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Home My Public Portal AboutR2015-061RESOLUTION R2015-61 RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NAPA, STATE OF CALIFORNIA, ADOPTING A REVISED CITYWIDE RECORDS RETENTION SCHEDULE WHEREAS, the City's Records Retention Schedule outlines the disposition of records and their retention period according to federal, state, and local guidelines; and WHEREAS, the City of Napa adopted the existing Citywide Records Retention Schedule on December 21, 2010 by Resolution R2010 186; and WHEREAS Policy Resolution 18, as adopted by Resolution R2010 187 remains the approved Records Management Policy related to the roles, responsibilities and guidelines for records management for the City of Napa; and WHEREAS, the City has reformatted and updated the record numbers, record series, description, and retention periods for the revised and updated Citywide Record Retention Schedule; and WHEREAS, with the adoption of a new Records Retention Schedule, Policy Resolution 6 (which currently defines the retention period for certain tape recordings) is no longer required; and WHEREAS, the City Council has considered all information related to this matter, as presented at the public meetings of the City Council identified herein, including any supporting reports by City Staff, and any information provided during public meetings. NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Napa, as follows: 1. The City Council hereby finds that the facts set forth in the recitals to this Resolution are true and correct, and establish the factual basis for the City Council's adoption of this Resolution. 2. The City Council hereby repeals Resolution R2010 186 and Policy Resolution 6 and hereby approves the City of Napa Records Retention Schedule attached hereto and made a part here of as Exhibit "A" (Retention Schedule), and Exhibit "B" (Retention Schedule Legend) and incorporated herein by reference. 3. This Resolution shall take effect immediately upon its adoption. R2015.61 Page 1 of 2 June 2, 2015 Page 1 of 27 I HEREBY CERTIFY that the foregoing Resolution was duly adopted by the City Council of the City of Napa at a public meeting of said City Council held on the 2nd day of June, 2015, by the following vote: AYES: Luros, Mott, Inman, Sedgley, Techel NOES: None ABSENT: None ABSTAIN: None ATTEST: Approved as to form: '144K -- Michael W. Barrett City Attorney 8201581 Page 2 of 2 June 2, 2015 Page 2 of 27 ��{ �f | �� ` ��4 �E J |\ | ��! ! !! !! ! | l]#�!(�� | ! ! I �� ||| | ! t| | | ��! � �f § � 9 &\ (� ! ! , i i ! | , \ j))\§ | �! § §hh§)!§H§h] §))j))§fig! R |!~ ' |! „ /| ! ! . ` | ff { I |! !| |! 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I ! � ; it R\ ! . ! /!| |! � ! ! � | | j)).)\ ! §!/�' ]|•[ /§) ){)\if d §! § § \ { { | ) 1111114111111 EXHIBIT B am CnenTerms anAcronyms YC(NAPA Retention Schedule Legend: Td Ams Used Created: May 2015 g y Revised: This City of Napa Retention Schedule ("Schedule) Legend provides definitions for terms used in the schedule. These definitions are intended to be consistent with the definitions set forth in City Council Policy Resolution No. 18. If a term is used in the Retention Schedule is not defined in this Legend it shall be interpreted in accordance with Policy Resolution No. 18, City of Napa ordinances, resolutions, and policies, and state laws related to the retention and destruction of public records. Column Heading Term/Acronym Definition Record No. Record Number - (Record No.) A number that identifies each row in the Retention Schedule, and corresponds to a unique category of records. Describes the high-level City activity or function associated with that Record No. A business process may be performed by Business Process Business Process multiple departments but is defined as one process. (For example: Reviewing and processing invoices for payment is part of a Finance business process, regardless of which department is performing this activity-) Record Category Name Record Category A group of similar or related records that reflect a specific area of business information. Everything in a Record Category has the Name Isame Retention period. Record Category Record Category A brief description of the characteristics of the Record Category. Description Description Example Records Example Records A list of typical types of records that belong in the Record Category. This is a representative list intended as a guide for employees, but is not an exhaustive list of all possible types. Retention Retention The length of time a Record is to be kept to meet administrative, fiscal, legal or historical requirements. List of Acronyms from the Retention Schedule Most acronyms used in the Retention column are "triggers', representing an event that must take place before the retention period can begin. Example: i/ the retention period is shown as AC+2Y, this translates to "While Active plus 2 years", meaning that the 2 -year retention period does not begin until the record is no longer in effect oris no longer needed to support current operations (i e., becomes inactive). ALI Audit: The retention period begins when the audit has been closed, including any associated corrective actions. This retention trigger is usually associated with financial records or grant records that are audited on a regular basis. Closed or Complete: The retention period does not begin until the record is no longer in effect, the program or task to which the CL record pertains has been closed, completed or resolved, or the record is no longer needed to perform current operations. If there is additional information about what constituted Closed/Complete for the Record Category, there will be an asterisk (') after the CL, and additional clarification will be found in the Comments column. CLI Current Year: The retention period begins at the end of the current fiscal year. D Day Life: The records are linked to a specific asset or obligation, and the retention period does not begin until the asset has been LI disposed of or the obligation has been fulfilled. There will be an asterisk (') after the LI, and additional information about what lifetime is being referred to will be found in the Comments column. Maturity: The retention period does not begin until the financial instrument or obligation has reached maturity. If there is M additional information about what is maturing, there will be an asterisk (•) after the M, and additional information will be found in the Comments column. MAJ Majority: The retention period begins after the individual to which the records pertain has reached the age of majority (usually ,aged 18, but may also be defined by the court). PR IlPermanent Recordsof such enduring value to the City that they can never be destroyed. Revision 5/26/2015 R2015-61 Page 23 of 27 Page 1 WW EXHIBIT B CMCENAPA Retention Schedule Le end: Terms and Acron ms Used Created: May 2015 g Y Revised: Column Heading Term/Acronym Definition S Superseded: The retention period begins when the record becomes outdated, inaccurate, or is replaced by a newer version. SEAL Sealed: The retention period begins after the court has sealed the records of the individual to which the records pertain. T Termination: The records are linked to an individual, and the retention period does not begin until the term of office or employment has ended. If there is additional information about what termination means, there will be an asterisk (•) after the T, and additional information will be found in the Comments column. TAX Tax: The Retention Period begins when the taxes are paid or tax documents are filed. Y Year: The retention period refers to a year measured as 12 months or 365 days from the trigger date, after a retention trigger has taken place. If no trigger, is present then the retention starts from the date of creation. Legal Citations Legal Citations Laws, regulations or limitations on actions that include a requirement related to retention of records that must be followed. Acronyms used are shown below: CA Califomia: The citation is from a California state requirement. CCP California Code of Civil Procedure CCR California Code of Regulations CDBG Community Development Block Grant CFR Code of Federal Regulations ELEC California Elections Code EVID California Evidence Code GOV California Government Code HSC California Health and Safety Code LA Last Activity: A retention period term used to indicate that the retention period begins after the last activity has been completed. Used in legal citations. LAB California Labor Code PEN California Penal Code RTC California Revenue and Taxation Code UIC Calfomia Unemployment Insurance Code US United States: The citation from a Federal requirement. Revision 526/2015 R2015-61 Page 24 of 27 Page 2 EXHIBIT B am On C}N"A Retention Schedule Legend: Terms and Acronyms Used Created: May 2015 9 Y Revised: Column Heading TermfAcronym Definition USC United States Code VEH Callfomia Vehicle Code WAT California Water Code WIC California Welfare and Institutions Code Comments Comments Used for additional clarifying information that pertains to the Record Category. An "" is noted beside the retention period to inform the reader that there is an additional note in the comments column to assure clarity. Abbreviations for Agencies, Programs, Specific Records BAAQMD Bay Area Air Quality Management District BAR California Bureau of Automotive Repair CAD Computer Aided Dispatch CAFR Comprehensive Annual Financial Report CAO City Attorney's Office CDBG Community Development Block Grant CDs Certificates of Deposit CERT Community Emergency Response Training CHAS Comprehensive Housing Affordability Strategy CIP Capital Improvement CIP Capital Improvement Project / Capital Improvement Program CSAC California Student Aid Commission EBMUD East Bay Municipal Utility District EEOC U.S. Equal Employment Opportunity Commission Revision 5/260015 R2015-61 Page 25 of 27 Page 3 EXHIBIT B CrrYCEN^P^ Retention Schedule Legend: Terms and. Acronyms Used Created: May 2015 Revised: Column Heading Term/Acronym Definition EIA Excess Insurance Authority FSS Family Self Sufficiency Program HACN Housing Authority of the City of Napa HAP Housing Assistance Plan HIPAA Health Insurance Portability and Accountability Act HOP Home Occupation Permits HUD US Department of Housing and Urban Development INS Immigration and Naturalization Service IRA Individual Retirement Accounts LAW Local Agency Investment Fund LAW Local Agency Investment Fund MOAs Memoranda of Agreement MOUS Memoranda of Understanding MSDS Material Data Safety Sheets OSHA Occupational Safety and Health Administration PAFs Personnel Action Forms PBIA Property and Business Improvement Area PBID Property and Business Improvement District PCRs Patient Care Reports PIPs Performance Improvement Plans PUB Planned Unit Development Revision 5/26/2015 R2015-61 Page 26 of 27 Page 4 ��e EXHIBIT B ms crnafN"A Retention Schedule Legend: Terms and Acronyms Used Created: May 2015 g i Revised: Column Heading Term/Acronym Definition RFI Requests for Information RFP Requests for Proposal RFQ Requests for Quote SEMAP Section 6 Management Assessment Program SOAs Summary of Actions. Statement of Actions SRO Single Room Occupancy SWAT Special Weapons And Tactics TID Tourist Improvement District TSM Transportation Systems Management Revision 5x26/2015 R2015-61 Page 27 of 27 Page 5