety
Lead Dept. P&BM-006 2 years 2 years Ppr GC §34090; 13 CCR 1234(3)
Checks / Daily Vehicle Inspections /
Daily Equipment Checks
Public Works Department Preference
/ Parks & Underground Service Alerts (USA's) (required for 3 years); GC
P&BM-007 3 years 3 years Mag, Ppr
Building - Our Locate and Marks Only §§4216.2(d) & 4216.3(d),
Maint. 34090

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Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
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Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works
22 CCR 66266.130(c)(5), H&S
/ Parks &
P&BM-008 Used Oil Disposal 3 years 3 years Mag, Ppr §25250.18(b), 25250.19(a)(3)
Building
et seq.
Maint.
Public Works
/ Parks & Data Fields / Records are
P&BM-009 Vehicle & Equipment Database Indefinite Indefinite Yes Mag
Building interrelated; GC §34090
Maint.
Department Preference; If a
motor carrier, required for 18
months after vehicle is sold;
Public Works Vehicle & Equipment History Files Disposal of Disposal of
CHP requires life of vehicle;
/ Parks & Vehicle or Vehicle or
P&BM-010 Mag, Ppr OSHA requires 1 year; 8 CCR
Building Maintenance, Smog Certificates, Equipment + Equipment +
§ 3203(b)(1); 49 CFR
Maint. Registrations 2 years 2 years
396.21(b)(1); 49 CFR 396.3(c);
CCP §337 et. seq., 13 CCR
1234(f); GC §34090
Division
Work Orders / Service Requests
Providing Data is interrelated; GC
P&BM-011 CMMS DATABASE (Computerized Indefinite Indefinite Mag
Service / §34090
Maintenance Management System)
Work
Work Orders / Service Requests -
Division
All Information Entered in CMMS When No When No Preliminary drafts (the
Providing
P&BM-012 Database Longer Longer Mag Ppr database is the original); GC
Service /
Required Required §34090
Work
(Paper drafts)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / PARKS & BUILDING MAINT. Page P&BM-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Work Orders / Service Requests -
NOT entered in CMMS Database
Division (or partial information entered into
City Preference; CCP §§338 et
Providing CMMS Database)
P&BM-013 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC
Service /
§§945.6, GC §34090
Work (Division providing service retains
originals; Division requesting
service is considered a copy)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / POOL Page POOL-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works Operations & Maintenance Manuals Life of Facility Life of Facility Department Preference; GC
POOL-001 Mag, Ppr
/ Pool (O&M Manuals) or Equipment or Equipment §34090 et. seq.
Department preference; Claims
can be made for 30 years for
Public Works toxic substance exposure; 8
POOL-002 Pool Chemical Additions 30 years 30 years Mag, Ppr
/ Pool CCR §3204(d)(1) et seq., 29
CFR 1910.1020(d)(1)(i), GC
§§12946, 34090
Public Works Health Department regulations;
POOL-003 Pool Chemical Readings 5 years 5 years Mag, Ppr
/ Pool GC §34090
Division
Work Orders / Service Requests
Providing Data is interrelated; GC
POOL-004 CMMS DATABASE (Computerized Indefinite Indefinite Mag
Service / §34090
Maintenance Management System)
Work
Work Orders / Service Requests -
Division
All Information Entered in CMMS When No When No Preliminary drafts (the
Providing
POOL-005 Database Longer Longer Mag Ppr database is the original); GC
Service /
Required Required §34090
Work
(Paper drafts)
Work Orders / Service Requests -
NOT entered in CMMS Database
Division (or partial information entered into
City Preference; CCP §§338 et
Providing CMMS Database)
POOL-006 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC
Service /
§§945.6, GC §34090
Work (Division providing service retains
originals; Division requesting
service is considered a copy)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / SEWER Page SEW-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CCTV Collection Line Inspection
Public Works Department Preference; GC
SEW-001 Tapes / Video Inspections / Video 5 years 5 years Mag
/ Sewer §34090 et seq.
Tapes or Digital Recordings
Public Works Community Outreach / Notification Department Preference; GC
SEW-002 2 years 2 years Mag, Ppr
/ Sewer of Projects §34090
Public Works Department Preference; GC
SEW-003 Complaints 2 years 2 years Mag, Ppr
/ Sewer §34090
8 CCR 5157(d)(14) & (e)(6); 29
Public Works
SEW-004 Confined Space Entries 2 years 2 years Mag, Ppr CFR 1910.146(e)(6); GC
/ Sewer
§34090
Department Preference; Some
Yes: While correspondence from
Public Works Correspondence - Regulatory Minimum 10 Minimum 10
SEW-005 Active Mag, Ppr Regulatory Agencies need to
/ Sewer Agencies years years
Issues be retained for long periods of
time; GC §34090
Department preference (used
Emergency Call Out Logs / Storm
Lead Dept. SEW-006 5 years 5 years Mag, Ppr for FEMA / OES
Call Out Logs /
reimbursements); GC §34090
Equipment History Files Disposal of Disposal of
Public Works Department Preference; GC
SEW-007 Equipment + Equipment + Mag, Ppr
/ Sewer §34090
(See Fleet for Vehicles) 2 years 2 years
Public Works FOG (Fats, Oil & Grease) / Source
SEW-019 3 years 3 years Mag, Ppr 40 CFR 403.12; GC §34090
/ Sewer Control
AQMD Rule 1470; Form
Public Works Generator Operation Logs (for
SEW-020 5 years 5 years Mag, Ppr 400–E–13a instructions, GC
/ Sewer Portable /Emergency Generators)
§34090
Generator Operation Logs (for
Public Works
SEW-008 Fixed / Stationary Generators) / 3 years 3 years Mag, Ppr AQMD Rule 1470; GC §34090
/ Sewer
Inspections

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / SEWER Page SEW-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lift Station - Inspections,
Maintenance, Repairs, Service Department Preference WC
Public Works Minimum 2 Minimum 2
SEW-009 Requests, Alarm Recording, Logs, Mag, Ppr §13263.2(b) et seq.; 40 CFR
/ Sewer years years
Charts, Flow Monitoring, Voltage 122.41(j)(2)GC §34090
Readings, Permits
Maintenance, Cleaning, Repairs, Department Policy; WC
Public Works Minimum 3 Minimum 3
SEW-010 Stoppage Calls, Spills, Line Mag, Ppr §13263.2(b) et seq.; 40 CFR
/ Sewer years years
Replacement 122.41(j)(2)GC §34090
Operations & Maintenance Manuals Life of Facility Life of Facility Department Preference; GC
Lead Dept. SEW-011 Mag, Ppr
(O&M Manuals) or Equipment or Equipment §34090 et. seq.
Mag,
Public Works Sanitary Spills and Overflows Yes: After If treating water, required for 5
SEW-012 5 years 5 years Mfr, OD, S/I
/ Sewer (SSOs) QC & OD years; 40 CFR 122.41(j)(2)
Ppr
Public Works
Data Fields / Records are
/ Sewer & SEW-013 SCADA Database / Historian Indefinite Indefinite Yes Mag
interrelated; GC §34090
Water
Department Preference; plans
Mag,
Public Works Sewer System Management Plans Yes: After must be updated every 5
SEW-014 P P Mfr, OD, S/I
/ Sewer (SSMP) and Audits QC & OD years, audits are required
Ppr
every 2 years; GC §34090
Department Preference
(required for 3 years); GC
Lead Dept. SEW-015 Underground Service Alerts (USA's) 3 years 3 years Mag, Ppr
§§4216.2(d) & 4216.3(d),
34090
Division
Work Orders / Service Requests
Providing Data is interrelated; GC
SEW-016 CMMS DATABASE (Computerized confined Indefinite Mag
Service / §34090
Maintenance Management System)
Work

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / SEWER Page SEW-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Work Orders / Service Requests -
Division
All Information Entered in CMMS When No When No Preliminary drafts (the
Providing
SEW-017 Database Longer Longer Mag Ppr database is the original); GC
Service /
Required Required §34090
Work
(Paper drafts)
Work Orders / Service Requests -
NOT entered in CMMS Database
Division (or partial information entered into
City Preference; CCP §§338 et
Providing CMMS Database)
SEW-018 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC
Service /
§§945.6, GC §34090
Work (Division providing service retains
originals; Division requesting
service is considered a copy)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / STREETS Page ST-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Pre-Trip Inspections / DOT Program
/ CHP Inspections / Vehicle Safety
Lead Dept. ST-001 2 years 2 years Ppr GC §34090; 13 CCR 1234(3)
Checks / Daily Vehicle Inspections /
Daily Equipment Checks
Department Preference;
NPDES Monitoring records
Lead Dept. ST-002 Street Sweeping Logs 3 years 3 years Mag, Ppr required for 3 years; 40 CFR
§§122.21, 122.41; CCP §337
et seq.
Division
Work Orders / Service Requests
Providing Data is interrelated; GC
ST-003 CMMS DATABASE (Computerized Indefinite Indefinite Mag
Service / §34090
Maintenance Management System)
Work
Work Orders / Service Requests -
Division
All Information Entered in CMMS When No When No Preliminary drafts (the
Providing
ST-004 Database Longer Longer Mag Ppr database is the original); GC
Service /
Required Required §34090
Work
(Paper drafts)
Work Orders / Service Requests -
NOT entered in CMMS Database
Division (or partial information entered into
City Preference; CCP §§338 et
Providing CMMS Database)
ST-005 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC
Service /
§§945.6, GC §34090
Work (Division providing service retains
originals; Division requesting
service is considered a copy)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / UNDERGROUND UTILITY Page UU-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Some grant funding agencies
require audits; Statute of
Capital Improvement Projects (CIP): 1 years or Completion + Limitations for Errors &
Administration File After 10 years or Omissions is 10 years;
Public Works
Funding After Funding Published Audit Standards=4-7
/ Under.
Project Administration, Certified Upon Agency Agency Yes: Until years; Statute of Limitations:
Utility UU-001 Mag, Ppr
Payrolls, Construction Manager's Logs, Completion Audit, if Audit, if Completed Contracts & Spec's=4 years,
Construct. &
Daily Inspections, Project Schedules, required, required, Wrongful Death=comp. + 5
Maint.
Progress meetings, Real Estate whichever is whichever is years, Developers=comp. + 10
Appraisals, RFIs & Responses, etc. longer longer years; Statewide guidelines
propose termination + 5 years;
CCP §337 et. seq., GC §34090
Capital Improvement Projects (CIP):
Permanent File

Plans, Specifications & Addenda,


Agreement / Contract, Successful Department preference;
Public Works
Proposal, Change Orders, EIRs, retained for disaster
/ Under. Mag, Yes:
Negative Declarations, Categorical Upon Yes: Until preparedness purposes;
Utility UU-002 P P Mfr, OD, S/I Complet.
Exemptions, Operations & Maintenance Completion Completed Statewide guidelines propose
Construct. & Ppr + 10 years
Manuals (O&M Manuals,) Materials Permanent for Infrastructure
Maint.
Testing Reports, Grading Permits, plans; GC §34090
Insurance Certificates, Hazardous
Materials Plans, Notice of Completion,
Photos, Soils Reports, Studies,
Submittals, Surveys, etc.
Division
Work Orders / Service Requests
Providing Data is interrelated; GC
UU-003 CMMS DATABASE (Computerized Indefinite Indefinite Mag
Service / §34090
Maintenance Management System)
Work

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / UNDERGROUND UTILITY Page UU-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Work Orders / Service Requests -
Division
All Information Entered in CMMS When No When No Preliminary drafts (the
Providing
UU-004 Database Longer Longer Mag Ppr database is the original); GC
Service /
Required Required §34090
Work
(Paper drafts)
Work Orders / Service Requests -
NOT entered in CMMS Database
Division (or partial information entered into
City Preference; CCP §§338 et
Providing CMMS Database)
UU-005 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC
Service /
§§945.6, GC §34090
Work (Division providing service retains
originals; Division requesting
service is considered a copy)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / WATER Page WTR-1

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works Backflow Test Results / Backflow Department preference; 17
WTR-001 5 years 5 years Mag, Ppr
/ Water Assembly Test Reports CCR 7605(f); GC §34090
8 CCR 5157(d)(14) & (e)(6); 29
Lead Depart. WTR-002 Confined Space Entries 2 years 2 years Mag, Ppr CFR 1910.146(e)(6);GC
§34090
Department Preference (meets
Public Works Conservation Programs / Rebate
WTR-003 5 years 5 years Mag, Ppr auditing standards); GC
/ Water Programs / Check Requests
§34090
5 years is required in State and
Customer Concerns / Customer
Public Works Federal law for any complaints;
WTR-004 Complaints: Odor / Taste / Visual 5 years 5 years Mag, Ppr
/ Water 40 CFR 122.41(j)(2) & 40 CFR
Complaints (Correspondence)
141.33(b); 22 CCR 64453(a)
Environmental Agencies /
Public Works Regulatory Agencies Minimum 10 Minimum 10 Department Preference; GC
WTR-005 Mag, Ppr
/ Water years years §34090
(EPA, DHS, etc.)
Fire Hydrant Flow Tests
Public Works Minimum 10 Minimum 10 Department Preference; GC
WTR-006 (Development or Maintenance) - Mag, Ppr
/ Water years years §34090
Paper
Mag,
Public Works Lab Reports & Chains of Custody: Yes - After 40 CFR 141.33(a) and (b)(1);
WTR-007 5 years 5 years Mfr, OD, S/I
/ Water Bacteriological and Organics QC & OD 22 CCR §64470
Ppr
Lab Reports & Chains of Custody: Mag, State law requires 10 years,
Public Works Yes - After
WTR-008 Chemical (Includes Chlorine 10 years 10 years Mfr, OD, S/I Federal 10 years; 40 CFR
/ Water QC & OD
Residuals) Ppr 141.33(a)
Required for 12 years or 2
Mag,
Public Works Lab Reports & Chains of Custody: Yes - After compliance cycles; ); 22 CCR
WTR-009 18 years 18 years Mfr, OD, S/I
/ Water Lead & Copper QC & OD 64400.25; 22 CCR §64470, 40
Ppr
CFR 141.33(a); 40 CFR 141.91

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / WATER Page WTR-2

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works Department Preference; GC
WTR-010 Log Book (Pump Houses) 7 years 7 years Mag Ppr
/ Water §34090
Operations & Maintenance Manuals Disposal of Disposal of Department preference; GC
Lead Dept. WTR-011 Mag, Ppr
/ O & M Manuals Equipment Equipment §34090
Pre-Trip Inspections / DOT Program
/ Vehicle Safety Checks / Daily
Lead Dept. WTR-012 2 years 2 years Ppr 13 CCR 1234(e); GC§34090
Vehicle Inspections / Daily
Equipment Checks
SCADA Database (Water) Data is interrelated; system
Public Works
WTR-013 (Supervisory Control and Data Indefinite Indefinite Yes Mag qualifies as a "trusted system";
/ Water
Acquisition) GC §§34090, 12168.7
Public Works
WTR-014 Surveys of Water System 10 years 10 years Mag, Ppr 40 CFR 141.33(c)
/ Water
Department Preference (the
Lead Dept. WTR-015 Underground Service Alerts (USA's) 5 years 5 years Mag, Ppr warrantee period for work done
is 5 years); GC §34090
Mag,
Public Works Urban Water Management Plans Yes: After Department Preference
WTR-016 P P Yes Mfr, OD, S
/ Water (UWMP) 10 years (copies) GC §34090.7
Ppr
Public Works Videos - Water Wells, Repairs, Department preference; GC
WTR-017 P P Mag
/ Water Reservoirs, Tanks, etc. §34090
When When
Public Works Superseded Superseded -
WTR-018 Vulnerability Assessment Mag, Ppr Confidential; GC §34090
/ Water Minimum 2 Minimum 2
years years
Water Forecasts / Urban Water
Public Works Department Preference
WTR-019 Management Forecast / Future 5 years 5 years Mag, Ppr
/ Water (copies) GC §34090.7
Developments, etc.

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / WATER Page WTR-3

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Department Preference; Meets
Public Works Water Production Reads / Reports California Department of
WTR-020 5 years 5 years Mag, Ppr
/ Water (to State DPH & DWR) Health requirements (3 years);
GC §34090
Mag, Department preference; State
Public Works Water Quality Reports / Consumer Yes - After
WTR-021 12 years P P Mfr, OD, S/I law requires 12 years, federal
/ Water Confidence Reports QC & OD
Ppr 10 years; 40 CFR 141.33(a)
Water Resources Planning Mag, City Preference; CCP §§338 et
Public Works Yes: After
WTR-022 Historical Reports / Water P P Mfr, OD, S seq., 340 et seq., 342, GC
/ Water QC & OD
Assessments Ppr §§945.6, GC §34090
Copies - Copies -
Mag,
When No When No
City Clerk WTR-023 Water Supply Agreements Yes Mfr, OD, S No GC §34090.7
Longer Longer
Ppr
Required Required
Public Works Water Transactions - Annual Department Preference; GC
WTR-024 5 years 5 years Mag, Ppr
/ Water Summary §34090
Mag,
Public Works Well Records (includes Destroyed Yes: After Department preference; GC
WTR-025 P P Mfr, OD, S
/ Water or Abandoned Wells) QC & OD §34090
Ppr
Division
Work Orders / Service Requests
Providing Data is interrelated; GC
WTR-026 CMMS DATABASE (Computerized Indefinite Indefinite Mag
Service / §34090
Maintenance Management System)
Work
Work Orders / Service Requests -
Division
All Information Entered in CMMS When No When No Preliminary drafts (the
Providing
WTR-027 Database Longer Longer Mag Ppr database is the original); GC
Service /
Required Required §34090
Work
(Paper drafts)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 1
Ver. 6.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS / WATER Page WTR-4

Office of
Retention No. Records Description Retention / Disposition Comments / Reference
Record
Destroy
Image:
Inactive Paper
Active Total Media I=Import
(OFR) (Records Vital? after
(in office) Retention Options M=Mfr
Center) Imaged &
S=Scan
QC'd?
If the record is not listed here, refer to the Retention for City-Wide Standards
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Work Orders / Service Requests -
NOT entered in CMMS Database
Division (or partial information entered into
City Preference; CCP §§338 et
Providing CMMS Database)
WTR-028 5 years 5 years Mag Ppr seq., 340 et seq., 342, GC
Service /
§§945.6, GC §34090
Work (Division providing service retains
originals; Division requesting
service is considered a copy)

LAKEPORT, CA. ©1995-2018 Gladwell Governmental Services, Inc. - all rights reserved
Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Revision Approved:
ATTACHMENT 2

RESOLUTION NO. _____(2019)

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF LAKEPORT


ADOPTING A RECORDS RETENTION SCHEDULE, AND
AUTHORIZING DESTRUCTION OF CERTAIN CITY RECORDS AND RESCINDING
RESOLUTION NO. 2668 (2018)

WHEREAS, the maintenance of numerous records is expensive, slows document


retrieval, and is not necessary after a certain period of time for the effective and efficient
operation of the government of the City of Lakeport; and

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 may
be destroyed; and

WHEREAS, the City of Lakeport has adopted guidelines for retention period for various
government records, which the City previously adopted pursuant to Resolution No. 2651
(2018);

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF LAKEPORT DOES RESOLVE AS
FOLLOWS:

Section 1. Resolution 2668 (2018) is hereby rescinded.

Section 2. The records of the City of Lakeport, 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 Section 34090 et seq. of the Government Code of
the State of California and in accordance with the provision of said schedule upon the request
of the Department Head and with the consent in writing of the City Clerk and City Attorney,
without further action by the City Council of the City of Lakeport.

Section 3. The City Clerk shall certify to the passage and adoption of this resolution and
enter it into the book of original resolutions.

Section 4. This resolution shall become effective immediately upon its passage and
adoption.
ATTACHMENT 2

The foregoing Resolution was passed and adopted at a regular meeting of the City
Council on the 15th day of January, 2019, by the following vote:

AYES:
NOES:
ABSTAINING:
ABSENT:

___________________________________
TIMOTHY BARNES, Mayor
ATTEST:

_______________________________
KELLY BUENDIA, City Clerk
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Approval of an agreement for Professional Services from MEETING DATE: 1/15/19
Community Development Services for Loan Underwriting Services

SUBMITTED BY: Nicholas Walker, Finance Director

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


The City Council is being asked to authorize the City Manager to execute the professional services agreement
with Community Development Services (CDS), for loan underwriting services.

BACKGROUND/DISCUSSION:
The City sent out a request for proposal (RFP) for loan underwriting services for the Community Development
Block Grant (CDBG) Economic Development Allocation, Program Income Business Loan Program, and on call
economic development functions. The RFP was sent to 12 consulting firms, with three responses. The selection
committee selected CDS. CDS has been working with the City of Lakeport on many previous CDBG grants and is
very familiar with the City of Lakeport’s economic development loan program.

OPTIONS:
1. Authorize the City Manager to execute the professional services agreement with CDS, for federal grant
loan underwriting services.
2. Provide staff with direction.

FISCAL IMPACT:
None $50,000 Budgeted Item? Yes No
Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $
Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other: CDBG Grant Funds
Comments:

SUGGESTED MOTIONS:
Move to authorize the City Manager to execute the professional services agreement with CDS, for federal grant
loan underwriting services.

Attachments: 1. Professional services agreement with Community Development Services

Meeting Date: 01/15/2019 Page 1 Agenda Item #IV.G.


Professional Services Agreement
(City of Lakeport /Community Development Services])

PROFESSIONAL SERVICES AGREEMENT FOR CONSULTANT SERVICES


(City of Lakeport / Community Development Services

1. IDENTIFICATION

This PROFESSIONAL SERVICES AGREEMENT (“Agreement”) is entered into as of


the last date indicated below by and between the City of Lakeport, a California municipal
corporation (“City”), and Community Development Services, a California S Corporation
(“Consultant”) (collectively, “parties”).

2. RECITALS

2.1 City has determined that it requires the following professional services from a
consultant: loan underwriting services, general administration tasks, program
marketing, application processes, loan tracking and monitoring.

2.2 Consultant represents that it is fully qualified to perform such professional services
by virtue of its experience and the training, education and expertise of its principals
and employees. Consultant further represents that it is willing to accept
responsibility for performing such services in accordance with the terms and
conditions set forth in this Agreement.

NOW, THEREFORE, for and in consideration of the mutual covenants and conditions herein
contained, City and Consultant agree as follows:

3. DEFINITIONS

3.1 “Scope of Services” means such professional services as are set forth in
Consultant’s November 15th, 2018 proposal to City attached hereto as “Exhibit A”
and fully incorporated herein by this reference.

3.2 “Approved Fee Schedule” means such compensation rates as are set forth in
Consultant’s November 15th, 2018 fee schedule to City attached hereto as “Exhibit
B” and fully incorporated herein by this reference. This fee schedule shall remain
in effect for the duration of this Agreement unless modified in writing by mutual
agreement of the parties.

3.3 “Commencement Date” means January 1st, 2019.

3.4 “Termination Date” means June 30, 2022.

3.5 “City Agreement Administrator” means Margaret Silveira.

3.6 “Consultant Project Administrator” means Jeff Lucas.

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4. TERM

The term of this Agreement shall commence at 12:00 a.m. on the Commencement Date
and shall terminate at 11:59 p.m. on the Termination Date unless extended in writing by mutual
agreement of the parties or terminated earlier in accordance with Section 18 (“Termination”)
below.

5. CONSULTANT’S SERVICES

5.1 Time is of the essence in Consultant’s performance of services under this


Agreement.

5.2 Consultant shall perform the services identified in the Scope of Services. City shall
have the right to request, in writing, changes in the Scope of Services. Any such
changes mutually agreed upon by the parties, and any corresponding increase or
decrease in compensation, shall be incorporated by written amendment to this
Agreement. In no event shall the total compensation and costs payable to
Consultant under this Agreement exceed the sum of fifty thousand dollars
($50,000) unless specifically approved in advance and in writing by City.
Consultant shall notify the City Agreement Administrator, in writing, when fees
and expenses incurred under this Agreement have reached eighty percent (80%) of
the maximum amount payable above. Consultant shall concurrently inform the City
Agreement Administrator, in writing, of Consultant’s estimate of total expenditures
required to complete its current assignments before proceeding, when the
remaining work on such assignments would exceed the maximum amount payable
above.

5.3 Consultant shall perform all work to the highest standards of Consultant’s
profession and in a manner reasonably satisfactory to City. Consultant shall comply
with all applicable federal, state and local laws and regulations, including the
conflict of interest provisions of Government Code Section 1090 and the Political
Reform Act (Government Code Section 81000 et seq.) and other Grant Provisions
.

5.4 Consultant represents that it has advised City in writing prior to the date of signing
this Agreement of any known relationships with third parties, City Council
Members, or employees of City which would (1) present a conflict of interest with
the rendering of services under this Agreement under Government Code
Section 1090, the Political Reform Act (Government Code Section 81000 et seq.),
or other applicable law, (2) prevent Consultant from performing the terms of this
Agreement, or (3) present a significant opportunity for the disclosure of
confidential information.

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5.5 During the term of this Agreement, Consultant shall not perform any work for
another person or entity for whom Consultant was not working at the
Commencement Date if both (i) such work would require Consultant to abstain
from a decision under this Agreement pursuant to a conflict of interest statute and
(ii) City has not consented in writing to Consultant’s performance of such work.

5.6 Consultant represents that it has, or will secure at its own expense, all personnel
required to perform the services identified in the Scope of Services. All such
services shall be performed by Consultant or under its supervision, and all
personnel engaged in the work shall be qualified to perform such services. Jeff
Lucus shall be the Consultant Project Administrator and shall have direct
responsibility for management of Consultant’s performance under this Agreement.
No other person shall serve as Consultant Project Administrator without City’s
prior written consent.

5.7 This Agreement covers professional services of a specific and unique nature.
Except as otherwise provided herein, Consultant shall not assign or transfer its
interest in this Agreement or subcontract any services to be performed without
amending this Agreement.

5.8 Consultant shall be responsible to City for all services to be performed under this
Agreement. All subconsultants shall be approved by the City Agreement
Administrator and their billing rates identified in the Approved Fee Schedule,
Exhibit B. City shall pay Consultant for work performed by its subconsultants
(including labor) only at Consultant’s actual cost plus an approved mark-up as set
forth in the Approved Fee Schedule, Exhibit B. Consultant shall be liable and
accountable for any and all payments, compensation, and federal and state taxes to
all subconsultants performing services under this Agreement. City shall not be
liable for any payment, compensation, or federal and state taxes for any
subconsultants.

5.9 Consultant shall notify the City Agreement Administrator, in writing, of any change
in name, ownership or control of Consultant’s firm or of any subconsultant. Change
of ownership or control of Consultant’s firm may require an amendment to the
Agreement.

5.10 This Agreement is subject to prevailing wage law, for all work performed under the
Agreement for which the payment of prevailing wages is required under the
California Labor Code. In particular, Consultant acknowledges that prevailing
wage determinations are available for the performance of inspection and survey
work.

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6. COMPENSATION

6.1 City agrees to compensate Consultant for the services provided under this
Agreement, and Consultant agrees to accept payment in accordance with the
Approved Fee Schedule in full satisfaction for such services.

6.2 Consultant shall submit to City an invoice, on a monthly basis or less frequently,
for services performed pursuant to this Agreement. Each invoice shall identify the
maximum amount payable above, the services rendered during the billing period,
the amount due for the invoice, and the total amount previously invoiced. All labor
charges shall be itemized by employee name and classification/position with the
firm, the corresponding hourly rate, the hours worked, a description of each labor
charge, and the total amount due for labor charges. City shall not withhold
applicable taxes or other payroll deductions from payments made to Consultant
except as otherwise required by law. Consultant shall include a copy of each
subconsultant invoice for which reimbursement is sought in the invoice.

6.3 The parties agree to meet and confer at mutually agreeable times to resolve any
disputed amounts contained in an invoice submitted by Consultant.

6.4 Payments for any services requested by City and not included in the Scope of
Services may be made to Consultant by City on a time-and-materials basis pursuant
to the Approved Fee Schedule and without amendment of this Agreement, so long
as such payment does not cause the maximum amount payable above to be
exceeded.

7. OWNERSHIP OF WRITTEN PRODUCTS

All reports, documents or other written material, and all electronic files, including
computer-aided design files, developed by Consultant in the performance of this Agreement (such
written material and electronic files are collectively known as “written products”) shall be and
remain the property of City without restriction or limitation upon its use or dissemination by City
except as provided by law. Consultant may take and retain copies of such written products as
desired, but no such written products shall be the subject of a copyright application by Consultant.

8. RELATIONSHIP OF PARTIES

Consultant is, and shall at all times remain as to City, a wholly independent contractor.
Consultant shall have no power to incur any debt, obligation, or liability on behalf of City or
otherwise to act on behalf of City as an agent. Neither City nor any of its agents shall have control
over the conduct of Consultant or any of Consultant’s employees, except as set forth in this
Agreement. Consultant shall not represent that it is, or that any of its agents or employees are, in
any manner employees of City.

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Under no circumstances shall Consultant look to the City as its employer. Consultant shall
not be entitled to any benefits. City makes no representation as to the effect of this independent
contractor relationship on Consultant’s previously earned California Public Employees Retirement
System (“CalPERS”) retirement benefits, if any, and Consultant specifically assumes the
responsibility for making such a determination. Consultant shall be responsible for all reports and
obligations including, but not limited to: social security taxes, income tax withholding,
unemployment insurance, disability insurance, workers’ compensation, and other applicable
federal and state taxes.

9. AGREEMENT ADMINISTRATOR

In performing services under this Agreement, Consultant shall coordinate all contact with
City through its City Agreement Administrator. City reserves the right to change this designation
upon written notice to Consultant. All services under this Agreement shall be performed at the
request of the City Agreement Administrator, who will establish the timetable for completion of
services and any interim milestones.

10. INDEMNIFICATION

10.1 The parties agree that City, its officers, agents, employees and volunteers should,
to the fullest extent permitted by law, be protected from any and all loss, injury,
damage, claim, lawsuit, cost, expense, attorneys’ fees, litigation costs, taxes, or any
other cost arising out of or in any way related to the performance of this Agreement.
Accordingly, the parties intend the provisions of this indemnity provision to be
interpreted and construed to provide the City with the fullest protection possible
under the law. Consultant acknowledges that City would not enter into this
Agreement in the absence of Consultant’s commitment to indemnify and protect
City as set forth herein.

10.2 To the fullest extent permitted by law, Consultant shall indemnify, hold harmless,
and when the City requests with respect to a claim provide a deposit for the defense
of, and defend City, its officers, agents, employees and volunteers from and against
any and all claims, losses, costs and expenses for any damage due to death or injury
to any person, whether physical, emotional, consequential or otherwise, and injury
to any property arising out of or in connection with Consultant’s alleged negligence,
recklessness or willful misconduct or other wrongful acts, errors or omissions of
Consultant or any of its officers, employees, servants, agents, or subcontractors, or
anyone directly or indirectly employed by either Consultant or its subcontractors,
in the performance of this Agreement or its failure to comply with any of its
obligations contained in this Agreement, except such loss or damage which is
caused by the sole active negligence or willful misconduct of the City. Such costs
and expenses shall include reasonable attorneys’ fees due to counsel of City’s
choice, expert fees and all other expenses of litigation. Consultant shall not be

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entitled to any refund of attorneys’ fees, defense costs or expenses in the event that
it is adjudicated to have been non-negligent.

10.3 City shall have the right to offset against any compensation due Consultant under
this Agreement any amount due City from Consultant as a result of Consultant’s
failure to pay City promptly any indemnification arising under this Section 10 of
this Agreement and any amount due City from Consultant arising from
Consultant’s failure either to (i) pay taxes on amounts received pursuant to this
Agreement or (ii) comply with applicable workers’ compensation laws.

10.4 The obligations of Consultant under this Section 10 of this Agreement are not
limited by the provisions of any workers’ compensation or similar statute.
Consultant expressly waives its statutory immunity under such statutes as to City,
its officers, agents, employees and volunteers.

10.5 Consultant agrees to obtain executed indemnity agreements with provisions


identical to those set forth here in Section 10 of this Agreement from each and every
subcontractor or any other person or entity involved by, for, with or on behalf of
Consultant in the performance of this Agreement. If Consultant fails to obtain such
indemnity obligations from others, Consultant agrees to indemnify, hold harmless
and defend City, its officers, agents, employees and volunteers from and against
any and all claims, losses, costs and expenses for any damage due to death or injury
to any person and injury to any property resulting from any alleged intentional,
reckless, negligent, or otherwise wrongful acts, errors or omissions of Consultant’s
subcontractors or any other person or entity involved by, for, with or on behalf of
Consultant in the performance of this Agreement. Such costs and expenses shall
include reasonable attorneys’ fees incurred by counsel of City’s choice.

10.6 City does not, and shall not, waive any rights that it may possess against Consultant
because of the acceptance by City, or the deposit with City, of any insurance policy
or certificate required pursuant to this Agreement. This hold harmless and
indemnification provision shall apply whether or not any insurance policies apply
to a claim, demand, damage, liability, loss, cost or expense.

10.7 In the event that Consultant or any employee, agent, or subcontractor of Consultant
providing services under this Agreement claims or is determined by a court of
competent jurisdiction or CalPERS to be eligible for enrollment in CalPERS as an
employee of the City, Consultant shall indemnify, defend, and hold harmless City
for the payment of any employee and/or employer contributions for CalPERS
benefits on behalf of Consultant or its employees, agents, or subcontractors, as well
as for the payment of any penalties and interest on such contributions, which would
otherwise be the responsibility of City.

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10.8 Notwithstanding any federal, state, or local policy, rule, regulation, law or
ordinance to the contrary, Consultant and any of its employees, agents, and
subcontractors providing service under this Agreement shall not qualify for or
become entitled to, and hereby agree to waive any claims to, any compensation,
benefit, or any incident of employment by City, including but not limited to
eligibility to enroll in CalPERS as an employee of City and entitlement to any
contribution to be paid by City for employer contribution and/or employee
contributions for CalPERS benefits.

11. INSURANCE

11.1 During the term of this Agreement, Consultant shall carry, maintain, and keep in
full force and effect insurance against claims for death or injuries to persons or
damages to property that may arise from or in connection with Consultant’s
performance of this Agreement.

11.2 Any available insurance proceeds broader than or in excess of the specified
minimum Insurance coverage requirements or limits shall be available to City as
an Additional Insured as provided below. Furthermore, the requirements for
coverage and limits shall be the greater of (1) the minimum coverage and limits
specified in this Agreement, or (2) the broader coverage and maximum limits of
coverage of any Insurance policy or proceeds available to the named Insured.

11.3 Insurance required under this Agreement shall be of the types set forth below, with
minimum coverage as described:

11.3.1 Comprehensive General Liability Insurance with coverage limits of not less
than One Million Dollars ($1,000,000) including products and operations
hazard, contractual insurance, broad form property damage, independent
consultants, personal injury, underground hazard, and explosion and
collapse hazard where applicable.

11.3.2 Automobile Liability Insurance for vehicles used in connection with the
performance of this Agreement with minimum limits of One Million
Dollars ($1,000,000) per claimant and One Million dollars ($1,000,000) per
incident.

11.3.3 Worker’s Compensation insurance if and as required by the laws of the State
of California.

11.3.4 Professional Errors and Omissions Insurance with coverage limits of not
less than One Million Dollars ($1,000,000).

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11.4 Consultant shall require each of its subconsultants to maintain insurance coverage
that meets all of the requirements of this Agreement provided however, that the
City Agreement Administrator may waive the provision of Errors and Omissions
Insurance by subconsultants in his or her sole discretion.

11.5 The policy or policies required by this Agreement shall be issued by an insurer
admitted in the State of California and with a rating of at least A:VII in the latest
edition of Best’s Insurance Guide.

11.6 Consultant agrees that if it does not keep the insurance coverages required by this
Agreement in full force and effect, City may either (i) immediately terminate this
Agreement; or (ii) take out the necessary insurance and pay the premium(s) thereon
at Consultant’s expense.

11.7 At all times during the term of this Agreement, Consultant shall maintain on file
with City’s Risk Manager a certificate or certificates of insurance showing that the
required coverages are in effect and naming City and its officers, employees, agents
and volunteers as Additional Insureds. Prior to commencement of work under this
Agreement, Consultant shall file with City’s Risk Manager such certificate(s) and
Forms CG 20 10 07 04 and CG 20 37 07 04 or the substantial equivalent showing
City as an Additional Insured.

11.8 Consultant shall provide proof that policies of insurance required by this Agreement
expiring during the term of this Agreement have been renewed or replaced with
other policies providing at least the same coverage. Such proof will be furnished at
least two weeks prior to the expiration of the coverages.

11.9 The general liability and automobile policies of insurance required by this
Agreement shall contain an endorsement naming City and its officers, employees,
agents and volunteers as Additional Insureds. All of the policies required under this
Agreement shall contain an endorsement providing that the policies cannot be
canceled or reduced except on thirty days’ prior written notice to City. Consultant
agrees to require its insurer to modify the certificates of insurance to delete any
exculpatory wording stating that failure of the insurer to mail written notice of
cancellation imposes no obligation, and to delete the word “endeavor” with regard
to any notice provisions.

11.10 The insurance provided by Consultant shall be primary to any other coverage
available to City. Any insurance or self-insurance maintained by City and/or its
officers, employees, agents or volunteers shall be in excess of Consultant’s
insurance and shall not contribute with it.

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11.11 All insurance coverage provided pursuant to this Agreement shall not prohibit
Consultant, and Consultant’s employees, agents or subcontractors, from waiving
the right of subrogation prior to a loss. Consultant hereby waives all rights of
subrogation against the City.

11.12 Any deductibles or self-insured retentions must be declared to and approved by the
City. At the option of City, Consultant shall either reduce or eliminate the
deductibles or self-insured retentions with respect to City, or Consultant shall
procure a bond in the amount of the deductible or self-insured retention to guarantee
payment of losses and expenses.

11.13 Procurement of insurance by Consultant shall not be construed as a limitation of


Consultant’s liability or as full performance of Consultant’s duties to indemnify,
hold harmless and defend under Section 10 of this Agreement.

11.14 Consultant may be self-insured under the terms of this Agreement only with express
written approval from the City.

11.14.1 All self-insured retentions (SIR) must be disclosed to the City for approval
and shall not reduce the limits of liability.

11.14.2 Policies containing any SIR provision shall provide or be endorsed to


provide that the SIR may be satisfied by either the named Insured or the
City.

11.15 City reserves the right to obtain a full certified copy of any Insurance policy and
endorsements. Failure to exercise this right shall not constitute a waiver of the right
to exercise later.

12. MUTUAL COOPERATION

12.1 City shall provide Consultant with all pertinent data, documents and other requested
information as is reasonably available for the proper performance of Consultant’s
services under this Agreement.

12.2 If any claim, action, or proceeding is brought against City relating to Consultant’s
performance in connection with this Agreement, Consultant shall render any
reasonable assistance that City may require in the defense of that claim, action, or
proceeding.

13. CONFIDENTIALITY

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All data, documents, discussion, or other information developed or received by Consultant


or provided for performance of this Agreement are deemed confidential and shall not be disclosed
by Consultant without prior written consent by City. City shall grant such consent if disclosure is
legally required. Upon request, all City data shall be returned to City upon the termination or
expiration of this Agreement.

14. RECORDS AND INSPECTIONS

Consultant shall maintain any and all ledgers, books of account, invoices, vouchers,
canceled checks, and other records or documents evidencing or relating to charges for services or
expenditures and disbursements charged to City under this Agreement for a minimum of three (3)
years, or for any longer period required by law, from the date of final payment to Consultant under
this Agreement. All such documents shall be made available for inspection, audit, and/or copying
at any time during regular business hours, upon oral or written request of City. City shall further
have the right to make transcripts therefrom and to inspect all program data, documents,
proceedings, and activities.

In addition, pursuant to Government Code Section 8546.7, if the amount of public funds
expended under this Agreement exceeds ten thousand dollars, all such documents and this
Agreement shall be subject to the examination and audit of the State Auditor, at the request of City
or as part of any audit of City, for a period of three (3) years after final payment under the
Agreement.

15. PERMITS AND APPROVALS

Consultant shall obtain, at its sole cost and expense, all permits and regulatory approvals
necessary for Consultant’s performance of this Agreement. This includes, but shall not be limited
to, professional licenses, encroachment permits and building and safety permits and inspections.

16. NOTICES

Any notices, bills, invoices, or reports required by this Agreement shall be deemed received
on: (i) the day of delivery if delivered by hand, facsimile or overnight courier service during
Consultant’s and City’s regular business hours; or (ii) on the third business day following deposit
in the United States mail if delivered by mail, postage prepaid, to the addresses listed below (or to
such other addresses as the parties may, from time to time, designate in writing).

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If to City: If to Consultant:

Margaret Silveira Jeff Lucas


Community Development Services
City Manager 3895 Main St.
225 Park St. Kelseyville, CA 95451
Lakeport, CA 95453 Telephone: (707) 279-1540
Telephone: (707) 263-5615
Facsimile: (707) 263-8584

With courtesy copy to:

David J. Ruderman, City Attorney


Colantuono, Highsmith & Whatley, PC
420 Sierra College Drive, Suite 140
Grass Valley, California 95945-5091
Telephone: (530) 432-7357
Facsimile: (530) 432-7356

17. SURVIVING COVENANTS

The parties agree that the covenants contained in Section 10, Section 13, Paragraph 12.2
and Section 14 of this Agreement shall survive the expiration or termination of this Agreement.

18. TERMINATION

18.1 City may terminate this Agreement for any reason on five calendar days’ written
notice to Consultant. Consultant may terminate this Agreement for any reason on
thirty calendar days’ written notice to City. Consultant agrees to cease all work
under this Agreement on or before the effective date of any notice of termination.
All City data, documents, objects, materials or other tangible things shall be
promptly returned to City upon the termination or expiration of this Agreement.

18.2 If City terminates this Agreement due to no fault or failure of performance by


Consultant, then Consultant shall be paid based on the work satisfactorily
performed at the time of termination. In no event shall Consultant be entitled to
receive more than the amount that would be paid to Consultant for the full
performance of the services required by this Agreement as provided in Section 5.2
above and as otherwise provided in this Agreement.

19. GENERAL PROVISIONS

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Professional Services Agreement
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19.2. Consultant shall not delegate, transfer, subcontract or assign its duties or rights
hereunder, either in whole or in part, without City’s prior written consent, and any
attempt to do so shall be void and of no effect. City shall not be obligated or liable
under this Agreement to any party other than Consultant.

19.3. In the performance of this Agreement, Consultant shall not discriminate against any
employee, subcontractor, or applicant for employment because of race, color, creed,
religion, sex, marital status, sexual orientation, national origin, ancestry, age,
physical or mental disability, medical condition or any other unlawful basis.

19.4. The captions appearing at the commencement of the sections hereof, and in any
paragraph thereof, are for convenience in reference to this Agreement. Should there
be any conflict between such heading, and the section or paragraph thereof at the
head of which it appears, the section or paragraph shall govern construction of this
Agreement. Masculine or feminine pronouns shall be substituted for the neuter
form and vice versa, and the plural shall be substituted for the singular and vice
versa, in any place or places herein in which the context requires such
substitution(s).

19.5. The waiver by City or Consultant of any breach of any term, covenant or condition
herein contained shall not be deemed to be a waiver of any other term, covenant or
condition or of any subsequent breach of the same or any other term, covenant or
condition herein contained. No term, covenant or condition of this Agreement shall
be deemed to have been waived by City or Consultant unless in writing signed by
one authorized to bind the party to be charged with the waiver.

19.6. Consultant shall not be liable for any failure to perform if Consultant presents
acceptable evidence, in City’s sole judgment, that such failure was due to causes
beyond the control and without the fault or negligence of Consultant.

19.7. Each right, power and remedy provided for herein or now or hereafter existing at
law, in equity, by statute, or otherwise shall be cumulative and shall be in addition
to every other right, power, or remedy provided for herein or now or hereafter
existing at law, in equity, by statute, or otherwise. The exercise, the commencement
of the exercise, or the forbearance from the exercise by any party of any one or
more of such rights, powers or remedies shall not preclude the simultaneous or later
exercise by such party of any or all of such other rights, powers or remedies. If legal
action shall be necessary to enforce any term, covenant or condition contained in
this Agreement, the party prevailing in such action, whether or not reduced to
judgment, shall be entitled to its reasonable court costs, including any accountants’
and attorneys’ fees expended in the action. The venue for any litigation shall be
Lake County, California and Consultant hereby consents to jurisdiction in Lake

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Professional Services Agreement
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County for purposes of resolving any dispute or enforcing any obligation arising
under this Agreement.

19.8. If any term or provision of this Agreement or the application thereof to any person
or circumstance shall, to any extent, be invalid or unenforceable, then such term or
provision shall be amended to, and solely to the extent necessary to, cure such
invalidity or unenforceability, and in its amended form shall be enforceable. In such
event, the remainder of this Agreement, or the application of such term or provision
to persons or circumstances other than those as to which it is held invalid or
unenforceable, shall not be affected thereby, and each term and provision of this
Agreement shall be valid and be enforced to the fullest extent permitted by law.

19.9. This Agreement shall be governed and construed in accordance with the laws of the
State of California.

19.10. All documents referenced as exhibits in this Agreement are hereby incorporated
into this Agreement. In the event of any material discrepancy between the
provisions of this Agreement and those of any document incorporated herein by
reference, the provisions of this Agreement shall prevail. This instrument contains
the entire Agreement between City and Consultant with respect to the transactions
contemplated herein. No other prior oral or written agreements are binding upon
the parties. Amendments hereto or deviations herefrom shall be effective and
binding only if made in writing and executed on behalf of the City and Consultant.

19.11. Consultant shall not discriminate against any employee or applicant for
employment because of race, sex (including pregnancy, childbirth, or related
medical condition), creed, national origin, color, disability as defined by law,
disabled veteran status, Vietnam veteran status, religion, age (40 and above),
medical condition (cancer-related), marital status, ancestry, or sexual orientation.
Consultant shall take affirmative action to ensure that applicants are employed, and
that employees are treated during employment without regard to race, sex
(including pregnancy, childbirth, or related medical condition), creed, national
origin, color, disability as defined by law, disabled veteran status, Vietnam veteran
status, religion, age (40 and above), medical condition (cancer-related), marital
status, ancestry, or sexual orientation. Such action shall include, but not be limited
to, the following: employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; or in terms, conditions or privileges of employment, and selection
for training, Consultant agrees to post in conspicuous places, available to
employees and applicants for employment, the provisions of this nondiscrimination
clause.

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166291.2
Professional Services Agreement
(City of Lakeport /Community Development Services])

TO EFFECTUATE THIS AGREEMENT, the parties have caused their duly authorized
representatives to execute this Agreement as of the last date indicated below:

“City” “Consultant”
[insert name]

By___________________________ By:_______________________________
Margaret Silveira, City Manager Jeff Lucas, Principal

Date:______________________ Date:_________________________

Attest:

By
Kelly Buendia, City Clerk

Date:_______________________

Approved as to form:

By__________________________________
David J. Ruderman, City Attorney

Date: __________________________

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166291.2
"Exhibit A" Scope of Work

Description of process/approach to be used in providing the services described in RFP Scope


of Work:

BUSINESS LOAN PROGRAMS

General Administration Tasks Specific to CDBG Business Loan Program Implementation

a. CDS will prepare the set up and completion forms for each loan as required by
HCD. These forms will then be provided to the administrative entity selected by
the City.

b. CDS will make recommendations to the City regarding the establishment and/or
utilization of a loan committee and then facilitate the implementation of the
City's decision regarding this committee. CDS has advised a variety of county,
city and nonprofit entities regarding the composition, responsibilities, and
appropriate size of public business loan program committees. We would
recommend that the City establish a five-member loan committee, made up of
members of the City administrative staff, a member of the business community,
a member at large, and a local bank representative. CDS will provide the
committee with information regarding fundamental underwriting as well as
CDBG specific underwriting requirements to prepare the committee. CDS will
also prepare the loan proposals and in cooperation with city staff, prepare the
meeting agendas, and meeting minutes.

c. CDS will perform all activities in accordance with HCD CDBG ED program
guidelines and requirements.

d. CDS will provide, in cooperation with the City staff, ongoing liaison and advocacy
on the City's behalf with the CDBG ED program field representatives, the
program manager, and the program economic development consultant,
regarding all CDBG issues. CDS will coordinate this activity with City staff. We
will also act as an interpreter and advocate on behalf of our client and the loan
applicants and recipients. We have a long-term relationship with the CDBG ED
representatives based on experience, capacity, and trust.

e. CDS will assist the City with implementing the program by providing routine
updates on program changes and interpretations, as well as by being responsive
to specific questions posed by city staff by email or telephone. We acknowledge
that the CDBG ED program is often complex and counterintuitive; therefore, we
make a practice of daily communication with HCD staff. Whenever we are
unclear, we contact staff for discussion and determination. We will continue this
practice and include the City of Lakeport in our CDBG consultation network. On

3
another level, as business lenders we have a good deal of experience with
assisting small and medium sized businesses. We often provide technical
assistants to prospective borrowers, thus improving their debt service capacity.

This work will require close coordination with City staff and HCD staff. We
expect this function to be efficiently fulfilled based on our past experience with
HCD. Our work will be based on accepted timelines, and an understanding and
agreement on reporting responsibilities.

CDS prepares all loan files in accordance with established business loan practices
and in compliance with HCD CDBG program requirements. We will prepare all
the necessary loan and CDBG compliance documentation, keeping copies of the
files for day to day reference and reporting. The original loan agreements and all
support documentation will be kept in a fire proof safe with the City for
reference and legal purposes. It should be noted that CDS uses LaserPro® loan
closing documents, which are the commercial industry standard.

f. After termination of the City contract, CDS will provide to the City all documents
we have prepared on behalf of the City in an orderly fashion to ensure the
proper transition of files and communication with the CDBG grant administrative
entity selected by the city.

4
Activity Delivery Functions Specific to the Business Loan Program

Program Marketing

a. CDS routinely works with both the private and public sectors in order to facilitate
and implement cost effective services on behalf of local small businesses and
prospective borrowers. The most efficient marketing program is based on
networking and word of mouth with loan application and program reference
material being available at the local level through the local banks. CDS will
provide information to the job training office, and Chamber of Commerce as
well. Referrals will be made from these sources.

b. CDS will cultivate the program network as described above in order to market
the program throughout City of Lakeport. CDS will meet regularly with local bank
staff to market the City's loan program and search out referrals and companion
loans. The face-to-face meetings will be followed up with telephone contacts to
bank commercial loan department contacts. CDS staff will participate in
providing loan program workshops. CDS will also work closely with City staff to
advise potential borrowers of the availability of business loan funds, provide
information as needed, and pursue potential deals as appropriate.

c. CDS will review and assist applicants with the loan application process and as
early on in the process as practicable, advise the applicant of the credit
worthiness of the application and the potential fit with the CDBG business loan
program. If the loan makes sense, we will package the loan and carry it forward.

d. Whenever possible CDS will refer applicants to local appropriate service


providers when more work is necessary to prepare the applicant for future
consideration.

The very best way to market this program is to successfully complete a loan that
works for the City, the business, and the State. And then do another loan that
works. It is the business community that will market the program for us if we do
our jobs properly.

Application Process

a. CDS has two offices. Our primary office is located at 3895 Main Street,
Kelseyville CA 95451. This location is convenient for applicants to meet with us
and for us to use as our staging area for site visits to the city and businesses.

b. CDS will work with State CDBG staff to confirm CDBG eligibility based on job
creation/retention potential and other criteria, maintain documentation, and
perform tracking of job creation and public benefit. CDS has processed over 400

5
CDBG ED business loans over the past 25 years which have required ongoing
communication and problem solving with HCD staff. CDS will continue to
practice this method of open communication with HCD staff as needed.

c. CDS analyzes every loan application utilizing the fundamental five Cs of credit
analysis to determine creditworthiness. This assessment includes running a
credit check on each applicant with over 20% ownership of the business.

d. CDS will use standard underwriting criteria in conjunction with CDBG ED overlay
requirements during the underwriting process. The overlays include the CDBG
Business Loan Policies and Procedures approved by HCD and the city council as
part of the grant application package.

e. CDS interviews the applicant, visits the business site, gathers the necessary
documentation, analyzes the information, prepares the loan proposal, presents
the loan proposal, documents the loan decision, prepares the additional
necessary supporting documentation, prepares the loan proposal for loan
committee consideration, and provides the proposal to city staff. The loan
proposal contains narrative and financial analysis designed to provide the loan
committee with adequate information in order to determine the viability and
eligibility of the loan.

f. CDS will arrange the loan committee meetings (prep agenda, loan proposal) as
described above in section 1. C., present the proposal to the committee, if
approved, complete the HCD approval process, prepare the loan closing
documents and title instructions, define the drawdown funding amount, assist
with funds disbursement, and report to the City and the loan committee
regarding job creation fulfillment.

Loan Documentation

a. CDS uses LaserPro® loan closing documentation software, the commercial loan
industry standard. All loan conditions are reviewed by the loan committee and
HCD staff for appropriateness. Hard copy originals of all loan closing documents
will be provided for review by City staff.

b. CDS follows appropriate program underwriting criteria and analysis for each loan
using the appropriate CDBG Economic Development Business Loan Review
Checklist to ensure compliance with CDBG Federal overlay requirements,
National Objectives, Public Benefit and underwriting requirements. CDS
participates in the development CDBG underwriting criteria and utilizes the HCD
CDBG ED loan checklist on a routine basis.

6
c. CDS, in accordance with HCD criteria, will submit the loan checklist and loan
amount to the city for drawdown purposes.

d. CDS will utilize LaserPro® documents and CDBG public benefit documentation in
accordance with the loan conditions of each approved loan. These include
promissory note, business loan agreement, deed of trust, UCC filings and other
loan and loan closing documents required, utilizing industry standard documents
that are CDBG-compliant.

e. CDS will provide specific escrow instructions based on the conditions set by the
loan committee and HCD staff after the preliminary title search is completed and
the loan has been approved.

f. CDS will communicate with the title company throughout the process. We often
utilize Fidelity National Title Company as they are experienced with CDBG
lending practices.

g. When we are able to arrange a companion loan, we will coordinate the issues of
security, disbursement, and use of funds with the participating lender. CDS is an
experienced lender, we prefer companion loans with local banks because we can
share risk and spread our resources further.

Tracking and Monitoring

a. During the length of the contract, CDS will routinely maintain loan files and
perform required post loan funding tasks including monitoring the on-going
viability of the borrowers, including recommendations for action if necessary;
monitoring and documentation of job creation/retention as required; periodic
site visits (at least once per year) to verify availability and condition of collateral,
examine business records and procedures, and offer assistance. This work will
conclude at the end of the grant period.

b. CDS has experienced many grant monitoring site visits and grant close outs. We
will work with HCD staff to make the necessary preparations and assist City staff
to insure the close out occurs properly. CDS will prepare in advance of the actual
monitoring by providing accurate and complete documentation in accordance
with HCD standards. We will identify and correct any gaps and assist in scheduling
the monitoring. CDS staff will be present during the monitoring. CDS will work
with the CDBG grant administrative entity to draft any follow up or response
information needed as a result of the monitoring.

7
“EXHIBIT B”
APPROVED FEE SCHEDULE
We are proposing our standard hourly rate for services to be provided at $125 an hour. This rate
includes all reproduction, supplies, and related costs. We do not bill for travel time. We estimate
that a total of 400 hours for our time would be required during the term of the grant and
agreement. The total estimate of cost based on the CDBG loan amount of $404,449 is $50,000.

B-1
166291.2
“EXHIBIT C”
GRANT PROVISIONS

Department of Housing and Community Development Required Contract Language

For this Exhibit, the term “contractor” is defined as a party to a signed contract.

FEDERAL TERMS AND CONDITIONS:

During the performance of the contract, the Contractor must agree to comply with all applicable Federal laws and
regulations including but not limited to the following:

AFFIRMATIVE ACTION:

The work to be performed under this contract is on a project assisted under a program providing direct federal
financial assistance from the United States Department of Housing and Urban Development (HUD) and subject to 24
CFR 85.36(e). CITY hereby notifies all bidders that it will affirmatively insure that in any contract entered into
pursuant to this advertisement, disadvantaged, minority and women's business enterprises will be afforded full
opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race,
color, religious creed, sex, or national origin in consideration for an award. Minority and women-owned
a n d operated b u s i n e s s e s encouraged to apply.

SECTION 3:

The work to be performed under this contract is on a project assisted under a program providing direct federal financial
assistance from the HUD, Community Development Block Grant Program, and is subject to the requirements of Section 3
of the Housing and Urban Development Act of 1968, as amended, 12 USC 1701u. Section 3 requires that to the
greatest extent feasible opportunities for training and employment be given to low and moderate income persons
residing within the project area and that the contracts for work in connection with the project be awarded to eligible
business concerns which are located in, or owned in substantial part by persons residing in the area of the project.
Regulations for implementing the Section 3 clause are contained in 24 CFR 135, as amended, and as specified in the
project specifications.

NON-DISCRIMINATION CLAUSE:

During the performance of this Agreement, Contractor and its subcontractors shall not unlawfully discriminate,
harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry,
religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition
(e.g., cancer), age (over 40), marital status, and denial of family care leave. Contractor and subcontractors shall
insure that the evaluation and treatment of their employees and applicants for employment are free from such
discrimination and harassment. Contractor and subcontractors shall comply with the provisions of the Fair
Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the applicable regulations promulgated
thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair
Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5
of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Agreement by reference and
made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their
obligations under this clause to labor organizations with which they have a collective bargaining or other
Agreement.

Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to
perform work under the Agreement.

166291.2
Professional Services Agreement
(City of Lakeport / [Company or Individual])

EQUAL OPPORTUNITY:

During the performance of this Contract, the Contractor agrees as follows:

1. The Contractor with comply with Executive Order 11246 of September 24, 1965 entitled Equal Employment
Opportunity as amended by Executive Order 11375 of October 1967 as supplemented in Department of
Labor regulations (41 CFR chapter 60).

2. The Contractor will not discriminate against any employee or applicant for employment because of race, color,
religion, sex, or national origin. The Contractor will take affirmative action to ensure that applicants are
employed and that employees are treated equally during employment, without regard to race, color, religion,
sex, or national origin. Such action shall include, but not be limited to, the following: employment
upgrading, demotion, transfer, recruitment, or recruitment advertising; layoff or termination; rates of
pay or other forms of compensation; and selection for training including apprenticeship. The Contractor
agrees to post in conspicuous places, available to employees and applicants for employment, notices to be
provided by the City Setting forth the provisions of this nondiscrimination clause.

3. The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the
Contractor, state that all qualified applicants will receive consideration for employment without regard to
their race, color, religion, sex, or national origin.

4. The Contractor will send to each labor union or representative of workers with which he has a collective
bargaining agreement or other contract or understanding, a notice, to be provided by the agency contracting
officer, advising the labor union or workers' representative of the contractor's commitments under Section
202 of Executive Order No. 11246 of September 24, 1965, and shall post copies of the notice in conspicuous
places available to employees and applicants for employment.

5. The Contractor will furnish all information and reports required by Executive Order No. 11246 of September
24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will
permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for
purposes of investigation to ascertain compliance with such rules, regulations, and orders.

6. In the event of the Contractor's noncompliance with the nondiscrimination clauses of this contract or
with any of such rules, regulations, or orders, this contract may be cancelled, terminated or suspended in
whole or in part and the contractor may be declared ineligible for further Government contracts in
accordance with procedures authorized in Executive Order No.11246 of Sept. 24, 1965, and such other
sanctions may be imposed and remedies invoked as provided in Executive Order No.11246 of
September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by
law.

7. The Contractor will include the provisions of paragraphs (1) through (7) in every
subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued
pursuant to Section 204 of Executive Order No. 11246 of September 24,1965, so that such provisions will be
binding upon each subcontractor or vendor. The contractor will take such action with respect to any
subcontract or purchase order as may be directed by the Secretary of Labor as a means of enforcing such
provisions including sanctions for noncompliance: Provided, however, that in the event the contractor
becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such
direction, the contractor may request the United States to enter into such litigation to protect the interests of

166291.2
Professional Services Agreement
(City of Lakeport / [Company or Individual])

the United States.

8. The Contractor shall file, and shall cause each of his subcontractors to file, Compliance Reports with the
contracting agency or the Secretary of Labor as may be directed. Compliance Reports shall be filed within
such times and shall contain such information as to the practices, policies, programs, and employment
policies, programs, and employment statistics of the contractor and each subcontractor, and shall be in such
form, as the Secretary of Labor may prescribe.

9. Bidders or prospective contractors or subcontractors may be required to state whether they have
participated in any previous contract subject to the provisions of this Order, or any preceding similar
Executive order, and in that event to submit, on behalf of themselves and their proposed subcontractors,
Compliance Reports prior to or as an initial part of their bid or negotiation of a contract.

10. Whenever the Contractor or subcontractor has a collective bargaining agreement or other Contract or
understanding with a labor union or an agency referring workers or providing or supervising apprenticeship
or training for such workers, the Compliance Report shall include such information as to such labor union's or
agency's practices and policies affecting compliance as the Secretary of Labor may prescribe: Provided, That to
the extent such information is within the exclusive possession of a labor union or an agency referring
workers or providing or supervising apprenticeship or training and such labor union or agency shall refuse to
furnish such information to the contractor, the contractor shall so certify to the Secretary of Labor as part of
its Compliance Report and shall set forth what efforts he has made to obtain such information.

11. The Secretary of Labor may direct that any bidder or prospective contractor or subcontractor shall submit, as
part of his Compliance Report, a statement in writing, signed by an authorized officer or agent on behalf of
any labor union or any agency referring workers or providing or supervising apprenticeship or other
training, with which the bidder or prospective contractor deals, with supporting information, to the
effect that the signer's practices and policies do not discriminate on the grounds of race, color, religion, sex or
national origin, and that the signer either will affirmatively cooperate in the implementation of the
policy and provisions of this order or that it consents and agrees that recruitment, employment, and the
terms and conditions of employment under the proposed contract shall be in accordance with the purposes
and provisions of the order. In the event that the union or the agency shall refuse to execute such a
statement, the Compliance Report shall so certify and set forth what efforts have been made to secure
such a statement and such additional factual material as the Secretary of Labor may require.

12. The Contractor will cause the foregoing provisions to be inserted in all subcontracts for work covered by
this Agreement so that such provisions will be binding upon each subcontractor, provided that the foregoing
provisions shall not apply to contracts or subcontracts for standard commercial supplies or raw materials.

CONFLICT OF INTEREST OF MEMBERS, OFFICERS, OR EMPLOYEES OF CONTRACTORS,


MEMBERS OF LOCAL GOVERNING BODY, OR OTHER PUBLIC OFFICIALS:

Pursuant to 24 CFR 570.611, no member, officer, or employee of the Grantee, or its designees or agents, no member
of the governing body of the locality in which the program is situated, and no other public official of such locality or
localities who exercise or have exercised any functions or responsibilities with respect to CDBG activities assisted
under this part, or who are in a position to participate in a decision-making process or gain inside information with
regard to such activities, may obtain a financial interest or benefit from a CDBG-assisted activity, or have a financial
interest in any contract, subcontract or agreement with respect to a CDBG-assisted activity or its proceeds, either for
themselves or those with whom they have business or immediate family ties, during their tenure or for one (1) year
thereafter. The Grantee shall incorporate, or cause to be incorporated, in all such contracts or subcontracts a

166291.2
Professional Services Agreement
(City of Lakeport / [Company or Individual])

provision prohibiting such interest pursuant to the purposes of this Section.

INSURANCE:

Maintenance, if so required by law, unemployment insurance, disability insurance and liability insurance, which is
reasonable to compensate any person, firm, or corporation, who may be injured or damaged by the contractor, or any
subcontractor in performing the grant activity(ies) or any part of it.

DISADVANTAGED/MINORITY/WOMEN BUSINESS ENTERPRISE FEDERAL REGULATORY


REQUIREMENTS UNDER 24 CFR 85.36(e):

The Contractor will take all necessary affirmative steps to assure that minority firms, women's business
enterprises, and labor surplus area firms are used when possible.

1. Affirmative steps shall include:

i. Placing qualified small and minority businesses and women's business enterprises on solicitation lists;

ii. Assuring that small and minority businesses, and women's business enterprises are solicited whenever
they are potential sources;

iii. Dividing total requirements, when economically feasible, into smaller tasks or quantities to
permit maximum participation by small and minority business, and women's business enterprises;

iv. Establishing delivery schedules, where the requirement permits, which encourage participation by
small and minority business, and women's business enterprises;

v. Using the services/assistance of the Small Business Administration (SBA), and the Minority Business
Development Agency (MBDA) of the Department of Commerce.

COPELAND “ANTI-KICKBACK” ACT (18 U.S.C. 874):

Contractor shall comply with the Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in
Department of Labor regulations (29 CFR Part 3).

COMPLIANCE WITH ALL FEDERAL LABOR STANDARD PROVISIONS:

Contractor shall comply with all provisions contained in the form HUD-4010, Federal Labor Standards Provisions.

COMPLIANCE WITH SECTIONS 103 AND 107 OF THE CONTRACT WORK HOURS AND
SAFETY STANDARDS ACT (40 U.S.C. 327-330):

Contractor will comply with Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40
U.S.C. 327-330) as supplemented by Department of Labor regulations (29 CFR part 5). Requires the contracting
officer to insert the clauses set forth in 29 CFR part 5, Construction contracts awarded by grantees and
subgrantees in excess of $2000, and in excess of $2500 for other contracts which involve the employment of
mechanics or laborers)

REQUIREMENTS AND REGULATIONS PERTAINING TO DATA AND DESIGN:

166291.2
Professional Services Agreement
(City of Lakeport / [Company or Individual])

All data and design and engineering work created under this Agreement shall be owned by the City and shall not be
subject to copyright protection. The rights to any invention which is developed in the course of this Agreement
shall be the property of the City.

REQUIREMENTS AND REGULATIONS PERTAINING TO REPORTING:

The City, State CDBG, HUD and the Comptroller General of the United States or any of their duly authorized
representatives shall be granted access to any books, documents, papers and records of Contractor which are directly
pertinent the contract.

COMPLIANCE WITH CLEAN AIR ACT AND CLEAN WATER ACT:

Contractor shall comply with all applicable standards, orders and requirements issued under Section 306 of the Clean
Air Act (42 U.S.C. 1857(h).
1. Contractor shall comply with all applicable standards, orders and requirements issued under Section 508 of the
Clean Air Act (33 U.S.C. 1368).
2. Contractor shall comply with Executive Order 11738 and Environmental Protection Agency
regulations (40 CFR Part 15).

COMPLIANCE WITH ENERGY POLICY AND CONSERVATION ACT (Pub. L. 94-163, 89 Stat. 871):

The Contractor shall comply with the mandatory standards and policies relating to energy efficiency which are contained
in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163,89
Stat. 871).

D/MBE/WBE IMPLEMENTATION GUIDELINES:

The following information, as applicable, shall be retained by Contractor and produced upon request by General Services if
determined by General Services to be necessary to establish the bidder's "good faith efforts" to meet the
Disadvantaged/Minority/Women Business Enterprise (D/M/WBE) requirements.

1. The names and dates of advertisement of each newspaper, trade paper, and minority- focus paper in which a
request for D/M/WBE participation for this project was placed by the bidder.

2. The names and dates of notices of all certified D/M/WBEs solicited by direct mail for this project and the dates
and methods used for following up initial solicitations to determine with certainty whether the D/M/WBEs were
interested.

3. The items of work for which the bidder requested subbids or materials to be supplied by D/M/WBEs, the
information furnished interested D/M/WBEs in the way of plans, specifications and requirements for the
work, and any breakdown of items of work into economically feasible units to facilitate D/M/WBE
participation. Where there are D/M/WBEs available for doing portions of the work normally performed by the
bidder with his own forces, the bidder will be expected to make portions of such work available for D/M/WBEs
to bid on.

4. The names of D/M/WBEs who submitted bids for any of the work indicated in (3) above, which were
not accepted, a summary of the bidder's discussions and/or negotiations with them, the name of the
subcontractor or supplier that was selected for that portion of work, and the reasons for the bidder's
choice. If the reason for rejecting the D/M/WBE bid was price, give the price bid by the rejected D/M/WBE

166291.2
Professional Services Agreement
(City of Lakeport / [Company or Individual])

and the price bid by the selected subcontractor or supplier.

5. Assistance that the bidder has extended to D/M/WBEs identified in (4) above to remedy the deficiency in their
sub-bids.

6. To find a D/M/WBE certified firm, you may call (916) 445-3520, go on-line to: http://www.dot.ca.eov/hq/bep,
or via mail at: D/M/WBE Listing for County, CalTrans - Publications Distribution Unit, 1900 Royal Oaks,
Sacramento, CA 95815-3800.

AUDIT, RETENTION AND INSPECTION OF RECORDS:

The Contractor agrees that the City, the Department of Housing and Community Development, the Federal
Department of Housing and Urban Development (HUD), or its designee will have the right to review, obtain, and
copy all records pertaining to performance of this Agreement. The Contractor agrees to provide any relevant
information requested and shall permit the City, the Department of Housing and Community Development, the
Federal Department of Housing and Urban Development (HUD), or its designee access to its premises, upon
reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and
copying such books, records, accounts, and other material that may be relevant to a matter under investigation for
the purpose of determining compliance with California Public Contract Code (PCC) Section 10115 et seq.,
Government Code (GC) Section 8546.7 and 2 CCR 1896.60 et seq.

The Contractor further agrees to maintain such records for a period of five (5) years after final payment under this
Agreement or the resolution of any audit or lawsuit, whichever is later, and that on or before the end of the five (5)
year audit/retention period, the Consultant shall release and deliver to the City all original records and related
documentation.

166291.2
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
Approval of an agreement for Professional Services from Adams
RE: MEETING DATE: 1/15/2019
Ashby Group LLC for Grant Administration

SUBMITTED BY: Nicholas Walker, Finance Director

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


The City Council is being asked to authorize the City Manager to execute the professional services agreement
with Adams Ashby Group LLC, for federal grant administration.

BACKGROUND/DISCUSSION:
The City sent out a request for proposal (RFP) for loan underwriting services for the Community Development
Block Grant (CDBG) Economic Development Allocation, Program Income Business Loan Program, and on call
economic development functions. The RFP was sent to 12 consulting firms, with three responses. The selection
committee selected Adams Ashby. Lorie Adams of Adams Ashby Group has been assisting the City with the
writing and implementation of various federal grant applications and administration over the years. Adams has
had a contract with the City to provide grant writing and implementation services which has expired. Adams’s
experience with federal applications and administration are needed to make sure the City is complying with all
the federal regulations, documentation, Federal and State labor compliance, and ongoing administration of
federal awards. Adams also facilitates between the City, granting agencies, loan underwriters, Contract
Engineering and any additional contractors involved in the water and sewer projects, to make sure all parties are
complying with federal standards and regulations.

OPTIONS:
1. Authorize the City Manager to execute the professional services agreement with Adams Ashby Group
LLC, for federal grant administration.
2. Provide staff with direction.

FISCAL IMPACT:
None $100,000 Budgeted Item? Yes No
Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $
Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other: Various Grant Funds
Comments:

SUGGESTED MOTIONS:
Meeting Date: 01/15/2019 Page 1 Agenda Item #IV.H.
Move to Authorize the City Manager to execute the professional services agreement with Adams Ashby Group
LLC, for federal grant administration.

Attachments: 1. Professional services agreement with Adams Ashby Group LLC

Meeting Date: 01/15/2019 Page 2 Agenda Item #IV.H.


ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

PROFESSIONAL SERVICES AGREEMENT FOR CONSULTANT SERVICES


(City of Lakeport / Adams Ashby Group, Inc.)

1. IDENTIFICATION

This PROFESSIONAL SERVICES AGREEMENT (“Agreement”) is entered into as of


the last date indicated below by and between the City of Lakeport, a California municipal
corporation (“City”), and Adams Ashby Group, a California liability company (“Consultant”)
(collectively, “parties”).

2. RECITALS

2.1 City has determined that it requires the following professional services from a
consultant: Administrative and Labor Compliance support services for federal
awards.

2.2 Consultant represents that it is fully qualified to perform such professional services
by virtue of its experience and the training, education and expertise of its principals
and employees. Consultant further represents that it is willing to accept
responsibility for performing such services in accordance with the terms and
conditions set forth in this Agreement.

NOW, THEREFORE, for and in consideration of the mutual covenants and conditions herein
contained, City and Consultant agree as follows:

3. DEFINITIONS

3.1 “Scope of Services” means such professional services as are set forth in
Consultant’s November 2018 proposal to City attached hereto as “Exhibit A” and
fully incorporated herein by this reference.

3.2 “Approved Fee Schedule” means such compensation rates as are set forth in
Consultant’s November 2018 schedule to City attached hereto as “Exhibit B” and
fully incorporated herein by this reference. This fee schedule shall remain in effect
for the duration of this Agreement unless modified in writing by mutual agreement
of the parties.

3.3 “Commencement Date” means January 1st, 2019.

3.4 “Termination Date” means June 30, 2023.

3.5 “City Agreement Administrator” means Margaret Silveira.

3.6 “Consultant Project Administrator” means Lorie Adams.

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

4. TERM

The term of this Agreement shall commence at 12:00 a.m. on the Commencement Date
and shall terminate at 11:59 p.m. on the Termination Date unless extended in writing by mutual
agreement of the parties or terminated earlier in accordance with Section 18 (“Termination”)
below.

5. CONSULTANT’S SERVICES

5.1 Time is of the essence in Consultant’s performance of services under this


Agreement.

5.2 Consultant shall perform the services identified in the Scope of Services. City shall
have the right to request, in writing, changes in the Scope of Services. Any such
changes mutually agreed upon by the parties, and any corresponding increase or
decrease in compensation, shall be incorporated by written amendment to this
Agreement. In no event shall the total compensation and costs payable to
Consultant under this Agreement exceed the sum of one hundred thousand dollars
($100,000) unless specifically approved in advance and in writing by City.
Consultant shall notify the City Agreement Administrator, in writing, when fees
and expenses incurred under this Agreement have reached eighty percent (80%) of
the maximum amount payable above. Consultant shall concurrently inform the City
Agreement Administrator, in writing, of Consultant’s estimate of total expenditures
required to complete its current assignments before proceeding, when the
remaining work on such assignments would exceed the maximum amount payable
above.

5.3 Consultant shall perform all work to the highest standards of Consultant’s
profession and in a manner reasonably satisfactory to City. Consultant shall comply
with all applicable federal, state and local laws and regulations, including the
conflict of interest provisions of Government Code Section 1090 and the Political
Reform Act (Government Code Section 81000 et seq.) and other Grant Provisions
.

5.4 Consultant represents that it has advised City in writing prior to the date of signing
this Agreement of any known relationships with third parties, City Council
Members, or employees of City which would (1) present a conflict of interest with
the rendering of services under this Agreement under Government Code
Section 1090, the Political Reform Act (Government Code Section 81000 et seq.),
or other applicable law, (2) prevent Consultant from performing the terms of this
Agreement, or (3) present a significant opportunity for the disclosure of
confidential information.

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Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

5.5 During the term of this Agreement, Consultant shall not perform any work for
another person or entity for whom Consultant was not working at the
Commencement Date if both (i) such work would require Consultant to abstain
from a decision under this Agreement pursuant to a conflict of interest statute and
(ii) City has not consented in writing to Consultant’s performance of such work.

5.6 Consultant represents that it has, or will secure at its own expense, all personnel
required to perform the services identified in the Scope of Services. All such
services shall be performed by Consultant or under its supervision, and all
personnel engaged in the work shall be qualified to perform such services. Lorie
Adams shall be the Consultant Project Administrator and shall have direct
responsibility for management of Consultant’s performance under this Agreement.
No other person shall serve as Consultant Project Administrator without City’s
prior written consent.

5.7 This Agreement covers professional services of a specific and unique nature.
Except as otherwise provided herein, Consultant shall not assign or transfer its
interest in this Agreement or subcontract any services to be performed without
amending this Agreement.

5.8 Consultant shall be responsible to City for all services to be performed under this
Agreement. All subconsultants shall be approved by the City Agreement
Administrator and their billing rates identified in the Approved Fee Schedule,
Exhibit B. City shall pay Consultant for work performed by its subconsultants
(including labor) only at Consultant’s actual cost plus an approved mark-up as set
forth in the Approved Fee Schedule, Exhibit B. Consultant shall be liable and
accountable for any and all payments, compensation, and federal and state taxes to
all subconsultants performing services under this Agreement. City shall not be
liable for any payment, compensation, or federal and state taxes for any
subconsultants.

5.9 Consultant shall notify the City Agreement Administrator, in writing, of any change
in name, ownership or control of Consultant’s firm or of any subconsultant. Change
of ownership or control of Consultant’s firm may require an amendment to the
Agreement.

5.10 This Agreement is subject to prevailing wage law, for all work performed under the
Agreement for which the payment of prevailing wages is required under the
California Labor Code. In particular, Consultant acknowledges that prevailing
wage determinations are available for the performance of inspection and survey
work.

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

6. COMPENSATION

6.1 City agrees to compensate Consultant for the services provided under this
Agreement, and Consultant agrees to accept payment in accordance with the
Approved Fee Schedule in full satisfaction for such services.

6.2 Consultant shall submit to City an invoice, on a monthly basis or less frequently,
for services performed pursuant to this Agreement. Each invoice shall identify the
maximum amount payable above, the services rendered during the billing period,
the amount due for the invoice, and the total amount previously invoiced. All labor
charges shall be itemized by employee name and classification/position with the
firm, the corresponding hourly rate, the hours worked, a description of each labor
charge, and the total amount due for labor charges. City shall not withhold
applicable taxes or other payroll deductions from payments made to Consultant
except as otherwise required by law. Consultant shall include a copy of each
subconsultant invoice for which reimbursement is sought in the invoice.

6.3 The parties agree to meet and confer at mutually agreeable times to resolve any
disputed amounts contained in an invoice submitted by Consultant.

6.4 Payments for any services requested by City and not included in the Scope of
Services may be made to Consultant by City on a time-and-materials basis pursuant
to the Approved Fee Schedule and without amendment of this Agreement, so long
as such payment does not cause the maximum amount payable above to be
exceeded.

7. OWNERSHIP OF WRITTEN PRODUCTS

All reports, documents or other written material, and all electronic files, including
computer-aided design files, developed by Consultant in the performance of this Agreement (such
written material and electronic files are collectively known as “written products”) shall be and
remain the property of City without restriction or limitation upon its use or dissemination by City
except as provided by law. Consultant may take and retain copies of such written products as
desired, but no such written products shall be the subject of a copyright application by Consultant.

8. RELATIONSHIP OF PARTIES

Consultant is, and shall at all times remain as to City, a wholly independent contractor.
Consultant shall have no power to incur any debt, obligation, or liability on behalf of City or
otherwise to act on behalf of City as an agent. Neither City nor any of its agents shall have control
over the conduct of Consultant or any of Consultant’s employees, except as set forth in this
Agreement. Consultant shall not represent that it is, or that any of its agents or employees are, in
any manner employees of City.

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

Under no circumstances shall Consultant look to the City as its employer. Consultant shall
not be entitled to any benefits. City makes no representation as to the effect of this independent
contractor relationship on Consultant’s previously earned California Public Employees Retirement
System (“CalPERS”) retirement benefits, if any, and Consultant specifically assumes the
responsibility for making such a determination. Consultant shall be responsible for all reports and
obligations including, but not limited to: social security taxes, income tax withholding,
unemployment insurance, disability insurance, workers’ compensation, and other applicable
federal and state taxes.

9. AGREEMENT ADMINISTRATOR

In performing services under this Agreement, Consultant shall coordinate all contact with
City through its City Agreement Administrator. City reserves the right to change this designation
upon written notice to Consultant. All services under this Agreement shall be performed at the
request of the City Agreement Administrator, who will establish the timetable for completion of
services and any interim milestones.

10. INDEMNIFICATION

10.1 The parties agree that City, its officers, agents, employees and volunteers should,
to the fullest extent permitted by law, be protected from any and all loss, injury,
damage, claim, lawsuit, cost, expense, attorneys’ fees, litigation costs, taxes, or any
other cost arising out of or in any way related to the performance of this Agreement.
Accordingly, the parties intend the provisions of this indemnity provision to be
interpreted and construed to provide the City with the fullest protection possible
under the law. Consultant acknowledges that City would not enter into this
Agreement in the absence of Consultant’s commitment to indemnify and protect
City as set forth herein.

10.2 To the fullest extent permitted by law, Consultant shall indemnify, hold harmless,
and when the City requests with respect to a claim provide a deposit for the defense
of, and defend City, its officers, agents, employees and volunteers from and against
any and all claims, losses, costs and expenses for any damage due to death or injury
to any person, whether physical, emotional, consequential or otherwise, and injury
to any property arising out of or in connection with Consultant’s alleged negligence,
recklessness or willful misconduct or other wrongful acts, errors or omissions of
Consultant or any of its officers, employees, servants, agents, or subcontractors, or
anyone directly or indirectly employed by either Consultant or its subcontractors,
in the performance of this Agreement or its failure to comply with any of its
obligations contained in this Agreement, except such loss or damage which is
caused by the sole active negligence or willful misconduct of the City. Such costs
and expenses shall include reasonable attorneys’ fees due to counsel of City’s
choice, expert fees and all other expenses of litigation. Consultant shall not be

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

entitled to any refund of attorneys’ fees, defense costs or expenses in the event that
it is adjudicated to have been non-negligent.

10.3 City shall have the right to offset against any compensation due Consultant under
this Agreement any amount due City from Consultant as a result of Consultant’s
failure to pay City promptly any indemnification arising under this Section 10 of
this Agreement and any amount due City from Consultant arising from
Consultant’s failure either to (i) pay taxes on amounts received pursuant to this
Agreement or (ii) comply with applicable workers’ compensation laws.

10.4 The obligations of Consultant under this Section 10 of this Agreement are not
limited by the provisions of any workers’ compensation or similar statute.
Consultant expressly waives its statutory immunity under such statutes as to City,
its officers, agents, employees and volunteers.

10.5 Consultant agrees to obtain executed indemnity agreements with provisions


identical to those set forth here in Section 10 of this Agreement from each and every
subcontractor or any other person or entity involved by, for, with or on behalf of
Consultant in the performance of this Agreement. If Consultant fails to obtain such
indemnity obligations from others, Consultant agrees to indemnify, hold harmless
and defend City, its officers, agents, employees and volunteers from and against
any and all claims, losses, costs and expenses for any damage due to death or injury
to any person and injury to any property resulting from any alleged intentional,
reckless, negligent, or otherwise wrongful acts, errors or omissions of Consultant’s
subcontractors or any other person or entity involved by, for, with or on behalf of
Consultant in the performance of this Agreement. Such costs and expenses shall
include reasonable attorneys’ fees incurred by counsel of City’s choice.

10.6 City does not, and shall not, waive any rights that it may possess against Consultant
because of the acceptance by City, or the deposit with City, of any insurance policy
or certificate required pursuant to this Agreement. This hold harmless and
indemnification provision shall apply whether or not any insurance policies apply
to a claim, demand, damage, liability, loss, cost or expense.

10.7 In the event that Consultant or any employee, agent, or subcontractor of Consultant
providing services under this Agreement claims or is determined by a court of
competent jurisdiction or CalPERS to be eligible for enrollment in CalPERS as an
employee of the City, Consultant shall indemnify, defend, and hold harmless City
for the payment of any employee and/or employer contributions for CalPERS
benefits on behalf of Consultant or its employees, agents, or subcontractors, as well
as for the payment of any penalties and interest on such contributions, which would
otherwise be the responsibility of City.

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

10.8 Notwithstanding any federal, state, or local policy, rule, regulation, law or
ordinance to the contrary, Consultant and any of its employees, agents, and
subcontractors providing service under this Agreement shall not qualify for or
become entitled to, and hereby agree to waive any claims to, any compensation,
benefit, or any incident of employment by City, including but not limited to
eligibility to enroll in CalPERS as an employee of City and entitlement to any
contribution to be paid by City for employer contribution and/or employee
contributions for CalPERS benefits.

11. INSURANCE

11.1 During the term of this Agreement, Consultant shall carry, maintain, and keep in
full force and effect insurance against claims for death or injuries to persons or
damages to property that may arise from or in connection with Consultant’s
performance of this Agreement.

11.2 Any available insurance proceeds broader than or in excess of the specified
minimum Insurance coverage requirements or limits shall be available to City as
an Additional Insured as provided below. Furthermore, the requirements for
coverage and limits shall be the greater of (1) the minimum coverage and limits
specified in this Agreement, or (2) the broader coverage and maximum limits of
coverage of any Insurance policy or proceeds available to the named Insured.

11.3 Insurance required under this Agreement shall be of the types set forth below, with
minimum coverage as described:

11.3.1 Comprehensive General Liability Insurance with coverage limits of not less
than One Million Dollars ($1,000,000) including products and operations
hazard, contractual insurance, broad form property damage, independent
consultants, personal injury, underground hazard, and explosion and
collapse hazard where applicable.

11.3.2 Automobile Liability Insurance for vehicles used in connection with the
performance of this Agreement with minimum limits of One Million
Dollars ($1,000,000) per claimant and One Million dollars ($1,000,000) per
incident.

11.3.3 Worker’s Compensation insurance if and as required by the laws of the State
of California.

11.3.4 Professional Errors and Omissions Insurance with coverage limits of not
less than One Million Dollars ($1,000,000).

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

11.4 Consultant shall require each of its subconsultants to maintain insurance coverage
that meets all of the requirements of this Agreement provided however, that the
City Agreement Administrator may waive the provision of Errors and Omissions
Insurance by subconsultants in his or her sole discretion.

11.5 The policy or policies required by this Agreement shall be issued by an insurer
admitted in the State of California and with a rating of at least A:VII in the latest
edition of Best’s Insurance Guide.

11.6 Consultant agrees that if it does not keep the insurance coverages required by this
Agreement in full force and effect, City may either (i) immediately terminate this
Agreement; or (ii) take out the necessary insurance and pay the premium(s) thereon
at Consultant’s expense.

11.7 At all times during the term of this Agreement, Consultant shall maintain on file
with City’s Risk Manager a certificate or certificates of insurance showing that the
required coverages are in effect and naming City and its officers, employees, agents
and volunteers as Additional Insureds. Prior to commencement of work under this
Agreement, Consultant shall file with City’s Risk Manager such certificate(s) and
Forms CG 20 10 07 04 and CG 20 37 07 04 or the substantial equivalent showing
City as an Additional Insured.

11.8 Consultant shall provide proof that policies of insurance required by this Agreement
expiring during the term of this Agreement have been renewed or replaced with
other policies providing at least the same coverage. Such proof will be furnished at
least two weeks prior to the expiration of the coverages.

11.9 The general liability and automobile policies of insurance required by this
Agreement shall contain an endorsement naming City and its officers, employees,
agents and volunteers as Additional Insureds. All of the policies required under this
Agreement shall contain an endorsement providing that the policies cannot be
canceled or reduced except on thirty days’ prior written notice to City. Consultant
agrees to require its insurer to modify the certificates of insurance to delete any
exculpatory wording stating that failure of the insurer to mail written notice of
cancellation imposes no obligation, and to delete the word “endeavor” with regard
to any notice provisions.

11.10 The insurance provided by Consultant shall be primary to any other coverage
available to City. Any insurance or self-insurance maintained by City and/or its
officers, employees, agents or volunteers shall be in excess of Consultant’s
insurance and shall not contribute with it.

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

11.11 All insurance coverage provided pursuant to this Agreement shall not prohibit
Consultant, and Consultant’s employees, agents or subcontractors, from waiving
the right of subrogation prior to a loss. Consultant hereby waives all rights of
subrogation against the City.

11.12 Any deductibles or self-insured retentions must be declared to and approved by the
City. At the option of City, Consultant shall either reduce or eliminate the
deductibles or self-insured retentions with respect to City, or Consultant shall
procure a bond in the amount of the deductible or self-insured retention to guarantee
payment of losses and expenses.

11.13 Procurement of insurance by Consultant shall not be construed as a limitation of


Consultant’s liability or as full performance of Consultant’s duties to indemnify,
hold harmless and defend under Section 10 of this Agreement.

11.14 Consultant may be self-insured under the terms of this Agreement only with express
written approval from the City.

11.14.1 All self-insured retentions (SIR) must be disclosed to the City for approval
and shall not reduce the limits of liability.

11.14.2 Policies containing any SIR provision shall provide or be endorsed to


provide that the SIR may be satisfied by either the named Insured or the
City.

11.15 City reserves the right to obtain a full certified copy of any Insurance policy and
endorsements. Failure to exercise this right shall not constitute a waiver of the right
to exercise later.

12. MUTUAL COOPERATION

12.1 City shall provide Consultant with all pertinent data, documents and other requested
information as is reasonably available for the proper performance of Consultant’s
services under this Agreement.

12.2 If any claim, action, or proceeding is brought against City relating to Consultant’s
performance in connection with this Agreement, Consultant shall render any
reasonable assistance that City may require in the defense of that claim, action, or
proceeding.

13. CONFIDENTIALITY

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

All data, documents, discussion, or other information developed or received by Consultant


or provided for performance of this Agreement are deemed confidential and shall not be disclosed
by Consultant without prior written consent by City. City shall grant such consent if disclosure is
legally required. Upon request, all City data shall be returned to City upon the termination or
expiration of this Agreement.

14. RECORDS AND INSPECTIONS

Consultant shall maintain any and all ledgers, books of account, invoices, vouchers,
canceled checks, and other records or documents evidencing or relating to charges for services or
expenditures and disbursements charged to City under this Agreement for a minimum of three (3)
years, or for any longer period required by law, from the date of final payment to Consultant under
this Agreement. All such documents shall be made available for inspection, audit, and/or copying
at any time during regular business hours, upon oral or written request of City. City shall further
have the right to make transcripts therefrom and to inspect all program data, documents,
proceedings, and activities.

In addition, pursuant to Government Code Section 8546.7, if the amount of public funds
expended under this Agreement exceeds ten thousand dollars, all such documents and this
Agreement shall be subject to the examination and audit of the State Auditor, at the request of City
or as part of any audit of City, for a period of three (3) years after final payment under the
Agreement.

15. PERMITS AND APPROVALS

Consultant shall obtain, at its sole cost and expense, all permits and regulatory approvals
necessary for Consultant’s performance of this Agreement. This includes, but shall not be limited
to, professional licenses, encroachment permits and building and safety permits and inspections.

16. NOTICES

Any notices, bills, invoices, or reports required by this Agreement shall be deemed received
on: (i) the day of delivery if delivered by hand, facsimile or overnight courier service during
Consultant’s and City’s regular business hours; or (ii) on the third business day following deposit
in the United States mail if delivered by mail, postage prepaid, to the addresses listed below (or to
such other addresses as the parties may, from time to time, designate in writing).

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Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

If to City: If to Consultant:

Margaret Silveira Lorie Adams


Adams Ashby Group
City Manager 770 L Street, Suite 950
225 Park St. Sacramento, CA 95814
Lakeport, CA 95453 Telephone: (916) 449-3944
Telephone: (707) 263-5615 Facsimile: (916) 449-3934
Facsimile: (707) 263-8584

With courtesy copy to:

David J. Ruderman, City Attorney


Colantuono, Highsmith & Whatley, PC
420 Sierra College Drive, Suite 140
Grass Valley, California 95945-5091
Telephone: (530) 432-7357
Facsimile: (530) 432-7356

17. SURVIVING COVENANTS

The parties agree that the covenants contained in Section 10, Section 13, Paragraph 12.2
and Section 14 of this Agreement shall survive the expiration or termination of this Agreement.

18. TERMINATION

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18.1 City may terminate this Agreement for any reason on five calendar days’ written
notice to Consultant. Consultant may terminate this Agreement for any reason on
thirty calendar days’ written notice to City. Consultant agrees to cease all work
under this Agreement on or before the effective date of any notice of termination.
All City data, documents, objects, materials or other tangible things shall be
promptly returned to City upon the termination or expiration of this Agreement.

18.2 If City terminates this Agreement due to no fault or failure of performance by


Consultant, then Consultant shall be paid based on the work satisfactorily
performed at the time of termination. In no event shall Consultant be entitled to
receive more than the amount that would be paid to Consultant for the full
performance of the services required by this Agreement as provided in Section 5.2
above and as otherwise provided in this Agreement.

19. GENERAL PROVISIONSConsultant shall not delegate, transfer, subcontract or


assign its duties or rights hereunder, either in whole or in part, without City’s prior
written consent, and any attempt to do so shall be void and of no effect. City shall not
be obligated or liable under this Agreement to any party other than Consultant.

19.2. In the performance of this Agreement, Consultant shall not discriminate against any
employee, subcontractor, or applicant for employment because of race, color, creed,
religion, sex, marital status, sexual orientation, national origin, ancestry, age,
physical or mental disability, medical condition or any other unlawful basis.

19.3. The captions appearing at the commencement of the sections hereof, and in any
paragraph thereof, are for convenience in reference to this Agreement. Should there
be any conflict between such heading, and the section or paragraph thereof at the
head of which it appears, the section or paragraph shall govern construction of this
Agreement. Masculine or feminine pronouns shall be substituted for the neuter
form and vice versa, and the plural shall be substituted for the singular and vice
versa, in any place or places herein in which the context requires such
substitution(s).

19.4. The waiver by City or Consultant of any breach of any term, covenant or condition
herein contained shall not be deemed to be a waiver of any other term, covenant or
condition or of any subsequent breach of the same or any other term, covenant or
condition herein contained. No term, covenant or condition of this Agreement shall
be deemed to have been waived by City or Consultant unless in writing signed by
one authorized to bind the party to be charged with the waiver.

19.5. Consultant shall not be liable for any failure to perform if Consultant presents
acceptable evidence, in City’s sole judgment, that such failure was due to causes
beyond the control and without the fault or negligence of Consultant.

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

19.6. Each right, power and remedy provided for herein or now or hereafter existing at
law, in equity, by statute, or otherwise shall be cumulative and shall be in addition
to every other right, power, or remedy provided for herein or now or hereafter
existing at law, in equity, by statute, or otherwise. The exercise, the commencement
of the exercise, or the forbearance from the exercise by any party of any one or
more of such rights, powers or remedies shall not preclude the simultaneous or later
exercise by such party of any or all of such other rights, powers or remedies. If legal
action shall be necessary to enforce any term, covenant or condition contained in
this Agreement, the party prevailing in such action, whether or not reduced to
judgment, shall be entitled to its reasonable court costs, including any accountants’
and attorneys’ fees expended in the action. The venue for any litigation shall be
Lake County, California and Consultant hereby consents to jurisdiction in Lake
County for purposes of resolving any dispute or enforcing any obligation arising
under this Agreement.

19.7. If any term or provision of this Agreement or the application thereof to any person
or circumstance shall, to any extent, be invalid or unenforceable, then such term or
provision shall be amended to, and solely to the extent necessary to, cure such
invalidity or unenforceability, and in its amended form shall be enforceable. In such
event, the remainder of this Agreement, or the application of such term or provision
to persons or circumstances other than those as to which it is held invalid or
unenforceable, shall not be affected thereby, and each term and provision of this
Agreement shall be valid and be enforced to the fullest extent permitted by law.

19.8. This Agreement shall be governed and construed in accordance with the laws of the
State of California.

19.9. All documents referenced as exhibits in this Agreement are hereby incorporated
into this Agreement. In the event of any material discrepancy between the
provisions of this Agreement and those of any document incorporated herein by
reference, the provisions of this Agreement shall prevail. This instrument contains
the entire Agreement between City and Consultant with respect to the transactions
contemplated herein. No other prior oral or written agreements are binding upon
the parties. Amendments hereto or deviations herefrom shall be effective and
binding only if made in writing and executed on behalf of the City and Consultant.

19.10. Consultant shall not discriminate against any employee or applicant for
employment because of race, sex (including pregnancy, childbirth, or related
medical condition), creed, national origin, color, disability as defined by law,
disabled veteran status, Vietnam veteran status, religion, age (40 and above),
medical condition (cancer-related), marital status, ancestry, or sexual orientation.
Consultant shall take affirmative action to ensure that applicants are employed, and
that employees are treated during employment without regard to race, sex

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / Adams Ashby Group)

(including pregnancy, childbirth, or related medical condition), creed, national


origin, color, disability as defined by law, disabled veteran status, Vietnam veteran
status, religion, age (40 and above), medical condition (cancer-related), marital
status, ancestry, or sexual orientation. Such action shall include, but not be limited
to, the following: employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; or in terms, conditions or privileges of employment, and selection
for training, Consultant agrees to post in conspicuous places, available to
employees and applicants for employment, the provisions of this nondiscrimination
clause.

TO EFFECTUATE THIS AGREEMENT, the parties have caused their duly authorized
representatives to execute this Agreement as of the last date indicated below:

“City” “Consultant”
Adams Ashby Group, Inc.

By___________________________ By:_______________________________
Margaret Silveira, City Manager Lorie Ann Adams, Principal

Date:______________________ Date:_________________________

Attest:

By
Kelly Buendia, City Clerk

Date:_______________________

Approved as to form:

By__________________________________
David J. Ruderman, City Attorney

Date: __________________________

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ATTACHMENT 1

“EXHIBIT A”
SCOPE OF WORK
As outlined in the Request for Proposal, the City of Lakeport is seeking general administration for the
current 2017 Contract, 2018 Grant Application and implementation upon award which includes Labor
Compliance activities. Our firm possesses the necessary knowledge and expertise to properly oversee
all current and future CDBG programs/projects. Below is a brief scope of work for administrating such
projects.

Grant Administration
As you are aware - grantees are responsible for complying with many conditions under the grant
contract. Following these requirements strictly, will ensure your projects perform efficiently and within
state/federal regulations. Projects and programs that are found to be out of compliance run the risk
of not being eligible to reapply for grant funds in future years or even having to return funds to the
State that may have already been spent.

Our first step in the process will be to meet with staff, determine the roll of our team with yours, review
the work completed to date, and set the schedule for the next steps to execute the project and
program. CDBG has undergone numerous changes in the past few months and navigating this field
has been cumbersome. We have been able to establish a strong working relationship with the new
representative team and management. We can navigate you through the process of new forms,
requirements, and staff without sacrifice to your project and program.

Once the tasks of each team member are established, we will begin the process of procurement of
the professional staff required to move your project through construction and support to your program
as required. Procurement changes have heavily impacted the CDBG processes and we are prepared
to provide the required drafts and documents. Our goal is to prepare your project for bid during the
most optimal time frame and to communicate the requirements to the professional team to meet the
grant regulations.

Below is a brief summary of the major tasks we would propose to assist your team in administering your
CDBG grant contract.

Conduct all required public meetings and hearings


Most granting agencies require public hearings and meetings are held throughout the term of a grant
agreement. These meetings are imperative to providing outreach to the community in the process of
implementing state and federal funds. Our staff will ensure all notices are provided for publishing prior
to deadlines and we will be available to attend, and lead hearings based on the needs of the City.
Additionally, our team provides draft Council memorandum and draft resolutions (when required) to
assist in training your team on the information needed and required to maintain citizen participation
requirements. Many changes have been occurring at the State level regarding public outreach and
affirmative marketing of programs. Adams Ashby Group will assist you team in the development of the
LEP (LIMITED ENGLISH PROFICIENCY) Requirements and implementation thereof to meet the HUD
requirements.

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Professional Services Agreement


(City of Lakeport / [Company or Individual])

Contract general / special conditions


Once the City has received an executed contract, our staff will ensure that all special conditions are
met to ensure compliance and funds are available in a timely manner. CDBG requires its own specific
conditions to be met dependent on the program or project. Our team has experience in a variety of
requirements, which may include but not be limited to: environmental compliance, project timelines,
updated cost estimates, relocation plans, program guidelines, and more. Additionally, we will stay in
close contact with your state representative to ensure strong communication is maintained throughout
project/program setup.

Environmental Compliance
As a part of the general condition’s clearance described above, NEPA will be a part of the package
submitted to CDBG to ensure project compliance. Based on a brief review of the project, an
Environmental Assessment (perhaps a statutory worksheet) will be required. Our staff is well versed in
completing such documents, documenting correspondence with outside resources (i.e. SHPO),
required public notice and submittal of authority to use grant funds.

Program Guidelines
Our team will work with the City to establish the process, forms, and procedures, and provide on-site
training with staff to ensure compliance with CDBG, Federal and State regulations under the contract.
Additionally, the City will be required to establish guidelines for each program activity. Adams Ashby
Group will provide assistance to ensure the selected ratios; limits and other areas allowed meet the
needs of the city and program. Additionally, our team will attend the monitoring and support staff in
maintaining the required records through clearance.

Procurement
The contract provided will require various types of procurement. Adams Ashby Group possesses the
necessary resources to fulfill this task for the City. We are aware of the stringent procurement processes
that are involved with any state and federal funds and realize the importance of obtaining competitive
bids for various projects. We have experience in a variety of procurement fields and will assist with the
request for proposal, solicitations, advertisements, and any other procurement issue the City may
require assistance. Our team will review all documents to ensure compliance and inclusion of all
information necessary to comply with the Federal and local procurement processes. Additionally, we
will ensure compliance with Section 3 and MBE/WBE as these are becoming critical items during
monitoring. Section 3 is a complex process that must be documented throughout the project. Our
team will work directly with contractors to ensure compliance is attained and properly documented
to avoid findings during monitoring.

Many changes have occurred this past year in procurement, attention to detail is necessary and the
development of new process and procedures will be required – we will walk you through the necessary
items, provide the resources, and train staff to meet the new requirements.

166291.2
ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / [Company or Individual])

Program Reporting
A variety of reports are required for compliance with CDBG. The reporting timelines are established on
a quarterly, semi-annual, and annual basis. Our firm will send out a reminder, 15 days prior to the end
of the reporting period to ensure late reports do not result. Review of the reports, completing of the
reports, or a shared approach will be reviewed as part of our relationship- this will ensure the training
process will occur if staff is not yet ready to complete this part of the grant program process.
Understanding reports is critical in ensuring a complete management process as much of the data
required is collected ongoing throughout the program cycle. These reports will include but may not
be limited to: set-up and completion reports, drawdown requests, program income reports, annual
reports, semi-annual labor compliance reports, and closeout reports.

Maintain all Fiscal Records


The City has the end responsibility of ensuring records and fiscal records are maintained and accurate.
Adams Ashby Group will provide staff with a records system that will allow staff to manage these
records. Additionally, we will keep a complete secondary set of records to ensure information is
available upon request by the funding agency. Fiscal records will be requested and audited on a
quarterly basis to ensure all financial data is accurate and recorded. We will additionally provide
training and capacity building as needed.

Prepare Public Information File


Each funding source requires a document/recordkeeping system with specific files and forms to be
available upon monitoring. It is critical these files are set up and managed from the beginning process
– application through final close out. Maintenance of this system will ensure a smooth monitoring with
the State or Federal agency. Additionally, the Federal Regulations require grant programs to be a
public process. This includes the establishment and maintenance of a public information binder that
is available to the public during regular office hours. Our team will work with staff to establish this binder
for each program as required by the funding agency. As each program moves forward it is our goal
to assist with the process and perform inspections of all required files to ensure consistency and
accuracy.

Communication
With any grant program or project, it is critical to have strong coordination and clear communication
between City staff and state/federal agencies. As your consultant, we will ensure that all parties
involved will be clear of project logistics, tasks, responsibilities, and timelines. This high degree of
coordination will allow City staff to stay abreast of all programs/projects, without devoting all their time
to such tasks.

Additionally, our team has developed strong relationships with many state and federal agencies
throughout our professional careers. Having this background, will provide the City with an expertise of
the intricacies of each program allowing for smoother projects and a bridge for communication should
unforeseeable issues arise.

Oversee Equal Opportunity compliance

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ATTACHMENT 1

Professional Services Agreement


(City of Lakeport / [Company or Individual])

Each program requires compliance with equal opportunity laws to ensure discrimination has not
occurred during the operation of a program. Adams Ashby Group will review all documents,
advertising, and collect required data to adequately document compliance with the requirements.

Labor Compliance
When a project includes construction, labor compliance will be required, and these services will be
provided as part of our contract. All aspects of compliance begin at the bid and bid package process.
Our team works closely with the architect/engineer to ensure all required contract language is made
part of the process, federal wage rates and contract language are included, and all contractors and
sub-contractors submit all required documentation and payrolls. Payrolls are reviewed, and
certification obtained for all apprentices working on the project. Our team in well versed in Labor
Compliance and the requirements of the CDBG and other funding programs. We work closely to
effectuate compliance and walk all parties through the process.

Preparation of program records after closeout


Upon grant expiration, we will also meet with your staff to review the grant closeout process and what
the ongoing responsibilities of the City will be even though the grant is being close out. Such programs
as CDBG require efficient record keeping for many years after the grant, as well as other requirements
that will ensure your projects are maintained and serviced properly. Our firm will work with your staff
and your current CDBG manual to make certain that each role is identified and CDBG expectations
are being satisfied.

166291.2
ATTACHMENT 1
“EXHIBIT C”
GRANT PROVISIONS

The fee schedule provided below will cover the current contracts in place at the time of contract
approval and additional contracts received during the term of the contract will be added by
written amendment to this Agreement and will provide the cost for the individual award.

Task Cost Proposal


CDBG Application
$3,500
(2018 NOFA)
Grant contract allows 12% AAG will
provide services at a not to exceed
Labor Compliance
amount of 4.5% of project award
total.
Current CDBG Award: $28,000

General Administration Services Future Award: Grant contract


allows 7.5% - AAG will provide
services at 6% of award total.

Fees outlined above are all inclusive. No other charges will be included unless outside services are
required to meet the needs of the program/project that were not identified in the proposal.
Department of Housing and Community Development Required Contract Language

For this Exhibit, the term “contractor” is defined as a party to a signed contract.

FEDERAL TERMS AND CONDITIONS:

During the performance of the contract, the Contractor must agree to comply with all applicable Federal laws and
regulations including but not limited to the following:

AFFIRMATIVE ACTION:

The work to be performed under this contract is on a project assisted under a program providing direct federal
financial assistance from the United States Department of Housing and Urban Development (HUD) and subject to 24
CFR 85.36(e). CITY hereby notifies all bidders that it will affirmatively insure that in any contract entered into
pursuant to this advertisement, disadvantaged, minority and women's business enterprises will be afforded full
opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race,
color, religious creed, sex, or national origin in consideration for an award. Minority and women-owned
a n d operated b u s i n e s s e s encouraged to apply.

SECTION 3:

The work to be performed under this contract is on a project assisted under a program providing direct federal financial

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ATTACHMENT 1
Professional Services Agreement
(City of Lakeport / [Company or Individual])

assistance from the HUD, Community Development Block Grant Program, and is subject to the requirements of Section 3
of the Housing and Urban Development Act of 1968, as amended, 12 USC 1701u. Section 3 requires that to the
greatest extent feasible opportunities for training and employment be given to low and moderate income persons
residing within the project area and that the contracts for work in connection with the project be awarded to eligible
business concerns which are located in, or owned in substantial part by persons residing in the area of the project.
Regulations for implementing the Section 3 clause are contained in 24 CFR 135, as amended, and as specified in the
project specifications.

NON-DISCRIMINATION CLAUSE:

During the performance of this Agreement, Contractor and its subcontractors shall not unlawfully discriminate,
harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry,
religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition
(e.g., cancer), age (over 40), marital status, and denial of family care leave. Contractor and subcontractors shall
insure that the evaluation and treatment of their employees and applicants for employment are free from such
discrimination and harassment. Contractor and subcontractors shall comply with the provisions of the Fair
Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the applicable regulations promulgated
thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair
Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5
of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Agreement by reference and
made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their
obligations under this clause to labor organizations with which they have a collective bargaining or other
Agreement.

Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to
perform work under the Agreement.

EQUAL OPPORTUNITY:

During the performance of this Contract, the Contractor agrees as follows:

1. The Contractor with comply with Executive Order 11246 of September 24, 1965 entitled Equal Employment
Opportunity as amended by Executive Order 11375 of October 1967 as supplemented in Department of
Labor regulations (41 CFR chapter 60).

2. The Contractor will not discriminate against any employee or applicant for employment because of race, color,
religion, sex, or national origin. The Contractor will take affirmative action to ensure that applicants are
employed and that employees are treated equally during employment, without regard to race, color, religion,
sex, or national origin. Such action shall include, but not be limited to, the following: employment
upgrading, demotion, transfer, recruitment, or recruitment advertising; layoff or termination; rates of
pay or other forms of compensation; and selection for training including apprenticeship. The Contractor
agrees to post in conspicuous places, available to employees and applicants for employment, notices to be
provided by the City Setting forth the provisions of this nondiscrimination clause.

3. The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the
Contractor, state that all qualified applicants will receive consideration for employment without regard to
their race, color, religion, sex, or national origin.

4. The Contractor will send to each labor union or representative of workers with which he has a collective
bargaining agreement or other contract or understanding, a notice, to be provided by the agency contracting
officer, advising the labor union or workers' representative of the contractor's commitments under Section
202 of Executive Order No. 11246 of September 24, 1965, and shall post copies of the notice in conspicuous

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Professional Services Agreement
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places available to employees and applicants for employment.

5. The Contractor will furnish all information and reports required by Executive Order No. 11246 of September
24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will
permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for
purposes of investigation to ascertain compliance with such rules, regulations, and orders.

6. In the event of the Contractor's noncompliance with the nondiscrimination clauses of this contract or
with any of such rules, regulations, or orders, this contract may be cancelled, terminated or suspended in
whole or in part and the contractor may be declared ineligible for further Government contracts in
accordance with procedures authorized in Executive Order No.11246 of Sept. 24, 1965, and such other
sanctions may be imposed and remedies invoked as provided in Executive Order No.11246 of
September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by
law.

7. The Contractor will include the provisions of paragraphs (1) through (7) in every
subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued
pursuant to Section 204 of Executive Order No. 11246 of September 24,1965, so that such provisions will be
binding upon each subcontractor or vendor. The contractor will take such action with respect to any
subcontract or purchase order as may be directed by the Secretary of Labor as a means of enforcing such
provisions including sanctions for noncompliance: Provided, however, that in the event the contractor
becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such
direction, the contractor may request the United States to enter into such litigation to protect the interests of
the United States.

8. The Contractor shall file, and shall cause each of his subcontractors to file, Compliance Reports with the
contracting agency or the Secretary of Labor as may be directed. Compliance Reports shall be filed within
such times and shall contain such information as to the practices, policies, programs, and employment
policies, programs, and employment statistics of the contractor and each subcontractor, and shall be in such
form, as the Secretary of Labor may prescribe.

9. Bidders or prospective contractors or subcontractors may be required to state whether they have
participated in any previous contract subject to the provisions of this Order, or any preceding similar
Executive order, and in that event to submit, on behalf of themselves and their proposed subcontractors,
Compliance Reports prior to or as an initial part of their bid or negotiation of a contract.

10. Whenever the Contractor or subcontractor has a collective bargaining agreement or other Contract or
understanding with a labor union or an agency referring workers or providing or supervising apprenticeship
or training for such workers, the Compliance Report shall include such information as to such labor union's or
agency's practices and policies affecting compliance as the Secretary of Labor may prescribe: Provided, That to
the extent such information is within the exclusive possession of a labor union or an agency referring
workers or providing or supervising apprenticeship or training and such labor union or agency shall refuse to
furnish such information to the contractor, the contractor shall so certify to the Secretary of Labor as part of
its Compliance Report and shall set forth what efforts he has made to obtain such information.

11. The Secretary of Labor may direct that any bidder or prospective contractor or subcontractor shall submit, as
part of his Compliance Report, a statement in writing, signed by an authorized officer or agent on behalf of
any labor union or any agency referring workers or providing or supervising apprenticeship or other
training, with which the bidder or prospective contractor deals, with supporting information, to the
effect that the signer's practices and policies do not discriminate on the grounds of race, color, religion, sex or
national origin, and that the signer either will affirmatively cooperate in the implementation of the

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policy and provisions of this order or that it consents and agrees that recruitment, employment, and the
terms and conditions of employment under the proposed contract shall be in accordance with the purposes
and provisions of the order. In the event that the union or the agency shall refuse to execute such a
statement, the Compliance Report shall so certify and set forth what efforts have been made to secure
such a statement and such additional factual material as the Secretary of Labor may require.

12. The Contractor will cause the foregoing provisions to be inserted in all subcontracts for work covered by
this Agreement so that such provisions will be binding upon each subcontractor, provided that the foregoing
provisions shall not apply to contracts or subcontracts for standard commercial supplies or raw materials.

CONFLICT OF INTEREST OF MEMBERS, OFFICERS, OR EMPLOYEES OF CONTRACTORS,


MEMBERS OF LOCAL GOVERNING BODY, OR OTHER PUBLIC OFFICIALS:

Pursuant to 24 CFR 570.611, no member, officer, or employee of the Grantee, or its designees or agents, no member
of the governing body of the locality in which the program is situated, and no other public official of such locality or
localities who exercise or have exercised any functions or responsibilities with respect to CDBG activities assisted
under this part, or who are in a position to participate in a decision-making process or gain inside information with
regard to such activities, may obtain a financial interest or benefit from a CDBG-assisted activity, or have a financial
interest in any contract, subcontract or agreement with respect to a CDBG-assisted activity or its proceeds, either for
themselves or those with whom they have business or immediate family ties, during their tenure or for one (1) year
thereafter. The Grantee shall incorporate, or cause to be incorporated, in all such contracts or subcontracts a
provision prohibiting such interest pursuant to the purposes of this Section.

INSURANCE:

Maintenance, if so required by law, unemployment insurance, disability insurance and liability insurance, which is
reasonable to compensate any person, firm, or corporation, who may be injured or damaged by the contractor, or any
subcontractor in performing the grant activity(ies) or any part of it.

DISADVANTAGED/MINORITY/WOMEN BUSINESS ENTERPRISE FEDERAL REGULATORY


REQUIREMENTS UNDER 24 CFR 85.36(e):

The Contractor will take all necessary affirmative steps to assure that minority firms, women's business
enterprises, and labor surplus area firms are used when possible.

1. Affirmative steps shall include:

i. Placing qualified small and minority businesses and women's business enterprises on solicitation lists;

ii. Assuring that small and minority businesses, and women's business enterprises are solicited whenever
they are potential sources;

iii. Dividing total requirements, when economically feasible, into smaller tasks or quantities to
permit maximum participation by small and minority business, and women's business enterprises;

iv. Establishing delivery schedules, where the requirement permits, which encourage participation by
small and minority business, and women's business enterprises;

v. Using the services/assistance of the Small Business Administration (SBA), and the Minority Business
Development Agency (MBDA) of the Department of Commerce.

COPELAND “ANTI-KICKBACK” ACT (18 U.S.C. 874):

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ATTACHMENT 1
Professional Services Agreement
(City of Lakeport / [Company or Individual])

Contractor shall comply with the Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in
Department of Labor regulations (29 CFR Part 3).

COMPLIANCE WITH ALL FEDERAL LABOR STANDARD PROVISIONS:

Contractor shall comply with all provisions contained in the form HUD-4010, Federal Labor Standards Provisions.

COMPLIANCE WITH SECTIONS 103 AND 107 OF THE CONTRACT WORK HOURS AND
SAFETY STANDARDS ACT (40 U.S.C. 327-330):

Contractor will comply with Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40
U.S.C. 327-330) as supplemented by Department of Labor regulations (29 CFR part 5). Requires the contracting
officer to insert the clauses set forth in 29 CFR part 5, Construction contracts awarded by grantees and
subgrantees in excess of $2000, and in excess of $2500 for other contracts which involve the employment of
mechanics or laborers)

REQUIREMENTS AND REGULATIONS PERTAINING TO DATA AND DESIGN:

All data and design and engineering work created under this Agreement shall be owned by the City and shall not be
subject to copyright protection. The rights to any invention which is developed in the course of this Agreement
shall be the property of the City.

REQUIREMENTS AND REGULATIONS PERTAINING TO REPORTING:

The City, State CDBG, HUD and the Comptroller General of the United States or any of their duly authorized
representatives shall be granted access to any books, documents, papers and records of Contractor which are directly
pertinent the contract.

COMPLIANCE WITH CLEAN AIR ACT AND CLEAN WATER ACT:

Contractor shall comply with all applicable standards, orders and requirements issued under Section 306 of the Clean
Air Act (42 U.S.C. 1857(h).
1. Contractor shall comply with all applicable standards, orders and requirements issued under Section 508 of the
Clean Air Act (33 U.S.C. 1368).
2. Contractor shall comply with Executive Order 11738 and Environmental Protection Agency
regulations (40 CFR Part 15).

COMPLIANCE WITH ENERGY POLICY AND CONSERVATION ACT (Pub. L. 94-163, 89 Stat. 871):

The Contractor shall comply with the mandatory standards and policies relating to energy efficiency which are contained
in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163,89
Stat. 871).

D/MBE/WBE IMPLEMENTATION GUIDELINES:

The following information, as applicable, shall be retained by Contractor and produced upon request by General Services if
determined by General Services to be necessary to establish the bidder's "good faith efforts" to meet the
Disadvantaged/Minority/Women Business Enterprise (D/M/WBE) requirements.

1. The names and dates of advertisement of each newspaper, trade paper, and minority- focus paper in which a
request for D/M/WBE participation for this project was placed by the bidder.

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Professional Services Agreement
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2. The names and dates of notices of all certified D/M/WBEs solicited by direct mail for this project and the dates
and methods used for following up initial solicitations to determine with certainty whether the D/M/WBEs were
interested.

3. The items of work for which the bidder requested subbids or materials to be supplied by D/M/WBEs, the
information furnished interested D/M/WBEs in the way of plans, specifications and requirements for the
work, and any breakdown of items of work into economically feasible units to facilitate D/M/WBE
participation. Where there are D/M/WBEs available for doing portions of the work normally performed by the
bidder with his own forces, the bidder will be expected to make portions of such work available for D/M/WBEs
to bid on.

4. The names of D/M/WBEs who submitted bids for any of the work indicated in (3) above, which were
not accepted, a summary of the bidder's discussions and/or negotiations with them, the name of the
subcontractor or supplier that was selected for that portion of work, and the reasons for the bidder's
choice. If the reason for rejecting the D/M/WBE bid was price, give the price bid by the rejected D/M/WBE
and the price bid by the selected subcontractor or supplier.

5. Assistance that the bidder has extended to D/M/WBEs identified in (4) above to remedy the deficiency in their
sub-bids.

6. To find a D/M/WBE certified firm, you may call (916) 445-3520, go on-line to: http://www.dot.ca.eov/hq/bep,
or via mail at: D/M/WBE Listing for County, CalTrans - Publications Distribution Unit, 1900 Royal Oaks,
Sacramento, CA 95815-3800.

AUDIT, RETENTION AND INSPECTION OF RECORDS:

The Contractor agrees that the City, the Department of Housing and Community Development, the Federal
Department of Housing and Urban Development (HUD), or its designee will have the right to review, obtain, and
copy all records pertaining to performance of this Agreement. The Contractor agrees to provide any relevant
information requested and shall permit the City, the Department of Housing and Community Development, the
Federal Department of Housing and Urban Development (HUD), or its designee access to its premises, upon
reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and
copying such books, records, accounts, and other material that may be relevant to a matter under investigation for
the purpose of determining compliance with California Public Contract Code (PCC) Section 10115 et seq.,
Government Code (GC) Section 8546.7 and 2 CCR 1896.60 et seq.

The Contractor further agrees to maintain such records for a period of five (5) years after final payment under this
Agreement or the resolution of any audit or lawsuit, whichever is later, and that on or before the end of the five (5)
year audit/retention period, the Consultant shall release and deliver to the City all original records and related
documentation.

10
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Approval of a CDBG grant application for 2018 funding MEETING DATE: 01/15/2019
year

SUBMITTED BY: Margaret Silveira, City Manager

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


Approve a resolution approving an application for funding and the execution of a grant agreement and
any amendments thereto for the 2018 funding year of the State CDBG program
BACKGROUND/DISCUSSION:

The Community Development Block Grant (CDBG) program is a federally funded program through the
Department of Housing and Urban Development (HUD). The principle objective of CDBG is the
development of viable urban communities by providing decent housing and a suitable living
environment, and by expanding economic opportunities, principally for persons of low-and moderate-
income.

As a small jurisdiction, the City of Lakeport is not eligible to receive CDBG funds directly from the
federal government and instead applies for funding through the California Department of Housing and
Community Development (HCD). The City currently has an open grant under the 2017 grant cycle for
the economic development program.

The current allocation under the 2018 application round is approximately $29,600,000. The funding
under each of the following activities and special allocations will primarily benefit low-and moderate-
income persons/households in California through the following activities: 1.Housing Assistance; 2.
Public Facilities; 3.Infrastructure and Infrastructure in Support of Housing; 4.Public Services; 5.Planning
and Technical Assistance; and Special Allocations of funds as follows: 1.Economic Development
(Business Assistance and Microenterprise Assistance); 2. Native American Communities; 3. Colonia’s.

Due to the current 2017 CDBG Contract, the City is only eligible to apply for one shovel ready project
under the 2018 CDBG NOFA – this process is called a Project Waiver and the city will be applying under
this process in the funding cycle.

HCD issues a Notice of Funding Availability (NOFA) each year to invite grant applications. In anticipation
of the NOFA’s release, City staff held a public hearing and workshops to inform the community of the
potential availability of grant funds and invite proposals on December 10, 2018. Notice was published
in the newspaper and posted at required locations. No comments were received from the public during

Meeting Date: 01/15/2019 Page 1 Agenda Item #V.A.


the meeting. Staff discussed and reviewed potential projects and eligible areas in the City of Lakeport
at the meeting and developed a project list.

The project for Council’s consideration to apply for project is as follows, inclusive of general
administration and activity delivery costs:

PROJECT TYPE PROJECT NAME PROJECT SCOPE FUNDING

Public Infrastructure Martin Street Off-site $650,000


in Support of Housing Apartments improvements for
infrastructure

If Program Income funds are received during the term of this contract, they will be used on an open
grant activity and not require a supplemental.

Assign the Program Income funds received during the term of the grant contract, if awarded, to current
CDBG Grant contract activities.

General Administration outlined above are to cover costs for staff and related costs required for overall
contract and program management, coordination, monitoring, reporting and evaluation. Examples
would include: special conditions clearance, public hearings/notices, quarterly/annual reports, draw
down requests, grant accounting, monitoring preparation, etc.

Activity Delivery costs are included in the project costs outlined above and will cover staff and related
costs required to implement the awarded activity.

ATTACHMENTS

Resolution approving application


OPTIONS:
Approve
Disapprove
No action

FISCAL IMPACT:
None at this time. Account Number: Comments:
*Fiscal impacts include the cost of the application and is currently covered under our CDBG General
Administration funds in the amount of $4500. Grant Funds of $650,000. Of which $45,349 is for
administrative costs.

SUGGESTED MOTIONS:
Move to adopt a resolution approving an application for funding and the execution of a grant
agreement and any amendments thereto for the 2018 funding year of the State CDBG program.
ATTACHMENTS: 1. Proposed Resolution
2. Application Summary

Meeting Date: 01/15/2019 Page 2 Agenda Item #V.A.


ATTACHMENT 1

RESOLUTION NO.__

A RESOLUTION APPROVING AN APPLICATION FOR FUNDING AND THE


EXECUTION OF A GRANT AGREEMENT AND ANY AMENDMENTS THERETO
FROM THE 2018 FUNDING YEAR OF THE STATE CDBG PROGRAM

BE IT RESOLVED by the City Council of the City of Lakeport as follows:

SECTION 1:
The City Council has reviewed and hereby approves an application for the City of
Lakeport in the amount of $650,000 for the following CDBG activities, pursuant to the
October 2018 CDBG NOFA:

General Administration (GA) $ 45,349


Public Improvements In Support of Housing –
Martin Street Apartments $ 604,651
Total $650,000

SECTION 2:
The City acknowledges compliance with state and federal public participation requirements
in the development of this application.

SECTION 3:
The City of Lakeport hereby acknowledges it shall submit an application for one eligible
CDBG activity, requesting a Waiver of the 50 percent Expenditure Rule. The City further
acknowledges that failure to comply with the waiver requirements may cause the
disencumbrance of funds for the project approved and repayment of CDBG funds.

SECTION 4:
The City hereby authorizes and directs the City Manager, to sign this application and act on
the City’s behalf in all matters pertaining to this application.
ATTACHMENT 1

SECTION 5:
If the application is approved, the City Manager, is authorized to enter into and sign the
grant agreement and any subsequent amendments with the State of California for the
purposes of this grant.

SECTION 6:
If the application is approved, the City Manager, or Finance Director is authorized to sign
Funds Requests and other required reporting forms.

PASSED AND ADOPTED at a regular meeting of the City Council of the City of Lakeport
held on January 15, 2019 by the following vote:

AYES:
NOES:
ABSENT:

__________________________________________
Timothy Barnes, Mayor

STATE OF CALIFORNIA
City/County of ________________
I, __________________, City/County Clerk of the City/County of ________________, State
of California, hereby certify the above and foregoing to be a full, true and correct copy of a
resolution adopted by said City Council/Board of Supervisors on this ___ day of _______,
20____.

__________________________________________
Name, City/County Clerk of the City/County of _____________, State of California

By: _____________________________________
Name, Title
ATTACHMENT 2
ATTACHMENT 2
ATTACHMENT 2
ATTACHMENT 2
ATTACHMENT 2
ATTACHMENT 2
ATTACHMENT 2
ATTACHMENT 2
ATTACHMENT 2
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Financing Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Appointments to the Lakeport Fire Protection District MEETING DATE: 01/15/2019

SUBMITTED BY: Kelly Buendia, City Clerk

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


The City Council is being asked to appoint one member to the Lakeport Fire Protection District.

BACKGROUND/DISCUSSION:
The Lakeport Fire Protection District is an independent special district serving the greater Lakeport Area.
Originally created around 1955, the Lakeport Fire Protection District (LFPD) annexed the City of Lakeport in
1999. To the extent the annexation resulted in the creation of a new board of directors for LFPD, Health and
Safety Code section 13837 provides that the District board may be either elected or appointed by the county
board of supervisors and the city councils in which the District is located. Those governing bodies appoint
directors to that board according to the proportionate share of the population within the district.
On December 4, 2018, the Council adopted Resolution 2695 (2018) establishing a protocol for the appointments
to the District Board. This protocol allows for the Council to appoint one District Board member in 2019 to a
four year term. In order to stagger terms on the Board, the Council will appoint the City’s second representative
to a four year term starting in 2020.
Recruitment for filling this vacancy was done by a press release that went out to all local media and by
advertising on the City’s website. Seven applications were received, from Robert Baker, Scott Barnett, Alan
Flora, William Gabe, Teresa Jolin, Nathan Maxman, and Dan Stahlman. These applications are on file in the
Clerk’s office, and attached to this staff report.
A temporary Ad Hoc Selection Advisory Committee, consisting of Mayor Turner and Council Member Mattina
(with staff support), was appointed by the Council at the meeting of October 16, 2018. This committee was
charged with interviewing applicants and making recommendations to Council regarding appointments to the
City’s various Committees and Commissions, including the Fire District Board.
The Selection Advisory Committee interviews were held on January 7, 2019. The Ad Hoc Committee reviewed
applications and interviewed each applicant regarding their background, interests, and reasons the applicant
would like to serve and contribute to the District Board. Based upon their review, the Ad Hoc Committee is
recommending that Alan Flora be appointed to the Lakeport Fire Protection District Board, effective January 1,
2019, with the term expiring December 31, 2022.
OPTIONS:
Choose an applicant to serve on the Lakeport Fire Protection District Board; or
Direct staff to further advertise the positions.

FISCAL IMPACT:

Meeting Date: 01/15/2019 Page 1 Agenda Item #VII.A.1.


None $ Budgeted Item? Yes No
Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $
Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other:
Comments:
SUGGESTED MOTIONS:
Move to appoint Alan Flora to the Lakeport Fire Protection District Board to a term effective January 1, 2019,
and expiring December 31, 2022.

Attachments: 1. Applications
a) Robert Baker
b) Scott Barnett
c) Alan Flora
d) William Gabe
e) Teresa Jolin
f) Nathan Maxman
g) Dan Stahlman

Meeting Date: 01/15/2019 Page 2 Agenda Item #VII.A.1.


ATTACHMENT 1
ATTACHMENT 1
ATTACHMENT 1
APPLICATION FOR APPOINTMENT TO THE CITY OF LAKEPORT
ADVISORY BOARD, COMMISSION, OR COMMITTEE

NAME OF BOARD, COMMISSION OR COMMITTEE:


Lakeport Fire Protection District Board of Directors
APPLICANT NAME:
Alan D. Flora

ADDRESS:
2325 Loch Drive, Lakeport
HOME PHONE: WORK PHONE:
574-229-6608 707-994-8201

EMAIL ADDRESS:
alan.flora@icloud.com

Please include a brief statement as to why you would like to serve, what special qualifications or experience you may
have for the position and/or any other information you would like to include as part of your application:

I have over ten years of public service in City and County government, in Lake and Mendocino Counties. The last seven years have been
focused on public finance and administration. During this time, I have prepared and managed budgets of over to $300 million, prepared
many policy recommendations, led labor negotiations, and participated in or directly managed nearly every corner of City and County
administration. I have gained a deep understanding of budget balancing options, including pension cost drivers, and developed scenarios
for medium and long term reductions of agency costs.

The District has been faced with difficult decisions that impact the level of service it is able to provide to the community. With the level
of fire awareness within our region, much is expected from local fire districts. While I do not believe that there are any questions
regarding the professionalism and commitment of our Fire District, available funding is stretched too thin. The District Board is faced
with tough decisions in the months ahead to prepare for and ensure the sustainability of the District and community protection.

My wife and I have recently purchased a home within the City of Lakeport and the Lakeport Fire Protection District. While it is clear that
fire protection and prevention techniques are on the minds of every Lake County resident, I feel that my experience in public agency
finance, labor negotiations, knowledge of local issues, and understanding of pensions could provide some unique benefits in addressing
the challenges currently facing the District Board.

I currently serve as the Assistant City Manager for the City of Clearlake. It is necessary for me to attend Planning Commission meetings
on the first and third Tuesday's of the month and City Council meetings on the second and fourth Thursday's of the month. Since the
District Board meets on the second Tuesday of the month, this schedule does not currently conflict with Board meetings, and I believe I
can provide value to the District in light of these commitments.

(Continue on reverse side if necessary, or attach additional information)


Signature: Date:
December 10, 2018

Please return form to: City Clerk


City of Lakeport
225 Park Street
Lakeport, CA 95453

FOR CITY USE ONLY - APPLICANT, PLEASE DO NOT COMPLETE THIS SECTION

Appointment: Approved Length of Term: Date:

Denied From __________ to ___________


ATTACHMENT 1
ATTACHMENT 1
ATTACHMENT 1
ATTACHMENT 1
ATTACHMENT 1
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Mayoral Appointment of Liaisons to Commissions, Boards, MEETING DATE: 01/15/2019
and Committees

SUBMITTED BY: Kelly Buendia, City Clerk

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


The Mayor is being asked to appoint members as liaisons to commissions, boards, and committees. In addition,
the Council is being asked to adopt a resolution appointing representatives to represent and vote on behalf of
the City at the League of California Cities, Redwood Empire Division Business meetings and represent the City
and vote at Division Legislative Committee meetings.

BACKGROUND/DISCUSSION:
Annual appointments are made to several commissions, committees, and boards. Some of these appointments
are advisory only and some of them require active participation. The Mayor has authority to appoint members
to these commissions, committees, and boards.
These annual appointments run from January through December of the coming calendar year. The following is
brief information on each of the commissions/ boards/committees:
 Lakeport Fire Protection District: The board meets the second Tuesday of each month at 5:00 p.m. at the
Fire Department. One Council member and an alternate are appointed (not voting or acting members) to
attend meetings and report to the City Council.
 Lake County Chamber of Commerce: The board meets the fourth Friday of each month at 7:30 a.m. at
Umpqua Bank. There are also monthly dinner meetings. One Council member and an alternate are
appointed (not voting or acting members) to attend meetings and report to the City Council.
 Lakeport Main Street Association: The board meets the third Tuesday of each month at 4:30 p.m. at Lake
County Arts Council, 325 N. Main St. One Council Member is appointed (not voting or acting member) to
attend meetings and report to the City Council.
 League of California Cities, Redwood Empire Division, Division Business Meeting Voting Delegate: This board
meets quarterly. One Council member and one alternate are appointed to attend the League's Division
meetings.
 League of California Cities, Redwood Empire Division, Legislative Committee Voting Delegate: One Council
member and one alternate is appointed to attend the League's Legislative Committee meetings.
 Lake County/City Area Planning Council (APC): This committee handles transportation issues and meets the
second Wednesday of each month. The location alternates between the City of Lakeport Council Chambers
and the Lake Transit offices in Lower Lake. Two Council members and an alternate are appointed and are
active, voting members of the APC.
Meeting Date: 01/15/2019 Page 1 Agenda Item #VII.A.2.
 County of Lake Solid Waste Management Task Force: This is a County committee on which the City has a
liaison. Typically, the City appoints one Council member and the City Manager to attend any meetings of
the Task Force.
 SB 621 Indian Gaming Funds Committee: This committee meets on as "as needed basis" as funding
becomes available. The City appoints one active voting member and one alternate.
 Local Agency Formation Commission (LAFCO): This board meets monthly and alternates meetings between
Lakeport and Clearlake. The City appoints a Council member who acts as a voting member of LAFCO. An
alternate is also appointed. An alternate commissioner is rotated between the City of Clear Lake and the
City of Lakeport every two years. It will be the City’s turn to appoint an alternate for the years 2018 and
2019.
 Invasive Species Task Force Committee: This committee meets on monthly on a Monday TBA from
10:00 a.m. to 12:00 at the Agriculture Office. The City appoints one member as an active, voting member.
 Clean Water Program Committee (formerly TMDL): This board meets on a monthly basis, and the City
appoints one member as an active, voting member.
 Lakeport Unified School District Committee: This committee meets quarterly, TBA. The City appoints two
Council members to sit on the committee and report to Council.
 Lake County Abandoned Vehicle Abatement Service Authority: Meetings are called by the County on an “as-
needed” basis. The Council appoints one member who acts a voting member and an alternate is also
appointed.
 Lake County Airport Land Use Commission: This committee is not currently active, however, the Mayor may
wish to appoint a Council Member to the Commission should a project arise needing city participation in the
Commission.

OPTIONS:
The Mayor can make appointments to the various commissions, boards, and committees as listed or give further
direction.
The Council can adopt a resolution appointing voting delegates to the League's Division Business and Legislative
Committee meetings or decline to appoint a voting delegate to either/both meetings.

FISCAL IMPACT:
None $ Budgeted Item? Yes No
Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $
Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other:
Comments:

SUGGESTED MOTIONS:
No motion is necessary for the Mayoral appointments.
Move that the City Council adopt a resolution appointing representatives to represent and vote on behalf of the
City at the League of California Cities, Redwood Empire Division Business meetings and represent the City and
vote at Division Legislative Committee meetings.
Attachments: 1. List of current liaisons to commissions, boards, and committees.
2. Proposed resolution for League of California Cities, Redwood Division
appointments

Meeting Date: 01/15/2019 Page 2 Agenda Item #VII.A.2.


ATTACHMENT 1

LAKEPORT CITY COUNCIL


EFFECTIVE JANUARY 15, 2019
LIAISONS TO COMMISSIONS, BOARDS, COMMITTEES

LIAISONS
2018 2019
Lakeport Fire Protection District Mayor Pro Tem Barnes
Mayor Turner, Alt.
Lakeport Regional Chamber of Commerce Mayor Turner
Council Member Mattina, Alt.
Lakeport Main Street Association Council Member Spurr

APPOINTMENTS
2018 2019
League of California Cities Mayor Turner
Redwood Empire Division Council Member Mattina
Division Business Meeting Voting Delegate
League of California Cities Mayor Turner
Redwood Empire Division Council Member Mattina
Legislative Committee Voting Delegate
Lake County/City Area Planning Council Council Member Mattina
Council Member Parlet
Council Member Spurr Alt.
County of Lake Solid Waste Management Council Member Spurr
Task Force Mayor Turner
SB 621 Indian Gaming Funds Committee Council Member Spurr
Mayor Pro Tem Barnes

Local Agency Formation Commission Council Member Mattina


LAFCO Alternate* Council Member Parlet
*Rotates to City in 2018 and 2019
Invasive Species Task Force Committee Council Member Parlet
Clean Water Program Committee Council Member Parlet
Lakeport Unified School District Council Member Mattina
Committee Mayor Turner
Oversight Board of the Former Lakeport Council Member Mattina Oversight provided by County
Redevelopment Agency Council Member Parlet. Alt. Oversight Board to Lake County
Successor Agencies
Abandoned Vehicle Service Authority Council Member Parlet
Council Member Spurr, Alt.
Lake County Airport Land Use Commission Will Appoint if Needed
Lakeport Investment Committee Council Member Mattina
Council Member Parlet
ATTACHMENT 2

RESOLUTION NO. ______ (2019)

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF


LAKEPORT APPOINTING REPRESENTATIVES TO REPRESENT AND VOTE
ON BEHALF OF THE CITY AT THE LEAGUE OF CALIFORNIA CITIES,
REDWOOD EMPIRE DIVISION BUSINESS MEETINGS AND REPRESENT
THE CITY AND VOTE AT DIVISION LEGISLATIVE COMMITTEE
MEETINGS.

WHEREAS, the City is a member of the League of California Cities, an


association of California city officials who work together to enhance their knowledge and
skills, exchange information, and combine resources so that they may influence policy
decisions that affect cities, and

WHEREAS, mayors, council members and other officials set League policies
and priorities from member cities who serve on the League Board of Directors, League
policy committees, regional division boards, departments, caucuses, and task forces
where League policies and priorities are formulated and set, and

WHEREAS, the City is an active member of the Redwood Empire Division,


League of California Cities, and

WHEREAS, the Redwood Empire Division By-laws, Article III, Section 3, states
representatives of each member city shall cast one vote by city, and

WHEREAS, the Redwood Empire Division By-laws, Article VIII, creates a


Redwood Empire Division Legislative Committee to review and respond to bills that
impact Redwood Empire Cities, and

WHEREAS, the City must appoint one elected official to attend and represent the
city at Division Business meetings who can vote on behalf of the city, and

WHEREAS, the City must appoint one elected official to attend and represent the
city at Legislative Committee meetings who can vote on behalf of the city, and

WHEREAS, an alternate elected official should be appointed to represent the city


in the event the regular member is not available to attend, and

WHEREAS, appointments should be reviewed and updated annually.

NOW, THEREFORE, BE IT RESOLVED that the 2019 appointment for the


Redwood Empire Division are as follows:

Division Business Meeting Primary: ___________________________


ATTACHMENT 2

Division Business Meeting Alternate: __________________________

Legislative Committee Primary: ______________________________

Legislative Committee Alternate: _____________________________

It is hereby certified that the foregoing Resolution No. ____ was duly introduced and
adopted by the City Council of the City of Lakeport at its regular meeting held on the
15th day of January 2019 by the following vote:

AYES:
NOES:
ABSENT:
ABSTAIN:

Approved:

____________________________
Timothy Barnes, Mayor
Attested:

______________________________
Kelly Buendia, City Clerk
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Redevelopment Oversight Board
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Recognized Obligation Payment Schedule (ROPS) 19-20 MEETING DATE: 1/15/2019

SUBMITTED BY: Nicholas Walker, Finance Director

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


To review and approve the ROPS 19-20 for the period of July 1, 2019 through June 30, 2020.

BACKGROUND/DISCUSSION:

Following dissolution of the Redevelopment Agency of the City of Lakeport (“Agency”), the City elected to
become the successor agency to the Agency by Resolution No. 2441, dated January 10, 2012 (the “Successor
Agency”). Pursuant to Health and Safety Code Section 34173(b), the Successor Agency is now a separate legal
entity from the City. One of the responsibilities of the Successor Agency is to prepare a Recognized Obligation
Payment Schedule (“ROPS”), which sets forth the nature, amount, and source(s) of payment of all “enforceable
obligations” of the Agency (as defined by law) to be paid by the Successor Agency.

Pursuant to AB 1484, passed by the State Legislature on June 27, 2012, a new schedule for submittal of a ROPS
for periods subsequent to the period ending December 31, 2012 was established. Under AB 1484 a Successor
Agency is required to submit the approved ROPS for the period July 1, 2019 through June 30, 2020 to the County
of Lake Auditor Controller, the California State Controller, and the State of California Department of Finance and
posted on the City’s website by February 1, 2019.

Only payments required pursuant to the ROPS may be made by the Successor Agency.

The “enforceable obligations” listed in the ROPS may include the bonds; loans legally required to be repaid
pursuant to a payment schedule with mandatory repayment terms; payments required by the federal
government, preexisting obligations to the state or obligations imposed by state law; judgments, settlements or
binding arbitration decisions that bind the agency; legally binding and enforceable agreements or contracts;
contracts or agreements necessary for the continued administration or operation of the agency, including
agreements to purchase or rent office space, equipment and supplies; and amounts borrowed from or payments
owing to the Low and Moderate Income Housing Fund of a redevelopment agency, which had been deferred as
of June 29, 2011. However, the ROPS is to exclude pass-through payments to be made by the county after
dissolution of the Agency and any agreements, contracts or arrangements between the City and the Agency,
except any of the following agreements between the City and the Agency: (1) any written agreements between
the City and the Agency entered into prior to June 30, 2010, solely for the purpose of securing or repaying
indebtedness obligations to third parties; and (2) loan agreements entered into between the Agency and the
City within two years of the date of creation of the Agency.

139920.1
OPTIONS:
1. It is recommended to approve the Recognized Obligation Payment 19-20 Schedule covering the period
July 1, 2019 to June 30, 2020 for presentation and adoption by the Countywide Oversight Board.

FISCAL IMPACT:
None $495,272 Budgeted Item? Yes No

Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $

Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other: Redevelopment
Private Purpose Trust Fund (Successor Agency)

Comments: The ROPS lists existing enforceable obligations to be paid by the Successor Agency. Only payments
listed on the approved ROPS and approved by DOF may be made by the Successor Agency.

SUGGESTED MOTIONS:
Move to approve ROPS 19-20 for the period of July 1, 2019 through June 30, 2020 for presentation and adoption
by the Countywide Oversight Board.

Attachments: 1. Obligation Payment Schedule covering the period July 1, 2019 through June
30, 2020.

139920.1
ATTACHMENT 1

Recognized Obligation Payment Schedule (ROPS 19-20) - Summary


Filed for the July 1, 2019 through June 30, 2020 Period

Successor Agency: Lakeport


County: Lake

19-20A Total 19-20B Total


Current Period Requested Funding for Enforceable Obligations (ROPS Detail) (July - December) (January - June) ROPS 19-20 Total

A Enforceable Obligations Funded as Follows (B+C+D): $ - $ - $ -


B Bond Proceeds - - -
C Reserve Balance - - -
D Other Funds - - -
E Redevelopment Property Tax Trust Fund (RPTTF) (F+G): $ 316,690 $ 178,582 $ 495,272
F RPTTF 229,023 90,915 319,938
G Administrative RPTTF 87,667 87,667 175,334
H Current Period Enforceable Obligations (A+E): $ 316,690 $ 178,582 $ 495,272

Certification of Oversight Board Chairman:


Pursuant to Section 34177 (o) of the Health and Safety code, I
hereby certify that the above is a true and accurate Recognized Name Title
Obligation Payment Schedule for the above named successor
agency. /s/
Signature Date
ATTACHMENT 1

Lakeport Recognized Obligation Payment Schedule (ROPS 19-20) - ROPS Detail


July 1, 2019 through June 30, 2020
(Report Amounts in Whole Dollars)

A B C D E F G H I J K L M N O P Q R S T U V W

19-20A (July - December) 19-20B (January - June)


Fund Sources Fund Sources
Contract/Agreement Contract/Agreement Total Outstanding ROPS 19-20 19-20A 19-20B
Item # Project Name/Debt Obligation Obligation Type Execution Date Termination Date Payee Description/Project Scope Project Area Debt or Obligation Retired Total Bond Proceeds Reserve Balance Other Funds RPTTF Admin RPTTF Total Bond Proceeds Reserve Balance Other Funds RPTTF Admin RPTTF Total
$ 10,122,921 $ 495,272 $ 0 $ 0 $ 0 $ 229,023 $ 87,667 $ 316,690 $ 0 $ 0 $ 0 $ 90,915 $ 87,667 $ 178,582
2 2004 Series B Bonds Bonds Issued On or Before 3/1/2005 3/1/2027 Union Bank of California Bond indebtedness :akeport Project Area 719,468 N $ 90,988 76,298 $ 76,298 14,690 $ 14,690
4 Service Agreement Legal 12/31/2010 9/1/2038 BBK - Seth Merewitz Agency Counsel :akeport Project Area 3,087 N $ - $ - $ -
1
7 Service Agreement Professional Services 6/9/2008 9/1/2038 Boss Realty and Appraisal Realty services :akeport Project Area 10,000 N $ - $ - $ -
1
8 Contracted Services Professional Services 1/1/2011 9/1/2038 Various Appraisal, legal, and consulting :akeport Project Area N $ - $ - $ -
services necessary for Agency wind 1
down/dissolution
17 Administrative Costs Admin Costs 2/1/2012 9/1/2034 City of Lakeport Administrative costs 3,954,691 N $ 175,334 87,667 $ 87,667 87,667 $ 87,667
18 2016 Tax Allocation Bonds Bonds Issued After 12/31/10 11/2/2016 9/1/2034 Union Bank of California Bond indebtedness 5,435,675 N $ 228,950 152,725 $ 152,725 76,225 $ 76,225
19 N $ - $ - $ -
20 N $ - $ - $ -
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ATTACHMENT 1

Lakeport Recognized Obligation Payment Schedule (ROPS 19-20) - Report of Cash Balances
July 1, 2016 through June 30, 2017
(Report Amounts in Whole Dollars)
Pursuant to Health and Safety Code section 34177 (l), Redevelopment Property Tax Trust Fund (RPTTF) may be listed as a source of payment on the ROPS, but only to the extent no other funding
source is available or when payment from property tax revenues is required by an enforceable obligation. For tips on how to complete the Report of Cash Balances Form, see Cash Balance Tips Sheet.

A B C D E F G H

Fund Sources

Bond Proceeds Reserve Balance Other Funds RPTTF

Prior ROPS RPTTF


and Reserve Rent, Non-Admin
ROPS 16-17 Cash Balances Bonds issued on or Bonds issued on or Balances retained Grants, and
(07/01/16 - 06/30/17) before 12/31/10 after 01/01/11 for future period(s) Interest, etc. Admin Comments

1 Beginning Available Cash Balance (Actual 07/01/16)


RPTTF amount should exclude "A" period distribution amount

0 0 0 4,250 0
2 Revenue/Income (Actual 06/30/17)
RPTTF amount should tie to the ROPS 16-17 total distribution from the
County Auditor-Controller

99,607 539 549,453


3 Expenditures for ROPS 16-17 Enforceable Obligations
(Actual 06/30/17)

383,039
4 Retention of Available Cash Balance (Actual 06/30/17)
RPTTF amount retained should only include the amounts distributed as
reserve for future period(s)

5 ROPS 16-17 RPTTF Prior Period Adjustment


RPTTF amount should tie to the Agency's ROPS 16-17 PPA form
submitted to the CAC No entry required

45,999
6 Ending Actual Available Cash Balance (06/30/17)
C to F = (1 + 2 - 3 - 4), G = (1 + 2 - 3 - 4 - 5)

$ 0 $ 0 $ 99,607 $ 4,789 $ 120,415


ATTACHMENT 1

Lakeport Recognized Obligation Payment Schedule (ROPS 19-20) - Notes July 1, 2019 through June 30, 2020

Item # Notes/Comments
ATTACHMENT 1

Lakeport Recognized Obligation Payment Schedule (ROPS 19-20) - Notes July 1, 2019 through June 30, 2020

Item # Notes/Comments
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Donation of property 500 N. Main St, known as the Bank MEETING DATE: 01/15/2019
of America Branch Building

SUBMITTED BY: Margaret Silveira, City Manager

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


To review and approve the acceptance of the property at 500 N. Main Street (APN: 025-381-080-000),
also known as the Bank of American Branch Building, and to authorize the City Manager to do any and
all things which may be necessary or advisable to effectuate this Resolution.
BACKGROUND/DISCUSSION:

After the announcement from Bank of America (BofA) that they would be closing their Lakeport
branch, staff contacted BofA and asked if they were willing to donate the property to the City of
Lakeport for a community center. After a letter appealing to the bank and several conversations, we
were very excited to have received the confirmation that BofA was going to donate the property to the
City of Lakeport.

BofA agreed to the donation based on the City’s commitment to a lease agreement allowing the bank
to continue operating their ATM at the current location. BofA has completed the needed upgrades to
the ATM to operate independently of the building and are now ready to complete the donation
process. They also offered to pay for the closing costs. Closing is anticipated to be complete by January
31, 2019.

OPTIONS:
Approve
Disapprove
No action

FISCAL IMPACT:
None at this time. Account Number: Comments:

SUGGESTED MOTIONS:
Approve the acceptance of the property at 500 N. Main Street (APN: 025-381-080-000), also known as
the Bank of American Branch Building, and to authorize the City Manager to do any and all things
which may be necessary or advisable to effectuate this Resolution.
Meeting Date: 01/15/2019 Page 1 Agenda Item #VII.C.1.
ATTACHMENTS: 1. Resolution

Meeting Date: 01/15/2019 Page 2 Agenda Item #VII.C.1.


RESOLUTION NO. ____ (2019)

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF LAKEPORT


ACCEPTING A DONATION OF REAL PROPERTY FROM BANK OF
AMERICA FOR ANY MUNICIPAL PURPOSE AND AUTHORIZING
CITY MANAGER TO TAKE CERTAIN ACTIONS

WHEREAS, Bank of America, NA, a national banking association, wishes to donate certain
real property (APN: 025-381-080-000), with an appraised value of $440,000, to the City of
Lakeport to be used for any municipal purpose.

WHEREAS, the City of Lakeport is authorized to accept such a conveyance under


Government Code section 37350.

WHEREAS, the City of Lakeport and Bank of America further intend to enter into a lease
agreement for the continued placement of automated teller machines (ATM) on the donated
property by Bank of America.

NOW THEREFORE, THE CITY COUNCIL OF THE CITY OF LAKEPORT DOES HEREBY RESOLVE
AS FOLLOWS:

SECTION 1. That the City Council determines that the above set forth recitals are true and
correct.

SECTION 2. The City Council accepts a donation of real property (APN: 025-381-080-000),
with an appraised value of $440,000, to the City of Lakeport from Bank of America, NA to be used
for any municipal purpose.

SECTION 3. The City Council authorizes the City Manager to execute a Certificate of
Acceptance for the donation of the above-mentioned real property.

SECTION 4. The City Manager is hereby authorized and directed to do any and all things
which may be necessary or advisable to effectuate this Resolution and any such actions
previously taken are hereby ratified.

PASSED, APPROVED and ADOPTED at a regular meeting of the City Council of the City of
Lakeport held this 15th day of January, 2019:

AYES:
NOES:
ABSENT:
ABSTAIN:

Page 1 of 2
______________________________
TIMOTHY BARNES, Mayor

______________________________
KELLY BUENDIA, City Clerk

Page 2 of 2
CITY OF LAKEPORT
City Council
City of Lakeport Municipal Sewer District
Lakeport Redevelopment Successor Agency
Lakeport Industrial Development Authority
Municipal Financing Agency of Lakeport

STAFF REPORT
RE: Mural for the Lakeport Fire Station #50 MEETING DATE: 01/15/2019

SUBMITTED BY: Margaret Silveira

PURPOSE OF REPORT: Information only Discussion Action Item

WHAT IS BEING ASKED OF THE CITY COUNCIL/BOARD:


The City Council is being asked to approve a mural for the south facing wall of the Lakeport Fire Station #50.

BACKGROUND/DISCUSSION:
Ben Van Steenburgh, a member of the Lake County Rural Art Initiative (LCRAI), created the artwork as a homage
to the firefighters. LCRAI wanted to turn it into a mural on the Kelseyville station. An anonymous donor paid for
the first mural to be painted. LCRAI felt that a series of these fire murals would be better at creating buzz to
help raise money, as well as adding some cool artwork for the city. Prints are for sale on the LCRAI website to
help raise money to support the firefighters as well as a link to a go fund me site.
Ben created the second fire dragon mural. The Lakeport mural is being funded by Lake County Arts Council,
(LCAC). Both LCRAI and LCAC are hoping to collaborate on these types of mural projects. LCRAI is hoping to also
paint murals on other stations around Lake County.
OPTIONS:
Approve attached draft of Mural Project for the Lakeport Fire Station #50.

Deny approval

Provide staff with alternate direction.

FISCAL IMPACT:
None $ Budgeted Item? Yes No
Budget Adjustment Needed? Yes No If yes, amount of appropriation increase: $
Affected fund(s): General Fund Water OM Fund Sewer OM Fund Other:
Comments:

SUGGESTED MOTIONS:
Move to approve a mural, based on artwork submitted by Ben Van Steenburgh for the south facing wall of the
Lakeport Fire Station #50.

Attachments: 1. Artwork

Meeting Date: 01/15/2019 Page 1 Agenda Item #VII.C.2.

Related Interests