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HomeMy Public PortalAboutR2019-042 RESOLUTION R2019-042 RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NAPA, STATE OF CALIFORNIA, UPDATING THE RECORDS MANAGEMENT PROGRAM POLICY WHEREAS, the City of Napa's Records Management Program, Policy Resolution 18, was revised and updated March 18, 2008 by Resolution R2008-044; and subsequently on December 21, 2010 by Resolution R2010-187; and WHEREAS, the Records Management Program Policy has been revised to serve as a concise and authoritative document to provide a comprehensive overview to adhere to the statutes and generally accepted best practices for Records and Information Management Administration; and WHEREAS, the Records Management Program Policy will be augmented by several Administrative Regulations,which provide discrete detailed procedures to comply with the rules, regulations, and statutory requirements as applicable; and WHEREAS, the Administrative Regulations, as approved by the City Manager,will provide procedural guidelines for subjects such as roles and responsibilities, key terms and definitions, inventories, preparing records for storage, shredding and destruction, preservation of records, managing vital, historical and confidential records, legal hold procedures, and other procedures as required by law; and WHEREAS, the Records Management Program Policy and the Records Retention Schedule may be amended from time to time and must be approved and adopted by City Council; and WHEREAS, the City's Administrative Regulations may be amended from time to time, and must be approved by the City Manager, City Attorney, and retained by the City Clerk as prescribed in Administrative Regulation 1.1 adopted August 7, 2018; and WHEREAS, The Records Management Program Policy remains the approved Policy related to the roles, responsibilities and guidelines for records management for City staff; 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. R2019-042 Page 1 of 2 May 21,2019 Page 1 of 6 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 R2010-187. 3. The City Council hereby approves, the Records Management Program Policy, attached hereto as Exhibit "A," and incorporated herein by reference. 4. In accordance with Resolution R2016-162, the City Council herby: (a) authorizes the City Manager to designate this resolution as a City Council Policy Resolution; and (b) directs the City Clerk to organize and publish this resolution as part of the City Council Policy Resolutions. 5. This Resolution shall take effect immediately upon its adoption. 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 21st day of May, 2019 by the following vote: AYES: Gentry, Luros, Alessio, Sedgley, Techel NOES: None ABSENT: None ABSTAIN: None � I ,� ATTEST: LV Uw - Tiffany C4ranza City Clerk Approved as to form: /7)4144/ r---- Michael W. Barrett City Attorney R2019-042 Page 2 of 2 May 21,2019 Page 2 of 6 WHEREAS, the City's Administrative Regulations may be amended from time to time, and must be approved by the City Manager, City Attorney, and retained by the City Clerk as prescribed in Administrative Regulation 1.1 adopted August 7, 2018; and WHEREAS, The Records Management Program Policy remains the approved Policy related to the roles, responsibilities and guidelines for records management for City staff; 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. R2019-042 Page 1 of 2 May 21,2019 Page 1 of 6 EXHIBIT A RECORDS MANAGEMENT PROGRAM POLICY 1. PURPOSE. The purpose of this Records Management Program Policy ("Policy") is to establish a comprehensive and uniform policy for the cost effective and efficient management of the City's records and writings (including the creation, use, maintenance, security, retention, storage, preservation, and destruction), in accordance with the legal requirements and professional standards identified in this Policy. 2. SCOPE. 2.1. This Policy is established by the City in accordance with all relevant federal, state, and local laws, as summarized in Section 3, below. 2.2. Every writing (which includes records), as defined in Section 4, created or received by a City employee in the course of executing any of the City's business, is subject to compliance with this Policy. 2.3. The City Manager is hereby authorized to establish and maintain written administrative regulations which implement this Policy. The administrative regulations shall be subject to the recommendation of the City Clerk, approval as to form by the City Attorney, and approval by the City Manager. A copy of the administrative regulations shall be maintained by the Office of the City Clerk. The administrative regulations shall include: 2.3.1. Standard procedures and guidelines to implement this Policy, provided that the procedures and guidelines are consistent with the purposes, goals, and requirements of this Policy. This shall include procedures for the effective creation, use, maintenance, security, retention, storage, preservation, and destruction of records by all City employees; including procedures for complying with the "Trusted System" requirements of California Government Code section 34090.5. 2.3.2. Identification of any delegation of duties, responsibilities, or authority from the City Manager to other qualified City employees. This shall include a delegation of duties, responsibilities, and authority for the maintenance and lawful destruction of records. 2.3.3. Standard forms, and procedures for their use. 3. AUTHORITIES. The legal authorities and professional guidelines applicable to the management of City records include the following: 3.1. General Rule for Records Retention. As a general rule, the City is required to retain public records for at least two years. (California Government Code Sections 34090, et seq.) There are limited exceptions to this general rule that authorize the City to destroy records earlier than two years; however, there are many more exceptions to this general rule (based on legal requirements and considerations of public policy) that require a longer period of retention. This Policy, the Retention Schedule, and the Administrative Regulations, document the required periods of retention, along with the procedures for lawful destruction of records which have been retained for at least the minimum retention period. Records Management Program Policy Page 1 of 4 R2019-042 Page 3 of 6 EXHIBIT A RECORDS MANAGEMENT PROGRAM POLICY 3.2. Public Records Act. The California Public Records Act (Government Code sections 6250, et seq.) provides definitions for "writings" and "public records," for the purpose of determining which records are required to be disclosed to the public upon request. It also identifies which records are confidential or otherwise exempt from disclosure to the public. The definitions of the Public Records Act are used as a basis for the definitions set forth in this Policy. 3.3. Professional Standards and Retention Guidelines. Selected professional associations and other governmental agencies, such as the California Secretary of State, the Department of Justice, and the City Clerk's Association, have published standards, model retention guidelines, and/or articles recommending retention periods for different types of records. Although these standards and guidelines are not binding on the City, the City has taken these documents into consideration in establishing the City's Retention Schedule. 3.4. Penalties for Destruction of Public Records. There are serious penalties for unlawful destruction of public records. California Government Code Section 6200 provides for punishment by imprisonment up to four years for any City employee who is found guilty of willfully destroying (including altering, falsifying, mutilating, defacing, or stealing, in whole or in part) a public record without complying with the requirements of law, including this Policy. 4. DEFINITIONS. For the purpose of this policy, the following terms are defined below. 4.1. "Administrative Regulations" means the administrative regulations and procedures approved by the City Manager, in accordance with the provisions of Section 2.3 of this Policy, in order to implement the requirements of this Policy. 4.2. "City Employee" means any person hired or contracted to perform services for the City in a position approved by the City Council as a part of the Budget Staffing Plan, including any full-time, part-time, or limited term employee. 4.3. "Duplicate Copy" means a writing that is a copy of an original record, if the copy is not within the definition of"Trusted Copy." Duplicate Copy also includes any original record that has been replaced by a "Trusted Copy." 4.4. "Legal Hold" means a written notice from the City Manager, City Attorney, or the City Clerk that precludes the destruction of any record or writing, typically based on pending litigation or a claim filed against the city, until released. 4.5. "Non-record Writing" means any writing which is not within the definition of "Record." Examples of non-record writings include writings that do not contain information relating to the conduct of the City's business (such as brochures, catalogs, seminar announcements, magazines, and newspapers). 4.6. "Record" means a "Public Record" as defined by Government Code section 6252. "Record" means any writing containing information relating to the conduct of the City's business prepared, owned, used, or retained by the City regardless of physical form or characteristics. Thus, "Record" or "Public Record" includes the subsets of all "Trusted Copies." Records Management Program Policy Page 2 of 4 R2019-042 Page 4 of 6 EXHIBIT A RECORDS MANAGEMENT PROGRAM POLICY 4.7. "Retention Period" means the minimum length of time that a particular record shall be retained by the City before it is destroyed in accordance with this Policy. The Retention Period shall be identified on the Retention Schedule. 4.8. "Retention Schedule" means the schedule which identifies a minimum retention period for each category of record. The Retention Schedule is subject to the approval of the City Council by resolution, and may be amended periodically by City Council resolution. 4.9. "Transitory Writing" means writings that are not retained in the ordinary course of business, in accordance with the requirements of this Policy and the Administrative Regulations, and generally includes writings that have only transitory value for use by an individual City employee (e.g., personal notes or drafts that are not provided to another person). 4.10. "Trusted Copy" means a copy of an original record that is generated in a manner by which the copy accurately and legibly reproduces the original record in all details and that does not permit additions, deletions, or changes to the original record images. The Trusted Copy must be generated by a "Trusted System" in accordance with the requirements of Government Code section 34090.5, and the Administrative Regulations. Once a "Trusted Copy" is created, it shall replace the original record; and the original record may be lawfully destroyed as a "Duplicate Copy." The "Trusted Copy" must be retained as a record in accordance with the requirements of this Policy and the Retention Schedule. 4.11. "Trusted System" means a combination of techniques, policies, and procedures for which there is no plausible scenario in which a document retrieved from or reproduced by the system could differ substantially from the document that was originally stored or created as more particularly defined in Government Code section 12168.7. 4.12. "Writing" means any recording of any communication or representation (including letters, words, symbols, pictures, visual images, sounds, or combinations thereof), including any handwriting, typewriting, printing, photographing, photo-stating, photocopying, video recording, voice recording, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing (including papers, maps, magnetic or paper tapes, photographic films and prints, magnetic or punched cards, discs, drums, and other documents). Thus, "writing" is an all-inclusive definition that includes the subsets of all records, public records, trusted copies, duplicate copies, non-record writings, and transitory writings. (See California Government Code Section 6252.) 5. POLICY. 5.1. Each City employee shall create, use, maintain, store, preserve, secure, and retain all records in accordance with this Policy, the Retention Schedule, and the Administrative Regulations. Records shall be retained for the Retention Period identified on the Retention Schedule, unless modified by this Policy and the Administrative Regulations. Records Management Program Policy Page 3 of 4 R2019-042 Page 5 of 6 R2019-042 Page 4 of 6 EXHIBIT A RECORDS MANAGEMENT PROGRAM POLICY Records may be lawfully destroyed only in compliance with the requirements of this Policy and the Administrative Regulations. 5.2. The City Manager is authorized to include, as a part of the Administrative Regulations, procedures by which City employees are authorized to destroy writings that are less than two years old if the writing is within any one of the following categories: 5.2.1. Any original record that is replaced by a trusted copy, as defined by Section 4.10. 5.2.2. Any duplicate copy of a record, as defined by Section 4.3. The Administrative Regulations shall require the City Employee who authorizes the destruction of the duplicate copy to ensure that the writing is not needed for the conduct of the City's business, that it is a duplicate copy, and that there is an original record (from which the duplicate copy was made) being retained in accordance with the Retention Schedule consistent with the provisions of California Government Code Section 34090.7 5.2.3. Any non-record writing, as defined by Section 4.5 5.2.4. Any transitory writing, as defined by Section 4.9. The Administrative Regulations shall require the City employee who authorizes destruction of the transitory writing to ensure that the writing is not needed for the conduct of the City's business, that it was prepared by a City employee as a personal note for that City employee's personal use, that it was not provided to any other person, and that the public interest in destroying the writing (for purposes of maintaining effective and accessible public records) clearly outweighs the public interest in retaining the writing. 5.2.5. Any writing for which there is an independent legal basis for destruction, as set forth in the Retention Schedule, including any federal or state statute or regulation. This shall include procedures for the destruction of routine video monitoring, and recordings of telephone and radio communications, in accordance with California Government Code Section 34090.6. 5.3. The City Manager shall include, as a part of the Administrative Regulations, procedures that ensure that no record or writing shall be destroyed (whether pursuant to the Retention Schedule, or any provision of Policy Section 5.2) if the record or writing is the subject of a pending request for disclosure or inspection of a public record (pursuant to the requirements of California Government Code Sections 6250, et seq.), or (b) the record or writing is the subject of a legal hold. A "legal hold" is a written notice from the City Manager, City Attorney, or the City Clerk that precludes the destruction of any record or writing, typically based on pending litigation or a claim filed against the City, until the legal hold is released. Records Management Program Policy Page 4 of 4 R2019-042 Page 6 of 6 ith this Policy, the Retention Schedule, and the Administrative Regulations. Records shall be retained for the Retention Period identified on the Retention Schedule, unless modified by this Policy and the Administrative Regulations. Records Management Program Policy Page 3 of 4 R2019-042 Page 5 of 6 R2019-042 Page 4 of 6