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HomeMy WebLinkAbout2000-10-17; City Council; Resolution 2000-3261 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 i RESOLUTION NO. 2000-326 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD ESTABLISHING A RECORDS MANAGEMENT PROGRAM FOR THE CITY OF CARLSBAD The City Council of the City of Carlsbad does hereby resolve as follows: WHEREAS, Sections 34090 and 34090.7 of the Government Code of the State of California provide legal requirements relating to the retention and the disposition of municipal records; and WHEREAS, other codes, both state and federal, also provide legal requirements for specific municipal records; and WHEREAS, the establishment of the Records Management Program which includes a Records Retention Schedule, a uniform filing system, and Guidelines and Procedures, will provide a better method of organizing, maintaining, and disposing of City records, in accordance with the operational needs and legal requirements for the retention and disposition of records; NOW, THEREFORE, the City Council of the City of Carlsbad resolves as follows: 1. That the Records Management Program set forth in the attached Exhibit “A”, is hereby adopted; 2. That the Records Management Department is hereby designated as the Custodian of this program and, as such, shall be responsible for the safekeeping and implementation of the program; 3. That the City Manager, City Attorney, and Records Manager are directed to review this program periodically and present any revisions to the City Council for procedure and schedule modification necessary to maintain the information current and ensure efficient operation of the program. PASSED and ADOPTED at a regular meeting of the Carlsbad City Council, held on the 17th dayof October ,2000, by the following vote, to wit: AYES: Council Members Lewis, Hall, NOES: None ABSTAIN: None LORRAINE M. WOOD, City Clerk (SEAL) - Exhibit 2 City of Carlsbad Records Management Exhibit "A" to Resolution No. 2000-326 -l- Revised 10/04/00 RMP City of Carlsbad Records Management CITY OF CARLSBAD RECORDS MANAGEMENT PROGRAM TABLE OF CONTENTS Section 1. Statement of policy Section 2. City of Carlsbad Records Management Section 3. Records definitions Section 4. Records Management Department Section 5. Ownership and custody of City records Section 6. Duties and responsibilities of City Officials Section 7. Records involved in public records requests, pending litigation, or auditing Section 8. Records Management Program to be developed and approved. Section 9. Records Retention Schedule. Section 10. Destruction of records Section 11. Conditions of destruction. Section 12. Inspection of public records. Section 13. Withholding records from inspection. Section 14. Records Protection and Disaster Recovery Planning Program. -2- Revised 1 O/04/00 RMP 6 City of Carlsbad SECTION 1. STATEMENT OF POLICY Records Management A. B. C. The City of Carlsbad recognizes that the Citizens have a right to expect and the City has an obligation to foster, efficient and cost-effective government and further recognizes the central importance of the City records. The Records Management Department has a responsibility to manage, protect, preserve and make available the city records. It is the policy of the Records Management to provide for efficient, economical, and effective controls over the creation, distribution, organization, maintenance, use, retention and disposition of all records. This policy is implemented through a comprehensive program of integrated procedures for the management of records from their creation to their ultimate disposition, consistent with the requirements in accordance with the state and federal regulations. The declared purpose of the Records Management Program is to provide for the proper and efficient administration of the City of Carlsbad records. SECTION 2. CITY OF CARLSBAD RECORDS MANAGEMENT PROGRAM All City records must be created, maintained, and disposed accordingly and all requirements, policies and procedures established pursuant to the Records Management Program. SECTION 3. RECORDS DEFINITIONS Active: Records that are required for day-to-day business and are subject to frequent use; generally referred to more than once per month per tile drawer. Administrative Value: A record that assists in the operation of government, and insures administrative consistency and continuity, serving a particular purpose for that office at that particular time. In appraisal, the usefulness of records for the conduct of current and/or future administrative business needs. Adoption: Final action by a legislative body. Al IM: Association for Information and Image Management. Alphanumeric: A filing system combining alphabetic and numeric symbols. ANSI: American National Standards Institute. -3- Revised 1 O/04/00 RMP 7 h City of Carlsbad Records Management Appraisal: Review of information gathered from a records inventory. Each identifiable records series can be appraised for its legal, financial, administrative, and historical value for the purpose of establishing retention periods. Archival Record: A record with permanent retention because of its historical, legal or fiscal value. Archives: A repository for housing permanent or historic records, whether in hard copy, electronic, microfilm or imaging form, which must be preserved and protected from destruction. ARMA: Association of Records Managers and Administrators, Inc. Audit: Review for acceptance of records relating to operations, policies and procedures, financial documentation and historical documents by regulating agencies. CD-ROM: A storage medium that uses lasers to encode images or information in digital form and to read the image data from the disk. Closed/Completed: A file or record on which action has been completed and to which an audit or further action is not likely to occur. Coding: Marking the indexing units on the document to be filed. Commercial Records Center: A records center, operated by a private company, housing the records of many different companies on a fee basis. Confidential Records: Those records to which access by unauthorized City personnel and/or the public are not permitted, for example: personnel records. Copy: A reproduction of the contents of an original document, which is not the official file copy of the agency. Copies are usually identified by their function, i.e., action copy, reading file copy, tickler file copy, etc. In most instances, copies will have a shorter retention than the official tile copy of a record series. Current: Records when specified as the minimum retention period means that superseded, rescinded, expired, or not longer useful records may be removed from the files and also may be destroyed. Disposition: The allocation of public records to a particular location according to their categorization of destruction. Electronic Filing: Storage and retrieval of information in digital form. Environmental Records: Records relating to the growth and/or development of the City, its structures, and its inhabitants. -4- Revised 1 O/04/00 RMP City of Carlsbad Records Management File Integrity: Accuracy and completeness of the file/records. Financial Records: Budget, financial status reports, balances sheets, and statements of income and expenditures; records of official bonds; records of wages paid to person engaged in public work; rate or fee schedules, etc. Fiscal Value: Documents and accounts for receipt of or expenditure of public funds such as budget, ledgers or accounts receivable and payable, payrolls, and vouchers. Documents availability of funds for operational purposes. In appraisal, records required until a financial audit is completed or financial obligations are fulfilled. Hard Copy: Original paper document. Historical Value: Refers to the retention of records which have enduring value because they reflect significant historical events or document the history and development of the City. Holdings: Total volume of records stored in a records center. Inactive Records: Records that are no longer used for daily operations and have not been used for at least six months are considered inactive. Records become inactive prior to eligible destruction dates. Inventory: process of examining records on hand to determine their function, content, and dates in order to assign retention/disposition information. Legal Citation: Identifies laws and regulations, which regulate retention of the record series. Legal Retention: Based on the legal citation, this identifies the period of time the record series is required to be retained. Legal Value: Refers to the retention of records containing evidence of legally enforceable right or obligations. Examples are decisions and opinions; fiscal documents representing agreements, such as leases, titles and contracts; and records of action in particular cases, such as claim papers and legal dockets. Life: A record that has continuing value to the organization. Linear Inches: Linear measurement in inches of paper based records. Master: Original or copy of a document from which copies are made. Microfilm and Machine Readable Records: Microforms and other machine readable record of research or archival value. Microfiche: 4” x 6” sheet of microfilm with rows and columns of images. It usually contains a tile which can be read without magnification. -5- Revised 1 O/04/00 RMP City of Carlsbad Records Management Microfilm: Fine-grain, high resolution film containing an image greatly reduced in size from the original. Minimum Retention Period: The least amount of time a record must be kept determined by assessment of administrative, legal, fiscal and historical values. National Bureau of Standards: Bureau of the United States Government established by an Act of Congress on March 3, 1901, which conducts research and provides standards to industry and government to: increase productivity and innovation; strengthen and advance science and technology; and facilitate their effective application for public benefit. Non-Record Material: Material that does not need to be tiled or that can be destroyed after a short retention. This includes duplicates, drafts, worksheets, routine replies, and records not related to City business or produced by the City. Numeric Filing: Arrangement of records in ascending order or sequence. Office of Record: The department that created or is responsible for retaining the official record or record copy. Optical Disk: A storage medium that uses lasers to encode images or information in digital form and to read the image data from the disk. Original: Document from which copies are produced. Permanent: Recorded information which is required by law to be retained indefinitely; or which has been designated for continuous preservation because of its administrative, fiscal or historical significance. Personnel Records: Organization charts, job descriptions, salary schedules, employee history records, union contracts, etc. Property Records: Records Affecting the title to real property owned by the City and equipment inventory. Public Record: Any writing, regardless of physical form or characteristics, which is created, owned, used, maintained or retained in the conduct of City business and preserved as evidence of the organization, functions, policies, decisions, procedures, operations or other activities, or because of its informational value, unless the writing is exempt from disclosure under the California Public Records Act. Reader: Machine that magnifies the microfilm for viewing. Reader/Printer: Machine that magnifies the microfilm for viewing and can reproduce the enlarged microfilm images. -6- Revised 1 O/04/00 RMP City of Carlsbad * Records Management Record: Recorded information of any kind and in any form. Record Copy: The original or official copy of a record maintained by an agency, sometimes referred to as the designated original, or blue-ribbon copy. Records Center: Central repository for housing inactive records until they have met their retention requirements and may be destroyed. Records Management: Systematic control of the creation, acquisition, processing, use, protection, storage, and final disposition of all public records, including the establishment and maintenance of a system of filing and indexing public records. Records Manager: Individual within the organization who is assigned the responsibility of systematically and scientifically controlling the recorded information generated and received by the City. Records Retrieval: Locating documents and delivering them for use. Records Series: Group of identical or related records that are used filed and disposed of in the same way. Refile: The process of returning a record to its original place in a file after it has been withdrawn. Retention Period: The period of time that records must be kept according to legal and/or organizational requirements. Retention Schedule: Document, approved by the City Council, describing the records maintained by the City and specifying, in accordance with statutory requirement or evaluation, the period of time which must elapse before they may be destroyed. Retrieval: Locating documents and delivering them for use. Supersede: The replacement of an existing document. Termination: Designates the end of a specific term (e.g., appointed elected official’s terms, employment, training, course, program, use or ownership). Transfer List: A list describing the contents of a group of records that are transmitted from one holding area to another , usually from active files to a records center. Visual Documents: Photographs, motion pictures, videotapes, diagrams, charts, maps or drawings of archival, cultural, architectural, engineering, research or technical value. Vital Record: Records containing information essential for the resumption of operation after a disaster or the reestablishment of the legal and financial status of the organization. -7- Revised 1 O/04/00 RMP City of Carlsbad Records Management Writing: Handwriting, typewriting, printing, photocopy, photographing, and every other means of recording upon any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combination thereof, and all papers, maps, magnetic or paper tapes, photographic films and prints, magnetic or punch cards, discs, drums, and other documents. SECTION 4. RECORDS MANAGEMENT DEPARTMENT The Records Management Department manages the official files for the City of Carlsbad and is responsible for maintaining and updating the Records Retention Schedule; Records Management Guidelines and Procedures; and Records Destruction Request for the City of Carlsbad. The Records Management Department provides a service function to the community as well as a service oriented support function to other departments within the City of Carlsbad structure. The Goal of the department is to anticipate and meet the changing needs of both the citizens and internal departments of the City. . SECTION 5. OWNERSHIP AND CUSTODY OF CITY RECORDS A. Every city record is the property of the City of Carlsbad. No City officer or employee has, by virtue of the position of the position any personal or property right to a City record even though the City officer or employee may have developed or compiled the record. The unauthorized alteration, destruction, deletion, removal from files, or use of a city record is prohibited. A City record exempted from public disclosure under the state and federal laws is not made subject to disclosure by its designation as City property. B. A City record may not be sold, loaned, given away, destroyed, or otherwise alienated from the City’s custody unless in accordance with state and federal laws or unless destroyed as directed by a resolution or ordinance adopted by the City Council. This subsection does not apply to a City record that is temporarily transferred to a contractor for purposes of microfilming, duplication, conversion to electronic media, restoration, or a similar records management preservation procedure if the transfer is authorize by the Records Manager. C. The legal custody of a City record created or received by a department during the course of business remains with the department manager or with any designated successor. The legal custodian, as guardian of the record does not relinquish responsibility for the care, preservation, or legal disposition of the record even though another department or agency may hold physical custody of the record for maintenance and preservation purposes. The physical custodian of the record is responsible for complying with all the Records Management Program requirements, policies, and procedures. An original City record may not leave the custody of the department concerned when being used by a member of the public. -8- Revised 1 O/04/00 RMP City of Carlsbad Records Management D. The legal and physical custody of a City record that has continuing historical value to the City may be transferred to the Records Management Department upon agreement between the department manager and the Records Manager. E. The Records Management Department shall review and determine as necessary custodial responsibilities of the Records Management Program, whether is under a citywide electronic application or manual archiving implemented for the preservation and control of City records. SECTION 6. DUTIES AND RESPONSIBILITIES A. City Council: The ultimate responsibility for the keeping and management of all public records of the’City shall rest with the City Council. B. City Attorney: It shall be the duty of the City Attorney to review and approve record retention and destruction schedules and records destruction requests in accordance with federal, state and local laws. C. Officers and Employees: It shall be the duty of each officer and employee of the City of Carlsbad to protect, preserve, store, transfer, destroy or otherwise dispose of, use and manage public records only in accordance with applicable federal, state and local laws, and such rules as may be promulgated or approved by the City Council. D. Records Manager: It shall be the duty of the Records Manager to coordinate the Records Management Program for the City of Carlsbad. Among other things, the Records Manager may, for the proper and efficient management of the public records: 1) 2) 3) Develop and circulate such instructions and regulations, as may be necessary and proper to implement and maintain the Records Management Program; Advise and assist City departments in the preparation of records inventories and retention schedules; Coordinate the off-site storage of records no longer required in active office areas but which require further retention for legal or operating reasons; and maintain an index to all records stored in the Center; -9- Revised 1 O/04/00 Rh4P 0 - City of Carlsbad Records Management 4) Maintain an archives to house records of a permanent or historic nature which should not be destroyed; 5) Advise and assist City departments in reviewing and selecting records to be transferred to the storage center or archives; 6) Advise and assist City departments in conducting surveys, studies, and investigations to promote a proper and efficient Records Management Program for the City; including an information retrieval system; 7) Submit records retention schedules, which affect the destruction of records, to the City Council for approval; 8) Develop procedures for the protection of City records against natural or other disasters. 9) Ensure that the creation, maintenance, preservation, microfilming, document imaging, electronic storage, destruction, or other disposition of City records is carried out in accordance with the approved Records Management Program. 10) In cooperation with department managers, incorporate records management objectives, responsibilities, and authorities in pertinent department directives with the Records Management Program. E. City Departments: Each City department shall implement and maintain an active, continuing program for the economical and efficient management of the public records of the department, under or according to provisions of the approved Records Management Program. Such program shall, among other things provide for: 1) Effective controls over the creation, maintenance, and use of public records in the conduct of business; 2) The maintenance and security of records deemed appropriate for preservation; 3) Segregation and disposal of records of temporary value in accordance with established retention schedules. Those public records that are not required in the current operation of the office where they are made or kept shall be transferred to Records storage until they have met their specific retention requirements and may be destroyed; or to the Archives, (if of a permanent or historic nature) so they may be insured permanent preservation. All records, which can properly be abolished or discontinued, shall be destroyed in accordance with Section 10 hereinafter specified. -lO- Revised 1 O/04/00 RMP City of Carlsbad Records Management SECTION 7. RECORDS INVOLVED IN PUBLIC RECORDS REQUESTS, PENDING LITIGATION, OR AUDITING. The destruction of the City record involved in a pending request for investigation, pending litigation, or a pending audit is prohibited, even if the destruction of the record is authorized by an approved and adopted Records Retention Schedule. SECTION 8. RECORDS MANAGEMENT PROGRAM TO BE DEVELOPED AND APPROVED. The Records Manager shall develop and establish a citywide Records Management Program, subject to the approval of the City Council. This program must contain standards, policies and procedures for the administration of the City records. The Records Management Program standards, policies and procedures must: 1) 2) 3) 4) 5) 6) 7) 8) 9) Adequately protect the essential records of the City; Properly preserve City records that are of historical value; Establish criteria for citywide and departmental Records Management Program compliance including requirements for conducting departmental records inventories, preparing retention schedules and certifying retention and disposition schedules and electronic media recordkeeping systems; Establish functional recordkeeping requirements to improve the efficiency of the archiving of City records and to ensure the creation of adequate and proper documentation of the City’s activities and transactions; Create policies for the retrieval of records from a media device; Create policies to address Records Management Program requirements and needs as technology evolves; Provide for review by the Records Manager of all electronic recordkeeping systems design prior to purchase and implementation of the systems; Ensure the development and maintenance of up-to-date documentation for all electronic records systems that will adequately specify the technical characteristics of each system necessary to reading, processing, or preserving City records until disposition of the records is authorized; Provide for the creation of adequate audit trails; -ll- Revised 1 O/04/00 RMP City of Carlsbad Records Management 10) Incorporate electronic records management objectives, responsibilities, and authorities in pertinent City directives, policies and procedures; 11) Ensure the ability to access City records regardless of form or medium. The Records Management Program standards, policies and procedures are binding on all city officers and employees and on all departments, agencies, commissions and committees, and similar entities of the City of Carlsbad. SECTION 9. RECORDS RETENTION SCHEDULE. The Records Manager, in cooperation with department managers, shall prepare records retention and disposition schedules that describe and establish the retention periods for City records created or revised by each department, these retention periods for all City records must be established accordingly. A records retention schedule must contain such information regarding the disposition of the City records as the Records Management Program may require. A. B. C. D. Every City record identified and listed in the Records Retention Schedule, in any amendment to the schedule, or in any request for destruction of the record must be specifically described. Any Records Retention Schedule, amendment to a schedule, or request for destruction of a record that contains general terms such as “miscellaneous” and “various” to describe any record identified in such a document may not be submitted for approval. Each Records Retention Schedule must be monitored and amended as needed by the Records Manager, with approval from the City Council, to ensure that the schedule is in compliance with state and federal regulations. Before its adoption by the City Council, a Records Retention Schedule must be reviewed by the Records Manager, the department managers and the City Attorney. A department manager shall notify the Records Manager when a City record is eligible for destruction and shall prepare and submit a Records Destruction Request Form. SECTION 10. DESTRUCTION OF RECORDS. Before a City record can be destroyed under an approved Records Retention Schedule, the record must meet the requirements under the Records Management Program, unless the approved Records Retention Schedule specifies that the record may be destroyed without additional review or approval by the City Council. City records require no further approval by the City Council for destruction as long as they are listed on the approved Records Retention Schedule. The destruction of these records follow the - 12- Revised 1 O/04/00 RMP /6 City of Carlsbad Records Management guidelines based on the Records Management Program and the retention time frames listed on the Records Retention Schedule. The records must be identified and documented by a record series on the approved Records Retention Form, which must be signed by the department’s manager, Records Manager and City Attorney. A City record whose retention period has expired on an approved Records Retention Schedule must be destroyed unless it is categorized under the following exemptions for destruction: A. Records affecting the title to real property or liens thereon; B. Court records; C. Records required to be kept by statute; D. Records less than two years old; E. Minutes, ordinances, or resolutions of the City Council or of a City Board or Commission. F. The subject matter of the records is pertinent to pending litigation or a pending audit. This section shall not be construed as limiting or qualifying in any manner the authority provided in Section 11 hereinafter provided for the destruction of records, documents, instruments, books, and papers in accordance with the procedures therein prescribed. SECTION 11. CONDITIONS OF DESTRUCTION. Notwithstanding the provisions of Section 10, the Records Manager having custody of City records may, without the approval of the City Council or the written consent of the City Attorney, cause to be destroyed any or all such records if all the following conditions under the California Government Code Section 34090.5 are met: A. The record is photographed, micro photographed, or reproduced on film of a type approved for permanent photographic records by the National Bureau of Standards; or imaged and placed into the City’s document management system electronic vault; B. The photographs, microphotographs, film, and other reproductions have the required certificate of authenticity on each roll, fiche, or series; C. The device used to reproduce such record, paper or document on film or image is one that accurately and legibly reproduces the original thereof in all details; D. The photographs, microphotographs, images, or other reproductions on file are made accessible for public reference as the book records were; - 13 - Revised 10/04/00 RMP City of Carlsbad Records Management E. A true copy of archival quality of such film reproductions or image shall be kept in a safe and separate place for security purpose. SECTION 12. INSPECTION OF PUBLIC RECORDS. Public City records shall be available for inspection and/or copying in accordance with any procedures established by the City Manager and the provisions of the California Public Records Act. SECTION 13. WITHHOLDING RECORDS FROM INSPECTION. City staff may disallow inspection of any City record that is exempt from disclosure under the California Public Records Act or other applicable law. If City staff is uncertain whether a particular City record is subject to or exempt from disclosure, City staff should consult with the City Attorney’s office for guidance. SECTION 14. RECORDS PROTECTION AND DISASTER RECOVERY PLANNING PROGRAM. The purposes of this program element are to: A. Control the records that are essential to the continued functioning or reconstruction of the City during and after an emergency. B. Safeguard those records essential to protecting the rights and interests of the City of Carlsbad directly affected. C. Provide an emergency preparedness for the protection of the City Records in the event of any natural disaster and fire hazards. D. The Records Manager shall provide necessary direction, coordination, and guidance so that a comprehensive emergency preparedness program exists for all hazards that may affect the City Records. E. Certain measures and provisions have been implemented for the protection and preservation of City records and are as follows: 1) Transfer under an authorized inventory certain City Records for storage, from an off-site City facility to a designated storage area, for the purpose of any accidental, natural, man- caused, or toxic and fire hazard which causes or may cause substantial damage to the City records of the City of Carlsbad. - 14- Revised 1 O/04/00 RMP City of Carlsbad Records Management 2) Implementation of an electronic records media, transforming all original City records into a digital document imaging system, and to be stored inside of an electronic device such as disk, tape, or CD-ROM; which will be placed in a designated off-site storage area. F. Each department manager shall comply with the Records Management Program in order to ensure the protection and preservation of City Records in the event of a natural or hazard disaster as describe in this section. - 15- Revised 1 O/04/00 RMP