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2020/08/11 City Council Resolution 2020-077 RESOLUTION NO. 2020-077 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ROHNERT PARK APPROVING A NEW RECORDS RETENTION SCHEDULE AND SUPERSEDING RESOLUTIONS 2017-021 AND 2017-121 WHEREAS,the declared purpose of this Resolution is to provide direction to City Officials, employees, contractors, and volunteers for the proper and efficient management of City of Rohnert Park records consistent with the requirements of federal and state laws including California Government Code Section 6250 et seq., "Public Records Act"; and WHEREAS,California Government Code Section 34090 et seq. sets forth certain legal requirements relating to the retention of certain municipal records and provides parameters whereby any City record that has served its purpose and is no longer required may be destroyed; and WHEREAS,the current records retention schedule, adopted by Resolution No. 2017-021 on February 14, 2017, and updated by Resolution 2017-121 adopted on October 10, 2017, was not designed to effectively manage electronic records;and WHEREAS,the City of Rohnert Park Strategic Plan calls for the creation of a City-wide electronic filing system to make records readily available and eliminate most paper records;and WHEREAS,the adoption of a new Rohnert Park Records Retention Schedule is a necessary component for the creation of an effective City-wide electronic filing system; and WHEREAS,the City Clerk and City Attorney find the attached Records Retention Schedule complies with federal and state statutes; and WHEREAS, it is recommended that a new City Wide Records Retention Schedule be adopted to enable the creation of a City-wide electronic filing system. The new Records Retention Schedule is attached and incorporated into this resolution as Exhibit A. NOW,THEREFORE,BE IT RESOLVED: Section 1. Resolutions No. 2017-021 and 2017-121 are hereby superseded. Section 2. The Records Retention Schedule Exhibit A, attached hereto and incorporated herein by this reference, is hereby adopted. Section 3. The records of the City of Rohnert Park, as set forth in the Records Retention Schedule Exhibit A are hereby authorized for destruction 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 Rohnert Park. Section 4. The term "records"as used herein shall include records as defined by the California Public Records Act and Government Code Section 14741. Section 5. The City Clerk shall certify to the passage and adoption of this resolution and enter it into the book of original resolutions. Section 6. The resolution shall become effective immediately upon its passage and adoption. DULY AND REGULARLY ADOPTED this 11'h day of August, 2020. CITY OF ROHNERT PARK (---:_______ c. 6.L.__ Josep T. Callinan, Mayor ATTEST: Sylvia Lo Cuevas, City Clerk Attachment: Exhibit A ADAMS: BELFORTE: Al{i, STAFFORD• MACKENZIE: 4t.%I CALLINAN: AYES: ( [") •ES: ( 0) ABS : (tgz5) ABSTAIN: Q) Resolution 2020-077 2 City Clerk’s Office 130 Avram Avenue Rohnert Park, CA 94928 August 11, 2020 Adopted: Resolution 2020-077 Records Retention Schedule Table of Contents Legends .......................................................................................................................................................... v Using the Record Retention Schedule .......................................................................................................... vi Retention Schedule ........................................................................................................................................ 1 Advisory Bodies - Non-Brown Act .................................................................................................................. 1 Audio/Video Records - Nonlegislative Meetings ........................................................................................... 1 Audits - Internal and Administration ............................................................................................................. 1 Budgeting and Financial, Strategic Planning .................................................................................................. 1 Community Outreach, Media and Public Relations ....................................................................................... 1 General and Department Administration ...................................................................................................... 2 Grants and External Funding Sources ............................................................................................................ 2 Legal Advice and Opinions ............................................................................................................................. 2 Legislative Councils, Boards & Commissions - Administrative Documents ................................................... 2 Policies and Procedures ................................................................................................................................. 2 Public Notices ................................................................................................................................................. 2 Purchasing - Agreements and Contracts Not Awarded ................................................................................. 3 Service Issues, Complaints ............................................................................................................................. 3 Training Materials, Courses, Scheduling ........................................................................................................ 3 Activity and Event Permits and Licenses ........................................................................................................ 3 Animal Services .............................................................................................................................................. 3 Miscellaneous Building Permit Documents ................................................................................................... 3 Administrative Hearings ................................................................................................................................. 4 Public Information Requests .......................................................................................................................... 4 Building Plans, Building Permits - Residential and Commercial .................................................................... 4 Address Files .................................................................................................................................................. 4 Agreements, Contracts - Settlement Agreements ......................................................................................... 4 Appointments to Boards, Commissions and Committees ............................................................................. 4 Audio/Video Records - Legislative Meetings ................................................................................................. 4 Claims for Money or Damages Against the City ............................................................................................ 5 Election Records - Administrative Files .......................................................................................................... 5 Election Records - Candidates Elected ........................................................................................................... 5 Election Records - Candidates Not Elected .................................................................................................... 5 Election Records - Committees ...................................................................................................................... 5 Election Records - Initiative, Recall, or Referendum Petitions ...................................................................... 5 Election Records - Nomination Documents ................................................................................................... 5 Page i - 2020 FPPC Forms - Mandated Reporting ................................................................................................................ 5 FPPC Forms - Statements of Economic Interest ............................................................................................ 5 Historical Documents, Events, Memorabilia, Collections, Artifacts .............................................................. 6 Prop 218 Protest Procedure .......................................................................................................................... 6 Records of Legislative Councils, Boards & Commissions Actions .................................................................. 6 Records, Information Management ............................................................................................................... 6 Assessment Districts - Community Facility Districts ...................................................................................... 6 Litigation ........................................................................................................................................................ 7 Agreements and Contracts - Goods, Rentals, or Services .............................................................................. 7 Economic Development Programs and Services ........................................................................................... 7 Insurance Coverage - Non-Occurrence Based ............................................................................................... 7 Insurance Coverage - Occurrence Based ....................................................................................................... 8 Business Continuity Records - Facilities and Emergency Operations ............................................................ 8 Code Compliance and Enforcement .............................................................................................................. 8 Community Services Programs and Services ................................................................................................. 8 Facility Rentals ............................................................................................................................................... 9 Agreements, Contracts - Public Projects ........................................................................................................ 9 Engineering Project Files - Construction Records .......................................................................................... 9 Engineering Project Files - Final Documents .................................................................................................. 9 Grading and Encroachment Permits .............................................................................................................. 9 Real Estate Appraisals .................................................................................................................................... 9 Real Estate Transactions .............................................................................................................................. 10 Recorded Maps and Diagrams, and As-Built Plans ...................................................................................... 10 Traffic and Transportation Planning ............................................................................................................ 10 Accounts Payable and Receivable ................................................................................................................ 11 Audits - Official ............................................................................................................................................. 11 Banking Records ........................................................................................................................................... 11 Business Licenses ......................................................................................................................................... 11 Community Development Agency/Community Development Commission Official Reports ..................... 12 Debt .............................................................................................................................................................. 12 Escheat, Unclaimed Funds ........................................................................................................................... 12 Financial Reporting - Official, Annual, Periodic............................................................................................ 12 Fixed Assets .................................................................................................................................................. 12 General Ledger, Journal Entries, Budget Adjustments ................................................................................ 13 Investments.................................................................................................................................................. 13 Payroll .......................................................................................................................................................... 13 Page ii - 2020 Tax Filings ..................................................................................................................................................... 13 Utility Customer Account Information......................................................................................................... 13 Fuel Management ........................................................................................................................................ 13 City Building, Property Management........................................................................................................... 14 Permits Issued by Fire Department ............................................................................................................. 14 Housing Program Files ................................................................................................................................. 14 Benefit Plans ................................................................................................................................................ 14 Employee Benefit Files ................................................................................................................................. 14 Employee Medical Records .......................................................................................................................... 15 Labor Relations ............................................................................................................................................ 15 Regulatory Reporting for Human Resources ............................................................................................... 15 Salary, Compensation .................................................................................................................................. 15 Work Authorizations and Supporting Documentation ................................................................................ 15 Staffing and Recruiting ................................................................................................................................. 15 Personnel Files ............................................................................................................................................. 16 Training for Employees and Officials ........................................................................................................... 16 Employee Health & Safety ........................................................................................................................... 16 Technology Help Desk, Access and Security ................................................................................................ 17 Application, System Management ............................................................................................................... 17 Business Continuity Records - Computing Equipment and Network Operations ........................................ 17 Security, Access Operations ......................................................................................................................... 17 Planning Services - Permanent .................................................................................................................... 18 Planning Services - Short-term ..................................................................................................................... 18 Arson Investigations ..................................................................................................................................... 18 Concealed Weapons Licenses ...................................................................................................................... 18 Criminal Registrations - Gangs ..................................................................................................................... 18 Fire Equipment ............................................................................................................................................. 18 Fire Prevention Inspections ......................................................................................................................... 18 Fire Prevention Occupancy Records ............................................................................................................ 18 Fire Prevention Programs ............................................................................................................................ 19 Fire Station Activity Records ........................................................................................................................ 19 Incident Reports ........................................................................................................................................... 19 Police - Complaints, Internal Investigations................................................................................................. 19 Police Routine Video Records ...................................................................................................................... 19 City Asset Repair, Maintenance ................................................................................................................... 19 Hazardous Waste, Monitoring and Remediation ........................................................................................ 20 Page iii - 2020 Operational Maps ........................................................................................................................................ 20 Recycled Water, Backflow............................................................................................................................ 20 Storm Water Drainage Management .......................................................................................................... 20 Water and Sewer ......................................................................................................................................... 20 Maintenance/Inspection Reports - City Facilities and Infrastructure .......................................................... 21 Page iv - 2020 Page v - 2020 Legends C I TAT I O N C O D E S B&P = Business And Professions GC = California Government Code CAC = California Administrative Code H&S = Health & Safety CBC = California Building Code HUD = Housing And Urban Development CCP = Code Of Civil Procedure LAB = California Labor Code CCR = California Code of Regulations OMB = Office of Management & Budget CEC = California Evidence Code OSHA = Occupational Safety & Health Act CEQA = California Environmental Quality Act PC = Penal Code CFC = California Fire Code POST = Police Officers Standards Training CFR = Code Of Federal Regulations R&T = California Revenue & Taxation Code EC = Election Code SEC = Security Exchange Commission EVC = California Evidence Code UFC = Uniform Fire Code FA = California Food and Agriculture USC = United States Code FC = California Financial Code VEH = Vehicle Code FMLA = Family & Medical Leave Act 1993 W&I = Welfare & Institutions Code FPPC = Fair Political Practice Commission Retention Codes AC = Active FD = Final Disposition AD = Adoption I = Indefinite AU = Audit L = Life CU = Current Year M = Month CL = Closed/Completed P = Permanent DOB = Date of Birth S = Superseded E = Election T = Termination Y = Year Acronyms CCMS = Citywide Content Management System MOA = Memorandum of Agreement DOJ = Department of Justice MOU = Memorandum of Understanding FEMA = Federal Emergency Management Agency MSDA = Material Safety Data Sheet FPPC = Fair Political Practice Commission REMIF = Redwood Empire Municipal Insurance Fund FTC = Federal Trade Commission RFI = Request for Information JPA = Joint Powers Agreement RFP = Request for Proposal LOI = Letter of Intent RFQ = Request for Qualifications Using the Record Retention Schedule The retention schedule is intended to direct City staff on when and how to disposition City records after they have exceeded their lifecycle, it also provides you with the location and/or the Department of Record. Below is a descriptive sample of a record from the schedule, with category explanations: Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments Whenever possible records have been combined into a series of like items and placed together in a record number. When a record goes by more than one name, the alternative names are listed here. The purpose or function of the record is described. Any other notes, exceptions, or special instructions relating to the record or record series are listed here. A series of records may be comprised of several document types, documents that most likely will be found in this series are listed. Department responsible for maintaining the original record. Departments not listed under “Department of Record” are deemed to have a duplicate copy of such records and may destroy the copy at any time. This is the total amount of time that is required, either by federal, state, local statue, or internal policy. Notes any applicable government code or policy related to the record’s retention. Modifications and Additions Because records reflect activities that are constantly changing, the retention requirements for records sometimes require revision as well. Consequently, records retention and disposition schedules often need modification or additions in order to be realistic and effective. There may be some retention periods and disposition requirement within this schedule that may change between major reviews of the schedule. The City Clerk’s Office welcomes all comment and suggestions concerned with improvement of record retention schedule through modifications and additions.Use of Schedule This PDF document contains a linked contents index. To utilize the contents index, click on the desired content to be taken to the page on which the content is located. When using this Retention Schedule it may require a search mode (find), use “Control (Ctrl) F”, a pop-up box will appear, use search word or words to find specific documents for your retention needs.Contact Us For further information on any records management, record preservation, or disposition issues, please contact: City Clerk’s Office 130 Avram Avenue, Rohnert Park, CA 94928 Phone: 707-588-2227 Email: cityclerk@rpcity.org Page v - 2020 Page v - 2020 Page v - 2020 Page vi - 2020 Page 1 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments 001 Advisory Bodies - Non-Brown Act Records of actions taken by City committees, ad hoc committees, and task forces having no legislative authority of their own (i.e., not subject to the Brown Act), but whose actions may inform or advise the City Council or other City legislative bodies. Agendas Bylaws Formation Documents Meeting Minutes Opinions on Pending Legislation Resolutions Transcriptions of audio and video recordings of meetings All Departments While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 002 Audio/Video Records - Nonlegislative Meetings Audio and video recordings of City meetings other than those of legislative bodies (bodies not subject to the Brown Act). Audio and Video Recordings All Departments 90D CA - GOV 54953.5(b) - (30D) 003 Audits - Internal and Administration Records and information related to internal audits and administration of auditing activities, including reviewing and documenting operational, compliance, or financial information created as a part of an audit. (Does not include CAFR.) Annual Audit Reports Audit Files, Plans Audit Schedules Audit Workpapers Improvement Plans Investigations, Workpapers Management Responses Observations Petty Cash Audits Recommendations Remediation Plans / Results Responses All Departments 6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 26 USC 6531 - (LA6Y) 004 Budgeting and Financial, Strategic Planning Records and information relating to development of department and City budgets and financial and strategic planning. Budgets Financial Plans Strategic Plans All Departments 2Y CA - GOV 34090 - (2Y) 005 Community Outreach, Media and Public Relations Records and information regarding external-facing communications, advertising, marketing, and press relations materials, including documentation of outreach activities/events held in cooperation or for the benefit of the local community. Includes use of digital sign by outside parties. Brochures, Flyers Digital sign applications, approvals, scheduling, revenue Events FAQs Mailers Marketing Materials Media Packets, Releases, Kits Press Kits Public / Media Inquiries Public Information / Outreach / Education Publications Produced by the City (newsletter, visitors guide ) Publicity Files Speeches Social Media Documentation Videos Waivers of Liability All Departments 4Y CA - CCP 337 - (LA4Y) CA - GOV 34090 - (2Y) ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days Page 2 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 006 General and Department Administration Administrative records of City departments documenting general administrative tasks such as internal reporting, logging or tracking of activities, department projects, and general correspondence. Calendaring and Scheduling City Generated Routine Studies / Reports Correspondence (routine, general ) Department Administrative Documents (calendars, committees, goals, objectives, meeting agendas, meeting minutes, meeting tapes/recording, plans ) Employee Communication Letters (announcements, new programs, notices ) In-House Committees and Task Forces Logs Office Files, Office Manager Files Organization Charts Supplies Management (stationery, maintenance ) Travel Records Vehicle Mileage Reimbursement Rates Volunteer Programs All Departments While Active+2Y CA - GOV 34090 - (2Y) 007 Grants and External Funding Sources Documentation of the applications for, as well as evaluations, awards, administration, monitoring, reporting, and status of grants and other funding sources in which the City is the recipient, grantor, allocator, or administrator. Applications (including project proposals ) Award Notification Grant Administration Grant Funding Grant Evaluations Program Rules, Regulations, Procedures Property Taxes Funding Reports to Funding Agencies All Departments While Active+5Y CA - GOV 34090 - (2Y) US - 2 CFR 200.333 - (CL+3Y) US - 24 CFR 570.502(a)(7)(i)(A) - (LA4Y) Unsuccessful applications are retained for 2 years. NOTE: If a grant requires longer retention, its specific requirements will take precedence. 008 Legal Advice and Opinions Memoranda containing legal advice prepared by the City Attorney's for City departments. Memos Opinions All Departments 10Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 009 Legislative Councils, Boards & Commissions - Administrative Documents Administrative records associated with activities of City legislative bodies, boards, and commissions during public and closed session meetings. Ceremonial Documents Correspondence Petitions to Council Photo Releases Speaker Cards All Departments While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 010 Policies and Procedures All administrative documentation of City policies and procedures. Administrative Policies Departmental Policies and Procedures Directives General Orders Guidelines Handbooks Policies Procedure Manuals Procedures Standard Operating Procedures (SOPs) Standards All Departments While Active+6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 45 CFR 164.530(j) - (CU+6Y) 011 Public Notices Records documenting compliance with laws requiring public notice of government activities. Subjects include assessments, elections, land use changes, public meetings and hearings, sale of property, publication of ordinances, and others. Affidavits of Mailing Affidavits of Posting Affidavits of Publication/Legal Notices Public Hearing Notices Public Meeting Notices All Departments 4Y CA - CCP 343 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) Page 3 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 012 Purchasing - Agreements and Contracts Not Awarded Records and information created or retained in the preparation of purchasing or acquisition of goods and services, but where the purchase order, contract, or agreement was not awarded. Bids, Awards (unaccepted, rejected ) Exhibits Price Lists Quotations Requisitions Requests for Information (RFI) Requests for Proposal (RFP ) Requests for Quote (RFQ ) Scorecards Specifications All Departments 2Y CA - GOV 34090 - (2Y) 013 Service Issues, Complaints Documentation regarding civilian complaints and related requests for service, other than those related to peace officers (see Record 099 for peace officer complaints). Complaints Issues Log Trouble Reports All Departments 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 014 Training Materials, Courses, Scheduling Documentation regarding the content of courses and schedules for training offered to employees, officials and volunteers. Brochures Education Materials Presentation Materials PowerPoint Slide Decks Testing Materials Training Bulletins All Departments 6Y CA - GOV 12946 - (2Y) US - 29 CFR 1602.14 - (FR+1Y) 015 Activity and Event Permits and Licenses Documentation of permits issued by the City for activities and events taking place within City boundaries. NOTE: This excludes building permits which are covered under Record 021, and permanent land use permits, which are covered under Record 089. Alcoholic Beverages Amplified Sound Animal Licenses Bicycle Bingo Fireworks Sales and Displays Hobby Kennel/Commercial Kennel Haunted Houses Massage License (establishment, technician) One-time business license Parking Second Hand Dealers Taxis and Autos for Hire Transportation Permits (oversize, overweight) Animal Services Finance Engineering Public Safety While Active+4Y CA - CCP 337 - (LA4Y) CA - GOV 34090 - (2Y) 016 Animal Services Records and information documenting activities of the Animal Services office. Approval or Denial of Treatment by City Bite Records Case Files Microchip Information Photos Rabies Control Reports (quarantine numbers ) Shelter Records (intake, transfer, adoption, emergency boarding, camp program ) Veterinary Records (medical treatment, euthanasia Animal Services Public Safety 3Y CA - CCP 340(c) - (LA1Y) CA - FAC 32003 - (3Y) CA - GOV 34090 - (2Y) CA - HSC 122331 - (MAINT) CA - PEN 597.1(d) - (3Y) 017 Miscellaneous Building Permit Documents Records and information documenting the permitting and inspection process. Application for Building Permits (including plans) Building Plan Check Comments Correction Notices (Not including correction notices for issued or expired permits) Correspondence Fees Building While Active+2Y CA - GOV 34090 - (2Y) CA - HSC CBC 105.3.2 (180D) Page 4 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 018 Administrative Hearings Records of administrative hearings of appeals related to violations and citations issued for animal control, code enforcement, administrative permits and zoning interpretations, and public safety.* Case Files Hearings Rulings Building City Clerk Code Compliance Planning Public Safety 5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 019 Public Information Requests Records requested by the public, required for provision to the public, and related inquiries. Inquiries Maddy Act Lists Plan Requests Public Records Requests Building City Clerk Public Safety 2Y CA - GOV 34090 - (2Y) 020 Building Plans, Building Permits - Residential and Commercial Records and information documenting the building services provided by the City regulating residential and nonresidential structures. Accessibility Hardship Forms Accessibility Exemption Forms Building Inspections Building Permits (issued, active, expired, history ) Building Plans CalGreen Checklists Certificates of Occupancy Energy Documentation General Compliance Letters from Design Professionals Geotechnical Reports Special Inspections. Building Fire Permanent CA - CBC 107.5 - (180D) CA - CRC 106.5 - (180D) CA - GOV 34090 - (2Y) CA - GOV 34090(d) - (2Y) CA - HSC 19850 - (LI) 021 Address Files Records and information regarding the rules for naming and numbering City streets, housing, and/or lots. Address Assignments/Changes Street Closings Street Dedications Building Planning Permanent CA - GOV 34090(a) - (PR) 022 Agreements, Contracts - Settlement Agreements Executed settlement agreements documenting final settlement of legal issues with other parties. Settlement Agreements City Clerk Permanent CA - CCP 315 - (LA10Y) CA - CCP 337 - (LA4Y) CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - CCP 343 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 023 Appointments to Boards, Commissions and Committees Staff records related to appointments made by authorized elected officials to councils, committees, boards, and commissions. Applications (appointed, unsuccessful ) Interview Notes Letters of Appointment Letters of Recommendation Oaths of Office Resumes Submitted Documents City Clerk Term of Office+2Y CA - GOV 34090 - (2Y) 024 Audio/Video Records - Legislative Meetings Audio and video recordings of legislative meetings of legislative bodies subject to the Brown Act, including the City Council, Commissions, City Council appointed Committees, Community Development/Successor Agency, and their governing boards. Audio and Video Recordings City Clerk 5Y CA - GOV 54953.5(b) - (30D) Page 5 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 025 Claims for Money or Damages Against the City Records detailing claims against the City pursuant to the Government Tort Claims Act, CGC 900 et seq. Annual Audit of Open Claims Claims for Money or Damages Against the City Closing Letters Damage Estimate Reports Supporting Documentation Insurance Claims, Appraisals, Reports Investigations City Clerk Final Resolution+5Y CA - CCP 337 - (LA4Y) CA - CCP 338.1 - (LA5Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 026 Election Records - Administrative Files Documentation of the administration of City elections. Correspondence Research Notes City Clerk 4Y CA - GOV 34090 - (2Y) CA - GOV 81009(f)(g) - (4Y; 2Y) 027 Election Records - Candidates Elected Records and information related to the filing of campaign and election documentation by candidates who are elected to City offices. Campaign Statements Election Results City Clerk Permanent CA - GOV 81009(b) - (PR) 028 Election Records - Candidates Not Elected Records and information related to the filing of campaign and election documentation by candidates, but who are not elected. Campaign Statements City Clerk 5Y CA - GOV 81009(b) - (5Y) 029 Election Records - Committees Records and information related to the filing of FPPC forms for Political Action Committees and General Purpose Committees. FPPC Series 400 Forms City Clerk 7Y CA - GOV 81009 (c ) - (7Y) 030 Election Records - Initiative, Recall, or Referendum Petitions Petitions for initiative, referendum, recall, or ballot measures, whether successful or not. Petitions City Clerk 8M, unless longer retention required under litigation, AG, or FPPC hold CA - ELEC 17200 - (8 Months) CA - ELEC 17400 - (8 Months) 031 Election Records - Nomination Documents Records and information related to the filing of nomination papers and petitions in lieu of filing fee. Ballot Designation Worksheet Code of Fair Campaign Practices Form 501 Candidate Intention Statement Form 700 Statement of Economic Interests (copies) Nomination Papers Petitions in Lieu of Filing Fee Signatures in Lieu of Filing Fee Petitions Supplemental Nomination Papers City Clerk Term of Office+4Y CA - ELEC 17100(a) - (T+4Y) 032 FPPC Forms - Mandated Reporting Forms mandated by state law related to related to receipt and redistribution of gifts and honoraria, ceremonial roles, and holding of multiple positions for certain employees, elected or appointed officials, or consultants. Form 801 Form 802 Form 803 Form 804 Form 805 Form 806 City Clerk Term of Office + 7Y CA - GOV 34090 - (2Y) CA - GOV 81009(e) - (7Y) 033 FPPC Forms - Statements of Economic Interest Statements of economic interest mandated by state law for certain employees, elected or appointed officials, or consultants. Form 700 City Clerk 7Y CA - GOV 34090 - (2Y) CA - GOV 81009 - (4Y; 7Y) Page 6 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 034 Historical Documents, Events, Memorabilia, Collections, Artifacts Records and information documenting the history and significant milestones of the City as determined by the City Manager or City Clerk Appointments to City Council Biographies of City Officials Census Information City Articles of Incorporation City Seal City Generated Historical Studies / Reports City Publications Codes Related to Building Construction Demographics Elections, Initiative, Referendum, Recall and City-initiated Measures Executive, City Official Communications, Speeches, Videos Historic Districts Historical Events, Artifacts, Architecture, Designations, Projects Historical Parks, Facilities Litigation of Historical Significance Master Appointments List Memorial Programs Picture Collections Publicity Photographs Registered Logos Significant News Clippings, Releases City Clerk Permanent CA - GOV 34090 - (2Y) 035 Prop 218 Protest Procedure Records related to administration of notifications and protests associated with taxes, assessments and fees subject to Prop. 218. Ballots Engineer's Report Notices Protest Letters Public Hearing Material City Clerk Permanent California Constitution Art. XIII 036 Records of Legislative Councils, Boards & Commissions Actions Records of public and closed session meetings, and actions taken in those meetings, by City councils, boards and commissions with legislative authority and subject to the Brown Act. Agenda Packets (includes staff reports) Appeals Bylaws City-wide Plans/Programs Adopted Formation Documents Meeting Minutes Minute Books & Index Municipal Code Ordinances Petitions and Decisions Proclamations Resolutions City Clerk Permanent CA - GOV 34090(e) - (PR) 037 Records, Information Management Documentation of the compliance with Records and Information Management policy and procedures. Includes retrievals, transfers, and inactive records. Certificates of Destruction Inactive Records Storage Information Lists of Stored / Destroyed Records Litigation Hold Notices, Updates Records Transfers (to storage, to other depts.) City Clerk 4Y CA - CCP 315 - (LA10Y) CA - CCP 337 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 26 CFR 31.6001-1 - (CU+4Y) US - 26 CFR 301.6501 - (CU+3Y) US - 26 USC 6531 - (LA6Y) 038 Assessment Districts - Community Facility Districts Records and information documenting the formation and operations of the City's funding districts. Includes maintenance districts, bond districts, acquisition districts and PBIDs. Boundary Maps and Diagrams District Formation Documents Engineers Reports Mello-Roos Records Rate Calculations City Clerk Permanent CA - GOV 34090(a) - (PR) Page 7 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 039 Litigation Records generated for or related to any case or action before a judicial, arbitral, or administrative officer or body. Civil Appeals Complaints Court Orders Criminal Prosecutions Cross-complaints Discovery Dismissal Exhibits Judgments Litigation-related Administrative Records Petitions Pitchess Motions Pleadings Related Correspondence Releases Responses Subpoenas Related to Litigation (for records, civil subpoenas, criminal subpoenas ) City Clerk City Manager Final Resolution+10Y CA - 2 CCR 11013 - (FR+2Y) CA - 8 CCR 10102 - (5Y; CL+1Y) CA - 22 CCR 1085-2 - (CU+4Y) CA - CCP 315 - (LA10Y) CA - CCP 337.15 - (LA10Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - LAB 5410 - (LA5Y) CA - RTC 19704 - (LA6Y) CA - UIC 1132 - (LA3Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 CFR 301.6501 - (3Y) US - 26 CFR 301.6532-1 - (LA2Y) US - 26 CFR 301.6532-2 - (LA5Y) US - 26 USC 6531 - (LA6Y) US - 26 USC 6532 - (LA2Y) US - 29 USC 255 - (LA2Y) US - 29 USC 626(d) - (LA300D) US - 42 USC 2000e-5(e) - (LA180D) US - 42 USC 2000e-5(f) - (LA180D) 040 Agreements and Contracts - Goods, Rentals, or Services Executed agreements and contracts between the City and other parties, other than those for legal settlements, infrastructure projects or real property. Executed agreement or contract includes all contractual obligations (e.g., RFP, RFQ, scope of work, or successful proposal, amendments), and initial insurance documentation. Types of agreements include: consulting, grant, instructor/actor, joint powers authority (JPA), loan, legal services, professional services, goods, permit & licensing, franchise, instructor, and investment. Excludes MOUs between the City and its employee groups (see Record 077) and Facility Rental Agreements for Community Services (see Record 047). Addendums and Amendments Agreements/Contracts Attachments / Exhibits Insurance Documentation Concessions Change Orders Disclosures Leases Letters of Intent Memoranda of Agreement (MOA ) Memoranda of Understanding (MOU) Notices of Intent Price Lists Rentals Requests for Proposals Requests for Qualifications Specifications Statements of Work (SOW ) Vendor Lists and Packets Warranties City Clerk Community Services While Active+4Y, unless federally or state funded contracts require longer retention period CA - CCP 337.1 - (LA4Y) CA - CCP 343 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 041 Economic Development Programs and Services Records and information documenting the City's economic development programs (such as business promotion program, business recruitment program, and retail incentive program) including marketing, events and customer relationships management. Community Studies Demographics Economic Development Strategy City Manager While Active + 4Y CA - CCP 337 - (LA4) CA - GOV 34090 - (2Y) CA - SHC 36650(b) - (MAINT) US - 2 CFR 200.333 - (CL+3Y) 042 Insurance Coverage - Non-Occurrence Based Records detailing the City's general coverage against property damage and liability, including renewal submission information, insurance quotes, & broker correspondence. Binding Information Broker Correspondence California Joint Powers Insurance Authority (CJPIA ) Insurance Documentation Completed Applications Insurance Claims by the City Insurance Policies (health, benefits, flood, liability ) Insurance Quotes Insurance Submissions Redwood Empire Municipal Insurance Funds (REMIF - workers compensation ) City Manager Finance While Active+4Y CA - 22 CCR 3267-2 - (MAINT) CA - CCP 337 - (LA4Y) CA - GOV 34090 - (2Y) Page 8 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 043 Insurance Coverage - Occurrence Based Records detailing the City's general coverage against property damage and liability, including renewal submission information, insurance quotes, & broker correspondence. Binding Information Broker Correspondence California Joint Powers Insurance Authority (CJPIA ) Insurance Documentation Completed Applications Insurance Claims by the City Insurance Policies (health, benefits, flood, liability ) Insurance Quotes Insurance Submissions Redwood Empire Municipal Insurance Funds (REMIF - workers compensation ) City Manager Finance Permanent CA - 22 CCR 3267-2 - (MAINT) CA - CCP 337 - (LA4Y) CA - GOV 34090 - (2Y) 044 Business Continuity Records - Facilities and Emergency Operations All documentation for dealing with preparation for and responses to emergencies, disasters and/or system failures for City facilities. Includes the Emergency Operations Center. Business Continuity Plans De-Energization Mitigation Plan Disaster Recovery Plan Drill Records Emergency Contact Lists, Employee Lists, Roster of Workers Emergency Evacuation Procedures Emergency Operations Center Emergency Preparedness (task forces, plans ) Emergency Response Evacuation Plans Fire Prevention Plan Telephone Trees City Manager Public Safety While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 045 Code Compliance and Enforcement Records and information documenting compliance with and violations of City codes. Administrative Citations Building Orders Business License Inspections Certificates of Nuisance and Abatement Citations Compliance with Conditions of Approval Emergency Orders Inspections / Enforcement (business, residential) Investigations Liens and Releases Supporting Documentation Notices of Noncompliance Notices of Violation Photographs Reporting Stop Work Orders Code Compliance Public Safety 5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - PEN 802 - (2Y) CA - Law Enforcement Evidence and Property Management Guide NOTE: Records for repeat offenders may be retained longer to document a history of violations 046 Community Services Programs and Services Records and information documenting the City's parks and recreational programs and services. Applications Class Listings Department of Health Filings (for concessions and pools ) Emergency Contact Forms Memorials Program (benches, bricks, buildings ) Photo Releases Program/Event Evaluations Recreation Schedules Registrations Forms Releases of Liability Schedules Withdrawal Forms Community Services While Active+3Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - 22 CCR 101221 - (CL+3Y) Page 9 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 047 Facility Rentals Records and information documenting rental arrangements for the City's park's facilities. Applications Facility Rental Agreements Insurance Documentation Permits Reports Reservation Books User Accounts Community Services While Active+4Y CA - CCP 337 - (LA4Y) CA - CCP 338 - (LA3Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 048 Agreements, Contracts - Public Projects (Construction or Major Maintenance/Repair by City or Developer for City) Executed agreements and contracts between the City and other parties for infrastructure projects or the acquisition, improvement, or sale of real property. Executed agreement or contract includes all contractual obligations (e.g., scope of work, amendments), plans and specifications and insurance documentation. Addendums and Amendments Agreements/Contracts Attachments / Exhibits Bonds (copies) Certificates of Completion (COCs) Insurance Documentation Change Orders, Side Letters, Task Orders Disclosures Letters of Intent Notices of Award Notices of Completion (NOCs) Notices to Proceed Plans and Specifications Statements of Work (SOWs ) Warranties Engineering CL+10Y CA - CCP 315 - (LA10Y) CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - CCP 343 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090(a) - (PR) 049 Engineering Project Files - Construction Records Records and information related to the administration, analysis, design, development, planning, and construction of public works, Capital Improvement (CIP) and engineering projects for City facilities and infrastructure. Includes projects funded from various sources including bonds, grants, capital improvement and general fund. Certificates of Compliance/Notice of Non-Compliance Field Inspections, Closures Inspections and Progress Meetings Payroll (certified, Davis Bacon) Photos/Pictures Project Plans and Schedules, Insurance, Permits Semi-annual Labor Reports Calculations Stop Notices Studies and Surveys Engineering While Active+10Y CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - 14 CCR 15095 - (Reasonable) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 2 CFR 200.333 - (AC+3Y) US - 24 CFR 92.508(c) - (AC+5Y) US - 24 CFR 570.502(a)(16) - (LA4Y) US - 29 CFR 97.42 - (AC+3Y) 050 Engineering Project Files - Final Documents Records and information related to completed public works, Capital Improvement (CIP) and engineering projects for City facilities and infrastructure. As-Built Drawings, Plans CEQA/NEPA Compliance Records Completion Reports Geotechnical Reports Final Designs Project Specifications Underground Utilities Maps Engineering Permanent CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - HSC 19850 - (LI) * Life of Building, Asset or Facility 051 Grading and Encroachment Permits Documentation of grading permits issued by the City and records documenting encroachments upon City property, or by the City on the property of others. Encroachment Permits, Certificates Grading Permits Engineering While Active+10Y CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - GOV 34090 - (2Y) 052 Real Estate Appraisals Records of appraisals for property to be purchased by the City. The appraisal is exempt until the final acquisition or contract agreement is obtained. Real Estate Appraisals Engineering 2Y CA - GOV 34090 - (2Y) Page 10 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 053 Real Estate Transactions Records and information related to the ownership, acquisition, disposition, transfer of, lease of, or improvement of real property, infrastructure and facilities including grant deeds, owned by or used by the City. Acquisitions Capital Improvements Community Development Block Grant (CDBG ) Property Acquisitions Deeds of Trust Dispositions Eminent Domain Judgments Mortgages Possessory Interest Records Relating to Underground Storage Tanks Right of Way Including Dedications and Vacations Sales Engineering Permanent CA - GOV 34090(a) - (PR) 054 Recorded Maps and Diagrams, and As-Built Plans Final maps, geographical information, and other recorded documents pertaining to City properties. Aerial Photos Annexations Maps and Legal Description Benchmarks Maps Building Site Determination Certificates of Correction Detachments Maps and Legal Descriptions Easements Improvement Plans, Drawings (As-Builts) Lot Line Adjustments Major Subdivisions (SD ) Minor Subdivisions (MS ) Parcel Mergers Engineering Permanent CA - GOV 34090(a) - (PR) CA - HSC 19850 - (LI)* 055 Traffic and Transportation Planning Records and information related to the City's efforts to manage and improve traffic and circulation, and traffic engineering and transportation planning activities. ADA Compliance (ramps, sidewalks) Bicycles Congestion Management Crosswalks Enforcement Highway Corridors Investigations, Surveys, Studies Pavement Management Records Railroads Signals Signs Speed Limits Speed Surveys Street/Highway Studies/Surveys Temporary Street Closures (requests & responses ) Traffic Calming Traffic Counts Traffic Management Plans Transportation Planning Truck Routes Engineering While Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) Page 11 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 056 Accounts Payable and Receivable Records and information related to the accounting of monies paid by or to the City, including payments for financial obligation. Aging Reports Auction Proceeds Billings (Miscellaneous A/R) Bills Paid Cash Records (cash count reports, cash flow book information, cash disbursement, cash register receipts, cash receipts ) Claims by the City (receipt of payments ) Credit Memos Donations Employee Expense Reports, Reimbursements Fee Schedules Fees and Taxes Paid FEMA Claims Form 1099 Records and Form W-9 Records Grant Claims Housing Loan Payment Processing Invoices and Vouchers Merchant Services (fees, payments ) Purchasing Card Expense Reconciliation/Allocations Refunds Sales and Use Taxes Paid Security Deposits Tax Revenue (gas taxes, property taxes, transient occupancy taxes ) Tuition Reimbursements Utility Billing (rate schedules, registers, adjustments, deposit reports, meter readings, on/off orders, payment stubs, rebates ) Engineering Finance 6Y CA - CCP 337 - (LA4Y) CA - CCP 338 - (LA3Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 USC 6531 - (LA6Y) US - 48 CFR 4.705-1 - (4Y) 057 Audits - Official Records of official audits of City operations and activities. Annual Street Report Audit, Auditors Reports Audited Financial Statements Comprehensive Annual Financial Report (CAFR) General Purpose Financial Audits, Single Audits State Controller's Report Finance Permanent CA - GOV 34090 - (2Y) US - 26 USC 6531 - (LA6Y) 058 Banking Records Records and information related to banking authorities, activities, transactions and correspondence. Bank Account Administration Bank Statements Checks, Canceled Check Copies Check Registers, Journals Corrections / Returns / Adjustments Deposit Permits, Deposits Electronic Banking Transactions Reconciliations Signature Cards Transfers Treasurer Receipts Credit Card Merchant Activity Statements Finance 6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 USC 6531 - (LA6Y) US - 48 CFR 4.705-1 - (4Y) 059 Business Licenses Records and information documenting the issuance of City business licenses. This category does not include one time-only licenses, which are in Record 016. Annual Licenses Applications Business Licenses (applications, fees, financial history, reports ) Home Business Licenses Finance While Active+4Y CA - CCP 337 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) Page 12 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 060 Community Development Agency/Community Development Commission Official Reports Official reports issued by the former Rohnert Park Community Development Agency, Rohnert Park Community Development Commission or the Successor Agency to the Rohnert Park Community Development Agency. Annual Report to State Community Development Agency Property Management Plans Due Diligence Reviews Enforceable Obligation Payment Schedule (EOPS ) Recognized Obligation Payment Schedule (ROPS ) Statement of Indebtedness Finance 5Y CA - GOV 34090 - (2Y) CA - HSC 34177(n) - (1Y) 061 Debt Records and information relating to City financing and debt activities. Amortization Schedules Arbitrage Reports Bonds (continuing disclosures, bond rating reports, official statements ) Equipment Leases Loans Payment History/Schedules Finance Maturity*+10Y CA - CCP 336 - (LA5Y) CA - CCP 337 - (LA4Y) CA - CCP 337.5 - (LA10Y) CA - CCP 338 - (LA3Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 CFR 301.6501 - (CU+3Y) * Maturity includes cancellation and redemption 062 Escheat, Unclaimed Funds Records and information pertaining to unclaimed funds held in trust by the City Uncashed Checks Unclaimed Funds Finance Publication of Notice + 2Y CA - CCP 1513 - (3Y) CA - GOV 34090 - (2Y) CA - GOV 50050 063 Financial Reporting - Official, Annual, Periodic Annual, periodic, and official financial reports of the City, whether required by regulations or generated to track internal financial transactions and achievements by the City. Annual Report of Financial Transactions to State Annual State Controller Filings Expenditure Tracking Reports Payroll Reports PERS Reports Revenue/Expenditures Reports SB-1186 Filings, Reports Treasurer's Report Workers Compensation Reports Final Adopted Budget Finance 6Y CA - GOV 34090 - (2Y) US - 26 CFR 1.1461-2 - (CU+1Y) US - 26 USC 6531 - (LA6Y) 064 Fixed Assets Records and information related to the ownership, transfer, acquisition, disposition, capital leased, or improvement of fixed assets owned by or used by the City. Acquisitions Asset Retirement Records Dispositions Capital Asset Records Capital Improvements Depreciation Schedules Equipment Rental/Usage Reports Fixed Asset Reports Fixed Asset Ledger Fixed/Capital Asset Accounting Sales Records Valuation Information Finance Life*+10Y CA - CCP 337.15 - (LA10Y) CA - GOV 34090 - (2Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 USC 6531 - (LA6Y) * Life of Asset Page 13 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 065 General Ledger, Journal Entries, Budget Adjustments Records and information related to the transfer of charges between accounts and summaries of account information, including year end summaries of general ledger transactions. Account Ledgers Balance Sheets Budget Adjustments Cash Journal Entries Chart of Accounts Downloads / Data Exports Expenditure Reports General Ledger Journal Entries and Backup Documentation Sub-Ledgers Summary Reports Trial Balance Year -End / Account Detail History Report Finance 6Y CA - GOV 34090 - (2Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 USC 6531 - (LA6Y) 066 Investments Records and information relating to City investment activities. Certificates of Deposit (CDs ) Financial Investment Planning Investment Reporting and Portfolio Management Investment Reports Local Agency Investment Fund (LAIF ) Quarterly Investment Report Security Instruments Third Party Trustee Account Statements Finance Maturity*+10Y CA - CCP 336 - (LA5Y) CA - CCP 337 - (LA4Y) CA - CCP 337.5 - (LA10Y) CA - CCP 338 - (LA3Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 CFR 301.6501 - (CU+3Y) * Maturity includes cancellation and redemption 067 Payroll Records and information related to the accounting of payroll earnings, deductions, and issuance. This also includes records and information reflecting all earnings and benefits paid to each employee. Benefit Payments CalPERS Reporting (actuarial, ad hoc ) Deduction Authorizations, Registers, Reports Deferred Compensation Educational Reimbursement Employee Master Lists, Addresses Federal and State Taxes (withheld, paid ) Payments (amounts, date issued, dates of coverage ) Payroll Checks, Copies, Stub Reports Payroll Certifications, Controls, Earnings Payroll Taxes Salary Schedules Taxes collected Timekeeping Records (timecards, out of class forms/reports ) W-2, W-4 Wage Rate Tables Withholding Finance 7Y CA - 2 CCR 570.5 - (5Y) CA - 2 CCR 571(b)(1)(E) - (5Y) CA - 22 CCR 1085-2(c) - (CU+4Y) CA - GOV 12946 - (2Y; T+2Y) CA - LAB 226a - (3Y) CA - LAB 1174 - (3Y) CA - LAB 1197.5 - (LA2Y, LA3Y) CA - UIC 1132 - (LA3Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 USC 6531 - (LA6Y) US - 29 CFR 516.5 - (3Y) US - 29 CFR 516.6 - (2Y) US - 29 CFR 1620.32 - (2Y) US - 29 CFR 1627.3 - (3Y) US - 48 CFR 4.705-2 - (4Y; 2Y) 068 Tax Filings Records and information of tax filing prepared and submitted by the City. Community Services District Golf Course Corporation Rohnert Park Foundation Form 990 Finance 7Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 26 CFR 31.6001 - (CU+4Y) US - 26 USC 6531 - (LA6Y) 069 Utility Customer Account Information Records and information for customers of City water, sewer, and recycled water utilities services. Account Setup Address Files Customer History Uncollected Amounts Finance While Active+4Y CA - CCP 337 - (LA4Y) CA - GOV 34090 - (2Y) 070 Fuel Management Records related to the purchase, tracking and management of fuel for City vehicles. California Air Resources Board Certificate Fuel Card Authorizations Fuel Pump Fuel Reports, Billing Reports, Journals, Fuel Tickets Finance Public Safety 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) Page 14 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 071 City Building, Property Management Records and information regarding the structure of City buildings. As-Built Blueprints Electrical Wiring Schematics Floor Plans HVAC Records Property Inventory Utility Consumption Tracking Finance Public Works Life*+10Y CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - HSC 19850 - (LI) * LI = Life of Building or Facility 072 Permits Issued by Fire Department Records and information regarding special events or short term events that require a permit from the Fire Department. Annual Fire Prevention Permits (for businesses) Carnivals and Fairs Christmas Tree Sales and Lots Haunted Houses Open Flame Special Events Tents Fire 6M CA Fire Code 1 Section 105.4.6 073 Housing Program Files Records and information regarding programs that provide assistance to developers, home purchasers, home owners, and renters of mobile homes. Applications CalHOME Project Files Correspondence Emergency Loan Project Files Home Improvement Project Files (loans, grants) Inclusionary Housing Policy Enforcement Infill Affordable Housing Development Loan Assistance Files (developers, mobile homes ) Monitoring Files (MH, rent control) Relocation Rental Deposit Assistance Housing While Active+5Y CA - 25 CCR 7721 - (MAINT) CA - GOV 34090 - (2Y) US - 24 CFR 5.514 - (5Y) US - 24 CFR 92.508 - (CL+5Y) US - 24 CFR 908.101 - (AC+3Y) 074 Benefit Plans Plans established to provide employee benefits and associated administrative documents. COBRA Rates, Records, Histories Employee Benefit Plans Group Insurance Cost Data CalPERS Retirement Plan Summary Plan Descriptions Human Resources While Active+6Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) US - 29 CFR 1602.30 - (3Y) US - 29 USC 1027 - (6Y) US - 29 USC 1059 - (T+1Y) US - 29 USC 1113 - (LA6Y) US - 29 USC 1451 - (LA6Y) 075 Employee Benefit Files Employee election (selection), enrollment or termination forms and related correspondence, including transmissions to carriers of additions, changes, claims and deletions (includes employee medical records subject to HIPAA requirements). Benefits Files, Contract Copies, Enrollments, Appeals Beneficiary Designations California Student Aid Commission (CSAC ) Excess Insurance Authority (EIA ) Death Claims, Life Event Documents Disability Claims Employee Cost-Sharing Amounts Employment Status, Changes (authorizations, terminations, confirmations, status changes, coverage changes ) Flexible Spending Enrollment Life Insurance Notification Letters/EOI Pension Plan Applications, Claims Premium Information Required Benefits Reporting Supplemental Forms Human Resources While Active+6Y CA - 22 CCR 1085-2 - (CU+4Y) CA - GOV 12946 - (2Y; T+2Y) CA - GOV 34090 - (2Y) US - 26 CFR 301.6501 - (CU+3Y) US - 29 CFR 825.500 - (3Y) US - 29 USC 1027 - (6Y) US - 29 USC 1059 - (T+1Y) US - 29 USC 1113 - (LA6Y) US - 29 USC 1451 - (LA6Y) Page 15 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 076 Employee Medical Records Documents pertaining to medical records of City employees, including exposure to hazardous substances and workers' compensation (includes employee records subject to HIPAA requirements). Employee Hazardous Chemical Exposure Exposure Monitoring Firearms and Field Exposure Hazardous Exposure Medical, Radiation Exposure Radiation Exposure Records Toxic Substance Exposure Records Human Resources Termination+30Y CA - 8 CCR 10102 - (Injury+5Y or Closed+1Y) CA - 8 CCR 14300.33 - (5Y) CA - 8 CCR 3204(d) - (T+30Y) CA - CCP 338 - (LA3Y) CA - CCP 338.1 - (LA5Y) CA - GOV 34090 - (2Y) CA - LAB 5410 - (LA5Y) CA - 29 CFR 1904.33 - (CU+5Y) US - 29 CFR 1910.95 - (2Y) US - 29 CFR 1910.1020 - (30Y) 077 Labor Relations Documentation related to the negotiations between labor unions for collective bargaining purposes. Labor MOUs remain active until claims for benefits can no longer be made. Confidential Memos Costing Ground Rules Handouts Information Requests Labor MOUs Miscellaneous Information Notes Proposals - City Proposals - Union Human Resources While Active+5Y CA - CCP 337 - (LA4Y) US - 26 CFR 31.6001-1 - (CU+4Y) 078 Regulatory Reporting for Human Resources Official non-financial Human Resources reports issued by City organizations to comply with regulatory requirements. Annual Compensation Reports EEOC Reports Labor Reports Human Resources 5Y CA - GOV 34090 - (2Y) US - 29 CFR 405.9 - (5Y) US - 29 CFR 1602.14 - (FR+1Y) US - 29 CFR 1602.30 - (3Y) US - 29 CFR 1602.32 - (3Y) 079 Salary, Compensation Documentation of job classification compensation. Classification Studies Compensation Plans, Planning, Analysis Cost of Living Adjustments Job Descriptions Job Evaluation Documentation Salary Range History Salary Surveys Human Resources S+3Y CA - GOV 34090 - (2Y) US - 29 CFR 1602.14 - (FR+1Y) 080 Work Authorizations and Supporting Documentation Employment eligibility verification forms collected for active employees and supporting documentation regarding immigration status. I-9 Documents and copies of associated documents Immigration Supporting Documentation Human Resources Termination+2Y CA - GOV 34090 - (2Y) US - 20 CFR 655.760 - (T+1Y) US - 8 CFR 274a.2 - (3Y or T+1Y, whichever is longer) 081 Staffing and Recruiting Records and information related to recruitment of qualified persons for both paid and unpaid position with the City, whether full time or temporary. Applications, CVs, Resumes (not hired, rejected, unsolicited ) Applicant Tracking Records (hired, rejected ) Background Checks, Investigations (candidates not hired/accepted ) Civil Service Examination Results and Rankings Drug Testing, Pre-Hire Screening (candidates not hired/accepted ) Interview Notes Job Descriptions Job Postings, Announcements Job Requisition Requests Job Specifications Position Information Temporary Intern Staffing Test Results (non-hires ) Test and Examination Materials Unpaid Interns (rejected ) Volunteers (rejected ) Human Resources 2Y CA - 2 CCR 11013(c)(2) - (2Y) CA - GOV 12946 - (2Y) CA - GOV 34090 - (2Y) US - 29 CFR 1602.31 (2Y) US - 29 CFR 1627.3(b)(1) - (1Y) NOTE: Background checks for personnel hired are part of the personnel file. Page 16 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 082 Personnel Files Documentation related to paid employees (full and part-time), unpaid volunteers, and interns. ADA Compliance and Reasonable Accommodation Applications, Applicant Reference Verifications Awards, Rewards, Commendations, Certificates Background Checks, Investigations, LiveScan Forms - candidates hired Complaints and Disciplinary Actions Demotions Drivers License Data - Class B Employee Policy Acknowledgements Grievance Files/Commission Hearing Grievance/Hearing Logs Individual Employee Agreements, Contracts - copies Individual Education, Development, Training Records Investigations Records (Logs, Workpapers, Investigator Reports, Findings, Letters, Security Incidents ) - Non-Public Safety Job Offer Letters Leave of Absence Documentation, FMLA Oaths of Office Performance Evaluations, Reviews or PIPs Promotions Recognition Termination (discharge, resignation ) Terms of Compensation, Pay Rates Transfers Union Grievances Volunteer Acknowledgements, Executed Policy Receipts Work Assignments Human Resources Public Safety Termination+5Y CA - 2 CCR 11013 - (FR+2Y) CA - GOV 12946 - (2Y; T+2Y) CA - GOV 34090 - (2Y) CA - VEH 1808.1(c) - (1Y) US - 8 CCR 14300.33 (5Y) US - 29 CFR 1602.14 - (FR+1Y) US - 29 CFR 1602.31 - (T+2Y) US - 29 CFR 1627.3 - (T+1Y) US - 29 USC 1059 - (T+1Y) US - 41 CFR 60-1.12(a) - (2Y) US - 41 CFR 60-741.80 - (2Y) 083 Training for Employees and Officials All documents related to general training, compliance training (such as ethics and sexual harassment) and specialized technical education taken by officials, paid employees and unpaid volunteers. Includes Public Safety and Non-Safety Employees). Attendance Certification Records Compliance Training Human Resources Public Safety T+5Y CA - 8 CCR 3203 - (CU+1) CA - GOV 34090 - (2Y) CA - GOV 12946 - (2Y) CA - GOV 53235.2(b) - (5Y) CA - GOV 53237.2(b) - (5Y) US - CFR 164.530(j) - (6Y) 084 Employee Health & Safety Documents related to protection of employee health and safety, as well as the City's safety and injury and illness prevention programs. NOTE: May include employee medical information subject to HIPAA requirements. Cal/OSHA Forms (300A, 301) Certifications Chemical Inventories Facility Safety Plans Health and Safety Bulletins Injury & Illness Prevention Program Inspections & Investigations (accidents, incidents, corrective actions ) New Hire Health & Safety Orientation Checklist Forms OSHA Form 101 OSHA Form 200 OSHA Logs, Reports Personal Protective Equipment Records Safety Committee (employee suggestions and responses, safety letters/memos, meeting minutes ) Safety Program Documentation (confined space, ergonomics, fall protection, forklift operations, hearing conservation, heat illness, respiratory protection ) Self Evaluations (ergonomics ) Human Resources Public Works Public Safety AC+5Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - LAB 5406 - (LA1Y; LA240W) CA - LAB 6401.7 - (MAINT) US - 29 CFR 1602.14 - (1Y) US - 29 CFR 1904.33 - (5Y) Page 17 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 085 Technology Help Desk, Access and Security Records and technical documentation of internal controls and system security. Includes data / information security breaches, notifications, and supporting documentation. Annual Database & System Security Reviews Audit Trail Files Automated Logs Change Management Case Files Computer Usage Files Data Breaches (notifications, reports, responses ) Data Sets, Extracted Data Summaries Firewall Hardcopy Publication, Printouts of Report Data PCI Certificate Security Access (buildings, doors, systems ) Special Access Approvals Trouble Tickets Usage Reports (summary, system ) User Access Records (passwords, security logs, user accounts, log-in files, data entry logs, accounts ) User Incident, Response Files Information Technology 3Y CA - GOV 34090 - (2Y) CA - CIV 1798.27 - (3Y) 086 Application, System Management Technical documentation related to management of City technology processes, applications, or systems, as well as conversions, changes or modifications to existing applications or systems including Police dispatch system. Business, Functional Requirements Change Requests Data Element Attribute Reports Data Migration Documentation Database Dictionary / Schema End User Documentation, User Manuals Equipment Inventories Hardware Configurations Network Diagrams Network/Equipment Control Support Documentation Police Dispatch Source Code System Documentation (codebooks, record layouts, reference guides, schematics, specifications ) System, Application Maintenance Documentation (hardware/operating system requirements, monitoring logs, operating manuals ) Telecommunications System (telephones, voicemail ) Websites Information Technology Public Works Life*CA - GOV 34090 - (2Y) *Life of Application. 087 Business Continuity Records - Computing Equipment and Network Operations All documentation for dealing with preparation for and responses to emergencies, disasters and/or system failures for City computing resources. Business Continuity Plans Disaster Recovery Plan Emergency Response Information Technology Public Works Active+2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 088 Security, Access Operations Records and information regarding physical access controls and protection for City buildings and facilities. Access Controls, Reports Badge Lists Daily Activity Logs Facility Key Logs Key Cards Surveillance Videos Transaction Logs Information Technology Public Works 2Y CA - GOV 34090 - (2Y) CA - GOV 34090.6 - (1Y) Page 18 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 089 Planning Services - Permanent Records and information pertaining to permanent programs and activities of the planning division, including reviews and approvals of land use permits and zoning that are to be retained permanently. CEQA Documents Design Reviews Development Agreements Development Regulations Entitlements (administrative, planning ) General Plan--Approved Amendments Master Plans and Specific Plans Master Sign Programs and Permits Planned Developments (PD ) Zoning Administrator Actions Planning Permanent CA - CCP 337.1 - (LA4Y) CA - CCP 337.15 - (LA10Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12981 - (FR+1Y) CA - GOV 34090 - (2Y) CA - HSC 19850 - (LI) 090 Planning Services - Short-term Records and information pertaining to short-term programs and activities of the planning division, including working documents, temporary permits, and/or plans not approved. Design Review Project File General Plan Amendment Applications General Plan Working Papers Planning Project Files--Incomplete or Withdrawn Preliminary Review File (no final application) Temporary Use Permits Signs (Temporary) Planning 5Y CA - CCP 337.1 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 12981 - (FR+1Y) CA - GOV 34090 - (2Y) 091 Arson Investigations Records and information associated with arson investigations, unless associated with a criminal offense that can be prosecuted within the timeframes specified in PC 799. Evidence Files Investigations Public Safety 10Y CA - GOV 34090 - (2Y) CA - PEN 799 - (PR) CA - PEN 800 - (LA6Y) CA - PEN 801 - (LA3Y) 092 Concealed Weapons Licenses Records associated with the licensing to carry a concealed weapon. Application License Public Safety Permanent CA - PEN 26225 093 Criminal Registrations - Gangs Records for those required to register as gang violence offenders. Gang Registrations Public Safety Permanent CA - GOV 34090 - (2Y) CA - HSC 11594(a) - (5Y) CA - PEN 186.32 - (5Y) 094 Fire Equipment Records and information associated with fire protection and emergency response equipment. Apparatus and Maintenance Records Certification Binder Equipment Checks Inventories (apparatus, equipment, fixture ) Sprinklers Public Safety Life*+2Y CA - 8 CCR 3203(b)(1) - (1Y) CA - GOV 34090 - (2Y) US - 29 CFR 1910.157 (Life of extinguisher) * Life of Equipment 095 Fire Prevention Inspections Records and information associated with inspections of commercial and residential facilities. Commercial Facility Files Construction Projects Residential Files SB-1205 Inspections and Reports Weed Abatement Public Safety Life*+5Y CA - California Fire Code, 104.6 - (5Y or Life of Structure or Activity, whichever is longer) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) * Life of Structure or Activity 096 Fire Prevention Occupancy Records Records and information retained for fire prevention purposes for both commercial and residential facilities. Facility Locations Fire Alarms Security/Entry Codes Public Safety Life*+5Y CA - California Fire Code, 104.6 - (5Y or Life of Structure or Activity, whichever is longer) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) * Life of Building Page 19 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 097 Fire Prevention Programs Records and information associated with department programs to protect the City from fires and emergency incidents. Fire Education ISO Insurance Ratings Lien and cost recovery information Weed Abatement and Related Property Liens Public Safety 2Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 098 Fire Station Activity Records Records and information created and maintained by the department for activities at the fire station. Station Logs Equipment and station maintenance logs Fire Incident Logs Public Safety 5Y CA - California Fire Code, 104.6 - (5Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 099 Incident Reports Records and information associated with department responses to fires and emergency incidents. Emergency Services False Alarm Reports Hazardous Waste Spills Incident Reports National Fire Incident Reports (NFIRs ) Public Safety 5Y CA - California Fire Code, 104.6 - (5Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) 100 Police - Complaints, Internal Investigations Documentation of complaints received, formal inquiries, and investigations, including those by Internal Affairs, involving Police department employees (excludes officer involved shootings), whether sustained or not sustained. Civilian Complaints Departmental Actions Public Safety While Active+5Y CA - EVID 1045 - (AC+5Y) CA - GOV 12946 - (2Y) CA - GOV 34090 - (2Y) CA - PEN 801.5 - (LA4Y) CA - PEN 832.5(b) - (5Y) CA - PEN 13300(l) - (5Y) CA - VEH 2547 - (LA3Y) 101 Police Routine Video Records Recordings of routine video monitoring, to include time and date of video, location of video and other related information. Auto License Plate Reader Data Body Cam In-Car Video Jail Observation/Monitoring Building Security Recordings Public Safety 2Y*CA - GOV 34090.6 - (Routine Video: 1Y) CA - GOV 26202.6 - (1Y) CA - GOV 60201 - (MAINT) CA - PEN 832.18 - (60D) City of Rohnert Park policy * Exception: If recordings are evidence in any criminal prosecution, claims filed, potential claims or any pending litigation, they shall be preserved for 100 days after the conclusion of the court action. 102 City Asset Repair, Maintenance Records related to the management, maintenance and repair of City assets, including equipment, facilities and infrastructure, parks, public pools, vehicles, streets, and trees. Air Sample Records Air Quality Compliance Records (BAQMD) Calibration Records DMV Titles, Registrations Equipment Certifications Equipment Warranties Inspections Irrigation (parks, public green space ) Landscaping Maintenance and Repair (work orders, logs, reports ) Manuals Pesticide (treatments, applications ) Repair Shop, Machine Shop Records Public Safety Public Works Life*+4Y CA - CCP 337 - (LA4Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) * Life of Asset Page 20 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 103 Hazardous Waste, Monitoring and Remediation Planning, monitoring and contingency/emergency action plans for hazardous waste, emergency and spill response, natural and exposure emergencies, notifications and response; environmental action plans and supporting documentation; hazardous communications plans, including labeling, MSDS controls, training programs and procedures. Emergency Response Programs Employee Hazardous Chemical Exposure Hazardous Material Incident Reports Hazardous Substances Shipping Manifests Hazardous Waste Material Safety Data Sheets (MSDS ) Pesticide Use Reports Proposition 65 Monitoring Site Mitigation Toxic Substance Inventory Public Safety Public Works While Active+5Y CA - 22 CCR 66262.40 - (3Y) CA - 22 CCR 66263.22 - (3Y) CA - CCP 338.1 - (LA5Y) CA - GOV 34090 - (2Y) 104 Operational Maps Informal maps and geographical information pertaining to City operations and services. Flushing Plans Sewer TV Surveys Stop Sign Map Street Light Map Street Sweeping Tree Trimming Trash Pick-up Public Works While Active+2Y CA - GOV 34090 - (2Y) 105 Recycled Water, Backflow Records and information associated with the management of the City's recycled water and backflow activities, as well as compliance with regulatory requirements. Backflow Inspections and Testing Compliance Records Cross Connection Permits Inventories (equipment, materials, meters, pipes ) Recycled Water Usage, Tracking Recycling (campaigns, e-waste, events, reports ) Site Records User Agreements Public Works 5Y CA - 17 CCR 7584 - (MAINT) CA - CCP 338 - (LA3Y) CA - CCP 338.1 - (LA5Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - WAT 13553 - (4Y) 106 Storm Water Drainage Management Records and information documenting the operations and maintenance of the City's storm drains, and drainage ditches. Drainage Ditches Flood Control (plans, SB5 ) Irrigation (management, plans, SSJID ) MS4 Stormwater Permits NPDES Permits Storm Drains Storm Water Monitoring Public Works 4Y CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - HSC 25244.19 - (4Y) CA - HSC 25244.20 - (4Y) US - 40 CFR 122.44 - (3Y) 107 Water and Sewer Records and information associated with planning, collection and distribution of water and solid waste infrastructure and related equipment, as well as compliance with regulatory requirements. Compliance Records Flow Reports Inventories (equipment, materials, meters, pipes ) Pump Stations Sanitary Sewer Overflows (field reports, etc.) Sewer System Maintenance Plan (SSMP) State Water Regional Control Board (SWRCB) Underground Service Alerts (USA ) Waste Water (lab groups, reports to state ) Water Conservation Water Production Water Quality Records Public Works 12Y CA - 22 CCR 64418.7 - (10Y) CA - 22 CCR 64470(a) - (5Y) CA - 22 CCR 64470(b)(2) - (3Y) CA - 22 CCR 64470(b)(3) - (10Y) CA - 22 CCR 64470(b)(4) - (5Y) CA - 22 CCR 64470(b)(5) - (3Y) CA - CCP 338 - (LA3Y) CA - CCP 338.1 - (LA5Y) CA - GOV 945.6(a)(2) - (LA6M; LA2Y) CA - GOV 34090 - (2Y) CA - HSC 25244.19 - (4Y) CA - HSC 25244.20 - (4Y) US - 40 CFR 122.21 - (3Y) US - 40 CFR 122.41 - (3Y) US - 40 CFR 122.44 - (3Y) US - 40 CFR 141.33(a) - (5Y; 10Y) US - 40 CFR 141.33(c) - (10Y) US - 40 CFR 141.91 - (12Y) US - 40 CFR 141.155 - (3Y) US - 40 CFR 261.32 - (3Y) Page 21 See the SONOMA COUNTY PUBLIC SAFETY CONSORTIUM RECORDS RETENTION document for retention of Public Safety records not specified below Record No.Record Name and Description Example Records Department/Office of Record Retention Legal Citations and Comments ACRONYMS USED IN LEGAL CITATIONS AC = While Active FR = Final Resolution LA = Limitation on Action LI = Life (of program, asset) M = Month MA = Maturity MAINT = Maintain Records PR = Permanent S = Superseded T = Termination Y = Year D = Days 108 Maintenance/Inspection Reports - City Facilities and Infrastructure Reports of inspections performed on City facilities and infrastructure such as buildings, equipment, storm drains, streets, sidewalks, and sewers. Air Quality Inspections Elevator Certificates Equipment Inspections Equipment Inventories (e.g. firearms, range weapons, tools ) Facility Inspections Fire Inspections Irrigation (management, plans, SSJID ) Inspection Logs Inventory of City Trees Playground Inspections Reports Public Works Public Safety 4Y CA - CCP 337 - (LA4Y) CA - GOV 34090 - (2Y)