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Res 18-038RESOLUTION NO, 18-038 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF POWAY, CALIFORNIA, AMENDING THE CITY OF POWAY RECORDS MANAGEMENT POLICY AND RESCINDING RESOLUTION 14-001 WHEREAS, the City Council of the City of Poway recognizes its responsibility and obligation to foster efficient and cost-effective government and further recognizes the central importance of the management and protection of its records; WHEREAS, the volume of records generated by City departments which constitute vital records of policy, planning, growth, building regulation, and emergency services make it necessary to implement a sound program of records management, disclosure, and retention to more effectively use the available space, minimize potential liability, and provide information in a timely manner; WHEREAS, the declared purpose of the Records Management Policy, adopted by the City Council in 2006, is to establish the authority and assign responsibility for carrying out the Records Management Program and to create the administrative framework through which the purposes are to be achieved; WHEREAS, the Records Management Program is a comprehensive program of integrated procedures for the management of records from their creation to their ultimate disposition, and is consistent with federal, state and local regulations, as well as accepted records management practices; and WHEREAS, an effective Records Management Program demonstrates to legal and regulatory authorities that the City of Poway is making every reasonable effort to retain and dispose of its records in a responsible manner and in accordance with State and Federal regulations, applicable guidelines and good business practices. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Poway as follows: Section 1: The Records Management Policy as set forth in Exhibit "A" is hereby amended and adopted in its entirety. Section 2: Resolution 14-001 is hereby rescinded. Resolution No. 18-038 Page 2 PASSED, ADOPTED AND APPROVED by the City Council of the City of Poway, California, at a regular meeting this 19th day of June 2018. `Steve Vaus, Mayor ATTEST: �Y� Nancy Ne eld,(CM' , City Clerk STATE OF CALIFORNIA ) ) ss. COUNTY OF SAN DIEGO ) I, Nancy Neufeld, City Clerk of the City of Poway, California, do hereby certify, under the penalty of perjury, that the foregoing Resolution No. 18-038 was duly adopted by the City Council at a meeting of said City Council held on the 19th day of June 2018, and that it was so adopted by the following vote: AYES: GROSCH, LEONARD, MULLIN, VAUS NOES: NONE ABSENT: NONE DISQUALIFIED: NONE (Nancy fed, C, City Clerk City of Poway EXHIBIT A CITY OF POWAY Resolution No. 18-038 Page 3 RECORDS MANAGEMENT POLICY Section 1. Statement of Policy Section 2. Records Management Program Section 3. Ownership and Custody of Records Section 4. Duties and Responsibilities Section 5. Records Management Manual Section 6. Records Retention Schedule Section 7. Destruction of Records and Exemptions Section 8. Inspection of Records Section 9. Disaster Recovery: Vital Records, Databases, and Systems Resolution No. 18-038 Page 4 CITY OF POWAY RECORDS MANAGEMENT POLICY SECTION 1. STATEMENT OF POLICY A. The City of Poway recognizes its responsibility and obligation to foster efficient and cost- effective government and further recognizes the central importance of the management and protection of its records. B. It is the policy of the City Council of the City of Poway to provide for efficient, economical, and effective controls over the creation, distribution, organization, maintenance, use, retention and disposition of all records, through the City Clerk's Office. This policy is implemented through the Records Management Program, a comprehensive program of integrated procedures for the management of records from their creation to their ultimate disposition, consistent with federal, state and local regulations, as well as accepted records management practices. C. The declared purpose of the Records Management Policy is to establish the authority and assign responsibility for carrying out the comprehensive Records Management Program and creates the administrative framework through which the purposes are to be achieved. SECTION 2. RECORDS MANAGEMENT PROGRAM All City records must be created, maintained, and disposed of according to the policies and procedures established pursuant to the Records Management Program which consists of the City Council approved Records Management Policy and Records Retention Schedule, the Records Management Manual of procedures, and the Poway Unified Functional Filing System. SECTION 3. OWNERSHIP AND CUSTODY OF CITY RECORDS A. Every City record is the property of the City of Poway. No City officer or employee has, by virtue 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 use, alteration, destruction, deletion, or removal 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 with the consent in writing of the City Manager, City Attorney, City Clerk, and Department Director, without further action 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 authorized by the City Clerk. C. The legal custody of a City record created or received by a department during the course of business remains with the department director 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 Resolution No. 18-038 Page 5 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. D. The Records Management Program shall be binding on all officers, employees, committees, and commissions of the City of Poway and all records shall be created, maintained, stored and disposed of in accordance with the provisions of this policy. SECTION 4. DUTIES AND RESPONSIBILITIES A. City Council: The ultimate responsibility for establishing a Records Management Policy based on state and federal laws for all public records of the City shall rest with the City Council. B. City Manager: It shall be the responsibility of the City Manager to review and authorize record retention schedules and records destruction requests in accordance with federal, state and local laws. C. City Attorney: It shall be the duty of the City Attorney to review and approve record retention schedules and records destruction requests in accordance with federal, state and local laws. D. City Clerk: It shall be the duty of the City Clerk to serve as the Records Manager and to coordinate the Records Management Program for the City of Poway. Among other things, the City Clerk may, for the proper and efficient management of the public records: 1) Develop and circulate instructions and regulations as may be necessary and proper to implement and maintain the Records Management Program. 2) Advise and assist City departments in the preparation of records inventories and retention schedules. 3) Maintain the Poway Unified Functional Filing System in all departments. 4) Develop policies and procedures for off-site storage of records no longer required in active status but that require further retention for legal or operating reasons, and shall include the development and maintenance of an index of all records stored off-site. 5) Maintain archives to house selected records of permanent or historic nature that should not be destroyed. 6) Advise and assist City departments in reviewing and selecting records to be transferred to an authorized storage center. 7) Submit records retention schedules that affect the destruction of records to the City Attorney and City Manager for approval. Resolution No. 18-038 Page 6 8) Develop procedures for the protection of City records against natural or other disasters. 9) Develop policies and procedures to provide for the maintenance, preservation, microfilming, digital imaging, electronic storage, destruction, or other disposition of City records in accordance with the approved Records Management Program and state, federal and local laws. 10) Provide periodic training to appropriate City staff on proper records management practices and procedures. E. Employees: It shall be the duty of each officer and employee of the City of Poway 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 the Records Management Policy. F. City Departments: Each City department shall maintain an active, continuing program for the efficient management of its records 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 records in the conduct of the City's business in all media forms. 2) The maintenance and security of records deemed appropriate for preservation. 3) Segregation and disposal of records of temporary value in accordance with established records retention schedules. 4) Preparation and indexing for all records to be transferred to an off-site location in accordance with policies and procedures. SECTION 5. RECORDS MANAGEMENT MANUAL The City Clerk shall maintain a Records Management Manual that contains standards, policies and procedures for the administration of City records. The procedures must: A. Identify, protect and maintain City records throughout their life cycle. B. Facilitate access to City records for operating, legal, or public requirements. C. Ensure compliance with governmental regulations relating to records retention. D. Dispose of City records in accordance with the approved Records Retention Schedule. E. Adequately protect the essential and vital records of the City. F. Properly preserve City records that are of historic value. Resolution No. 18-038 Page 7 SECTION 6. RECORDS RETENTION SCHEDULE The City Clerk, in cooperation with department directors and staff, shall maintain records retention and disposition schedules that describe and establish the retention periods for City records created or revised by each department. A. Every City record identified and listed in the Records Retention Schedule shall be accurately and specifically described. B. The Records Retention Schedule shall be monitored and amended as needed by the City Clerk and approved by the Department Directors, City Attorney and City Manager. C. Minor updates shall be made with the consent of the City Clerk, City Attorney and City Manager, without further action by the City Council. Minor Updates are defined as improvement in Records Descriptions, changes in Office of Record, Office / Inactive timeframes (but not the Total Retention period), Whether to Image a record, and the Justification. D. Substantive amendments and revisions to the Records Retention Schedule shall be approved and adopted by the City Council. SECTION 7. DESTRUCTION OF RECORDS AND EXEMPTIONS A. Before a City record can be destroyed under an approved Records Retention Schedule, the record must meet the requirements under the Records Management Program. The records must be identified and documented by a record series on the approved records destruction form, with the consent in writing of the City Manager, City Attorney, City Clerk and Department Director, without further action by the City Council. B. A City record whose retention period has expired on an approved Records Retention Schedule must not be destroyed when it is categorized under the following exemptions for destruction: 1. Records affecting the title to real property or liens thereon. 2. Court records. 3. Records required to be kept by statute. 4. Records less than two years old. Minutes, ordinances, and resolutions of the City Council, Redevelopment Agency, and City committees and commissions. 6. The subject matter of the record is pertinent to an investigation, pending litigation or a pending audit. 7. Records considered to have a historic value. Resolution No. 18-038 Page 8 SECTION 8. INSPECTION OF RECORDS City records shall be available for inspection and/or copying during normal business hours in accordance with the provisions of the California Public Records Act. City staff may disallow inspection of any City record that is exempt from disclosure under the Public Records Act or other applicable law. SECTION 9. DISASTER RECOVERY: VITAL RECORDS, DATABASES, AND SYSTEMS The City Clerk, with the cooperation of all departments shall establish an inventoryof vital records, systems, data management software and equipment, and their locations, necessary to perform essential functions and activities and to reconstitute normal department operations following an emergency, and establish a plan to ensure maximum availability of the records in order to reestablish operations quickly with a minimum of disruption and expense. Such a plan must include the necessary and reasonable steps to protect such information, no matter the form or media, and should include: A. Selection of vital records identified through the City of Poway's Records Retention Schedule. B. Identification and protection of systems, data management software, and equipment necessary to access vital records, no matter the media. C. Review of protection methods available and appropriate for vital records and information preservation. D. Identification of alternate storage locations for vital information. E. Identification of the vital records and information that should receive priority during salvage operations. F. Development of audit measures and maintenance to ensure current and effective recovery systems, including all vital information stored on all forms of media. G. Establishment of administrative procedures and policies.