City Council:
Sandra Lowe, Mayor
John Gurney, Vice Mayor
Jack Ding
Patricia Farrar-Rivas
Ron Wellander
This meeting of the City Council will be conducted in person, and telephonically through Zoom. The City Council will attend the meeting in person. The public is encouraged to attend either in person or remotely through Zoom. The meetings will continue to be live streamed on the City’s CivicWeb Portal (sonomacity.civicweb.net) and YouTube Channel. Please see the agenda below for information on public participation.
REGULAR MEETING AGENDA
OF THE SONOMA CITY COUNCIL
City Council Chambers, 177 First Street West
Wednesday, July 19, 2023
https://us06web.zoom.us/j/84876986131
4:00PM Special Meeting
6:00PM Regular Session
Be Courteous - TURN OFF your cell phones and watches while the meeting is in session.
The City Council may discuss and/or take action on any or all of the items listed on the agenda irrespective of how the items are described.
No new items will begin after 9:00pm unless a majority of the members present vote to allow the items to be heard.
Page
4:00 P.M. – SPECIAL MEETING – STUDY SESSION
1: Presentation regarding the City of Sonoma’s 2023 Water Rate Update Study (Mike Berger, Public Works Director/City Engineer)
RECOMMENDATION: For Discussion and input only - No Action to be taken.
Agenda Report - 2023 Water Rate Update Study - Pdf
5 - 31
Public comment during the Special Meeting will be limited to Item 1 listed above.
No general public comment will be accepted at this time. 6:00 P.M. – REGULAR MEETING
CONVENE, CALL TO ORDER & PLEDGE OF ALLEGIANCE
ROLL CALL (Gurney, Wellander, Ding, Farrar-Rivas, Lowe)
PUBLIC PARTICIPATION USING ZOOM
Public Comment Process for ZOOM Attendance at Meetings
REPORT ON CLOSED SESSION
APPROVAL OF AGENDA
1. COMMENTS FROM THE PUBLIC
At this time, members of the public may comment on any item not appearing on the agenda. It is recommended that you keep your comments to three minutes or less. Under State Law, unless otherwise permitted under the Ralph M. Brown Act, the merits of the matters presented under this item cannot be discussed or acted upon by the City Council at this time. For items appearing on the agenda, the public will be invited to make comments at the time the item comes up for Council consideration. Upon being acknowledged by the Mayor, please step to the podium and speak into the microphone. Begin by stating and spelling your name.
2. MEETING DEDICATIONS
3. COUNCILMEMBERS’ REPORTS AND COMMENTS
7.1: Committee Reports - Council Members are appointed to various boards and committees - local, county-wide and regional. Any updates from a council member will be shared at this time. A list of all appointments is available on our City Website for easy reference.
4. CITY MANAGER COMMENTS AND ANNOUNCEMENTS
5. CITY ATTORNEY COMMENTS
6. PRESENTATIONS
6.1: "Celebrate Sonoma" - Presentation of Certificate of Recognition in Honor of Ken Brown
6.2: Recognition of John Donnelly on His Retirement as a Sonoma Overlook Trails Steward After Twenty-Five Years of Service
7. CONSENT CALENDAR – CITY COUNCIL
All items listed on the Consent Calendar are considered to be routine and will be acted upon by a single motion. There will be no separate discussion of these items unless members of the Council or staff request specific items to be removed for separate action.
7.1: Waive further reading and Authorize Introduction and/or Adoption of Ordinances by Title Only. (Standard procedural action - no backup information provided)
7.2: Receive Minutes from the Regular Meeting of June 21, 2023 (Rebekah Barr, MMC, City Clerk)
RECOMMENDATION: Receive the Minutes.
06.21.2023 Regular Meeting Minutes
32 - 34
7.3: Adopt a Resolution of the City Council of the City of Sonoma Establishing the Appropriations Limit for the Fiscal Year 2023-24 (Chuck McBride, Interim Finance Director)
RECOMMENDATION: Adopt the Resolution.
Agenda Report - Appropriations Limit for FY 2023-24 - Pdf 35 - 42
7.4: Adopt a Resolution Authorizing the City Manager to Execute a Mutual Aid and Assistance Agreement for Sonoma Water and the Water Contractors (Mike Berger, Public Works Director/City Engineer)
RECOMMENDATION: Adopt a Resolution.
Agenda Report - Mutual Aid Agreement - Sonoma Water and the Water Contractors - Pdf
43 - 54
7.5: Adopt a Resolution Approving Sonoma Valley High School Request for Temporary Use of City Streets on October 27, 2023 to Conduct the Annual Homecoming Parade (Lisa Janson, Senior Management Analyst) RECOMMENDATION: Adopt the Resolution.
Agenda Report - SVHS Homecoming Requests - Pdf
55 - 65
7.6: Adopt a Resolution Approving the City of Sonoma Records Retention Schedule Including 2023 Proposed Revisions and Delegate Authority to Approve Future Revisions to the Records Retention Schedule to the City Manager with Approval by the City Clerk and City Attorney (Rebekah Barr, MMC, City Clerk and David Ruderman, City Attorney)
RECOMMENDATION: Adopt the Resolution.
Agenda Report - 2023 Retention Schedule - Pdf
66 - 168
8. PUBLIC HEARING
8.1: Public Hearing - Introduction of an Ordinance Amending Sections 19.48.030 through 19.48.060 and 19.48.110 through 19.48.120 of Chapter 19.48 (Parking and Loading Standards) and Chapter 19.92 (Definitions) of Title 19 of the City of Sonoma Municipal Code Regarding Parking and Loading Requirements and Finding the Proposed Amendments are Exempt from the California Environmental Quality Act (CEQA) Pursuant to Section 15061(B)(3) – General Rule – Of the CEQA Guidelines (Kristina Tierney, Associate Planner) RECOMMENDATION: Move to introduce the ordinance of the City Council of the City of Sonoma amending sections 19.48.030 through 19.48.060 and
19.48.110 through 19.48.120 of chapter 19.48 (parking and loading standards) and chapter 19.92 (definitions) of title 19 of the City of Sonoma Municipal Code regarding parking and loading requirements.
Agenda Report - Ordinance Introduction - Parking and Loading - Pdf 169 - 193
9. REGULAR CALENDAR – CITY COUNCIL
(Matters requiring discussion and/or action by the City Council)
9.1: Resolution Authorizing the City Manager to Approve the Purchase of EightyOne (81) New Bigbelly Waste Management Solutions Waste Receptacles in the Amount of $158,297.50 to Replace the Outdated Waste Receptacles and Enter into a Contract in an Amount Not to Exceed $50,000.00 to Install the Receptacles Around the City of Sonoma Plaza (Oriana Hart, Public Works Admin & Projects Manager)
RECOMMENDATION: It is recommended that the City Council adopt a Resolution approving the purchase of eighty-one (81) receptacles from Bigbelly Waste Management Solutions and authorizing the City Manager to enter into a separate contract for an amount not to exceed $50,000.00 to install the receptacles around the City of Sonoma Plaza.
Agenda Report - Purchase - Bigbelly Waste Management Solutions - Pdf 194 - 204
10. COMMISSION AND COMMITTEE ROSTER
(This is to provide information only - no action will be taken)
10.1: Commission & Committee Roster
11. ADJOURNMENT
I do hereby certify that a copy of the foregoing agenda was posted as legally required. Rebekah Barr, MMC, City Clerk/Executive Assistant.
*********************************************************************************************************************************** Copies of all staff reports and documents subject to disclosure that relate to any item of business referred to on the agenda are normally available for public inspection the Wednesday before each regularly scheduled meeting at City Hall, located at No. 1 The Plaza, Sonoma CA. Any documents subject to disclosure that are provided to all, or a majority of all, of the members of the City Council regarding any item on this agenda after the agenda has been distributed will be made available for inspection at the City Clerk’s office, No. 1 The Plaza, Sonoma CA during regular business hours.
If you challenge the action of the City Council in court, you may be limited to raising only those issues you or someone else raised at the public hearing described on the agenda, or in written correspondence delivered to the City Clerk, at or prior to the public hearing.
The City Council may discuss and/or take action on any or all of the items listed on the agenda irrespective of how the items are described.
APPOINTMENTS TO COMMITTEES: The Council may establish and make appointments to a Council committee (made up of two Council Members) with respect to any item appearing on this agenda.
CLOSED SESSION: If action is taken during a Closed Session meeting which is required to be reported out at this meeting, the Council will return to Open Session and report out immediately. However, if the Council is unable to do so due to time constraints, it will report out at the immediately following Regular Council Meeting under "REPORT ON CLOSED SESSION".
MOTION FOR RECONSIDERATION: A Council Member voting with the majority on any item appearing on this agenda may move for reconsideration of that vote provided the motion is in conformance with the rules adopted by the Council governing such motions.
In accordance with the Americans with Disabilities Act, if you need special assistance to participate in this meeting, please contact the City Clerk (707) 933-2216. Notification 48-hours before the meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting.
City of Sonoma
Agenda Item Summary
Meeting: City Council - 19 Jul 2023
Department
Public Works
Staff Contact
Michael Berger, Public Works Director/City
Engineer
Agenda Item Title
Presentation Regarding the City of Sonoma’s 2023 Water Rate Update Study Summary
The City of Sonoma operates a water transmission and distribution system with the aim of providing high-quality, reliable drinking water for various community needs, including consumption, irrigation, and fire protection. The Water Utility is funded through a separate Water Enterprise Fund, ensuring that costs and revenues are accounted for separately from the General Fund. In California, setting water rates involves a thorough financial and rate analysis process, which includes developing a sustainable financial plan, establishing an optimal rate structure based on policy objectives, ensuring public notice compliance, and adhering to Proposition 218 regulations. The City Council has initiated an update of the City's Water Rates.
On January 23, 2023, the Council approved a contract with Raftelis Financial Consultants to review the City of Sonoma's Water Rates. Raftelis was tasked with assessing the Water department's budget, Maintenance and Capital Improvement Program, the 2018 Water Rate Study conducted by Raftelis Financial Consultants Inc, the 2018 Water Master Plan, and the 2016 Urban Water Management Plan. Additionally, they were provided with water usage and operation and maintenance (O&M) data by the City of Sonoma. Raftelis was responsible for conducting the necessary analyses, studying the City's water rates, recommending a revised rate schedule if necessary, and presenting their findings to the public and the City Council.
Raftelis began their study on March 7, 2023, and conducted the following:
• Financial Plan Update: Raftelis assessed the future revenue requirements needed to adequately fund the water enterprise's operations and maintenance (O&M), capital replacement and refurbishment (R&R) program, debt service obligations, and reserve funding. They evaluated current and projected revenues, water usage, expenses, and the appropriate use of debt to determine the water enterprise's financial condition. The financial plan incorporated the City's most recent Master Plans and Capital Improvement Plans to fully support capital needs.
• Cost-of-Service Analysis: The annual costs of providing water service were allocated among customer classes based on their service requirements, taking into account how they use the water system. Costs were identified, allocated to specific components, and distributed to customer classes following industry standards. Raftelis did not recommend any changes to the cost allocations from the previous study, except for updates resulting from the revised asset database.
• Updated Rate Structure: Rates serve multiple purposes beyond cost recovery. Welldesigned rates align with utility objectives such as affordability for essential needs, Agenda Item #1:
simplicity and understanding, fairness and equity, revenue stability, and ease of implementation. Raftelis designed rates according to industry standards, taking into account the City's rate-setting objectives and complying with recent court decisions and Proposition 218. They updated the water rate model to assess the revised rates, their impact on customers, and facilitate informed decision making. The results were summarized in easily understandable graphical and tabular formats for effective communication with elected officials, managers, and citizens.
This presentation provides an overview of the Water Rate Study process and components. It discusses the evolution of various water rate structures, reviews the City's current rate structure, and explores common rate study objectives. The focus then shifts to a review of the cost-of-service analysis and presents rate design options. No Action will be taken, this will be an opportunity for the Council to ask questions, provide input and thoughts on overall components and rate design. Staff will incorporate input and bring back a proposed rate increase to the August 2, 2023, City Council Meeting for consideration.
If the City Council approves a rate increase on August 2, 2023, staff will proceed with Proposition 218 notice requirements and hold a Proposition 218 public hearing in September.
In the final step of the rate-making process, and to comply with Proposition 218, the results will be documented in a report to inform the public about the proposed changes, the reasoning behind the changes, and their anticipated financial impacts in plain language. This report will serve as the administrative record justifying the proposed rate structure. Public works plans to conduct the required public hearing on September 20, 2023, following a 45-day notification to all properties served. Raftelis will present their recommendations at a public hearing.
Recommended Council Action
For Discussion and input only - No Action to be taken.
Alternative Actions
Council discretion.
Financial Impact
None at this time.
Environmental Review Status
Environmental Impact Report
Negative Declaration
Exempt
Not Applicable
Approved/Certified
No Action Required
Action Requested
Attachments
Presentation - Study Session - Water Rate Update
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City Council:
Sandra Lowe, Mayor
John Gurney, Vice Mayor
Jack Ding
Patricia Farrar-Rivas
Ron Wellander
REGULAR MEETING MINUTES
OF THE SONOMA CITY COUNCIL
City Council Chambers
177 First Street West
Wednesday, June 21, 2023
6:00 PM Regular Meeting
6:00 P.M. – REGULAR MEETING
CONVENE, CALL TO ORDER, & PLEDGE OF ALLEGIANCE
Mayor Lowe called the meeting to order at 6:00 pm.
PUBLIC COMMENT PROCESS FOR ZOOM ATTENDANCE AT MEETINGS
ROLL CALL
PRESENT: Mayor Lowe, Council Member Ding, Vice Mayor Gurney, Council Member Wellander, Council Member Farrar-Rivas
REPORT ON CLOSED SESSION
There was no reportable action taken in Closed Session.
APPROVAL OF AGENDA
Motion by Vice Mayor Gurney, seconded by Council Member Farrar-Rivas, to approve the agenda as presented. Motion carried unanimously.
1. COMMENTS FROM THE PUBLIC
Madolyn Agrimonti provided public comment.
2. MEETING DEDICATIONS
Council Member Ding dedicated the meeting to John McNeilly.
3. COUNCILMEMBERS’ REPORTS AND COMMENTS
Council Member Wellander attended a Tree Committee meeting on June 20, 2023.
Vice Mayor Gurney attended a Sonoma Tourism Improvement District meeting as well as a Sonoma Valley Library Advisory Committee meeting on June 8, 2023. Mr. Gurney also attended the 62nd Annual Bear Flag celebration on June 17, 2023, held at Sonoma Plaza.
Council Member Farrar-Rivas attended the Sonoma County Tourism Breakfast on June 8, 2023. On June 7, 2023, she attended Adele Harrison’s graduation ceremony and on June 8, 2023, she also attended the Sonoma Valley High School graduation ceremony. On June 10, 2023, Council Member Farrar-Rivas attended a fundraiser for Art Escape which was coordinated with Sonoma Bocce. Lastly, she participated in a Sonoma Mission Inn Union Committee meeting on June 16, 2023.
Council Member Ding attended the local Tuesday Night Farmers’ Market at Sonoma Plaza.
Mayor Lowe attended a Sonoma County Mayors and Council Members meeting in Sebastopol on June 8, 2023. On June 10, 2023, Mayor Lowe attended the lending library event held at the Sonoma Community Center. Mrs. Lowe attended the Sonoma Raceway Nascar races held on June 11, 2023.
Mayor Lowe attended the Sonoma County Transportation Authority meeting on June 12, 2023. Mayor Lowe pointed out that as of Flag Day on June 14, 2023, the City has purchased new flags to use moving forward. She also attended the Sister Cities celebration of our Sister City – Kaniv. On June 15, 2023, Mayor Lowe, as well as Council Member Wellander, attended the Friedman’s Home Improvement event honoring those who saved a life using an AED machine.
4. CITY MANAGER COMMENTS AND ANNOUNCEMENTS
City Manager Guhin shared that a Caltrans public meeting is also being held concurrently with tonight’s City of Sonoma City Council meeting regarding the Verano/Highway 12 intersection. They are holding the meeting from 6:30 pm – 8:30 pm at El Verano school. Mr. Guhin reported that he has been notified that the City will be receiving Measure “O” funding from the County of approximately $67,000 for two years received for homeless programs. City Manager Guhin shared that the Sonoma Plaza Park, including the amphitheater, will be worked on over the next few weeks to clean it up, make improvements, and ensure it’s safe for the public to use. The Sonoma Grand Jury released a report which identified our city-owned cemeteries. Staff will be reviewing this internally and will bring back recommendations and proposed actions to the Council.
5. CITY ATTORNEY COMMENTS
None.
Agenda Item #7.2:
6. PRESENTATIONS
Item 6.1: Congratulations and Recognition of Amelia Moran Ceja, President & Founder, Ceja Vineyards on Receiving the Maestro of Leadership Award
Item 6.2: Proclamation Proclaiming June 12, 2023, as Women Veterans Day in the City of Sonoma
Item 6.3: Proclamation Proclaiming June 19, 2023, as Juneteenth National Independence Day in the City of Sonoma.
7. CONSENT CALENDAR – CITY COUNCIL
Motion by Council Member Farrar-Rivas, seconded by Vice Mayor Gurney, to approve the Consent Calendar as presented. Motion carried unanimously.
Item 7.1: Waive further reading and Authorize Introduction and/or Adoption of Ordinances by Title Only. (Standard procedural action - no backup information provided)
Item 7.2: Receive Minutes from the Regular Meeting of June 7, 2023 (Rebekah Barr, MMC, City Clerk)
Action: Minutes were received.
Item 7.3: Adopt a Resolution Authorizing the City Manager to Execute a Professional Services Contract with M-Group in an Amount not to Exceed $51,840 to Provide a Part-Time Associate Planner to the City of Sonoma Approximately 20 hours per Week. (Kristina Tierney, Associate Planner)
Action: Adopted as Resolution 41-2023.
Item 7.4: Adopt a Resolution Authorizing the City Manager to Execute a Three-Party Professional Services Agreement with R3 Consulting Group, Inc and Colantuono, Highsmith & Whatley, PC, to Prepare a Solid Waste Franchise Fee Financial Assessment in an Amount Not to Exceed $30,000 to Supersede/Terminate the Previously Approved Two-Party Professional Services Agreement between the City of Sonoma and R3 Consulting Group, Inc. (Travis Wagner, Sustainability Coordinator and David Ruderman, City Attorney)
Action: Adopted as Resolution 42-2023.
Item 7.5: Adopt a Resolution Authorizing the City Manager to Execute an Additional Task Order with Consor Engineering for Design Support for the Chase Street Bridge Replacement Project, Federal Project No. CML-5114(016) (Project), for an amount not to exceed $76,000.00 (Mike Berger, Public Works Director/City Engineer) Action: Adopted as Resolution 43-2023.
Item 7.6: Adopt a Resolution Authorizing the City Manager to Execute Amendment No. 1 to Task Order No. 2021-06 Authorizing and Directing GHD, Inc. to Complete Additional Design and Construction Observation Services for the Well No. 1 Vault Cover and Air Exchange System Project (Mike Berger, Public Works Director/City Engineer)
Action: Adopted as Resolution 44-2023.
Item 7.7: Accept the Expenditure Report for the Month of May 2023 (Chuck McBride, Interim Finance Director)
Action: Expenditure report was accepted.
8. PUBLIC HEARING
None.
9. REGULAR CALENDAR – CITY COUNCIL
Item 9.1: Adoption of the Fiscal Year 2023-24 City of Sonoma Operating and Capital Improvement Budget, Establishing a List of Authorized Positions, and Allocating Funds for Homeless Services (David Guhin, City Manager & Chuck McBride, Interim Finance Director)
Action: Adopted as Joint Resolution 45-2023 and Successor Agency Resolution 02-2023, Resolution 46-2023, Resolution 47-2023, and Resolution 48-2023.
Public Comment: Elena Alioto, Judith Walsh, Fred Allebach and Annie Falandes Motion by Council Member Ding, seconded by Vice Mayor Gurney, to Adopt a Joint Resolution of the City Council of the City of Sonoma and the Successor Agency of the Former Sonoma Community Development Agency Adopting the Fiscal Year 2023-24 City of Sonoma Operating Budget; Approving Community Fund Programming; and Authorizing the City Manager, or their Designee to Execute Task Orders for City Engineering Services with CIP Consultants. Motion carried unanimously.
Agenda Item #7.2:
Motion by Council Member Farrar-Rivas, seconded by Vice Mayor Gurney, to Adopt a Resolution Adopting the 2023-28 Five-Year Capital Improvement Program; and Authorizing Capital Project Funds Appropriated and Unspent in Fiscal Year 2022-23 to be Rolled into the Fiscal Year 2023-24 Budget. Motion carried unanimously.
Motion by Vice Mayor Gurney, seconded by Council Member Ding, to Adopt a Resolution Establishing the List of Authorized Positions as amended. Motion carried unanimously.
Council Member Ding shared that he serves as a Board Member and Treasurer for Sonoma Overnight Support. He mentioned that he contacted the Fair Political Practices Commission, and they verified that there is no conflict of interest in this particular situation.
Motion by Vice Mayor Gurney, seconded by Mayor Lowe, to Adopt a Resolution Authorizing the City Manager to Allocate Funds for Homeless Services and to Execute Contracts with Various Homeless Service Providers for Fiscal Year 2023-24 as amended. Motion carried unanimously.
Item 9.2: Resolution Approving a New Job Classification and Salary Range for the Position of Building Official in the FY23/24 Budget, and Designating the Transfer of Statutory and Legal Authority for the Building Official Position (David Guhin, City Manager and Cathy Lanning, Human Resources Manager)
Action: Adopted as Resolution 49-2023.
Public Comment: Tarney Ballenger
Motion by Council Member Wellander, seconded by Council Member Ding, to Approve a New Job Classification and Salary Range for the Position of Building Official in the FY23/24 Budget, and Designating the Transfer of Statutory and Legal Authority for the Building Official Position. Motion carried unanimously.
10. ADJOURNMENT
Mayor Lowe adjourned the meeting at 8:13 pm.
I HEREBY CERTIFY that the foregoing minutes were duly and regularly adopted at a regular meeting of the Sonoma City Council on the 19th day of July 2023. ___________________________________
Rebekah Barr, MMC, City Clerk
Agenda Item #7.2:
City of Sonoma
Agenda Item Summary
Meeting: City Council - 19 Jul 2023
Department
Finance
Staff Contact
Chuck McBride, Interim Finance Director
Agenda Item Title
Adopt a Resolution of the City Council of the City of Sonoma Establishing the Appropriations Limit for the Fiscal Year 2023-24
Summary
Propositions 4, also known as the Gann initiative, was approved by California voters in 1979 and was revised by Proposition 111 in 1990. These propositions, now Article XIIIB of the California Constitution, require public agencies to adopt an annual appropriations limit.
Appropriations that are subject to this limit (generally, appropriations from proceeds of taxes) may not, with certain exceptions, exceed the appropriations limit.
The appropriations limit is based on a city’s actual appropriations in FY 1978-79, adjusted in each subsequent year by a population factor and cost of living factor. The population factor is the greater percentage change of the city population or the county population. The State of California Department of Finance provides this data on an annual basis.
For purposes of the cost of living factor, Proposition 111 added to Article XIIIB: “Change in the cost of living for an entity of local government, other than a school district or a community college district, shall be either (A) the percentage change in California per capita personal income from the preceding year, OR (B) the percentage change in the local assessment roll from the preceding year for the jurisdiction due to the addition of local non-residential new construction, whichever is greater.” The local assessment roll is the assessed valuation of the jurisdiction.
The change in the appropriations limit is calculated annually by staff from the information provided by the State of California Department of Finance (Attachment B), as well as the percentage change in assessed valuation due to non-residential new construction provided by HdL, the City’s Property Tax consultant, (Attachment C). After the annual appropriations limit is calculated, the appropriations that are subject to the limit are determined. The appropriations limit only applies to appropriations that are funded from proceeds of taxes.
The Fiscal Year 2023-24 appropriations limit was calculated using the Statewide Per Capita Person Income increase of 4.44% and the City-wide population decrease of -1.18%. The formula uses a combined adjustment of these two factors which results in the prior year appropriations limit being increased by 3.03%.
Using this percentage, the City of Sonoma’s appropriations limit increased $853,341 to $27,453,757. Appropriations that are subject to the limit are $18,407,302; the City is well under the appropriation limit by $9,046,456. Details of the computations are presented in Attachment A – Appropriations Limit Calculation FY 2023-24.
The proposed resolution confirms the City Council’s selection of the City population change percentage as the population factor and the CA PCI percentage change modifying the Agenda Item #7.3:
Appropriations Limit for the Fiscal Year 2023-24. The proposed resolution establishes the FY 2023-24 Appropriations Limit of $27,453,757, as indicated in Attachment A.
Recommended Council Action
Adopt a Resolution of the City Council of the City of Sonoma Establishing the Appropriations Limit for the Fiscal Year 2023-24
Alternative Actions
Council Discretion
Financial Impact
Not Applicable
Environmental Review Status
Environmental Impact Report
Negative Declaration
Exempt
Not Applicable
Approved/Certified
No Action Required
Action Requested
Attachments
Resolution Appropriations Limit
Attachment A - Appropriations Limit FY 2023-24 Sonoma
Attachment B - CA Department of Finance - Price _ Population Information Letter Attachment C - HdL Property Tax Reports Addendum
Agenda Item #7.3:
City of Sonoma
RESOLUTION # _____-2023
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SONOMA ESTABLISHING THE APPROPRIATIONS LIMIT FOR THE FISCAL YEAR 2023-24
WHEREAS, Article XIIIB of the California Constitution provides that the total annual Appropriations Subject to Limit of each governmental entity, including this city, shall not exceed the Appropriations Limit of such entity of government, as determined by adjusting the prior fiscal year Appropriations Limit by the greater of the changes in city or county population, combined with the greater of the change in California per capita personal income or the change in the local assessment roll due to the addition of local non-residential construction; and
WHEREAS, pursuant to said Article XIIIB of said California Constitution and Section 7900 et seq., of the California Government Code, the City is required to set its Appropriations Limit annually; and WHEREAS, the Interim Finance Director of the City of Sonoma has interpreted the technical provisions of said Article XIIIB computations and has caused the numbers upon which the City’s Appropriation limit is based to be calculated; and
WHEREAS, the Fiscal Year 2023-24 Appropriations Limit is calculated using the following:
• The State of California per capital personal income increase determined by the California Department of Finance for the calendar year 2023, 4.44%; and • The City of Sonoma population decrease for the calendar year 2023 as determined by the California Department of Finance, -1.18%.
NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Sonoma that:
1. The annual adjustment factors used to calculate the Fiscal Year 2023-24 Appropriations Limit shall be the change in the State of California per capital personal income increase of
4.44% and the City of Sonoma population decrease of -1.18%.
2. The new Appropriations Limit for Fiscal Year 2023-24 shall be and is hereby set in the amount of $27,453,757.
3. The Fiscal Year 2023-24 Adopted Budget appropriations subject to the Appropriations Limit is $18,407,302.
PASSED AND ADOPTED by the City Council of the City of Sonoma at their regular meeting held on the 19th day of July 2023, by the following roll call vote:
AYES:
NOES:
ABSENT:
________________________________
Sandra Lowe, Mayor
ATTEST:
_______________________________
Rebekah Barr, City Clerk
Agenda Item #7.3:
Percent Change Amount
Appropriations limit for fiscal year ended June 30, 2023 $26,600,416 Inflation Factor 1.0444
0.9882
x 1.0321
$27,453,757
Proceeds from Taxes $18,749,249
Less Exclusions (Fed Mandates, Qualified Capital Outlay and Debt Service): ($341,947) FY 2023-24 Appropriations Subject to Limit $18,407,302
FY 2023-24 Appropriations Limit $27,453,757
Under/(Over) Fiscal Year 2023-24 Appropriations Limit $9,046,456 Proposition 4 establishes a formula limiting expenditures to the "proceeds of taxes" and is adjusted each year for inflation and population growth.
Population Factor
Combined Factor
Appropriations limit for fiscal year ending June 30, 2024 Appropriations in Fiscal Year 2023-24 Compared to Limit
APPROPRIATION LIMIT WORKSHEET
For the Year Ending June 30, 2024
Calculation of Spending Limit
Adjustment factors:
ATTACHMENT A Agenda Item #7.3:
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ATTACHMENT C
Agenda Item #7.3:
City of Sonoma
Agenda Item Summary
Meeting: City Council - 19 Jul 2023
Department
Public Works
Staff Contact
Michael Berger, Public Works Director/City
Engineer
Agenda Item Title
Adopt a Resolution Authorizing the City Manager to Execute a Mutual Aid and Assistance Agreement for Sonoma Water and the Water Contractors
Summary
In September 2022, Sonoma Water Agency approached the Water Contractors (City of Santa Rosa, City of Rohnert Park, City of Cotati, City of Petaluma, Town of Windsor, Valley of the Moon, City of Sonoma, North Marin Water District, and Marin Municipal Water District) and inquired with the Water Contractors if there was interest among the group to pursue a mutual aid and assistance agreement that could be utilized by a member during an emergency. Such an agreement would set policy regarding Administration, Requests for Assistance, Member Personnel, Cost Reimbursement, Disputes, and additional topics.
Sonoma Water and the Water Contractors have completed several iterations to the original agreement and the finalized agreement is attached. This agreement, if executed, will provide a means for the City of Sonoma to request and/or provide mutual aid during an emergency from Sonoma Water and the Water Contractors. Mutual aid could be requested during a natural or human caused event such as an earthquake, flood, fire, landslide or some other utility or transportation emergency.
Recommended Council Action
Adopt a Resolution Authorizing the City Manager to Execute a Mutual Aid Agreement for Sonoma Water and Sonoma Water Contractors.
Alternative Actions
Council discretion.
Financial Impact
There are no financial impacts from this action.
Environmental Review Status
Environmental Impact Report
Negative Declaration
Exempt
Not Applicable
Approved/Certified
No Action Required
Action Requested
Attachments
Resolution - Mutual Aid & Assistance
Agreement - Mutual Aid & Assistance
Agenda Item #7.4:
City of Sonoma
RESOLUTION # ___- 2023
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SONOMA
AUTHORIZING THE CITY MANAGER TO EXECUTE A MUTUAL AID AGREEMENT
FOR SONOMA WATER AND THE WATER CONTRACTORS
WHEREAS, the City of Sonoma recognizes that natural or human caused emergencies such as earthquakes, floods, fires, landslides or some other utility or transportation emergency do occur; and
WHEREAS, during such events an agency’s personnel, tools, equipment, and other resources are limited and may not be able to satisfy all of the needs during such an event; and WHEREAS, emergencies may require aid or assistance in the form of personnel, equipment, or supplies from outside the area of impact, signatory utilities have established an agreement for mutual aid and assistance in which Members may coordinate response activities and share resources during emergencies.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Sonoma hereby authorizes the City Manager to execute a Mutual Aid and Assistance Agreement for Sonoma Water and the Water Contractors.
PASSED AND ADOPTED this 19th day of July 2023 by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
________________________________
Sandra Lowe, Mayor
ATTEST:
________________________________
Rebekah Barr, MMC, City Clerk
Agenda Item #7.4:
1 1 Mutual Aid and Assistance Agreement for Sonoma Water and Water Contractors 2 AGREEMENT
3 This Mutual Aid and Assistance Agreement for Sonoma Water and Water Contractors 4 (“Agreement”) is made and entered into by public water and wastewater utilities that have, by 5 executing this Agreement, manifested their intent to participate in mutual aid and assistance, as 6 defined in Article I (Purpose), below with Sonoma County Water Agency, City of Santa Rosa, 7 City of Rohnert Park, City of Cotati, City of Petaluma, Town of Windsor, Valley of the Moon, City 8 of Sonoma, North Marin Water District, and Marin Municipal Water District who may be referred 9 to herein individually as “Party” and collectively as the “Parties.” 10 11 This Agreement is authorized under the California Emergency Services Act (Government Code 12 sections 8550 et seq.), the California Disaster and Civil Defense Master Mutual Aid Agreement, 13 Government Code sections 6502, 8631, and 55632, and Health and Safety Code sections 14 13863 and 13877, which provides that water and wastewater utilities may contract with each 15 other to provide services.
16 17 ARTICLE I.
18 PURPOSE
19 Recognizing that emergencies may require aid or assistance in the form of personnel, 20 equipment, or supplies from outside the area of impact, the signatory utilities hereby establish 21 an agreement for mutual aid and assistance in which Members, defined in Article II, may 22 coordinate response activities and share resources during emergencies This Agreement sets 23 forth the procedures and standards for providing mutual aid and assistance. 24 Agenda Item #7.4:
2 1 ARTICLE II.
2 DEFINITIONS
3 A. “Authorized Official” – An officer or employee of a party to this Agreement who is authorized 4 to:
5 1. Request assistance;
6 2. Provide assistance in response to a request for assistance. 7 3. Refuse to provide assistance; or
8 4. Withdraw assistance under this agreement.
9 B. “Water Contractor” – means the signatories to the Restructured Agreement for Water Supply 10 and includes City of Cotati, City of Petaluma, City of Rohnert Park, City of Santa Rosa, City 11 of Sonoma, North Marin Water District, Valley of the Moon Water District, and Town of 12 Windsor.
13 C. “Technical Advisory Committee” or “TAC” – The TAC is composed of one (1) non-elected 14 representative selected by each Water Contractor. The TAC may make recommendations to 15 the WAC.
16 D. “Water Advisory Committee” or “WAC” – The WAC is composed of one (1) elected 17 representative selected by each Water Contractor. The WAC makes decision regarding 18 water supply in Sonoma Water’s service areas, at the advice of the TAC. 19 E. “Emergency” – A natural or human caused event or circumstance causing, or imminently 20 threatening to cause, loss of life, injury to person or property, human suffering or financial 21 loss, or threat to essential governmental services, and includes, but is not limited to, fire, 22 explosion, flood, severe weather, drought, earthquake, volcanic activity, landslides and earth 23 movement, spills or releases of oil or hazardous material, contamination, utility or 24 transportation emergencies, disease, blight, infestation, civil disturbance, riot, intentional 25 acts, sabotage, and war that is, or could reasonably be beyond the capability of the 26 services, personnel, equipment, and facilities of a Member to fully manage and mitigate 27 internally.
28 F. “Members” – Sonoma Water and Water Contractors that manifest intent to provide and 29 support in mutual aid and assistance by executing this Agreement. 30 1. “Requesting Member” – A Member that requests aid or assistance. 31 2. “Responding Member” – A Member that provides aid or assistance in response to a 32 request.
33 3. “Non-Assisting Member” - A Member that does not provide aid or assistance in response 34 to a request.
35 4. “Designated Supervisor” – An individual representative of either the Requesting or 36 Responding Member that coordinates the aid request.
37 G. “Confidential Information” - Any document shared with any signatory of this Agreement (i.e. 38 a “Member as defined in Paragraph F above) that is marked confidential, including but not Agenda Item #7.4:
3 1 limited to any maps, reports, notes, papers, opinions, e-mail, or other written or electronically 2 transmitted communications which relates to the system vulnerabilities of a Member. 3 H. “Period of Assistance” – A specified period of time when a Responding Member assists a 4 Requesting Member. The period commences when personnel, equipment, or supplies 5 depart from Responding Member’s facility and ends when the resources return to their 6 facility (portal to portal). All protections identified in the Agreement apply during this period. 7 The specified Period of Assistance may occur during response to, or recovery from, an 8 Emergency.
9 I. “Standardized Emergency Management System or “SEMS” - A California-based, 10 standardized approach to incident management and response that sets uniform processes 11 and procedures for emergency response operations.
12 J. “National Incident Management System” or “NIMS” - A national, standardized approach to 13 incident management and response that sets uniform processes and procedures for 14 emergency response operations.
15 ARTICLE III.
16 ADMINISTRATION
17 Mutual aid and assistance shall be administered through the Sonoma Water and Water 18 Contractors Technical Advisory Committee (TAC), as needed. The purpose of the TAC 19 pursuant to this Agreement is to provide local coordination of mutual aid and assistance before, 20 during, and after an emergency. The TAC shall review and refine annually the policies and 21 standards laid out in this agreement, ensuring consistency with NIMS, SEMS, and the 22 Restructured Agreement for Water Supply, and shall adopt the initial policies and standards 23 within one (1) year of execution of this Agreement.
24 ARTICLE IV.
25 REQUESTS FOR ASSISTANCE
26 A. Member Responsibility – Members shall identify Authorized Officials; maintain contact 27 information for those Authorized Officials including designating 24-hour contacts if 28 applicable; and maintain resource information that may be available from the Member for 29 mutual aid and assistance response. Such contact information shall be updated annually, or 30 when changes occur, and provided to the TAC.
31 B. Member Request - In the event of an Emergency, a Member’s Authorized Official may 32 request mutual aid and assistance from another Member. Requests for assistance can be 33 made orally or in writing. When made orally, the request for personnel, equipment, and 34 supplies shall be memorialized in writing as soon as practicable. The Requesting Member 35 has sole discretion in determining whether an Emergency warrants a request for mutual aid. 36 Local, state, or federal proclamations or declarations are not required to use this agreement, 37 but not doing so may impact eligibility for state and/or federal reimbursement. Requests for 38 assistance shall be directed to the Authorized Official(s) of the other Members. 39 C. Response to a Request for Assistance – Members are not obligated to provide assistance in 40 response to a request. After a Member receives a request for assistance, the Authorized 41 Official of that Member evaluates whether or not to provide assistance, whether resources 42 are available to respond to a request, or if other circumstances would hinder providing Agenda Item #7.4:
4 1 assistance. If a Member can support the Requesting Member’s full request, or a portion 2 thereof, the Responding Member’s Authorized Official shall inform the Requesting Member, 3 orally or in writing and as soon as practicable, what level of assistance it can provide. The 4 Responding Member shall inform the Requesting Member about the type of available 5 resources and the approximate arrival time or availability of such assistance. The 6 Requesting Member has the right to accept any or all of the Responding Member’s offer. 7 D. Discretion of Responding Member’s Authorized Official – Execution of this Agreement does 8 not create any duty to provide assistance in response to a request for assistance. When a 9 Member receives a request for assistance, the Authorized Official of that Member shall have 10 sole and absolute discretion as to whether or not to provide assistance, or the availability of 11 resources to be used in such requested assistance. A Member’s decisions on the 12 availability of resources shall be final. A Member shall not be held liable for failing to provide 13 assistance.
14 ARTICLE V.
15 MEMBER PERSONNEL
16 A. National Incident Management System - When providing assistance under this Agreement, 17 the Requesting Member and Responding Member shall be organized and shall function 18 under the National Incident Management System.
19 B. Standardized Emergency Management System - When providing assistance under this 20 Agreement, the Requesting Member and Responding Member shall be organized and shall 21 function under the Standardized Emergency Management System. 22 C. Personnel – Responding Member retains right to identify personnel who will participate and 23 provide support under the agreement.
24 D. Control - The Requesting Member will identify a Designated Supervisor for all mutual aid 25 and assistance resources The Responding Member’s personnel will be under the direction 26 and supervision of the Requesting Member during the Period of Assistance, consistent with 27 NIMS and SEMS, to address the needs identified by the Requesting Member. The 28 Designated Supervisor of the Requesting Member shall coordinate response activities with 29 the Designated Supervisor(s) of the Responding Member(s). The Requesting Member’s 30 Designated Supervisor(s) must keep accurate records of work performed by personnel 31 during the specified Period of Assistance.
32 E. Food and Shelter – Whenever practical, Responding Member personnel must be self33 sufficient for up to twelve hours. When possible, the Requesting Member shall supply 34 reasonable food and shelter for Responding Member personnel. If the Requesting Member 35 is unable to provide food and shelter for Responding Member personnel, the Responding 36 Member’s Designated Supervisor is authorized to secure the resources necessary to meet 37 the needs of its personnel. Except as provided below, the cost for such resources must not 38 exceed the State or Federal, as applicable, per diem rates for that area. To the extent food 39 and shelter costs exceed the State per diem rates for the area, the Responding Member 40 must demonstrate that the additional costs were reasonable and necessary under the 41 circumstances. Unless otherwise agreed to in writing, the Requesting Member remains 42 responsible for reimbursing the Responding Member for all reasonable and necessary costs 43 associated with providing food and shelter, if such resources are not provided.
Agenda Item #7.4:
5 1 F. Communication – The Requesting Member shall provide Responding Member personnel 2 with radio equipment as available, or radio frequency information to program existing radio, 3 in order to facilitate communications with local responders and utility personnel. 4 G. Status - Unless otherwise prohibited by law, during the Period of Assistance, the 5 Responding Member’s personnel providing assistance to the Requesting Member shall have 6 the same privileges, immunities, rights, duties, and benefits as the Requesting Member. 7 H. Licenses and Permits – To the extent permitted by law, Responding Member personnel that 8 hold licenses, certificates, or permits evidencing professional, mechanical, or other skills 9 shall be allowed to carry out activities and tasks relevant and related to their respective 10 credentials during the specified Period of Assistance. 11 I. Right to Withdraw - The Responding Member’s Authorized Official retains the right to 12 withdraw some or all of its resources at any time and for any reason in the Responding 13 Member’s sole and absolute discretion. Notice of intention to withdraw mutual assistance 14 resources must be communicated orally or in writing to the Requesting Member’s Authorized 15 Official as soon as is practicable under the circumstances. 16 ARTICLE VI.
17 COST- REIMBURSEMENT
18 The Requesting Member shall reimburse the Responding Member for all reasonable costs 19 accrued by Responding Member as result of providing aid or assistance including but not limited 20 to the categories in this Article VI; provided, that any Responding Member may, but is not 21 obligated to, assume in whole or in part such loss, damage, expense, or other cost, or may loan 22 such equipment or donate such services to the Requesting Member without charge or cost. 23 A. Personnel – The Responding Member shall be reimbursed by the Requesting Member for 24 personnel costs incurred for work performed during the specified Period of Assistance. 25 Responding Member personnel costs shall be calculated according to the terms provided in 26 their employment contracts or other conditions of employment. The Requesting Member’s 27 Designated Supervisor(s) must keep accurate records of work performed by personnel 28 during the specified Period of Assistance. Requesting Member reimbursement to the 29 Responding Member shall cover fully loaded personnel costs, including salaries or hourly 30 wages, costs for fringe benefits, and overhead.
Agenda Item #7.4:
6 1 B. Equipment – The Requesting Member shall reimburse the Responding Member for the use 2 of equipment during the specified Period of Assistance, including, but not limited to, 3 reasonable rental rates, all fuel, lubrication, maintenance, transportation, and 4 loading/unloading of equipment. All equipment shall be returned to the Responding Member 5 in good working order as soon as is practicable and reasonable under the circumstances. 6 At a minimum, rates for equipment use must be based on the Federal Emergency 7 Management Agency’s (FEMA) Schedule of Equipment Rates. If a Responding Member 8 uses rates different from those in the FEMA Schedule of Equipment Rates, the Responding 9 Member must provide such rates in writing to the Requesting Member prior to supplying the 10 equipment. Mutual agreement on which rates are used must be reached orally or in writing 11 prior to dispatch of the equipment. Reimbursement for equipment not referenced on the 12 FEMA Schedule of Equipment Rates must be developed based on actual recovery of costs. 13 If Responding Member must lease a piece of equipment while its equipment is being 14 repaired due to damage sustained during the Period of Assistance, Requesting Member 15 shall reimburse Responding Member for such rental costs. 16 C. Materials and Supplies – The Requesting Member must reimburse the Responding Member 17 in kind or at actual replacement cost, plus handling charges, for use of expendable or non18 returnable supplies. The Responding Member must not charge direct fees or rental charges 19 to the Requesting Member for other supplies and reusable items that are returned to the 20 Responding Member in a clean, damage-free condition. Reusable supplies that are 21 returned to the Responding Member with damage must be treated as expendable supplies 22 for purposes of cost reimbursement.
23 D. Payment Period – The Responding Member must provide an itemized bill to the Requesting 24 Member for all expenses incurred by the Responding Member while providing assistance 25 under this Agreement. The billing statement shall be accompanied by Records and 26 Documents sufficient to substantiate all reimbursable expenses claimed. The Responding 27 Member must send the itemized bill not later than (90) ninety days following the end of the 28 Period of Assistance. The Responding Member may request additional periods of time 29 within which to submit the itemized bill, and Requesting Member shall not unreasonably 30 withhold consent to such request. The Requesting Member must pay the bill in full on or 31 before the ninetieth (90th) day following the billing date. The Requesting Member may 32 request additional periods of time within which to pay the itemized bill, and Responding 33 Member shall not unreasonably withhold consent to such request, provided, however, that 34 all payment shall occur not later than one-year after the date a final itemized bill is submitted 35 to the Requesting Member.
36 E. Records - Each Responding Member and their duly Authorized Official, or his or her 37 designee(s), shall have access to a Requesting Member’s books, documents, notes, 38 reports, papers, and records which are directly pertinent to the assistance provided pursuant 39 to this Agreement for the purposes of reviewing the accuracy of a cost bill or making a 40 financial, maintenance or regulatory audit. Each Requesting Member and their duly 41 Authorized Official shall have access to a Responding Member’s books, documents, notes, 42 reports, papers, and records which are directly pertinent to the assistance provided pursuant 43 to this Agreement for the purposes of reviewing the accuracy of a cost bill or making a 44 financial, maintenance, or regulatory audit. Such records shall be maintained for at least 45 three (3) years or longer where required by law.
Agenda Item #7.4:
7 1 ARTICLE VII.
2 DISPUTES
3 If any controversy or claim arises out of, or relates to, the execution of the Agreement, including, 4 but not limited to, alleged breach of the Agreement, the disputing Members shall first attempt to 5 resolve the dispute by negotiation, followed by mediation. The parties shall mutually agree 6 upon a mediator and shall equally share the costs of such mediation. If mediation is 7 unsuccessful in resolving the dispute, either party may seek redress in a court of competent 8 jurisdiction.
9 ARTICLE VII.
10 DUTY TO INDEMNIFY
11 The Requesting Member shall assume the defense of, fully indemnify, and hold harmless, the 12 Responding Member, and its officers, officials, and employees, from all claims, loss, damage, 13 injury, negligence, and liability of every kind, nature, and description, directly or indirectly arising 14 from Responding Member providing assistance to a Requesting Member during a specified 15 Period of Assistance. The scope of the Requesting Member’s duty to indemnify includes, but is 16 not limited to, suits arising from, or related to, negligent or wrongful use of equipment or 17 supplies provided to the Requesting Member, or faulty workmanship or other negligent acts, 18 errors, or omissions by Requesting Member or Responding Member personnel. 19 The Requesting Member’s duty to indemnify is subject to, and shall be applied consistent with, 20 the conditions set forth in Article IX.
21 ARTICLE IX.
22 WORKERS’ COMPENSATION CLAIMS
23 Each party shall maintain in full force and effect workers’ compensation insurance as required 24 by the California Labor Code, which covers the personnel involved in a response to provide 25 mutual-aid and assistance. Each Party waives all claims against the other for compensation for 26 any loss, damage, personal injury, or death to the personnel involved in a response occurring as 27 a consequence of the performance of this Agreement, except for intentional acts or gross 28 negligence of the other Party.
29 ARTICLE X.
30 NOTICE
31 A Member who becomes aware of a claim or suit that in anyway, directly or indirectly, 32 contingently or otherwise, affects or might affect other Members of this Agreement, shall provide 33 prompt and timely notice to all other Members and the TAC Chair. Each Member reserves the 34 right to participate in the defense of such claims or suits as necessary to protect its own 35 interests.
Agenda Item #7.4:
8 1 ARTICLE XI.
2 INSURANCE
3 Members at their sole cost and expense, shall maintain an insurance policy or maintain a self4 insurance program for general liability, workers’ compensation, property (apparatus and 5 equipment), and business automobile liability to cover its potential liabilities under this Mutual 6 Aid and Assistance Agreement Failure of any Member to maintain insurance as required in this 7 Agreement is a material breach of contract and may be grounds for termination of the 8 Agreement with that Member.
9 10 ARTICLE XII.
11 CONFIDENTIAL INFORMATION
12 To the extent provided by law, any Member shall maintain in the strictest confidence and shall 13 take all reasonable steps necessary to prevent the disclosure of any Confidential Information 14 disclosed under this Agreement. If any Member, third party, or other entity requests or 15 demands, by subpoena, public records act request, or otherwise, that a Member disclose any 16 Confidential Information disclosed under this Agreement, the Member shall immediately notify 17 the owner of the Confidential Information and shall take all reasonable steps necessary to 18 prevent the disclosure of any Confidential Information by asserting all applicable rights and 19 privileges with respect to such information, and shall cooperate fully in any judicial or 20 administrative proceeding relating thereto. It is the intent of this Paragraph that documents 21 otherwise exempt from disclosure pursuant to the California Public Records Act shall remain 22 exempt and confidential. Members shall endeavor to identify information that is confidential by 23 markings, notations, or direct communication.
24 ARTICLE XIII.
25 EFFECTIVE DATE
26 This Agreement shall be effective after at least two Members’ Authorized Officials execute the 27 Agreement and the TAC Chair receives the Agreement. The TAC Chair shall maintain a list of 28 all Members.
29 ARTICLE XIV.
30 WITHDRAWAL
31 A Member may withdraw from this Agreement by providing written notice of its intent to 32 withdraw to the TAC Chair. Withdrawal takes effect sixty days after the TAC Chair receive 33 notice. Withdrawal from this Agreement shall in no way affect a Requesting Member’s duty to 34 reimburse a Responding Member for cost incurred during a Period of Assistance, which duty 35 shall survive such withdrawal.
36 ARTICLE XV.
37 MODIFICATION
38 No provision of this Agreement may be modified, altered, or rescinded by individual Members to 39 the Agreement. Modifications to this Agreement may be due to programmatic or operational 40 changes to support the Agreement, legislative action, creation of an intrastate aid and 41 assistance agreement, or other developments. Modifications require a unanimous vote of 42 Members of the TAC that are part to this Agreement. The TAC Chair must provide written Agenda Item #7.4:
9 1 notice to all Members of approved modifications to this Agreement. Approved modifications 2 take effect sixty days after the date upon which notice is sent to the Members. 3 ARTICLE XVI.
4 SEVERABILITY
5 The Parties agree that if any term or provision of this Agreement is declared by a court of 6 competent jurisdiction to be illegal or in conflict with any law, the validity of the remaining terms 7 and provisions shall not be affected, and the rights and obligations of the Parties shall be 8 construed and enforced as if the Agreement did not contain the particular term or provision held 9 to be invalid.
10 ARTICLE XVII.
11 MERGER
12 This writing is intended both as the final expression of the Agreement between the Parties 13 hereto with respect to the included terms and as a complete and exclusive statement of the 14 terms of the Agreement, pursuant to Code of Civil Procedure section 1856. Each Party 15 acknowledges that, in entering into this Agreement, it has not relied on any representation or 16 undertaking, whether oral or in writing, other than those which are expressly set forth in this 17 Agreement.
18 ARTICLE XVIII.
19 PROHIBITION ON THIRD PARTIES AND ASSIGNMENT OF RIGHTS/DUTIES 20 This Agreement is for the sole benefit of the Members and no person or entity must have any 21 rights under this Agreement as a third-party beneficiary. Assignments of benefits and 22 delegations of duties created by this Agreement are prohibited and shall be without effect. 23 ARTICLE XIX.
24 TORT CLAIMS
25 This Agreement in no way abrogates or waives any immunity or defense available under 26 California law.
27 ARTICLE XX.
28 INTRASTATE AND INTERSTATE MUTUAL AID AND ASSISTANCE PROGRAMS 29 To the extent practicable, Members of this Agreement shall participate in the California 30 Water/Wastewater Agency Response Network (CalWARN) and other local government mutual 31 aid and assistance programs. Participation in this agreement by a Member will not conflict with 32 other mutual aid agreements.
Agenda Item #7.4:
10 1 Now, therefore, in consideration of the covenants and obligations set forth in this Agreement, 2 the Water and Wastewater Utility listed here manifests its intent to participate in the mutual aid 3 and assistance agreement for Water and Wastewater Utilities by executing this Agreement on 4 this ___________ day of __________ 2023
5 6 Water/Wastewater Utility:
7 8
9 By: By:
10 11 Title: Title
12 13
14 Please Print Name Please Print Name
15 16
17 Approved as to form and legality
18 19
20 By:
21 Attorney for Utility
22 23
24 Please Print Name
25 Agenda Item #7.4:
City of Sonoma
Agenda Item Summary
Meeting: City Council - 19 Jul 2023
Department
Administration
Staff Contact
Lisa Janson, Senior Management Analyst
Agenda Item Title
Adopt a Resolution Approving Sonoma Valley High School Request for Temporary Use of City Streets on October 27, 2023, to Conduct the Annual Homecoming Parade Summary
Special event permit applications that include requests for the closure of City streets in conjunction with the event must obtain City Council approval of the related street closure. The Sonoma Valley High School has scheduled their annual homecoming parade for October 27, 2023, between the hours of 1:15 p.m. and 1:45 p.m. Because the event involves the use of SR 12, the applicant must also obtain permission and an encroachment permit from Caltrans. The parade route will begin on Broadway (State Route 12) at the High School and end in the horseshoe of the Plaza. Details of the requested street closures are specified in the application. This is a recurring Plaza event, prior year street use applications have been approved by Council, and the event has occurred in the Plaza without issue or controversy.
The event and street use fee waivers were included in the Community Recreation and Community Service Program adopted by Resolution #31-2022 on June 1, 2022.
Recommended Council Action
1. Adopt the resolution approving the use of city streets and recommending Caltrans approval subject to the following conditions:
a. Sonoma Valley High School must obtain an appropriate Permit from the State of California Divisions of Highways;
b. Sonoma Valley High School must submit, to the City, an insurance certificate in compliance with the City of Sonoma Facility Use Insurance Requirements prior to the event;
c. Sonoma Valley High School must meet with the Police Chief, Public Works Parks Supervisor and Street Supervisor at least two weeks prior to the event to finalize traffic plans and submit a written request for special barricading; d. Sonoma Valley High School must provide adequate supervision of the event to ensure that the Plaza is left in its pre-event condition and that all Plaza Use conditions and restrictions are adhered to.
Alternative Actions
City Council's discretion.
Financial Impact
Agenda Item #7.5:
The financial impacts of this action are in staff time to manage rolling street closures and minimal energy costs.
Environmental Review Status
Environmental Impact Report
Negative Declaration
Exempt
Not Applicable
Approved/Certified
No Action Required
Action Requested
Attachments
Resolution - SVHS Homecoming Parade
Application - SVHS Homecoming Parade
CC:
Tammy Rivara, Sonoma Valley High School, Leadership Teacher Agenda Item #7.5:
City of Sonoma
RESOLUTION # - 2023
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SONOMA APPROVING TO THE
USE OF CITY STREETS FOR THE SONOMA VALLEY HIGH SCHOOL HOMECOMING PARADE ON OCTOBER 27, 2023, AND PERMISSION TO UP-LIGHT CITY HALL FROM OCTOBER 24, 2023, THROUGH OCTOBER 30, 2023, WITH GREEN FLOOD LIGHTS WHEREAS, Sonoma Valley High School has applied to the State of California to conduct the Sonoma Valley High School Homecoming Parade, on State property; and WHEREAS, the Sonoma Valley High School Homecoming Parade will temporarily impede and restrict the free passage of State Route 12 on October 27, 2023, between Sonoma Valley High School, 20000 Broadway and the Downtown Sonoma Plaza between the hours of 1:15 p.m. and 1:45 p.m.; and WHEREAS, the City of Sonoma wishes to show their support of the Sonoma Valley Dragons and the Sonoma Valley High School.
NOW THEREFORE BE IT RESOLVED the City of Sonoma wishes to show their continued support of the Sonoma Valley Dragons and the Sonoma Valley High School, by turning City Hall green for a period of 7 days.
BE IT FURTHER RESOLVED that the City Council of the City of Sonoma approves and consents to the proposed Sonoma Valley High School Homecoming Parade and recommends approval of and consents to the proposed restriction of State Highway Route 12 upon terms and conditions deemed appropriate and necessary by the State of California, Department of Transportation, subject to the following conditions:
1. Sonoma Valley High School must obtain an appropriate Permit from the State of California Divisions of Highways.
2. Sonoma Valley High School must submit, to the City, an insurance certificate in compliance with the City of Sonoma facility use insurance requirements prior to the event.
3. Sonoma Valley High School must meet with the Police Chief and Streets Supervisor at least two weeks prior to the event to finalize traffic plans and submit a written request for special barricading.
4. Sonoma Valley High School must provide adequate supervision of the event to ensure that the Plaza is left in its pre-event condition and that all Plaza use conditions and restrictions are adhered to.
5. Direct city staff to install the high schools up-lights for a period of 7-days starting on October 24, 2023, through October 30, 2023.
The foregoing Resolution was duly adopted this day 19th day of July 2023, by the following vote:
PASSED, APPROVED AND ADOPTED 19th day of July 2023, by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
______________________________
Sandra Lowe, Mayor
ATTEST:
______________________________
Rebekah Barr, MMC, City Clerk
Agenda Item #7.5:
7/11/23, 10:26 AM OpenGov
City of Sonoma.CA
07/ 11/2023
PLUA-23-19
Plaza Use Application
Status: Active Date Created: Jun 16, 2023
Applicant
Tammy Rivara
[email protected]
Sonoma ValleyHigh School
20000 Broadway
Sonoma.CA95476
(707)225-2508
Event Details — intake Review
Complete this section during Intake Review Step EVe"t Size Small Event
8 Large Event
3 Attendance
Less than 2500
8 Event Type
Non Profit
2 Conditions of Approval
Police Department Fire Safety
Check if applicable:
(To be printed on Condtions of Approval if box is checked) Events greater then 1,000 persons in attendance are required to have one crowd monitor for every 250 persons. 3 Fire Safety - Conditions of Approval
The Plaza Access roads willnot be blocked for longer than it takes to unload participants. The driver's shall remain withthe vehicles / trailers in the event they need to be moved for an emergency.
Additional Requirements
Event Information
New or Returning Annual Event Name of Event
Returning Event Sonoma Valley High School Homecoming
https://sonomaca.viewpoihtcloud.io/#/explore/records/1330/printable?act=fa|se&app=true&att=true&emp=fa|se&int=fa|se&|oc=true&sec=1011471%2C...1/6 Agenda Item #7.5:
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Beginning Event Date
10/27/2023
How many days will your event take place?
1 Event Organizer
SVHSLeadership Class
Organization Type
Non-Profit
Event Contact Person information
Event Contact Person Name
Tammy Rivara
Mailing Address
20000 Broadway
State
CA
Day Time Phone
(707)933-4010
Email
[email protected]
On Site Contact Cell Phone
(707)225-2508
Plaza Areas Requested
Amphitheater (Daily rental fee of $200)
8 Horseshoe Pavement (Daily rental fee $200)
3 How many Plaza Area sections or areas are you requesting? 2 Willthis event's duration be greater than 8 hours?
No
Hours of Use
Date
: 10/27/2023
AM/ PM
AM
AAM/PM
PM
01AM/ PM
1 PM
1’ AM/PM
PM
Type of Admission
Free Admission
[Z
https://sonomaca.viewpointc|oud.io/#/explore/records/1330/printable?act=false&app=true&att=true&emp=fa|se&int=fa|se&loc=true&sec=1011471%2C...
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Ending Event Date
10/27/2023
Sponsoring Organization
Sonoma Valley High School
Title
Ms.
City
Sonoma
Zip
95476
Cell Phone
(707)225-2508
On Site Contact Name
Tammy Rivara
Start Time (Set-up)
5:00
Event Start Time
1:15
Event End Time
3:00
End Time (Teardown & Cleanup)
3:30
Estimated Attendance
200
Number of Attendees
200
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Agenda Item #7.5:
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Event Features
Live and or Amplified Music Parade
8 8
Structures
INFLATABLESAREEBOi;llBlTlEDlNCITYPARKS.i.e.Jumping Houses %Plaza Use Map (https://viewpointcloud.blob.core.windows.net/profilePOLYSTYRENEPRODUCTSAREPROWBITEDINCITYPARKS pictures/P|aza_Use_Map_Mon_Oct_O3_2022_16:32:28_GMT+OOOO_(Gree Ԥ Electrical Map (https://viewpointcloud.blob.core.windows.net/profilepictures/1_MAP_ELECTRICAL_out|ets_&_dimensions_horseshoe_Plaza_2( Food and Beverage
Food to be available?
No Food Served
Vendors Required for Set Up and Event
Additional Services
Electricity Needed Number of Electrical Bollards
3 1
CHP Services for Street Closures
Ԥ ElectricalMap (https://viewpointcloud.blob.core.windows.net/profile- El pictures/1_MAP_ELECTRICAL_out|ets_&_dimensions_horseshoe_PIaza_2013_Mon_Oct_03_2022_16:37:55_GMT+OOOO_ (Greenwlch_Mean_Time).pdf Street Use Requested
(3
Marketing Information
Please submit a event description that the City of Sonoma can use on SonomaCity.org Event Calendar.
Sonoma Valley High School's annual Homecoming Parade and Plaza Rallyallowthe community and students to celebrate the school's football team at the Homecoming Game that evening.
Street Closure(s) Requested
3 Street Name Cross Streets
; Broadway/ Highway 12 Newcomb Street and West Napa Street Date From:
10/27/2023 1:15pm
To:
‘ 1:45pm
; Upload maps of all proposed street closures.
p Homecoming Parade Map (1).pdf
j Uploaded by Tammy Rivaraon Jun 16, 2023 at 4:47 pm
Steet Use General Conditions of Approval
Applicant Signature
Applicant is responsible for obtaining permission from Caltrans for use of Tammy Rivara any portion of Highway 12.Allfacilities placed upon a City street are O6/15/2023 subject to continuing safety approval and inspection by the appropriate City departments. Aclear path of a minimum width of 20 feet through the length of the portion of roadway being used must be maintained for https://sonomaca.viewpointcloud.io/#/explore/records/1330/printable?act=fa|se&app=true&att=true&emp=false&int=false&|oc=true&sec=1011471%2C... 3/6 Agenda Item #7.5:
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emergency vehicle access. Obstructions shall not be placed along the curb or the roadway within 10 feet of any fire hydrant. Allfacilities used for the event shall be removed from City streets immediately after the close of the event. Allcosts for barricading. traffic control, street sweeping and clean up shall be borne by the applicant. Applicant willbe required to submit a deposit equal to the amount estimated by the City for services performed by City personnel in relation to the event. The deposit is due no later than two weeks before the first day of the event. ifactual costs exceed the amount of the deposit. applicant willbe required to pay the difference. if actual costs are less than the deposit, the excess willbe returned to applicant or applied to any other fees or charges owed to the City. Applicant must provide a certificate of insurance and a policy endorsement naming the City of Sonoma as additional insured as described in the City of Sonoma Facility Use insurance Requirements. ***-)(~*
I do hereby acknowledge and affirm that all information contained herein is accurate to the best of my knowledge and agree to assume full responsibility and liability for and indemnify, and suits for or by reason of injury to any person or damages to any property of the parties hereto or of the third persons for any and all cause or causes whatsoever on in any way connected with the holding of said event or any act or omission or thing in any manner related to said event and its operation irrespective of negligence, actual or claimed, upon the part of the City, its agents or employees. insurance Information
The following special event insurance requirements
must be met for all events being held on City property.
Event organizers must have liability insurance for no less than two million dollars ($2,000,000) naming the City of Sonoma as an additional insured, with an endorsement stating that the event holder's insurance is primary. if alcohol is sold at the event, the event holder must also provide two million dollars ($2,000,000) liquor liability insurance.
It is essential that any group holding an event in the City of Sonoma meet one of the following two insurance requirements to ensure that your organization is carrying full risk and responsibility for producing your event.
1. Certificate of General Liability insurance ANDEndorsement. The required insurance certificate and endorsements must be executed by your insurance carrier with the terms and language below.
1. The term must be for one year with a minimum of $2 million General Liability for each occurrence, OR, $1 million General Liability plus $1 million Umbrella Liability for each occurrence. 2. Additionally insured Language: The City of Sonoma, its elected or appointed officers, officials, employees and volunteers, #1 The Plaza, Sonoma, CA95476.
3. Description of Premises: Provide a description of the operations, location and dates of the event and insurance policy number.
4. Primary Language on Endorsement: This insurance shall be primary as respects the insured shown in the schedule, or if excess, shall stand in an unbroken chain of coverage excess of the Named insured's schedule underlying primary coverage. In either event, any other insurance maintained by the Insured scheduled above shall be in excess of this insurance and shall not be called upon to contribute with it.
5. Cancellation Language: The insurance afforded by this policy shall not be cancelled except after thirty (30) days prior written notice by certified mail.
2. Special Event insurance:
1. Minimum of $2 million General Liability for each occurrence, OR, $1 million General Liability plus $1 million Umbrella Liability for each occurrence. 2. Additionally Insured Language: The City of Sonoma, its elected or appointed officers, officials, employees and volunteers. #1 The Plaza, Sonoma, CA95476.
3. Description of Premises: Provide a description of the operations, location and dates of the event and insurance policy number.
4. Primary Language on Endorsement: This insurance shall be primary as respects the insured shown in the schedule, or if excess, shall stand in an unbroken chain of coverage excess of the Named https://sonomaca.viewpointc|oud.io/#/explore/records/1330/printable?act=faise&app=true&att=true&emp=fa|se&int=false&|oc=true&sec=1011471%2C...
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Agenda Item #7.5:
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|nsured's schedule underlying primary coverage. in either event, any other insurance maintained by the insured scheduled above shall be in excess of this insurance and shall not be called upon to contribute with It.
Note: Do not wait to contact your insurance carrier. it Is generally the insurance that holds up a permit. Be certain when you submit your request for insurance certificates and endorsements that your carrier receives the above provisions and requirement.
Additional Fee Notes:
Barricades: Provided that all other special event fees have been paid and subject to the sole discretion of the City, a barricade fee may be waived in the event that only the Plaza Horseshoe is barricaded for a special event.
MaintenanceFee: if the rented area is not returned in rentabie condition (at the sole discretion of the City). the City may charge a maintenance fee for each hour required by City Staff to bring the event area into rentabie condition. (Staff activities may include, but are not limited to: emptying trash cans, cleaning restrooms, picking up litter.) This maintenance fee is based on the Public Works Hourly Rate as specified in the most current City Fee Schedule. Clean up activities may include activities outside of the originally rented area to the extent that those areas were impacted by the event.
Other Fees: Event organizers are responsible for any costs (such as staff time costs) associated with the event. Examples are below but are not all inclusive:
if the approving committee or City Council directs specific activities of staff (such as inspections), fees associated with that activity shall be charged to the event unless waived by City Council. If event preparation or review time exceeds hours allocated in the applicable fee, those costs may be charged to the event organizer at the sole discretion of the City. Such activities may include but are not limited to additional set up such as electrical review, distribution or emptying of trash cans, pick up of litter. if City Staff are requested to be on~ca|l or are called in to resolve an event issue, the associated fee (including minimum charges) may be charged to the event organizer at the sole discretion of the City. Additionalservices requested after the event application and approval which were not considered at the time of the application may be charged at the rate specified in the City Fee Schedule.
Fee Changeg: The City of Sonoma Fee Schedule is typically reviewed annually. if the City's fees change between the submittal of an application and the event, event fees willbe adjusted to reflect the current fees as specified in the City Fee Schedule. This may result in additional costs or a refund.
Applicant Agreement
Applicant Signature
I, the undersigned. as applicant or on behalf of the applicant, signify that the TammYRwara information provided on this application is true and correct and hereby accept O6/16/2023 full responsibility for any breakage or damage to property or building, and for ; department and conduct of those attending the function for which the facility is requested.
I agree to indemnify, defend, and hold harmless the City of Sonoma, its officer, officials, employees and volunteers from and against all claims, damages, losses and expenses including attorney fees arising out of the negligent act or omission of myself. any agent, anyone directly or indirectly by them or anyone for whose acts by them may be liable, except where caused by the active negligence, sole negligence or willful misconduct of the City. if permission is granted. I, or my representative agrees to be present during the entire use of the facility. This agreement requires that the City of Sonoma be named as “an additionally insured" and that the applicants insurance apply on a primary and non-contributory basis, over any coverage the city of Sonoma may have.
My signature below signifies that I agree to abide by all of the conditions of this application, the Special Event Use Policy and of any contract issued based on this application. I also agree to pay to the City of Sonoma all costs the City may incur as a result of any failure to comply with all of these conditions including damages due to failure to leave the premises in rentabie condition.
Public Works Rental/Materials Time
Finance — Cost Recovery
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Internal Only - Finance lnformation
Attachments
10.27.2023_SVHSHomecomingplazausemap.pdf Uploaded by Tammy Rivaraon Jun 16,2023 at 5:03 pm
10.27.2023_SVHSHomecomingelectricalmap.pdf Uploaded by Tammy Rivara on Jun 16,2023 at 4:53 pm Homecoming Narrative 2023.pdf
Uploaded by Tammy Rivara on Jun 16, 2023 at 5:02 pm
10.27.2023_SVHS Homecoming.Budget.pdf
Uploaded by Tammy Rivara on Jun 16, 2023 at 5:18 pm
HomecomingNarrative 2023.pdf
Uploaded by Tammy Rivaraon Jun 16,2023 at 5:19 pm
10.27.2023_SVHSHomcomingWaste.pdf Uploaded by Tammy Rivara on Jun 16, 2023 at 7:55 pm Nonpro?t|etter.pdf
Uploaded by Tammy Rivara on Jun 16, 2023 at 7:53 pm
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Agenda Item #7.5:
City of Sonoma
Agenda Item Summary
Meeting: City Council - 19 Jul 2023
Department
Administration
Staff Contact
Rebekah Barr, MMC, City Clerk
Agenda Item Title
Adopt a Resolution Approving the City of Sonoma Records Retention Schedule Including 2023 Proposed Revisions and Delegate Authority to Approve Future Revisions to the Records Retention Schedule to the City Manager with Approval by the City Clerk and City Attorney Summary
In 2009, the City contracted with Gladwell Governmental Services, Inc (GGS) to develop a Record Management program for the City. The President of the firm, Diane R. Gladwell is a Master Municipal Clerk with almost forty years’ experience and expertise in public and private records management. An integral part of the records management program is the Records Retention Schedule.
Records Retention Schedules are comprehensive lists of records series, indicating for each series the length of time it is to be maintained and when, and if, it may be destroyed. The City Clerk maintains retention schedules for each department of the City and updates these schedules on a periodic basis (with the assistance from GGS). These schedules establish mandatory minimum retention periods for all City records. If a federal or state law, court ruling, or regulation establishes the retention period for a record, a citation to the relevant provision is given; if no citation is present, authority for the retention period is based on departmental, legal and management recommendations. No department, division, or commission may dispose of an official City record prior to the expiration of its approved retention period, nor may they do so without City Clerk and City Attorney approval.
By controlling the life cycle of records from creation to final disposition, the City better manages its information assets, provides documentation of compliance to State and Federal laws, and preserves a valuable history of the organization. The City Clerk’s office coordinates the Records Management Program in cooperation with assigned department personnel.
The City's Retention Schedule is reviewed annually by GGS to ensure it is up to date with current legislation and laws. All suggested revisions are forwarded to the City Clerk, who then reviews and distributes to the departments for their comments. The City Attorney also reviews for accuracy and completeness.
Tonight, staff is presenting the 2023 City of Sonoma Records Retention Schedule (Exhibit A to Resolution) with the latest 2023 revisions proposed by GGS and City staff for formal adoption by the City Council. The suggested revisions are in redlined format for ease of review.
Resolution #19-2009, which approved the City's Records Management Program, conferred the authority to destroy records in compliance with the adopted Retention Schedule upon the consent of the City Clerk and City Attorney, without further action by the City Council.
Considering the level of expertise held by the individuals reviewing the schedule on an annual basis, and to remain consistent it is being requested that the City Council delegate the authority Agenda Item #7.6:
to the City Manager to approve any future revisions to the retention schedules based on GGS review and with the approval by the City Clerk and the City Attorney.
Recommended Council Action
Adopt the resolution approving the City of Sonoma Records Retention including the 2023 proposed revisions and delegating authority to approve future revisions to the City Manager with agreement of the City Clerk and City Attorney
Alternative Actions
Continue to have the annual Records Retention Schedule revisions brought before the City Council for approval.
Financial Impact
There is no financial impact from this action.
Environmental Review Status
Environmental Impact Report
Negative Declaration
Exempt
Not Applicable
Approved/Certified
No Action Required
Action Requested
Attachments
Resolution - Records Retention Schedule
2023 City of Sonoma Retention Schedule
Agenda Item #7.6:
City of Sonoma
RESOLUTION # ____- 2023
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SONOMA APPROVING THE CITY OF SONOMA RECORDS RETENTION SCHEDULE INCLUDING 2023 PROPOSED
REVISIONS AND DELEGATING AUTHORITY TO APPROVE FUTURE REVISIONS TO THE
CITY MANAGER WITH APPROVAL BY CITY CLERK AND CITY ATTORNEY WHEREAS, the City of Sonoma has an adopted records management program including a Records Retention Schedule; and
WHEREAS, a Records Retention Schedule (Schedule) is a comprehensive list of records series, indicating for each series the length of time it is to be maintained and when, and if, it may be destroyed along with any legal citations that govern that length of time; and WHEREAS, the Schedule is reviewed annually at multiple levels and revisions are suggested as needed; and
WHEREAS, the City Clerk and City Attorney have been vested with the authority approve destruction of records in compliance with the Schedule; and WHEREAS, based on the level of expertise held by reviewers, approval of future revisions could be a made by the City Manager, with the concurrence of the City Clerk and City Attorney without need for further action by the City Council.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Sonoma hereby approves the City of Sonoma Retention Schedule including the 2023 proposed revisions attached hereto as Exhibit A and delegates authority to the City Manager to approve any future revisions, with the concurrence of the City Clerk and the City Attorney.
PASSED AND ADOPTED this 19th day of July 2023 by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
________________________________
Sandra Lowe, Mayor
ATTEST:
________________________________
Rebekah Barr, MMC, City Clerk
Agenda Item #7.6:
HOW TO USE RETENTION SCHEDULES
©1995-2023 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission A legend explaining the information presented in the retention schedule has been printed on the back of each page for your easy reference; an index to locate records is also provided.
The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard drive, both records should be destroyed (or erased) after the specified period of time has elapsed.
Copies or duplicates of records should never be retained longer than the prescribed period for the original record.
STRUCTURE: CITYWIDE, DEPARTMENTS & DIVISIONS
The City-wide retention schedule includes those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Office of Record, and therefore responsible for maintaining the original record for the prescribed length of time.
Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Office of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department retention schedule, refer to the City-wide retention schedule. An index will be provided for your reference.
BENEFITS
This retention schedule has been developed by Diane R. Gladwell, MMC, an expert in Municipal Government records, and will provide the City with the following benefits:
• Reduce administrative expenses, expedite procedures
• Free filing cabinet and office space
• Reduce the cost of records storage
• Eliminate duplication of effort within the City
• Find records faster
• Easier purging of file folders
• Determine what media should be used to store records
For questions, please contact the City Clerk.
AUTHORIZATION TO DESTROY RECORDS:
Destruction of an original record that has exceeded its retention period must be authorized according to City Policies & Procedures prior to destroying it.
• If there is a minimum retention (“Minimum 2 years"), destruction of the document must be authorized before it is destroyed, as it is an original record.
Copies, drafts, notes and non-records do NOT require authorization, and can be destroyed “When No Longer Required.”
• If there is NOT a minimum retention ("When No Longer Required"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft / transitory record or a copy.
On every page of the schedules (near the top, just under the column headings) are important instructions, including instructions regarding holds on destroying records. “Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).”
Agenda Item #7.6:
RECORDS RETENTION SCHEDULE LEGEND
©1995 – 2023 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission OFR (Office of Record): The department that keeps the original or “record copy.” Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.)
Records Description: The record series (a group of like records).
Transitory Records not retained in the ordinary course of business, that do NOT have substantive content: Preliminary drafts, notes, or interagency or intraagency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules, logs, source records entered into a computer system that qualifies as a “trusted system”, etc.
Non-Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business.
Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off-site storage, stored on Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained For file folders containing documents with different retention timeframes, use the document with the longest retention time.
P = Permanent
Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated.
Vital? = Those records that are needed for basic operations in the event of a disaster.
Media Options (guideline) – the form of the record: Mag = Electronic Computer Magnetic Media (Hard drives, Networks, USB Drives, Cloud, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper
OD = Optical Disk, CD-r, DVD-r, WORM, or other media which does not allow changes Scan / Import (guideline): “S” indicates the record should be scanned into the document imaging system; “I” indicates the record should be electronically imported into the document imaging system; “M” indicates the record should be microfilmed
Destroy Paper after Imaged & QC’d / Trustworthy Electronic Record: “Yes” indicates the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed, or the record may be electronically generated and never exist in paper format;) IF (legal requirements) the document has been imaged (electronically generated, scanned or imported and placed on Unalterable Media, Immutable Cloud Media, DVD-R, CDR, or WORM – Write Once Read Many Media, or microfilmed) which is stored in a safe & separate location, and both the images and indexing Quality Checked (“QC’d”). The electronic record or image must contain all significant details from the original and be an adequate substitute for the original document for all purposes, and other legal mandates apply. Includes all electronic records which are to serve as the Official Record.
Legend for legal citations (§: Section) B&P: Business & Professions Code (CA) CBC: California Building Code CC: Civil Code (CA) CCP: Code of Civil Procedure (CA) CCR: California Code of Regulations (CA) CFC: California Fire Code CFR: Code of Federal Regulations (US) EC: Elections Code (CA) EVC: Evidence Code (CA) FA: Food & Agriculture Code FC: Family Code (CA) FTB: Franchise Tax Board (CA) GC: Government Code (CA) H&S: Health & Safety Code (CA) HUD: Housing & Urban Develop. (US) LC: Labor Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) PC: Penal Code (CA) PRC Public Resources Code R&T: Revenue & Taxation Code (CA) UFC: Uniform Fire Code USC: United States Code (US) VC: Vehicle Code (CA) W&I: Welfare & Institutions Code (CA)
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)
Lead Dept. CW-001
Accident, Incident, Injury reports: PUBLIC (Send Employee Reports to Human Resources) 2 years 2 years Mag, Ppr GC §34090
Finance /
Accounting CW-002
Accounts Payable, Invoices,Petty Cash, TravelReimbursement, Warrant Requests, etc. If ALL backup is forwarded to Finance Copies -
When No
Longer
D59Required
Copies -
When No
Longer
Required
Yes: Before
Payment
Mag,
Ppr
All originals go to Finance for retention set forth on page FIN1. Copies maintained byseparate departments may bedestroyed when no longerneeded; GC §34090.7 Lead Dept. CW-003
Affidavits of Publications / Public Hearing Notices / Legal Advertising / Affidavits of Posting 2 years 2 years
Mag,
Mfr, OD,
Ppr
Brown Act challenges must be filed within 30 or 90 days ofaction; Statute of Limitations on Municipal Governmentactions is 3 - 6 months; GC §§34090, 54960.1(c)(1)
City Clerk CW-004 Agenda Packets / Staff Reports: City Council & PFA Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag,
Mfr, OD,
Ppr
S Yes: After 2 years GC §34090.7
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept. CW-005
Agreements & Contracts -ADMINISTRATION RECORDS(Correspondence, Project Schedules, copies of invoices,backup, insurance certificates5)3,HWF $OVRVHHJUDQWUHWHQWLRQLIDSSOLFDEOH
Completion 10 years Completion + 10 years Yes: Before Completion Mag, Mfr, OD, Ppr S/I Yes: Upon Completio n
Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC§34090 Lead Dept. CW-006
Agreements & Contracts: UNSUCCESSFUL BIDS, UNSUCCESSFULPROPOSALS, orRESPONSES to RFPs (Request for Proposals) and/or RFQs (Request for Qualifications) that don't result in a contract 2 years 2 years Mag, Ppr
The RFP / RFQ and the successful proposal becomes part of the agreement or contract (City Clerk is OFR); GC §34090 Lead Dept. CW-007
Animal Permits (Chickens, Specialty Animals, etc.)(For Dog Licenses, See Police) Expiration + 2
years
Expiration + 2
years
Mag,
Ppr
Department preference; GC §34090
Lead Dept. CW-008 Appeals to Administrative and Quasi-Judicial Decisions The
Retention of
the Appealed
Record
Series
The
Retention of
the Appealed
Record
Series
Mag,
Ppr
Department preference; GC §34090 et seq.
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CW-009 Bids: See Agreements & Contracts
Staffing Dept. CW-010
Boards and Committees: AUDIO RECORDINGSof Meetings / Audio 1 year 1 year Tape (Mag) City preference; State law only requires for 30 days; GC §54953.5(b) Staffing Dept. CW-011
Boards, Commissions, & Committees: Citizens Advisory Bodies Formed by CITY COUNCIL AGENDAS, AGENDA PACKETS.
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Brown Act challenges must be filed within 30 or 90 days of action; GC §§34090, 54960.1(c)(1) Staffing Dept. CW-012
Boards, Commissions, & Committees: Citizens Advisory Bodies Formed by CITY COUNCIL MINUTES & BYLAWS P P Yes
Mag,
Mfr, OD,
Ppr
S Yes: After 10 years
Notes taken to facilitate the writing of the minutes can be destroyed after minutes have been adopted; GC §34090 et seq.
Staffing Dept. CW-013
Boards, Commissions, & Committees: City Council Subcommittees(Composed solely of less than a quorum of the City Council) 2 years 2 years Mag, Ppr All recommendations are presented to the City Council; GC §34090 et seq.
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CW-014
Boards, Commissions, & Committees: External Organizations (e.g. County Board of Supervisors) When No
Longer
Required
When No
Longer
Required
Mag,
Ppr Non-records
CW-015 Brochures: See Reference Manuals
City Clerk CW-016 Budgets - Finals
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Yes: Current
Fiscal Year
Mag,
Mfr, OD,
Ppr
S/I Yes: After 1 year
Final budgets are retained permanently by the City Clerk and must be filed with County Auditor; GC §34090.7, 40802, 53901 Lead Dept. CW-017 City Attorney Opinions P P Yes
Mag,
Mfr, OD,
Ppr
S Department Preference; GC §34090
City Clerk CW-018 Claims
Copies -
When No
Longer
Required
(Upon
Settlement)
Copies -
When No
Longer
Required
(Upon
Settlement)
Yes: Before
Settlement
Mag,
Mfr, OD,
Ppr
S/I Yes: After Settlement
City Attorney is OFR for lawsuits; Risk Management administrates claim; GC §§34090.7, 34090.6 SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept. CW-019
Committees Internal - Attended by employees: All
Records (e.g. Records Management Committee, In-House Task Forces, etc.) 2 years 2 years Mag, Ppr GC §34090
Lead
(Responding)
Dept.
CW-020 Complaints / Concerns from Citizens
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
City preference; Statute ofLimitations for personal property, fraud, etc. is 3 years; Claims must be filed in 6 months; 340 et seq., 342, GC§34090 CW-021 Contracts: See AgreementsCW-022 Copies or duplicates of any record Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag Ppr GC §34090.7
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Dept. that
Authors
Document
or
Receives the
City's Original
Document
CW-023
Correspondence - ROUTINE
(Content relates in asubstantive way to theFRQGXFWRIWKHSXEOLF VEXVLQHVV
(e.g. Administrative, Chronological, General Files, Letters, Memorandums, Miscellaneous Reports, Press Releases, Public Records Requests, Reading File, Working Files, etc.) 2 years 2 years Mag, Ppr GC §34090
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Dept. that
Authors
Document
or
Receives the
City's Original
Document
CW-024
Correspondence -TRANSITORY / PRELIMINARY DRAFTS,Interagency and IntraagencyMemoranda not retained in the ordinary course of business&RQWHQW1276XEVWDQWLYHRU125PDGHRUUHWDLQHGIRUWKHSXUSRVHRISUHVHUYLQJWKHLQIRUPDWLRQDOFRQWHQWIRUIXWXUHUHIHUHQFH
HJFDOHQGDUVFKHFNOLVWVHPDLOinvitations, instant messaging, logs, mailing lists,meeting room registrations,staff videoconference chats, notes and recordings, supplyinventories, text messages,transmittal letters, thank yous,requests from other cities, undeliverable envelopes,visitors logs, voice mails, etc.) When No
Longer
Required
When No
Longer
Required
Mag,
Ppr
(OHFWURQLFDQGSDSHUUHFRUGVDUHFDWHJRUL]HGILOHGDQGUHWDLQHGEDVHGXSRQWKH&217(17RIWKHUHFRUGV5HFRUGVZKHUHHLWKHUWKH&RQWHQWUHODWHVLQDVXEVWDQWLYHZD\WRWKHFRQGXFWRIWKHSXEOLF VEXVLQHVVRU$5(PDGHRUUHWDLQHGIRUWKHSXUSRVHRISUHVHUYLQJWKHLQIRUPDWLRQDOFRQWHQWIRUIXWXUHUHIHUHQFHare saved outside the e-mail system by printing them outand placing them in a filefolder, or saving them electronically; If notmentioned here, consult the City Attorney to determine if arecord is consideredtransitory / preliminary drafts.GC§34090, GC §6252; 64 Ops.Cal. Atty. Gen. 317 (1981)); City of San Jose v. SuperiorCourt (Smith). S218066.
Supreme Court of California,
2017
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CW-025 Deeds, Easements, Final Orders of Condemnations (All) Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag,
Ppr
Send all originals to the City Clerk for permanent retention; GC §34090.7 Lead Dept. CW-026 Drafts & Notes: Drafts that are revised (retain final version) When No Longer Required When No Longer Required Mag, Ppr As long as the drafts and notes are not retained in the "Regular Course of Business". Consult the City Attorney to determine if a record is considered a draft. GC §34090, GC §6252 Lead Dept. CW-027
Facility Use Applications / Facility Use PermitsIncludes Insurance Certificates 2 years 2 years Mag, Ppr GC §34090
Lead Dept. CW-028 FEMA Reimbursements 10 years 10 years Mag,
Mfr, OD,
Ppr
S / I
Yes:
When
Inactive
Department preference to allow for FEMA audits (up to 6 years & 3 months from the date of the final inspection report); Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report or final payment of grantee or subgrantee; statewide guidelines propose 4 years; (Also See Grants on Citywide); GC §34090 et seq.
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-9 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept. CW-029
GIS Database / Data / Layers (both City-wide and Specialized) When No
Longer
Required
When No
Longer
Required
Yes Mag
The Lead Department should print out historical documents (or save source data) prior to replacing the data, if they require the data or output for historical purposes; Department Preference (Preliminary documents); GC §34090 et seq.
Lead Dept. CW-030 Grants (UNSUCCESSFUL Applications, Correspondence) 2 years 2 years Mag, Ppr GC §34090 SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-10 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept. CW-031
Grants / Reimbursable Claims /FEMA or OES Reimbursement Claims / Subventions(SUCCESSFUL Reports, other records required to pass the funding agency's audit, ifrequired)Applications (successful),program rules, regulations &procedures, reports to grantfunding agencies,correspondence, audit records, completion records 2 years
After
Funding
Agency
Audit, if
Required -
Minimum 5
years
After Funding
Agency Audit,
if required -
Minimum 5
years
Mag,
Ppr
Meets auditing standards; Grants covered by aConsolidated Action Plan arerequired for 5 years; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report or final payment of grantee or subgrantee; statewide guidelines propose 4years; 2 CFR 200.334; 24 CFR 91.105(h), 92.505, 570.490, & 570.502(a), 29CFR 97.42; OMB Circular A-110 & A-133;GC §34090; GC §8546.7
City Clerk CW-032 Lawsuits, Litigation, Pending Litigation Copies -
When No
Longer
Required
(Upon
Settlement)
Copies -
When No
Longer
Required
(Upon
Settlement)
Yes: Before
Settlement
Mag,
Mfr, OD,
Ppr
S/I Yes: After Settlement Risk Management administrates claim; GC §§34090.7, 34090.6 City Clerk CW-033 Minutes - City Council
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Yes (all)
Mag,
Mfr, OD,
Ppr
S No
Originals maintained by City Clerk Permanently; GC §34090.7 SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-11 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept. CW-034
MSDS / Material Safety DataSheet / SDS / Safety DataSheet / Chemical Use ReportForm (or records of the chemical / substance / agent, where & when it was used) 30 years 30 years
Mag,
Mfr, OD,
Ppr
S Yes (after inactive)
Previous MSDS / SDS may be
obtained from a service; MSDS
may be destroyed as long as
a record of the chemical /
substance / agent, where &
when it was used is
maintained for 30 years;Applies to qualified employers;8 CCR3204(d)(1)(B)(2 and 3), 29CFR 910.1020(d)(1)(ii)(B), GC §34090
City Clerk CW-035 Municipal Code (these are copies)
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Yes: Current
Original
Mag,
Mfr, OD,
Ppr
I No
Return any whole unused codes to the City Clerk; Originals maintained by City Clerk Permanently; GC §34090 Lead Dept. CW-036 Newspaper Clippings
When No
Longer
Required
When No
Longer
Required
Ppr
Non-records - may be obtained from the newspaper company; GC §34090 Staffing Dept. CW-037
Notices: Public Hearing Notices and Proofs of Publications 2 years 2 years Mag, Ppr
Statute of Limitations on Municipal Government actions is 3 - 6 months; CCP§337 et seq; GC §34090 City Clerk CW-038 Ordinances - City Council
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Yes (all)
Mag,
Mfr, OD,
Ppr
S No Originals maintained by City Clerk Permanently; GC §34090 SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-12 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Human
Resources CW-039
Personnel Files (Reference Copies)(When an employee transfers to a different department, the file should be shredded after ensuring all originals have been sent to Human Resources) Upon
Separation,
Return to
Human
Resources
Upon
Separation,
Return to
Human
Resources
Before
Separation
Mag,
Ppr
Preliminary drafts; Ensurerecords kept in Department files comply with City policy (all originals are sent to Human Resources); GC §34090.7 Lead Dept. CW-040 Personnel Files (Supervisor's Notes) 1 year (After Incorp. In Evaluation) 1 year (After Incorp. In Evaluation) Before Annual Performance Evaluation Mag, Ppr Notes maintained in a separate folder to be incorporated into performance evaluation, or to document progressive discipline; GC §34090 et seq.
Lead Dept. CW-041 Personnel Work Schedules 2 years 2 years Mag, Ppr GC §34090 Lead Dept. CW-042 Public Records Act Requests 2 years 2 years Mag, Ppr GC §34090Lead Dept. CW-043 Public Relations / Press Releases 2 years 2 years Mag, Ppr GC §34090 Lead Dept.
(Who Ordered
the Appraisal)
CW-044
Real Estate Appraisal Reports (Acquisition or Sale): Property NOT purchased, Loans not funded, etc. 2 years 2 years Mag, Ppr Not accessible to the public; Statewide Guidelines show 2 years; GC §§34090, 6254(h) SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-13 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept.
(Who Ordered
the Appraisal)
CW-045
Real Estate Appraisal Reports (Acquisition or Sale): Purchased Property, Funded Loans 2 years
When No
Longer
Required -
Minimum 3
years
When No
Longer
Required -
Minimum 5
years
Yes: Before
Purchase
Mag,
Mfr, OD,
Ppr
S Yes: After Inactive
Not accessible to the public until purchase has been completed; meets grantauditing requirements; 2 CFR200.334; 24 CFR 91.105(h),& 570.502(b); 29 CFR 97.42, GC §34090; GC §8546.7 City Clerk CW-046
Records Destruction Lists / Certificate of Records Destruction Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag,
Ppr
City Clerk to maintain originals for 10 years; GC §34090.7 Lead Dept. CW-047
Reference Materials: Policies, Procedures, Brochures, Manuals, Newsletters, & Reports: Produced by YOUR Department When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Statewide guidelines propose superseded + 2 or 5 years; GC §34090 Lead Dept. CW-048
Reference Materials: Policies, Procedures, Brochures, Manuals, Newsletters, & Reports: Produced by OTHER Departments When
Superseded
When
Superseded
Mag,
Ppr Copies; GC §34090.7
CW-049
Reference Materials: Policies, Procedures, Brochures, Manuals, Newsletters, & Reports: Produced byOUTSIDE ORGANIZATIONS (League of California Cities, Chamber of Commerce, etc.) When No
Longer
Required
When No
Longer
Required
Mag,
Ppr Non-Records
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-14 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CW-050 Reference or Working Files: See Correspondence
Lead Dept. CW-051
Reports and Studies (Historically significant - e.g., Zoning Studies) 10 years P P
Mag,
Mfr, OD,
Ppr
S/I Yes: After 10 years
Administratively and Historically significant, therefore retained permanently; GC §34090 Lead Dept. CW-052
Reports and Studies (other than Historically significant reports - e.g. Annual Reports) When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Department Preference; statewide guidelines propose 2 years; If historically significant, retain permanently; GC §34090 City Clerk CW-053 Resolutions - City Council
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Yes (all)
Mag,
Mfr, OD,
Ppr
S No
Originals maintained by City Clerk Permanently; GC §34090.7 Lead Dept. CW-054
Safety: OSHA Inspections & Citations, Log 200 and Log 300, 301, 301A 5 years 5 years Ppr
Calif. Labor Division is required to keep their records 7 years; OSHA requires 5 years; State law requires 2 years;8 CCR §3203(b)(1), 29 CFR 1904.33,OMB 1220-0029, 8 CCR14300.33; GC §34090; LC §6429c
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-15 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept. CW-055
Surveys / Questionnaires (that the City issues). If a summary of the data is compiled, the survey forms are considered a draft or transitory record, and can be destroyed as drafts (When No Longer Required) 2 years 2 years Mag, Ppr GC §34090
CW-056 Tapes: See Boards & Commissions
Finance /
Payroll CW-057
Time Sheets / Time Cards / Overtime Sheets / Overtime Cards Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag,
Mfr, OD,
Ppr
S No Originals maintained by Payroll for 5 years; GC §34090.7 SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-16 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dept. CW-058
Training - ALL COURSE RECORDS (Attendance Rosters, Outlinesand Materials; includes Ethics,Harassment Prevention, Safety training & Tailgate TrainingMeetings 2 years 5 years 7 years
Mag,
Mfr, OD,
Ppr
S Yes: When Inactive
Department preference; Ethics Training is 5 years; Statewideguidelines propose 7 years; Calif. Labor Division is required to keep their OSHA records 7years; EEOC/FLSA/ADEA (Age) requires 3 years for promotion, demotion, transfer, selection, or discharge; State Law requires 2 -3 years for personnel actions; 8 CCR §3203 et seq., 29 CFR1602.31 LC §6429(c); GC§§12946, 12960, 34090,53235.2(b); 53237.2(b) Lead Dept. (the
Department
that Purchases
the Vehicle)
CW-059 Vehicle & Equipment History Files
Disposal of
Vehicle or
Equipment +
2 years
Disposal of
Vehicle or
Equipment +
2 years
Mag,
Ppr
Department preference; If amotor carrier, required for 18 months after vehicle is sold; CHP requires life of vehicle; OSHA requires 1 year; 8 CCR§ 3203(b)(1); 49 CFR396.21(b)(1); 49 CFR 396.3(c);CCP §337 et. Seq., 13 CCR1234(f); GC §34090 Lead Dept.
(using the
vehicle or
equipment)
CW-060
Vehicle Safety Checks / Daily
Vehicle Inspections / Daily
Equipment Checks / Pre-Trip
Inspections
2 years 2 years Mag, Ppr 13 CCR 1234(c); GC §34090
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMINISTRATION Page AD-1 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ADMINISTRATION / EVENTS
Admin./
Events AD-001 Community Services CSEC (Plaza Use) 2 years 2 years Mag, Ppr GC §34090 Admin./
Events AD-002 Special Event Committee (SEC) - All Records 2 years 2 years Mag, Ppr GC §34090 Admin./
Events AD-003 Special Event Permits Expiration + 2 years Expiration + 2 years Yes: Before Event Mag, Ppr GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMINISTRATION Page AD-2 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
AFFORDABLE HOUSING / SENIOR HOUSING
Admin. /
Affordable
Housing
AD-004
Affordable Housing / Senior Housing Programs: Contracted Services Completion +
10 years
Completion +
10 years
Mag,
Mfr, OD,
Ppr
S / I Yes: When Inactive
Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC§34090 City Clerk AD-005
Affordable Housing / Senior Housing Programs: Homeownership Housing Projects (Anything with a Recapture / Resale Restrictions) 5 years after
the
Affordability
Period
Terminates,
or the Written
Agreement
Terminates,
Whichever is
Longer
5 years after
the
Affordability
Period
Terminates,
or the
Written
Agreement
Terminates,
Whichever is
Longer
Mag,
Mfr, OD,
Ppr
S / I Yes: When Inactive
HUD requires 5 years after the project completion; documents imposing recapture / resale restrictions are 5 years after the affordability period terminates; Uniform Admin. Requirements for Grants to Local Governments is 3 years fromexpenditure report; 2 CFR200.334; 24 CFR 85.42,92.508(a)(c)(2) & 570.502(b), 982.158, 884.214; 29 CFR
97.42, GC §34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMINISTRATION Page AD-3 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk AD-006
Affordable Housing / Senior Housing Programs: Rental Agreements Termination
+ 5 years
Termination
+ 5 years
Mag,
Mfr, OD,
Ppr
S / I Yes: When Inactive
HUD requires 5 years after the agreement terminates; Uniform Admin. Requirements for Grants to Local Governments is 3 years from expenditure report; 2 CFR 200.334; 24 CFR92.508(a)(c) & 570.502(b), 982.158, 884.214; 29 CFR 97.42, GC §34090 Admin. /
Affordable
Housing
AD-007
Affordable Housing Programs: Loans (Façade Improvements, Silent Second Mortgages, etc.)(No Recapture / Resale Restrictions) Loan Pay-off
+ 5 years
Loan Pay-off
+ 5 years
Mag,
Mfr, OD,
Ppr
S / I Yes: 1
year
HUD requires 5 years after the project completion; documents imposing recapture / resale restrictions are 5 years after the affordability period terminates; Uniform Admin. Requirements for Grants to Local Governments is 3 years fromexpenditure report; 2 CFR200.334; 24 CFR 85.42,92.508(a)(c)(2) & 570.502(b), 982.158, 884.214; 29 CFR
97.42, GC §34090
Admin. /
Affordable
Housing
AD-008 Applications for Loans / Silent Seconds, etc.: Rejected 2 years 2 years Mag, Ppr GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMINISTRATION Page AD-4 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk AD-009
Housing Programs: Homeownership Housing Projects
5 years
After the
Affordability
Period
Terminates,
or the Written
Agreement
Terminates,
Whichever is
Longer
5 years after
the
Affordability
Period
Terminates,
or the
Written
Agreement
Terminates,
Whichever is
Longer
Mag,
Mfr, OD,
Ppr
S / I Yes: When Inactive
HUD requires 5 years after the project completion; documents imposing recapture / resale restrictions are 5 years after the affordability period terminates; Uniform Admin. Requirements for Grants to Local Governments is 3 years fromexpenditure report; 2 CFR200.334; 24 CFR 92.508(a)(c)(2) & 570.502(b), 982.158,884.214; 29 CFR
97.42, GC §34090
Admin. /
Affordable
Housing
AD-018
Housing Successor Agency
Housing Assets Fund Report 5 years 5 years Mag, Ppr Department preference; GC §34090 Admin. /
Affordable
Housing
AD-010 Mobilehome Park Rent Stabilization PP Mag, Mfr, OD, Ppr S Yes Department Preference; GC §34090 et seq.
Admin. /
Affordable
Housing
AD-011 Relocation Files Settle + 1
year
Settle + 4
years
Settle + 5
years
Yes: Until
Settlement
Mag,
Mfr, OD,
Ppr
S Yes: After Inactive
Consistent with Claims; CCP §§ 337 et seq.; 24 CFR 92.508(a)©; GC §34090, 34090.6 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 6.0 RECORDS RETENTION SCHEDULE: ADMINISTRATION Page AD-5 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CEMETERY
County AD-012 Burial Permits 2 years 2 years Mag, Ppr Department Preference (sent to County); GC §34090 Admin. /
Cemetery AD-013 Cemetery Cards / Index (Internment Records) PP Mag, Mfr, OD, Ppr S / I Yes: 1 year No specific time period mentioned in law; HS §§8330, 8331 Admin. /
Cemetery AD-014 Cemetery Contracts P P
Mag,
Mfr, OD,
Ppr
S / I Yes: 1
year
No specific time period mentioned in law; HS §§8330, 8331
COMMUNITY DEVELOPMENT AGENCY
Admin / CDA AD-015
Economic Development (Issues and/or projects will vary over time - e.g. Proposed Hotels, etc.) When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Yes: While
Active
Issues
Mag, Ppr GC §34090
REDEVELOPMENT AGENCY / SUCCESSOR AGENCY
Planning AD-016
Environmental Determinations (Environmental Impact Reports (EIRs), Negative Declarations, etc.) Inside RDA boundaries Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag,
Mfr, OD,
Ppr
S Yes: After 2 years GC §34090.7
Admin /
Redevelopme
nt
AD-017 Redevelopment Project Files
Project
Completion +
5 years
Life of the
Project Area
Life of the
Project Area
Yes:
Before
Completion
Mag,
Mfr, OD,
Ppr
S No
Department Preference; City Manager Maintains originals of all documents that were presented to Council or RDA; GC §34090.7 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 5.0 RECORDS RETENTION SCHEDULE: BUILDING Page BLG-1 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
BUILDING
Building BL-001 Building Inspection Log P P
Mag,
Mfr, OD,
Ppr
S Yes: After QC Department preference; GC §34090
Building BL-003
Building Permit Applications and Documents Withdrawn or Not Issued When No
Longer
Required
When No
Longer
Required
Mag, Ppr Department preference; GC §34090
Building BL-002
Building Permit Applications where the Permit was Never Finalled "Address Files" P P Mag, Ppr
Department preference; Preliminary drafts not retained in the ordinary course of business; GC §34090 Building BL-004 Building Permit Database Indefinite Indefinite Yes (all) Mag Department Preference - Data is interrelated; GC §34090, H&S §19850 Building BL-005
Building Permits (All - Active & Archived)"Address Files" P P Yes (all)
Mag,
Mfr, OD,
Ppr
S Yes: After QC Statewide guidelines propose permanent; GC §34090, H&S §19850 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 5.0 RECORDS RETENTION SCHEDULE: BUILDING Page BLG-2 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Building BL-006
Building Plans and Construction Documents - Finalled - SINGLE FAMILY RESIDENTIAL - SFR and APPURTENANCES
P P Yes (all)
Mag,
Mfr, OD,
Ppr
S
Yes:
Finalled +
1 year
Department preference; plans are not required to be submitted for these projects,but if they are, the CBC requires they be retained for at least completion + 180 days;Statewide guidelines propose2 years for blueprints &specifications;H&S§19850; CBC §§104.7 &107.5, GC §34090 Building BL-007
Building Plans and Construction Documents - Finalled - INDUSTRIAL, COMMERCIAL, MULTI-FAMILY DWELLINGS, PLACES OF PUBLIC ACCOMMODATION, TENANT IMPROVEMENTS, PRODUCTION HOMES(includes commercial structural plans, Hazardous Materials Questionnaire, etc.) P P Yes (all)
Mag,
Mfr, OD,
Ppr
S Yes: After QC
Department Preference; Law requires for the life of the building for commercial only; Statewide guidelines propose 2years for blueprints &specifications; H&S§19850; CBC §§104.7 & 107.5 GC§34090 Building BL-008 Buildings Fee Record Sheets Issuance + 4 years Issuance + 4 years Mag, Ppr Department preference; GC §34090 Building BL-018
California Building Code (CBC) /
Uniform Building Codes /
Standardized Codes adopted by
resolution or ordinance
Minimum
When
Superseded
Minimum
When
Superseded
Mag, Ppr GC §50022.6
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 5.0 RECORDS RETENTION SCHEDULE: BUILDING Page BLG-3 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Building BL-009
Capital Improvement Projects (CIP) - City Buildings: Permanent FilePlans, Specifications, Successful Proposal, Professional Services Agreements, Change Orders, Materials Testing Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Soils Reports, Studies, Surveys, etc.
Upon
Completion PP Yes: Until Completed Mag, Mfr, OD, Ppr S/I Yes: After QC Department preference; retained for disaster preparedness purposes; Statewide guidelines propose Permanent for Infrastructure plans; GC §34090 Building BL-010
Capital Improvement Projects (CIP) -City Buildings: Administration File Project Administration, Certified Payrolls, Construction Manager's Logs, Daily Inspections, Insurance Certificates, Photos, Project Schedules, Progress meetings, Real Estate Appraisals, Submittals, etc.
Upon
Completion
10 years or
After
Funding
Agency
Audit, if
required,
whichever is
longer
Completion +
10 years or
After Funding
Agency Audit, if
required,
whichever is
longer
Yes: Until
Completed Mag, Ppr
Some grant funding agencies require audits; Statute of Limitations for Errors & Omissions is 10 years; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 5.0 RECORDS RETENTION SCHEDULE: BUILDING Page BLG-4 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Building BL-011
Capital Improvement Projects (CIP) -City Buildings: Construction Bonds Release of
Bond /
Security + 2
years
Release of
Bond /
Security + 2
years
Mag,
Mfr, OD,
Ppr
S No
Securities (Performance Bonds, Letters of Credit, CD's, etc.) are released after the Notice of Completion is issued and replaced with the Warranty Bond, which is released 1 year after the Notice of Completion date. GC §26202 Building BL-012
Code Enforcement / Abatement Case Files - BuildingPlaced in "Street Files" PP Yes: Until Resolution Mag, Ppr
Department preference; Case isopen until satisfactorily resolved (some cases are not resolved); City Clerk maintains original staff reports and resolutions thatare presented to Council; GC§34090 Building BL-013
Correction Notices / Inspection Notices(correction notices, compliance orders, stop work notices, etc.) Until Cleared
or Project
Completion
Until Cleared
or Project
Completion
Mag, Ppr
Preliminary drafts not retained in the ordinary course of business; GC §34090 et seq.
Building BL-014 Index to Building Permits P P Mag, Ppr Department preference; GC §34090Building BL-015 Reports: Building Activity (Dodge Reports, etc) When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag, Ppr
Preliminary drafts not retained in the ordinary course of business; GC §34090 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 5.0 RECORDS RETENTION SCHEDULE: BUILDING Page BLG-5 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Building BL-016
Requests & Permissions to Receive Copies of Plans (to and from Architects) 2 years 2 years Mag, Ppr GC §34090 et seq.
Building BL-017 Unreinforced Masonry Program (URM) P P Mag, Ppr Department preference; GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-1 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-001
Administrative Penalties / City Prosecutor / Municipal Code Violations 2 years 2 years Mag, Ppr GC §34090
City Clerk CC-002
Agenda Packets / Agendas / Staff ReportsIncludes Affidavit of Posting 2 years 2 years Yes: Until After Meeting Mag, Ppr The minutes are the permanent record; GC §34090 et seq.
City Clerk CC-003
Agreements & Contracts - ALL Non-InfrastructureAgreement or Contract includes all contractual obligations (e.g. Amendments, Scope of Work or Successful Proposal) & Insurance CertificatesExamples of NONInfrastructure: Consulting, disposal, franchises, housing, leases, legal services, loans, mutual aid, professional services, etc.
Completion 10 years Completion + 10 years Yes: Before Completion Mag, Mfr, OD, Ppr S/I Yes: Upon Completion Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-2 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-004
Agreements & Contracts - Infrastructure, DDAs, OPAs, MOUs, MOAsAgreement or Contract includes all contractual obligations (e.g. Amendments, Scope of Work or Successful Proposal) & Insurance CertificatesExamples of Infrastructure: Architects, Buildings, bridges, CalPERS, construction contracts, covenants, curb cuts, deferred improvement agreements, design/build, development, environmental, Joint Powers, MOUs, park improvements, property & property restrictions, redevelopment, reservoirs, sewers, sidewalks, street & alley improvements, subdivisions, utilities, water, etc.
Completion P P Yes: Before Completion Mag, Mfr, OD, Ppr S Yes: Upon Completion
Department Preference; All infrastructure, JPAs, & Mutual Aid contracts should be permanent for emergency preparedness; Statute of Limitations is 4 years; 10 years for Errors & Omissions; land records are permanent by law; CCP §§337. 337.1(a), 337.15, 343; GC §34090, Contractor has retention requirements in 48 CFR 4.703 City Clerk CC-005 Applications - Street Use and Alcohol Permits 2 years 2 years Mag, Ppr GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-3 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-006
Audit Reports / AnnualComprehensive Financial
Report (ACFR)
and related
Audit Opinions
PP Mag, Mfr, OD, Ppr S / I Yes: After 1 year Department Preference; (meets municipal government auditing standards); GC §34090 City Clerk CC-007
Boards, Commissions or Committees (Applications for Appointed Members) PP Mag, Mfr, OD, Ppr
S Yes: After 5
years
Department preference; GC §34090
City Clerk CC-008
Boards, Commissions or Committees (Applications for those Not appointed) 2 years 2 years Mag, Ppr GC §34090
City Clerk CC-009 Budgets - Adopted / Final P P Yes: Current Fiscal Year Mag, Mfr, OD, Ppr S / I Yes: After 1 year Department Preference; Must be filed with County Auditor; GC §34090.7, 40802, 53901City Clerk CC-010 Claims & Litigation Final Resolution 5 years Final Resolution + 5 years Yes: Until Resolution Mag, Mfr, OD, Ppr S Yes: After 5
years
Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§911.2, 34090, 34090.6; PC §832.5 City Clerk CC-011 Committee Rosters / Maddy Act List 2 years 2 years Mag, Ppr GC §34090City Clerk CC-012 Correspondence: City Clerk(incoming & outgoing)
2 years 2 years Mag, Ppr GC §34090
City Clerk CC-013
Correspondence: City Council, City Manager(incoming & outgoing) 5 years 5 years Mag, Ppr Department preference; GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-4 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-014
Deeds, Easements, Real Property, Dedications, Orders of CondemnationIncludes Title Insurance / Title Reports 2 years P P Mag, Mfr, OD, Ppr S / I No GC §34090
City Clerk CC-015
Economic Interest Filings (FPPC 700 Series Forms - Statement of Economic Interests): DESIGNATED EMPLOYEES (specified in the City's Conflict of Interest code) 2 years 5 years 7 years Ppr City maintains original statements; GC §81009(e)(g) City Clerk CC-016
Economic Interest Filings (FPPC 700 Series Forms - Statement of Economic Interests): PUBLIC OFFICIALS (Elected. Includes City Council Members, Planning Commission Members, City Manager, City Treasurer & City Attorney - "87200 filers") 4 years 4 years Ppr
Department Preference; City maintains copies only; original statements are filed with FPPC; GC §81009(f)(g) City Clerk CC-017
Economic Interest Filings(FPPC Form 602 / 635) - Lobbyist Authorization / Reporting 2 years 3 years 5 years Mag, Mfr, OD, Ppr S After 2 years 2 CCR 18615(d); GC §34090 City Clerk CC-018 FPPC Form 801 (Gift to Agency Report) 7 years 7 years Mag, Ppr Must post on website; GC §81009(e)&(g) SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-5 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-060
FPPC Form 802 (Event Ticket
Report) 7 years 7 years Mag, Ppr Should post on website for 4 years; GC §81009(e) City Clerk CC-061 FPPC Form 803 (Behested Payment Report) 7 years 7 years Mag, Ppr GC §81009(e)&(g)City Clerk CC-062 FPPC Form 804 (AgencyReport of New Positions) P P Mag, Ppr Must be retained same period of time as the Conflict ofInterest Code, which is adoptedby Resolution; 2 CCR 1873c City Clerk CC-063
FPPC Form 805 (Agency
Report of Consultants) P P Mag, Ppr
Must be retained same period of time as the Conflict ofInterest Code, which is adoptedby Resolution; 2 CCR 1873c City Clerk CC-064
FPPC Form 806 (Agency
Report of Public Official
Appointments)
7 years 7 years Mag, Ppr
Must post on website; GC§81009e&(g); 2 CCR18702.5(b)(3) SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-6 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ELECTIONS - CONSOLIDATED
City Clerk CC-019
Campaign Statements (FPPC400 Series Forms & Form501): SUCCESSFULCANDIDATES (Elected Officials) 2 years P P Mag, Mfr, OD, Ppr
S Yes: After 2
years
Paper must be retained for at least 2 years; GC §81009(b)(g) City Clerk CC-020
Campaign Statements (FPPC400 Series Forms & Form501): UNSUCCESSFULCANDIDATES 5 years 5 years Mag, Mfr, OD, Ppr
S Yes: After 2
years
Paper must be retained for at least 2 years; GC §81009(b)(g) City Clerk CC-021
Campaign Statements (FPPC 400 Series Forms): THOSE NOT REQUIRED TO FILE ORIGINAL WITH CITY CLERK (copies) 4 years 4 years Mag, Ppr Paper must be retained for at least 2 years; GC §81009(f)(g) City Clerk CC-022
Campaign Statements (FPPC 400 Series Forms): OTHER COMMITTEES (PACS - not candidate-controlled) 7 years 7 years Mag, Ppr Paper must be retained for at least 2 years; GC §81009(c)(g) City Clerk CC-023
Candidate File: Nomination Papers, Candidate Statements, etc. - SUCCESSFUL CANDIDATES Term of Office
+ 4 years
Term of
Office + 4
years
Mag, Ppr
Department Preference; Statewide guidelines proposes 4 years for successful candidates, 2 years for unsuccessful; CA law states term of office and 4 years after the expiration of term and does not delineate between the two; EC §17100 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-7 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-024
Candidate File: Nomination Papers, Candidate Statements, etc. - UNSUCCESSFUL CANDIDATES Election + 4
years
Election + 4
years Mag, Ppr
Statewide guidelines proposes 4 years for successful candidates, 2 years for unsuccessful; CA law states term of office and 4 years after the expiration of term and does not delineate between the two; EC §17100 City Clerk CC-025
Elections - HISTORICAL (Sample ballot, copies of resolutions, final results) 2 years P P Mag, Mfr, OD, Ppr S No Retained for Historical Value, GC §34090 City Clerk CC-026
Elections - GENERAL, WORKING orADMINISTRATION Files (Correspondence, Precinct Maps, Applications forvacancies on the Council,County Election Services, Candidate Statements to beprinted in the Sample Ballot, Sample Ballot, etc.) 2 years 2 years Mag, Ppr GC §34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-8 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-027 Elections - Petitions (Initiative, Recall or Referendum) Results + 8
months or
Final
Examination if
No Election +
1 year after
petition
examination if
petition is
insufficient
Results + 8
months or
Final
Examination
if No Election
+ 1 year
after petition
examination
if petition is
insufficient
Ppr
Not accessible to the public; The 8 month retention applies after election results, or final examination if no election, unless there is a legal or FPPC proceeding. EC §§17200(b)(3),17400 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-9 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ELECTIONS - STAND-ALONE (In the event the County does not conduct the City's election) City Clerk CC-028
Vote-by-MailApplications, Roster of Absentee Applications Election +
6 mo.
Election +
6 mo. Ppr EC §17505
City Clerk CC-029 Vote-by-Mail Identification Envelopes Election + 6 mo. Election + 6 mo. Ppr EC §17302City Clerk CC-030 Assessment District Ballots and/or protest letters - Prop. 218 proceedings 2 years 2 years
Ppr
GC §53753(e)(2)
City Clerk CC-031 Ballots - After Election Election + 6 mo. Election + 6 mo. Ppr EC §17302City Clerk CC-032 Ballots - After Recount Election + 6 mo. Election + 6 mo. Ppr EC §17306City Clerk CC-033 Challenged & Assisted Voters List Election + 6 mo. Election + 6 mo. Ppr If uncontested, EC §17304 City Clerk CC-034 Inspector Receipts for Ballots Election + 6 mo. Election + 6 mo. Ppr EC 17302, 17306City Clerk CC-035 Precinct Officer Appointments Election + 6 mo. Election + 6 mo. Ppr EC §17503City Clerk CC-036 Roster of Voters Election + 5 years Election + 5 years Mag, Mfr, OD, Ppr EC §17300City Clerk CC-037 Tally Sheets Election + 6 mo. Election + 6 mo. Ppr EC §17304City Clerk CC-038 Voter Index Copies used as the Voting Record at Polling Places Election +
6 mo.
Election +
6 mo. Ppr EC §17304
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-10 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-039 Voter Index Original Election + 5 years Election + 5 years Ppr EC §17001 (End of Elections Section)
City Clerk CC-065 Enterprise System Catalogue (posted on line) 2 years 2 years Mag GC §34090City Clerk CC-040 Ethics Training Certificates 5 years 5 years Mag, Mfr, OD, Ppr S Yes: When Inactive GC §§34090, 53235.2(b)
Lead Dept. CC-041
General Subject Files - If Not Mentioned ElsewhereThe Lead Department is OFR(The retention is applied based upon the content of the record, not the subject of the record.) When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag, Ppr Department preference; GC §34090
City Clerk CC-042 Grand Jury Reports (Pertaining to City Operations) 5 years 5 years Ppr Department preference (matches the retention of the Grand Jury); GC §34090City Clerk CC-043 Historical Records(e.g. Articles of Incorporation, City Seal, Awards of significant historical interest, Historical Resources Survey, Scrapbooks, Documents in the Safe, etc.) PP Mag, Mfr, OD, Ppr S No
City Clerk determines historical significance; records can address a variety of subjects and media; GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-11 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-044
Insurance Policies - Cityowned General Liability Policies PP Mag, Mfr, OD, Ppr
S Yes: After 5
years
Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§911.2, 34090, 34090.6; PC §832.5 City Clerk CC-045
Insurance Policies - Cityowned Property (Fire, Theft, etc.) Policies Completion +
5 years
Completion +
5 years
Mag, Mfr,
OD, Ppr
S Yes: After 5
years
Department Preference; Covers various statute oflimitations; CCP §§ 337 et seq.; GC §§ 911.2, 34090,34090.6; PC §832.5 City Clerk CC-046 Legal Advertising / Proof of Publication 2 years 2 years Mag, Ppr GC §34090City Clerk CC-047 Minutes (City Council, Community Development Agency, Community Redevelopment Agency /Successor Agency / Oversight Board, Joint Powers FinancingAuthority)
10 years P P Yes (all) Mag, Mfr, OD, Ppr S No GC §34090 City Clerk CC-048
Municipal Code Administration, Distribution, etc.
When No
Longer
Required
When No
Longer
Required Mag, Ppr
Preliminary Drafts not retained
in the ordinary course ofbusiness / Content NotSubstantive; GC § 34090 City Clerk CC-049
Municipal Code and History File (always retain 1 supplement) PP Mag, Mfr, OD, Ppr S No GC §34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-12 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-050 Oaths of Office: Elected and appointed officials 2 years Separation + 6 years Separation + 6 years Mag, Mfr, OD, Ppr S Yes: When Inactive
Statute of Limitations: Public official misconduct is discovery of offense + 4 years, retirement benefits is 6 years from last action; statewide guidelines propose Termination + 6 years; GC §§36507, 34090; PC §§801.5, 803(c); 29 USC 1113 City Clerk CC-051 Ordinances (City Council, Joint Powers Financing Authority) P P Yes (all) Mag, Mfr, OD, Ppr S No GC §34090 et. seq.City Clerk CC-052 Petitions (submitted to Council on any subject - Dog Parks, Parking, Traffic Calming, etc.)See Elections for Initiative, Recall or Referendum Petitions When No
Longer
Required -
Minimum 1
year
When No
Longer
Required -
Minimum 1
year
Ppr Law requires 1 year for petitions; GC §50115
City Clerk CC-053
Proclamations / Commendations / Certificates / Recognitions (includes requests) 2 years 2 years Mag, Ppr GC §34090
City Clerk CC-054
Recordings / DVD-R of City Council Meetings - Video Recordings / DVD-R or VCR (ALL) 6 months 6 months (Mag)
Video recording of meetings are only required for 90 days; GC §§34090.7, 60201 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-13 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-055
Recordings / Tapes of City Council Meetings - Audio Recordings / Tapes or DVDs - 1 year 1 year (Mag)
Department preference; State law only requires for 30 days; GC §54953.5(b) City Clerk CC-056
Records Destruction Lists / Certificates of Records Destruction 10 years 10 years Mag, Mfr, OD, Ppr S Yes: 2 years Department Preference; GC §34090 et. seq.
City Clerk CC-057 Records Retention Schedules 10 years P P Mag, Mfr, OD, Ppr I GC §34090 et. seq.City Clerk CC-058 Resolutions (City Council, Community Development Agency, Community Redevelopment Agency / Successor Agency / Oversight Board, Joint Powers FinancingAuthority)
P P Yes (all) Mag, Mfr, OD, Ppr S No GC §34090 et. seq.
City Clerk CC-066
Secretary of State Statementof Facts / Registry of PublicAgencies 2 years 2 years Mag, Ppr GC §34090
City Clerk CC-059 Vehicle Titles ("Pink Slips") Sale or Disposal Sale or Disposal Ppr Given to Auction House / New Owner; GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reservedDo not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 4.0 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-1 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY MANAGER
City
Manager CM-001 City Manager Reports to Council 2 years 2 years Mag, Ppr GC §34090 City
Manager CM-002
Correspondence Written By City Manager (and not provided to the City Clerk for retention) 2 years 2 years Mag, Ppr GC §34090
City
Manager CM-003
Projects, Programs, Subject & Issues (Issues and/or projects will vary over time - e.g. Hotels, Developments, etc.) When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Yes: While
Active
Issues
Mag, Mfr,
OD, Ppr
S Yes: After QC Department preference; GC §34090
City
Manager CM-004 Speeches / PowerPoint Presentations When No Longer Required When No Longer Required Mag, Ppr Notes, drafts, or preliminary documents; GC §34090 et seq.
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-1
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
FINANCE / ACCOUNTING & TREASURER
Finance /
Accounting FIN-001
1099's Issued / W-9s / 1096,
DE542 (California Report of
Independent Contractors), etc.
7 years 7 years Mag, Ppr
May contain independent
contractor's compensation,
expense reimbursement, or
District credit card records;
Meets municipal government
auditing standards; IRS: 4 years
after tax is due or paid (longer
for auditing & contractor
delinquency); GC §60201(d)(12)
Ca. FTB: 3 years; 26 CFR
§31.6001-1(e)(2), R&T §19530,
GC §34090; 29 USC 436
Finance /
Accounting FIN-002
Accounts Payable / Invoices and
Backup / "Claims"
(Includes Invoices, Travel
Expense Reimbursements,
Warrant Request, etc.)
2 years 5 years 7 years Yes: Until
Paid
Mag, Mfr,
OD, Ppr S / I Yes: After 1 year
Yes; QC
May contain independent
contractor's compensation,
expense reimbursement, or
District credit card records;
Meets municipal government
auditing standards; GC
§60201(d)(12), GC §34090
Finance /
Accounting FIN-003
Accounts Receivable: Transient
Occupancy Tax (TOT), Property
Management, Damage to Public
Property, Invoices to Outside
Entities, etc.
2 years 3 years 5 years Yes: Until
Paid
Processed
Mag, Ppr
Department Preference; (meets
municipal government auditing
standards); Statewide guidelines
propose audit + 4 years; GC
§34090
Finance /
Accounting FIN-004 Assessment Districts - Financial Documents 2 years 3 years 5 years Yes: Until Paid Mag, Ppr Department Preference; (meets
municipal government auditing
standards); GC §34090
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-2
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk FIN-005
Audit Reports / Audited Financial
Statements CAFR -
Comprehensive Annual Financial
Reports and
related Audit Opinions
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag Ppr GC §34090.7
Finance /
Accounting FIN-006 Audit Work Papers 2 years 3 years 5 years After Audit
Mag, Ppr
Department Preference; (meets
municipal government auditing
standards); GC §34090
Finance /
Accounting FIN-007
Bank and Trustee Statements,
Outstanding Check Lists, Daily
Cash Summaries, Bank Deposits,
Bank Transmittal Advice,
Cashier's Reports
2 years 3 years 5 years
After Audit
Mag, Ppr
Department Preference;
Published articles show 3 - 4
years; GC §34090, 26 CFR
31.6001-1
Finance /
Accounting FIN-008
Bonds: Debt Official Statements
/ Certificates of Participations
(COPs) See Bank Statements for
statement retention.
Both City and RDA
Fully
Defeased
Cancellat.,
Redemption
or Maturity
10 years
Fully
Defeased
Cancellat.,
Redemption
Yes: Until
Maturity Mag, Ppr
Department Preference; Statute
of Limitations for bonds,
mortgages, trust deeds, notes or
debentures is 6 years; Bonds
issued by local governments are
10 years; There are specific
requirements for disposal of
unused bonds; CCP §§336(a)(1)
or Maturity +
10 years
& (2), 337.5(a); 26 CFR 1.6001-
1(e): GC §43900 et seq.
City Clerk FIN-009 Budgets - Adopted / Final
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Yes:
Current
Fiscal Year
Mag Ppr GC §34090.7
Finance /
Accounting FIN-010 Budgets - Preliminary, Backup Documents When No
Longer
Required
When No
Longer
Required
Yes:
Current
Fiscal Year
Mag, Ppr Preliminary Documents; GC
§34090 et seq.
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-3
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Accounting FIN-011 Business License Applications,Licenses and Renewals 2 years 3 years 5 years Ppr, Mag Meets auditing standards; GC§34090 et seq.
Finance /
Accounting FIN-012 Checks / Warrant Register Report (issued) 2 years 5 years 7 years Mag, Mfr, OD, Ppr S Yes: After
QC
Department Preference; GC
§34090
Finance /
Accounting FIN-013 Checks / Warrants (Cashed) 2 years 5 years 7 years Mag, Mfr, OD, Ppr S Yes: After
QC
Department Preference; meets
municipal government auditing
standards; May contain
independent contractor's
compensation, expense
reimbursement, or District credit
card records; Meets municipal
government auditing standards;
GC §60201(d)(12), 34090, CCP
§ 337
Finance /
Accounting FIN-014
Escheat (Unclaimed money /
uncashed checks) 2 years 3 years 5 years Mag, Ppr
Department preference; All
tangible property held by
government agencies escheats
after 3 years; Statute of
Limitations is 1 year for seized
property; Meets auditing
requirements; CCP §§340(d),
1519; GC §34090
Finance /
Accounting FIN-015 Financial Services Database
(MOMS Springbrook)
Indefinite Indefinite Yes Mag Data Fields / Records are interrelated; GC §34090
Finance /
Accounting FIN-016 Fixed Assets - Annual Listing (Source Documents) 5 years 5 years Mag, Mfr, OD, Ppr S / I Yes: After 1 year Includes permanent assets (for
compliance with GASB 34); GC
§34090
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-4
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Accounting FIN-017
General Ledger: Final year-end
(Revenue & Expenses, Assets &
Liabilities)
When No
Longer
Required
When No
Longer
Required
Mag, Ppr
Transitory records not retained
in the ordinary course of
business Financial system
qualifies as a trusted system and
can re-create reports accurately;
statewide guidelines propose 2
years; GC §34090
Lead Dept. FIN-018
Grants / Reimbursable Claims /
Subventions - FINANCIAL
RECORDS
2 years
After
Funding
Agency
Audit, if
Required -
Minimum 5
years
After
Funding
Agency
Audit, if
required -
Minimum 5
years
Mag, Ppr
Meets auditing standards;
Grants covered by a
Consolidated Action Plan are
required for 5 years; Uniform
Admin. Requirements for Grants
to Local Governments is 3 years
from expenditure report or final
payment of grantee or
subgrantee; statewide guidelines
propose 4 years; 2 CFR
200.334; 7 CFR 3016.42; 21
CFR 1403.36 & 1403.42(b); 24
CFR 85.42, 91.105(h), 92.505,
570.490, & 570.502(a&b), 28
CFR 66.42; 29 CFR 97.42; 40
CFR 31.42; 44 CFR 13.42; 45
CFR 92.42; OMB Circular A-110
& A-133; GC §34090
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-5
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Accounting FIN-019
Investments / Arbitrage /
Certificates of Deposit (CDs) /
Advisor Reports and Statements /
Trade Tickets / LAIF (Local
Agency Investment Fund))
5 years 5 years Yes: Until
Paid Mag, Ppr
Yes; QC
Department Preference; Meets
auditing standards; Published
articles show disposal + 7 years
for security brokerage slips;
statewide guidelines propose
permanent; FTC Reg's rely on
"self-enforcement";
GC§§ 34090, 43900
Finance /
Accounting FIN-020
Journal Entries / Journal
Vouchers / Budget Adjustments /
Transfers
2 years 5 years 7 years Mag, Mfr,
OD, Ppr S / I Yes: After 1 year QC
Department Preference; meets
municipal government auditing
standards; Statute of Limitations
is 4 years; statewide guidelines
propose Audit + 5 years; GC
§34090, CCP § 337
Finance /
Accounting FIN-021
Reports, Subsidiary Ledgers,
Reconciliations, Registers,
Transaction Histories, Balance
Sheets, Proof & Merge Reports,
etc. (MONTHLY OR PERIODIC)
Does NOT include year-end
General Ledger.
When No
Longer
Required
When No
Longer
Required
Mag, Ppr
Transitory records not retained
in the ordinary course of
business Financial system
qualifies as a trusted system and
can re-create reports accurately;
statewide guidelines propose 2
years; GC §34090
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-6
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Accounting FIN-022
Reports: Annual State or
Federal: State Controller's
Report, Street Report, Local
Government Compensation
Report, Property Management
Plan, Obligation Payment
Schedules, Due Diligence
Reviews, Gas Tax, MOE
(Maintenance of Effort) Report,
Fixed Charge Special
Assessment Report, Public Self
Insurer Report (SIP Report), etc.
5 years 5 years Mag, Ppr
Yes; After QC Department Preference; Meets
auditing standards; GC §34090
Finance /
Accounting FIN-023
Revenue: Accounts Receivable:
Daily Envelopes / Cash Receipts
/ Petty Cash / Revenue Daily
Receipt Books, etc.
2 years 3 years 5 years Yes: Until
Paid
Mag, Mfr,
OD, Ppr S / I Yes: After 1 year
Department Preference; (meets
municipal government auditing
standards); Statewide guidelines
propose audit + 4 years;
Published articles show 3 - 7
years; GC §34090
Finance /
Accounting FIN-024 Single Audits / Transportation Audits / PERS Audit, et. 5 years 5 years Mag, Mfr, OD, Ppr S / I Yes: After 1 year Department Preference (meets
municipal government auditing
standards); GC §34090
City Clerk FIN-025 Treasurer's Reports / Quarterly
Budget Reports (to Council)
Copies -
When No
Longer
Require
Copies -
When No
Longer
Required
Mag, Ppr Copies; GC §34090.7
Finance /
Accounting FIN-025.1 W-9's
Vendor
Inactive + 3
years
Vendor
Inactive + 3
years
Mag, Mfr,
OD, Ppr S / I Yes: After 1year
Meets IRS auditing standards;
GC §34090
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-7
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PAYROLL
Payroll FIN-026 CalPERS Reports organizations
held for a period of twenty-two
thousand years ahead of the twothousand years
2 years 3 years 5 years Mag, Mfr,
OD, Ppr S
Yes: After 2
years
Department Preference; GC
§34090
Payroll FIN-027
DE-6, DE-7, DE-9 DE-43, W-3, &
DE-166, 941 Forms, IRS 5500
Forms (Employee Benefit Plans),
PERS / FICA & Medicare
Adjustments - Quarterly Payroll
Tax Returns / OASDI, Federal
Tax Deposits, Adjustments, etc.
2 years 3 years 5 years Mag, Ppr
Department Preference; IRS: 4
yrs after tax is due or paid; Ca.
FTB: 3 years; Articles show 7
years; IRS Reg §31.6001-
1(e)(2), R&T §19530; 29CFR
516.5 - 516.6, 29 USC 436, GC
§34090
Payroll FIN-028 Deferred Compensation (City
Statements) 2 years 3 years 5 years Mag, Ppr
Produced by Deferred Comp.
Provider; consistent with
proposed statewide guidelines;
published articles for bank
statements show 4 -7 years; GC
§304090, 26 CFR 16001.1
Payroll FIN-029
Payroll Reports / Payroll Journals
(includes Leave Registers, time
Transaction Reports, etc.) -
Quarterly & Periodic Reports
2 years 3 years 5 years Mag, Ppr
Department preference; PERS
Buy-backs are reconstructed
through Human Resources;
Transitory records not retained
in the ordinary course of
business Financial system
qualifies as a trusted system and
can re-create reports accurately;
statewide guidelines propose 2
years; GC §34090
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-8
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Payroll FIN-030
Time Sheets / Time Cards /
Overtime Sheets / Overtime
Cards
2 years 3 years 5 years Mag, Mfr,
OD, Ppr S
Yes: After
QC
Department preference; Meets
auditing standards (audit + 4
years); IRS requires 4 years; Ca.
requires 2 yr min.; FTB keeps 3
years; Published articles show 4 -
10 years; 26 CFR §31.6001-
1(e)(2), R&T §19530; LC §
1174(d); 29 CFR 516.5 &
516.6(c); GC §34090
Payroll FIN-031 W-2's and Year-End W-2 Report 2 years 5 years 7 years Mag, Ppr Department Preference; IRS: 4
yrs after tax is due or paid; Ca.
FTB: 3 years; Articles show 7
years; 26 CFR §31.6001-1(e)(2),
R&T §19530; 29CFR 516.5 -
516.6, 29USC 436, GC §34090,
60201(12)
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Page FIN-9
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
FINANCE / UTILITY BILLING
Finance /
Utility
Billing
FIN-032 Billing Registers
When No
Longer
Required
When No
Longer
Required
Mag, Ppr
Transitory records not retained
in the ordinary course of
business Financial system
qualifies as a trusted system and
can re-create reports accurately;
statewide guidelines propose 2
years; GC §34090
Finance /
Utility
Billing
FIN-033 Collection Agency Assignments /
Unpaid Accounts 7 years 7 years Mag, Ppr
Department Preference;
Negative credit information
remains on credit reports for 7 -
10 years; Meets auditing
standards; City does not Lien
property (Liens are good for 10
years from recording date, and
may be extended by rerecording lien); WC 36729; GC
§34090
Public
Works /
Water Dist.
FIN-034 Leak Letters
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Yes: Until
Paid
Mag, Mfr,
OD, Ppr S / I Yes: After 1 year QC GC §34090.7
Public
Works /
Water Dist.
FIN-035 Meter Changes
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag, Mfr,
OD, Ppr S / I Yes: After 1 year QC GC §34090.7
Public
Works /
Water Dist.
FIN-036 Meter Installation Reports
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag, Mfr,
OD, Ppr S / I Yes: After 1 year QC GC §34090.7
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Fire District
Page FIN-10
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Utility
Billing
FIN-037
Payment Stubs / Water Receipts
/ Utility Receipts (when payment
is submitted)
After Audit is
Complete
After Audit is
Complete Mag, Ppr Preliminary Documents; GC§34090 et seq.
Finance /
Utility
Billing
FIN-038 Reports / Meter Reading Reports 2 years 3 years 5 years Mag, Ppr Department preference (meets
municipal government auditing
standards); GC §34090 et seq.
Finance /
Utility
Billing
FIN-039 Utility Bills 5 years 5 years Yes: Until
Paid
Mag, Mfr,
OD, Ppr S / I Yes: After 1 year
Department Preference; (meets
municipal government auditing
standards); Statewide guidelines
propose audit + 4 years;
Published articles show 3 - 7
years; GC §34090
Public
Works /
Water
Dist.
FIN-040
Work Orders / Service Requests
(Division providing service retains
originals; Division requesting
service is considered a copy)
5 years 5 years Mag, Ppr GC §34090.7
Finance /
Utility
Billing
FIN-041
Water Billing: Appeals - Payment
Delinquency & Impending
Discontinuation
Final
Decision + 2
Mag,
Ppr, Mfr,
OD
S
Yes: After
QC & OD
Documented or attached to
Customer Record in database
years GC §34090; H&S §116908
Finance /
Utility
Billing
FIN-042
Water Billing: Non-payment
Notices / Notice of Payment
Delinquency & Impending
Discontinuation (Initial, Final)
When No
Longer
Required
Mag,
Ppr, Mfr,
OD
S
Yes: After
QC & OD
Documented or attached to
Customer Record in database
GC §34090; H&S §116908
Finance /
Utility
Billing
FIN-043
Water Billing: NSF Checks /
Adjustments to Customer
accounts
When No
Longer
Required
Mag,
Ppr, Mfr,
OD
S
Yes: After
QC & OD
Documented or attached to
Customer Record in database
GC §34090; H&S §116908
Finance /
Utility
Billing
FIN-044
Water Billing: Payment Plans:
Amortization, Alternative
Payment Plans, Deferrals, etc.
Expiration or
Mag,
Ppr, Mfr,
OD
S
Yes: After
QC & OD
Documented or attached to
Customer Record in database
GC §34090; H&S §116910
Completion
of Payment
Plan
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Fire District
Page FIN-11
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Finance /
Utility
Billing
FIN-045
Water Billing: Policy on
Discontinuation of Residential
Service for Nonpayment
When
Supersed
Minimum 2
years
Mag,
Ppr, Mfr,
OD
S
Yes: After QC
& OD
Must post to Website; H&S
§116906; GC §34090
Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: FINANCE
Includes Sonoma Valley Fire District
Fire District
Page FIN-12
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Utility
Billing
FIN-046
Water Billing: Report of Annual
Discontinuations of Residential
Service
Minimum 2
years
Mag,
Ppr, Mfr,
OD
S
Yes: After
QC & OD
Must post to Website; H&S
§116918; GC §34090
Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPD9DOOH\Fire District
Page F-1
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
FIRE ADMINISTRATION
Fire /
Admin. FR-001
Agreements & Contracts for Fire District - MOUs, etc.Agreement or Contract includes all contractual obligations (e.g. Amendments, Scope of Work or Successful Proposal) Completion 10 years Completion + 10 years Yes: Before Completion Mag, Mfr, OD, Ppr S/I Yes: Upon Completion Covers E&O Statute of Limitations; Published Audit Standards=4-7 years; Statute of Limitations: Contracts & Spec's=4 years, Wrongful Death=comp. + 5 years, Developers=comp. + 10 years; Statewide guidelines propose termination + 5 years; CCP §§336(a), 337 et. seq., GC§34090, 60201 et seq.
Fire /
Admin. FR-002 Apparatus & Equipment Records & Testing Disposal + 2 years Disposal + 2 years Mag, Ppr Department Preference; Statute of Limitations for Health Providers is 3 years; OSHA requires 1 year; State requires 2 years; Statewide guidelines propose 2 years; 8 Cal Code Reg. §3203(b)(1), CCP §340.5, GC §34090, 60201 et seq.
Fire /
Admin. FR-003 Breathing Apparatus Fit Tests Separation + 5 years 25 years Separation + 30 years Mag, Mfr, OD, Ppr S Yes: When Inactive
Department preference; Claims can be made for 30 years for toxic substance exposure; Claims arerequired for five years after the end of compensation, or injury, whichever is longer; 8 CCR§3204(d)(1) et seq., 8 CCR 10102,15400.2; GC §§12946, 12960,34090, 60201, SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPDValley Fire District
Page F-2
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire /
Admin. FR-004 Claims & Litigation: Fire District Only Final Resolution 5 years Final Resolution + 5 years Yes: Until Resolution Mag, Mfr, OD, Ppr S Yes: After 5 years
Department Preference; Covers various statute of limitations; CCP §§ 337 et seq.; GC §§ 911.2,34090, 34090.6; 60201, PC §832.5 Fire /
Admin. FR-005
District Personnel Employee Exposure Report - Possible Exposures (Who Reported to Incidents) Separation +
5 years 25 years Separation + 30 years Mag, Mfr, OD, Ppr S Yes: When Inactive
Department preference; Claims can be made for 30 years for toxic substance exposure; Claims arerequired for five years after the end of compensation, or injury, whichever is longer; 8 CCR§3204(d)(1) et seq., 8 CCR 10102,15400.2; GC §§12946, 12960,34090 Fire /
Admin. FR-006
District Personnel Recruitment Files (Unsuccessful Applicants, tests, brochures, advertising, etc)
3 years 3 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After QC
Department preference; EEOC / FLSA / ADEA (Age) requires 1-3years; State Law requires 2 - 3years; 29 CFR 1602 et seq &1627.3(a)(5) and (6), 2 CCR7287.0(c)(2), 8 CCR §11040.7( c), GC §§12946, 12960, 34090,60201 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPDValley Fire District
Page F-3
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire /
Admin. FR-007
District Personnel Training Files Separation +
6 years
Separation +
6 years
Mag,
Ppr
Department preference; EMS Training Records are 4 years; EEOC / FLSA / ADEA (Age) requires 1-3 years; State Law requires 2 - 3 years; 29 CFR 1602 et seq & 1627.3(a)(5) and (6), 2CCR 7287.0(c)(2), 22 CCR100395; 8 CCR §11040.7( c), GC§§12946, 12960, 34090, 60201 etseq.
Fire /
Admin. FR-008 Fire Incident Reports
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag,
Mfr, OD,
Ppr
Preliminary drafts; Original reports / data is in RMS database; GC §34090, 60201 et seq.
Fire /
Admin. FR-009 Fire Incident RMS Database Indefinite Indefinite Yes Mag Data is interrelated; GC §34090, 60201 et seq.
Fire /
Admin. FR-010
Fire Investigations - Accidental Causes (Not Arson & Suspected Arson) 5 years 5 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After QC § Department preference; GC §34090, 60201 et seq.; CFC § 104.6 – 104.6.4 Fire /
Admin. FR-011 Fire Investigations - Arson & Suspected Arson PP Mag, Mfr, OD, Ppr S / I Yes: After QC Department preference (Capital Crimes have no statute of limitations); GC §34090, 60201 et seq.
Fire /
Admin. FR-012 Haz Mat Resources
When No
Longer
Required
When No
Longer
Required
Mag,
Ppr
Considered a preliminary draft / copy (the Fire database is the original); GC §34090, 60201 et seq.
Fire /
Admin. FR-013 ISO Insurance Ratings 15 years 15 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After QC Department Preference (rated every 10 years); GC §34090, 60201 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPD Valley Fire District
Page F-4
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire /
Admin. FR-014 Monthly Statistical Report / Run Statistics When No Longer Required When No Longer Required Mag, Ppr Considered a preliminary draft / copy (the Fire database is the original); GC §34090, 60201 et seq.
Fire /
Admin. FR-015
Programs and Projects (e.g. Cadet, CPR Program, Fire Service Day, etc.) When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Department Preference; GC § 34090, 60201 et seq.
Fire /
Admin. FR-016 Public Information
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Department Preference; GC § 34090, 60201 et seq.
Fire /
Admin. FR-017 Strike Team Reimbursements Payment + 5 years Payment + 5 years Mag Department preference (meets FEMA regulations; GC §34090, 60201 et seq.
Fire /
Admin. FR-018
Valley of the Moon Fire District Board MeetingsAGENDAS, AGENDA PACKETS.
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Brown Act challenges must be filed within 30 or 90 days of action; GC §§34090, 60201 et seq.,54960.1(c)(1) Fire /
Admin. FR-019
Valley of the Moon Fire District Board MeetingsMINUTES & BYLAWS PP
Yes
Mag,
Mfr, OD,
Ppr
S Yes: After 10 years
Notes taken to facilitate the writing of the minutes can be destroyed after minutes have been adopted; GC §34090, 60201 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPDValley Fire District
Page F-5
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire /
Admin. FR-020
Valley of the Moon Fire District Board Meetings: AUDIORECORDINGS of Meetings 30 days, or
After
Minutes are
Approved,
Whichever is
Longer
30 days, or
After
Minutes are
Approved,
Whichever is
Longer
(Mag)
Department preference; State law only requires for 30 days; GC §54953.5(b) SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPDValley Fire District
Page F-6
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
EMERGENCY MEDICAL SERVICES
Fire / EMS FR-021 AmbPac Database Indefinite Indefinite Yes Mag Data is interrelated; GC §34090, 60201 et seq. Fire / EMS FR-022 Ambulance Transports (Not Patient Care Reports) 2 years 2 years Mag, Ppr GC § 34090, 60201 et seq. Fire / EMS FR-023 Ambulance Memberships 5 years 5 years Mag, Ppr Meets municipal government auditing standards; GC § 34090, 60201 et seq. Fire / EMS FR-024 Collections / Collection Agencies 3 years 4 years 7 years Yes Mag, Ppr Department preference (negative information remains on credit reports for 7 years; GC §34090, 60201 et seq.
Fire / EMS FR-025
Controlled Substance Logs, Inventories / Ambulance Inventory Logs 3 years 3 years Yes Mag, Ppr
Department Preference - Controlled substances are required for 2 years after inventory or transaction; 21 CFR §1304.04, 1310.04 Fire / EMS FR-026
EMS Complaints / CQI (Continuous Quality Improvement) / Quality Assurance 3 years 3 years Mag, Ppr
Statute of Limitations for health providers is 3 years; 13 CCR1100.7, GC §34090, 60201 etseq.
Fire / EMS FR-027
HIPAA Policies and Procedures (Health Insurance Portability and Accountability Act) Superseded
+ 6 years
Superseded
+ 6 years
Mag,
Mfr, OD,
Ppr
S Yes: After 1 year 45 CFR 164.530(j)
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPDValley Fire District
Page F-7
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire / EMS FR-028
Patient Care Reports / PCRs / Paramedic Release Forms (EMS transportation): ALL (medical and non-medical.) Includes ePCR Database / Electronic Patient Care Report Database 3 years 17 years 20 years
Mag,
Mfr, OD,
Ppr
S Yes: After 1 year
Department Preference; adults required for 7 years; minors until 1 year after age 18, but not less than7 years; 10 years is recommended by AHIMA for "healthcare providers";
CCP§340.5, GC §34090; H&S§§1797.98(e) 123145; 42 CFR482.24(b); 9 CCR 9444, 22 CCR 70751(c) & 71551(c); 22 CCR
70751(c), 71551(c), 73543(a),
74731(a), 75055(a), 75343(a),
77143(a), W&I 14124.1; CMS Pub.
100-4, Chapter 1, Section 110.3
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPD9DOOH\)LUH'LVWULFW
Page F-8
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire / EMS FR-029 Tickets 3 years 3 years Yes Mag, Ppr
Department preference; Statute of Limitations for health providersis 3 years; 13 CCR 1100.7, GC§34090,HWVHT SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPD9DOOH\)LUH'LVWULFW
Page F-9
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
FIRE MARSHAL / FIRE PREVENTION
Fire / Fire
Marshal &
Fire
Prevention
FR-030
Citizen's Emergency Response Training (CERT) / Neighborhood TrainingCourse Records, Roster, etc.
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Mfr, OD,
Ppr
S / I Yes: When Superseded Department Preference; GC §34090, 60201 et seq.
Fire / Fire
Marshal &
Fire
Prevention
FR-031 Emergency Plans / Disaster Preparedness Manuals, etc.
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Mfr, OD,
Ppr
S / I Yes: After Superseded Department Preference (copies); GC §34090, 60201 et seq..7 Fire / Fire
Marshal &
Fire
Prevention
FR-032
Fire Code Permits / Special Event Permits (assembly permits, candle permits, tent permits, fire hydrant use, open flame, pyrotechnic permits, etc.) 2 years 2 years
Until Event
is
Completed
Mag,
Ppr GC §34090, 60201 et seq.
Fire / Fire
Marshal &
Fire
Prevention
FR-033
Fire Inspections / Business Inspection Files / Citations / Notice of Violations When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum
years
Mag,
Mfr, OD,
Ppr
S/I Yes: After 5 years §34090, 60201 et seq.
Fire / Fire
Marshal &
Fire
Prevention
FR-043
Fire Inspections / Business Inspection Files Approvals, Inspections, Fires, Modification / Alternative Methods or Materials Life of the
Structure or
Activity, or
Minimum 5
years,
Life of the
Structure or
Activity, or
Minimum 5
years,
Mag,
Mfr, OD,
Ppr
S/I Yes: After 5 years
California Fire Code requires 5 years or Life of the Structure or Activity, for Approvals, Inspections, Fires, Modification / Alternative Methods or Materials; CFC §§ 104.6 – 104.6.4; GC §34090 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPD9DOOH\)LUH'LVWULFW
Page F-10
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
Fire / Fire
Marshal &
Fire
Prevention
FR-034 Juvenile Firestarter Program 10 years 10 years Mag, Ppr Department Preference; GC §34090, 60201 et seq.
Fire / Fire
Marshal &
Fire
Prevention
FR-035 Pre-plan Sheets When Superseded When Superseded Mag, Ppr Preliminary drafts; GC §34090, 60201 et seq. et seq.
Fire / Fire
Marshal &
Fire
Prevention
FR-036 Public Information / Education (when produced internally) When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Department Preference; GC §34090, 60201 et seq.
Building FR-037 Record Drawings ("As-Builts") and CAD drawings of buildings Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag,
Mfr, OD,
Ppr
GC §34090, 60201 et seq..7
Fire / Fire
Marshal &
Fire
Prevention
FR-038 Weed Abatement
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag,
Ppr
Department Preference; GC §34090, 60201 et seq.
Fire / Fire
Marshal &
Fire
Prevention
FR-039 Weed Abatement Liens P P
Mag,
Mfr, OD,
Ppr
S / I Yes: After QC'd Department Preference; GC §34090, 60201 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 8.0 RECORDS RETENTION SCHEDULE - FIRE
Includes 6RQRPD9DOOH\)LUH'LVWULFW
Page F-11
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.HOLDS: Litigation, claims, complaints, audits and/or investigations suspend normal retention periods (retention begins after settlement).
OPERATIONS / SUPPRESSION
Fire /
Operations FR-040 Daily Roster (Telestaff Database) Indefinite Indefinite Yes:
Before
Event
Mag Data is interrelated; GC §34090, 60201 et seq.
Fire /
Operations FR-041
Station Log Books / Station Journals (Incidents - kept at Fire Stations) 2 years P P
Mag,
Mfr, OD,
Ppr
S/I No
Retained for historical and administrative value; GC §34090, 60201 et seq.
Lead Dept. FR-042
Vehicle Safety Checks / Daily Vehicle Inspections / Daily Equipment Checks 2 years 2 years Ppr GC §34090, 60201 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reservedDo not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 6.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
INFORMATION TECHNOLOGY
Information
Technology IT-001
Backups Tapes / Disks - DAILY
(City Hall and & Public Works)
When No
Longer
Required
7 days
When No
Longer
Required
7 days
Yes Mag.
Used for Disaster Recovery
Purposes Only; Considered a
copy and can be destroyed
when no longer required; tapes
are in autochangers and are
overwritten; store off-site in a
commercial facility for disaster
recovery purposes; GC §34090
et seq.
Information
Technology IT-002
Backups Tapes / Disks - WEEKLY
(City Hall and & Public Works)
4 weeks
When No
Longer
Required
When No
Longer
Required
4 weeks
Yes Mag.
Used for Disaster Recovery
Purposes Only; Considered a
copy and can be destroyed
when no longer required; tapes
are in autochangers and are
overwritten; store off-site in a
commercial facility for disaster
recovery purposes; GC §34090
et seq.
Information
Technology IT-003 Network Configuration Maps & Plans
When No
Longer
Required
When No
Longer
Required
Yes Mag.
Preliminary documents not
retained in the ordinary course of
business; GC §34090 et seq.
Information
Technology IT-004
UNALTERABLE MEDIA /
IMMUTABLE CLOUD BACKUP /
(WORM / DVD-r / CD-r / Blue RayR) or other unalterable media that does not permit additions,
deletions, or changes
P P OD
For legal compliance for
Trustworthy Electronic Records
(when the electronic record
serves as the official record);
must be stored in a "safe and
separate location"; GC 34090,
12168.7, EVC 1550, 2 CCR
22620 et seq.
SONOMA, CA ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 7.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-1 Office of
Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PLANNING
Planning PL-001 Address Assignments P P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
Amended
Department Preference; GC
§34090
Planning PL-002 Affidavits of Publications / Public
Hearing Notices / Legal Advertising 2 years 2 years
Mag,
Mfr, OD,
Ppr
S / I Yes
Brown Act challenges must be
filed within 30 or 90 days of
action; Statute of Limitations on
Municipal Government actions
is 3 - 6 months; CCP §§337 et
seq, 349.4; GC §§34090,
54960.1(c)(1)
Planning PL-003 Annexations / Boundaries /
Consolidations / LAFCO 2 years P P
Mag,
Mfr, OD,
Ppr
S / I Yes Land Records; GC §34090
Planning PL-004 Census, Demographics
When No
Longer
Required
When No
Longer
Required
Mag, Ppr (Non-Records - Census Bureau
is OFR); GC §34090 et seq.
Planning PL-005
Code Enforcement / Abatement
Letters - Where Planning is the
Lead Department
P P
Yes: Until
Resolution Mag, Ppr
Department preference; Case is
open until satisfactorily resolved
(some cases are not resolved);
City Clerk maintains original
staff reports and resolutions that
are presented to Council; CFC
§104.3.4, GC §34090
Planning PL-006 Design Review Commission
Agenda Packets 2 years 2 years Yes (all)
Mag,
Mfr, OD,
Ppr
S
Yes: After
1 year
Department Preference - copies
(the Staff Reports are filed in
the Entitlement Folder); GC
§34090.7
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 7.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-2 Office of
Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning PL-007 Design Review Commission
Agendas 2 years 2 years Mag, Ppr GC §34090
Planning PL-008 Design Review Commission Audio
Recordings 1 year 1 year
Tape
(Mag)
Department preference; State
law only requires for 30 days;
GC §54953.5(b)
Planning PL-009 Design Review Commission
Minutes & Bylaws P P Yes
Mag,
Mfr, OD,
Ppr
S No
Notes taken to facilitate the
writing of the minutes can be
destroyed after minutes have
been adopted; GC §34090 et
seq.
Planning PL-010
Environmental Determinations:
Environmental Impact Reports
(EIRs), Negative Declarations, etc. )
Inside City boundaries
P P
Mag,
Mfr, OD,
Ppr
S
Yes: After
10 years
Usually filed in the project file;
Final environmental
determinations are required to
be kept a "reasonable period of
time"; 14 CCR §15095(c); GC
§34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 7.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-3 Office of
Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning PL-010.1
Environmental Determinations:
Environmental Impact Reports
(EIRs), Negative Declarations, etc.)
CEQA / NEPA
Correspondence and staff notes
that provide insight into the project
or the agency’s CEQA compliance
with respect to the project
Project
Approval or
Denial + 2
years
Project
Approval or
Denial + 2
years
Mag,
Ppr
Not all internal communications
and notes are required to be
saved; "E-mails that do not
provide insight into the project
or the agency’s CEQA
compliance with respect to the
project — are not within the
scope of section 21167.6,
subdivision (e) and need not be
retained." Golden Door
Properties, LLC v. Superior
Court of San Diego County
(County of San Diego, et al.,
Real Parties in Interest) (53
Cal.App.5th 733); PRC 21167,6;
GC §34090
Planning PL-011
Environmental Determinations:
Environmental Impact Reports
(EIRs), Negative Declarations, etc.)
Outside City boundaries
When No
Longer
Required
When No
Longer
Required
Ppr
Non-records; EIRs and Negative
Declarations within the City
Boundaries are with the project
file
Planning PL-012 General Plan Working Papers
When No
Longer
Required
When No
Longer
Required
Mag, Ppr Preliminary drafts; GC §34090
Planning PL-013 General Plan, Elements and
Amendments P P Yes (all)
Mag,
Mfr, OD,
Ppr
S / I Yes: After
Amended
Department preference; GC
§34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 7.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-4 Office of
Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning PL-014
Home Occupation Permits
(Use business license as
determination of "Closed")
Closed + 2
years
Closed + 2
years
Mag, Ppr
Temporary uses; Department
maintains complete files for
administrative purposes;
GC§§34090
Planning PL-015 Land Use Studies / Plans / Reports P P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
Amended
Department preference; GC
§34090
Planning PL-016 Landscaping Applications
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Yes Mag, Ppr Department preference;
GC§34090
Planning PL-017 Master Plans, Specific Plans,
Bikeway Plans, etc. P P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
Amended
Department Preference; GC
§34090
Planning PL-018 Notice of Restriction & Releases P P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
Amended
Department preference; GC
§34090
Planning PL-019 Planning Commission Agenda
Packets 2 years 2 years Yes (all)
Mag,
Mfr, OD,
Ppr
S
Yes: After
1 year
Department Preference - copies
(the Staff Reports are filed in
the Entitlement Folder); GC
§34090.7
Planning PL-020 Planning Commission Agendas 2 years 2 years Mag, Ppr GC §34090 Planning PL-021 Planning Commission Audio
Recordings 1 year 1 year
Tape
(Mag)
Department preference; State
law only requires for 30 days;
GC §54953.5(b)
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 7.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-5 Office of
Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning PL-022 Planning Commission Minutes &
Bylaws P P Yes
Mag,
Mfr, OD,
Ppr
S No
Notes taken to facilitate the
writing of the minutes can be
destroyed after minutes have
been adopted; GC §34090 et
seq.
Planning PL-023 Planning Commission Resolutions P P Yes Mag,
Mfr, OD,
Ppr
S
Yes: After
10 years GC §34090 et seq.
Planning PL-024 Planning Project Files - Outdoor
Seating
Expiration +
2 years
Expiration +
2 years Mag, Ppr Department preference; GC§§34090
Planning PL-025
Planning Project Files -
Permanent Entitlements -
Application Withdrawn or
Expired
Application - Plans may be returned to
the applicant
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Yes Mag, Ppr
Projects have a 2 year vesting
(applicant must pull permit
within 2 years), and can be
extended -- those applications
in which the applicant does not
follow through with permit may
be destroyed after the vesting
period has expired.
GC§§34090, 34090.7
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 7.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-6 Office of
Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning PL-026
Planning Project Files -
Permanent Entitlements
(Approved or Denied)
(Includes Associated CEQA
Noticing, Conditions of Approval,
Environmental Determinations, Staff
Reports for Planning Commission &
City Council, Plans & Maps)
Examples: Conditional Use Permits
(CUPs), Design Review, Lot Line
Adjustments, Parcel Maps, Site Plans,
Tentative Subdivisions, Variances, Zone
Changes, etc.
Project
Completion P P Yes
Mag,
Mfr, OD,
Ppr
S
Yes:
When
Inactive
Projects have a 2 year vesting
(applicant must pull permit
within 2 years), and can be
extended -- those applications
in which the applicant does not
follow through, and can be
extended, permit may be
destroyed after the vesting
period has expired. Department
maintains complete files for
administrative purposes; Final
environmental determinations
are required to be kept a
"reasonable period of time"; 14
CCR §15095(c); GC§§34090,
34090.7
Planning PL-027
Planning Project Files -
Temporary Entitlements:
Christmas Tree Lots, Temporary
Barricades with Artwork, Debris
Boxes, Pumpkin Lots, Temporary
Signs, etc.
2 years 2 years
Yes:
During
Event
Mag, Ppr
Temporary uses; Department
maintains complete files for
administrative purposes;
GC§§34090
Planning PL-028 Preliminary Review File (No Final
Application)
When No
Longer
Required
When No
Longer
Required
Mag, Ppr
Department preference;
Preliminary Documents (no
application submitted); GC
§34090
Planning PL-029 Project Log Index / Spreadsheet /
Binders of Historic Actions P P Yes
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC
Department Preference; GC
§34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 7.0 RECORDS RETENTION SCHEDULE: PLANNING Page PL-7 Office of
Record Retention No. Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning PL-030
Regional Organizational Studies &
Programs where other Agencies are
the Lead (e.g. Air Quality Studies,
etc.)
When No
Longer
Required
When No
Longer
Required
Mag, Ppr Non-records; GC §34090 et
seq.
Planning PL-031 Repainting Applications
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Yes Mag, Ppr Department preference;
GC§34090
Planning PL-032 Sign Applications
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Yes Mag, Ppr Department preference;
GC§34090
Planning PL-033 Special Studies (Not related to a
specific project) P P Yes
Mag,
Mfr, OD,
Ppr
S / I Yes: After
1 year
Department Preference; GC
§34090
Planning PL-034 Tree Removal Permits 2 years 2 years Mag, Ppr Department preference; GC§§34090
City Clerk PL-035 Zoning Amendments, Zoning Text
Amendments
Copies -
When No
Longer
Required
Copies -
When No
Longer
Required
Mag, Ppr Copies; GC §34090.7
Planning PL-036 Zoning Maps P P Yes (all)
Mag,
Mfr, OD,
Ppr
S No
Department Preference; City
Clerk Maintains originals of all
documents that were presented
to Council; GC §34090.7
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 05/20/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-1
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
POLICE
Police PD-001 Abandoned Vehicle Abatement,
etc. 5 years 5 years Yes: Until Resolution Mag, Ppr GC §34090 Police PD-002
Alcohol Beverage License
Applications / ABC License
Applications
Approved Daily Application
Permits
2 years 2 years Ppr Department Preference (nonrecords); GC § 34090 et seq.
Police PD-003
Alcohol Beverage License
Applications / ABC License
Applications
Undue Concentration Letters
(Denials)
5 years 5 years Ppr Department Preference; GC §
34090 et seq.
Police PD-004 Animal Impound Records
End of
Impound + 3
years
End of
Impound + 3
years
Ppr
Covers various statute of
limitations; 3 years is required; 1
year is required for the
transportation of dead animals; FA
§32003(e), PC §597.1(d); 3 CCR
1180.15; GC §34090
Police PD-005 Citations - NOT Parking
Citations 5 years 5 years Mag, Ppr Department Preference; GC § 34090 et seq.
Police PD-006 Citations - Parking Citations 3 years 3 years Mag, Ppr Department Preference; GC § 34090 et seq.
Police PD-030
Citations - Payment Plans for
outstanding parking citations
received by indigent persons
Fully Paid,
Written off,
or Forgiven
+ 5 years
Fully Paid,
Written off,
or Forgiven
+ 5 years
Mag, Ppr
Department preference (the
Statute of Limitation for collections
is 5 years from the date of the last
violation); CVC 40222(b); GC
§34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-2
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-007 Citizens Advisory Committee (all
records) 2 years 2 years Mag, Ppr GC §34090 et seq.
Police PD-008 CLETS Log 3 years 3 years Mag, Ppr Department Preference; GC § 34090 et seq.
Police PD-009
Code Enforcement / Abatement
Case Files - Where Police is the
Lead Department
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Yes: Until
Resolution Mag, Ppr
Department preference; Case is
open until satisfactorily resolved
(some cases are not resolved);
City Clerk maintains original staff
reports and resolutions that are
presented to Council; GC §34090
Police PD-010 Correspondence
When No
Longer
Required -
Minimum 2
years
When No
Longer
Required -
Minimum 2
years
Mag, Ppr Department Preference; GC §
34090 et seq.
Police PD-011 Daily Activity Log
When No
Longer
Required
When No
Longer
Required
Mag, Ppr
Preliminary drafts not retained in
the ordinary course of business;
GC §34090
Police PD-012 Dog License Master List 10 years 10 years Mag, Ppr Department preference; GC §34090 et seq.
Police PD-013 Dog Licenses 3 years 3 years Mag, Ppr Department Preference; GC § 34090 et seq.
Police PD-013.1
Dog Licenses: Record of All
Efforts to Contact Owner and/or
Microchip’s Primary Registrant
2 years 2 years Mag, Ppr FA §§31108.3 and 31752.1; GC
§34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-3
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-014
Employee Background Files
(Hired)
City Employees Only
Separation +
6 years
Separation +
6 years
Mag, Mfr,
OD, Ppr S / I Yes: When Inactive
Department preference; State &
Federal laws requires 4 2 -3 years;
29 CFR 1672.3(b)(i), 8 CCR
§11040.7(7)(C); 29 CFR 1602.14;
GC §§12946, 12960, 34090
Police PD-015
Employee Background Files
(Not Hired)
City Employees Only
4 3 years 4 3 years Mag, Ppr
Department preference; State &
Federal laws requires 4 2 -3 years;
29 CFR 1672.3(b)(i), 8 CCR
§11040.7(7)(C); 29 CFR 1602.14;
GC §§12946, 12960, 34090
Police PD-016
Employee Department
Training File (Includes POST
Data, Files and Printouts for
Training Courses)
City Employees Only
Separation +
6 years
Separation +
6 years
Mag, Mfr,
OD, Ppr S / I Yes: When Inactive
Department Preference; State &
Federal laws require 2 -3 years; 29
CFR 1602.31 & 1627.3(b)(1), 8
CCR §3204(d)(1) et seq., GC
§§12946, 12960, 34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-4
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-031
Internal Affairs Investigations -
Individual Officers / Complaints
Against Officers WITHOUT
Sustained Finding of
Misconduct as defined in PC
§832.7
Final
Disposition +
5 years
Final
Disposition +
5 years
Mag, Ppr
Consistent with Lexipol Policy;
State requires for at least 5 years;
other State & Federal laws require
retention until final disposition of
formal complaint; State requires 2
years after action is taken; Statute
of Limitations is 4 years after the
discovery of the offense for
misconduct in office; ; IA and
Statewide guidelines recommend
25 years for officer-involved
shootings; EVC §1045, GC
§§12946, 12960, 34090, PC
§§801.5, 803(c), 832.5, VC §2547
Police PD-032
Internal Affairs Investigations -
Individual Officers / Complaints
Against Officers WITH
Sustained Finding of
Misconduct as defined in PC
§832.7
Final
Disposition +
15 years
Final
Disposition +
15 years
Mag, Ppr PC §832.7; GC §34090
Police PD-017 LiveScan Applications
(members of the public) 2 years 2 years Mag, Ppr GC §34090 et seq.
Police PD-018 Logs: Extra Patrols
When No
Longer
Required
When No
Longer
Required
Mag, Ppr Preliminary drafts; GC §34090 et
seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-5
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-019
POLICE REPORTS / INCIDENT
REPORTS:
Capital Crimes / Serious
Felonies / Major Crimes / Sex
Crimes / Child Abuse - Capital
Crimes (Crimes Subject to the
Death Penalty), Sex Crimes,
Suicides, Substantiated Child
Abuse or Severe Neglect
(Adults Only) (PC §§187, 191.5,
192, 197, 203, 205, 206, 207,
217.1(b), 218)
P P Yes Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Department Preference; DOJ
retains CACI (Child Abuse Central
Index) information for adults 100
years; others have no limitations
on commencement of action;
Courts keep permanently PC §§
261, 286, 288, 288a, 288.5, 289,
289.5, 290, 799, 803(h), 11169 et
seq.; 11170(a); WIC 707(b)
Police PD-020
POLICE REPORTS / INCIDENT
REPORTS:
Felonies not involving capital
crimes, serious felonies,
Domestic Violence
10 years or
after all
warrants are
cleared,
whichever
comes later
10 years or
after all
warrants are
cleared,
whichever
comes later
Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Department preference; GC
§34090
Police PD-021
POLICE REPORTS / INCIDENT
REPORTS:
Misdemeanor & Felony
Records with Outstanding
Warrants
Warrant
Cleared or
Revoked
Warrant
Cleared or
Revoked
Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Department preference; GC
§34090
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-6
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-022
POLICE REPORTS / INCIDENT
REPORTS:
Misdemeanors
5 years or
after all
warrants are
cleared,
whichever
comes later
5 years or
after all
warrants are
cleared,
whichever
comes later
Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Department preference; GC
§34090
Police PD-023
POLICE REPORTS / INCIDENT
REPORTS:
Sealed Juvenile and Ward
Cases - Except Child Abuse or
Severe Neglect, (Substantiated),
those with outstanding stolen
property, including firearms, or
lost firearms
(Records prior to the contract
are stored at the Sonoma
County Records Center)
Sealing Date
+ 5 years
(Or Court
Order)
Sealing Date
+ 5 years (or
Court Order)
Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Statute of Limitations runs up to
age 22, or within five years of date
of discovery of injury / illness
occurring after age of majority,
whichever is later of majority + 8
years; sealed records for juveniles
and wards of the Court must be
destroyed 5 years after sealing
date; CCP §§340.1, GC §34090;
W&I §§389(a), 781(d)
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-7
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-033
POLICE REPORTS / INCIDENT
REPORTS: (includes Warrants)
Misdemeanor or Infraction -
Adult Marijuana / Cannabis -
H&S §11357(b)(c)(d)(e) or H&S
§11360(b) (with procedure in
H&S §11361.5) - Except those
with outstanding stolen property,
including firearms, or lost
firearms, serious felonies, or
synthetic cannabis
2 years 2 years Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC ("Shall" Destroy); H&S §11361.5 Police PD-034
POLICE REPORTS / INCIDENT
REPORTS: (includes Warrants)
Misdemeanor or Infraction -
Juvenile Marijuana / Cannabis
- H&S §11357 - Except those
with outstanding stolen property,
including firearms, or lost
firearms, serious felonies, or
synthetic cannabis
Conviction
or Arrest (if
No
Conviction)
+ 2 years
Conviction
or Arrest (if
No
Conviction)
+ 2 years
Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
(Courts and other Agencies "Shall"
destroy); H&S§ 11361.5 et seq.,
GC§68152(e)(8)
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-8
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-035
POLICE REPORTS / INCIDENT
REPORTS: (includes Warrants)
Misdemeanor or Infraction
Marijuana / Cannabis
§11357(d) - Juvenile on
School Grounds during
School Hours (with procedure
in H&S §11361.5)
Offender is
18 Years
Old
Offender is
18 Years
Old
Yes Mag, Ppr
(Courts and other Agencies "Shall"
destroy); H&S§ 11361.5 et seq.,
11357(d)
Police PD-024
POLICE REPORTS / INCIDENT
REPORTS:
Traffic Accident Reports -
FATAL
10 years 10 years Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Department preference; GC
§34090
Police PD-025
POLICE REPORTS / INCIDENT
REPORTS:
Traffic Accident Reports -
NON-FATAL / PROPERTY
DAMAGE ONLY (PDO)
5 years 5 years Yes: Before
Disposition
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Department preference; GC
§34090
Police PD-036
POLICE REPORTS / INCIDENT
REPORTS:
Vacatur Relief Granted by
Court - Victim of Human
Trafficking (Nonviolent
Crimes)
Court Order
+ 1 year
Court Order
+ 1 year
Mag, Mfr,
OD, Ppr S/M/I Yes: After QC
Individual petitions Court ("Shall"
Destroy); GC §34090; PC
§§236.14(k); 236.15(k)
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-9
Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-026 Preferential Parking Permits
After Vehicle
Sold or
Resident
Moves -
Minimum 2
years
After Vehicle
Sold or
Resident
Moves -
Minimum 2
years
Mag, Ppr Department preference; GC
§34090 et seq.
Police PD-037 Registrants: Arson
Registrations: Adults 10 years
P
or Death of
Registrant
P
or Death of
Registrant
Mag, Ppr
Pursuant to PC §457.1 et seq.;
required to register for life; If
released from CYA, records are
destroyed after age 25 or sealing
pursuant to W&I §781; GC
§34090.7
Police PD-038
Registrants: Arson
Registrations: Juveniles
released from California Youth
Authority
Age 25 or
Sealing Date
+ 5 years (or
Court Order)
Age 25 or
Sealing Date
+ 5 years (or
Court Order)
Mag, Ppr
Pursuant to PC §457.1 et seq.; If
released from CYA, records are
destroyed after age 25 or sealing
pursuant to W&I §781; GC
§34090.7
Police PD-039 Registrants: Drug / Narcotic
Registrants 5 years 5 years Mag, Ppr
Department Preference;
Registration is required for 5
years; GC §34090, H&S §11590 et
seq., H&S §11594(a)
Police PD-040 Registrants: Sex Offender
Registrations: Adults 10 years
P
or Death of
Registrant
P
or Death of
Registrant
Mag, Ppr
Department Preference; After
2021, Offenders can petition Court
for removal 10 or 20 years after
offense, provided there are no
subsequent offenses; Pursuant to
PC §290 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 15.0 RECORDS RETENTION SCHEDULE: POLICE Page PD-10 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active
(in office)
Inactive
Storage
(Off-site,
OD or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Retentions for records retained by the Sonoma County Public Safety Consortium (SCPSC) are retained according to the SCPSC's retention schedule (Res. 43-2007) 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.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Police PD-041 Registrants: Sex Offender
Registrations: Juveniles
P or Sealing
Date + 5
years (or
Court
Order), or
Death of
Registrant
P or Sealing
Date + 5
years (or
Court
Order), or
Death of
Registrant
Mag, Ppr
Department Preference; After
2021, Offenders can petition Court
for removal 10 or 20 years after
offense, provided there are no
subsequent offenses; Pursuant to
PC §290 et seq.; W&I §781(d)
Police PD-042
Reports to State or Federal
Government:
Report to POST Commission of
peace officer employment,
compliant, finding, disposition,
or judgement pursuant to §PC
13510.9
Report of data regarding the
number, type, or disposition of
complaints made against its
officers (optional)
2 years 2 years Mag, Ppr GC §34090 et seq.
Police PD-043
STOP Source Data, Audit Log /
Racial and Identity Profiling Act
(RIPA) Annual Report
3 years 3 years Mag, Ppr 11 CCR 999.228; 11 CCR
999.229; GC §34090
Police PD-027 Special Events / Operations
Orders 5 years 5 years Mag, Ppr Department preference; GC §34090 et seq.
Police PD-028 Traffic Committee Agendas,
Agenda Packets 2 years 2 years Mag, Ppr Department preference; GC §34090 et seq.
Police PD-029 Traffic Committee Minutes &
Bylaws P P
Mag, Mfr,
OD, Ppr S No
Notes taken to facilitate the writing
of the minutes can be destroyed
after minutes have been adopted;
GC §34090 et seq.
SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted: 08/19/2009 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-1 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive
Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
If the record is not listed here, refer to the Retention for City-Wide StandardsRetentions 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.HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PUBLIC WORKS / CEMETERY
Public Works
/ Cemetery PW-001
Cemetery Expansion / Infrastructure Modifications /Remediation PP
Mag,
Mfr, OD,
Ppr
S / I Yes: 1
year
No specific time period mentioned in law; HS §§8330,8331 Public Works
/ Cemetery PW-002 Cemetery & Mausoleum plots, plans PP Mag, Mfr, OD, Ppr S / I Yes: 1 year No specific time period mentioned in law; HS §§8330, 8331 Public Works
/ Cemetery PW-003 Daily Maintenance Reports 2 years 2 years Mag, Ppr GC §34090 Public Works
/ Cemetery PW-004
Internment Records(Plot location, date of receipt / photocopy of map card, and internment, etc.) PP
Mag,
Mfr, OD,
Ppr
S / I Yes: 1
year
No specific time period mentioned in law; HS §§8330, 8331 Agenda Item #7.6:
Ver. 9.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS Page PW-2 SONOMA, CA. ©1995-2008 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted: 05/20/2009 Office of
Record Retention No, Records Description Retention / Disposition Comments / Reference (OFR) Active (in office)
Inactive
Storage
(Off-site, OD
or Mfr)
Total
Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
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. HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
ENGINEERING
Public Works
/ Engineering PW-005 Abandonments / Vacations (Streets) P P Yes (all) Mag, Mfr, OD, Ppr S Yes: After QC GC §34090 et seq.
Public Works
/ Engineering PW-006 Aerial Maps / Photographs - Analog or Digital P P Mag, Mfr, OD, Ppr S/I Yes: After QC Department Preference (Information Systems maintains digital aerials); GC §34090 Public Works
/ Engineering PW-007
Assessment / Maintenance / Landscape & Lighting / Street Improvement District Projects / Community Facilities Districts (FORMATION, BOUNDARIES) P P Yes: Until Completed Mag, Mfr, OD, Ppr S/I Yes: After QC Department Preference; Statute of Limitations is 4 - 10 years (for Errors & Omissions); CCP
§§337. 337.1(a), 337.15, 343; GC §34090.7
Public Works
/ Engineering PW-008 Bid Summary Ledgers
When No
Longer
Required
When No
Longer
Required
Mag, Ppr Department Preference (preliminary drafts); GC §34090 Public Works
/ Engineering PW-009
Capital Improvement Projects (CIP) - Other Than City Buildings: Permanent File Plans, Specifications, Successful Proposal, Professional Services Agreements, Change Orders, Materials Testing Reports, Grading Permits, Hazardous Materials Plans, Notice of Completion, Soils Reports, Studies, Surveys, etc.
Upon
Completion P P Yes: Until Completed Mag, Mfr, OD, Ppr S/I Yes: After QC Department preference; retained for disaster preparedness purposes; Statewide guidelines propose Permanent for Infrastructure plans; GC §34090 Agenda Item #7.6: