Res 14-001RESOLUTION NO. 14 -001
A RESOLUTION OF THE CITY COUNCIL
OF THE CITY OF POWAY, CALIFORNIA,
AMENDING THE CITY OF POWAY RECORDS MANAGEMENT POLICY
AND RESCINDING RESOLUTION 06 -085
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; and
WHEREAS, the volume of paperwork 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, provide information in a timely manner, and coordinate departmental efforts;
and
WHEREAS, a record may be defined as information in any tangible medium used
in the operation or administration of City business; record media including hardcopy,
source document microfilms, and computer out -put; and various magnetic media, such
as tape or disk; and
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 comprehensive Records Management Program and to create the
administrative framework through which the purposes are to be achieved; 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 1" is hereby
amended and adopted in its entirety.
Section 2: Resolution 06 -085 is hereby rescinded.
Resolution No. 14 -001
Page 2
PASSED, ADOPTED AND APPROVED by the City Council of the City of Poway,
California, at a regular meeting this 7th day of January 2014.
Don Higginson, Mayor
ATTEST:
Sheila R. Cobian, CMC, City Clerk
STATE OF CALIFORNIA )
) ss.
COUNTY OF SAN DIEGO )
I, Sheila R. Cobian, City Clerk of the City of Poway, do hereby certify, under the
penalty of perjury, that the foregoing Resolution No. 14 -001 was duly adopted by the
City Council at a meeting of said City Council held on the 7th day of January 2014, and
that it was so adopted by the following vote:
AYES: CUNNINGHAM, VAUS, MULLIN, GROSCH, HIGGINSON
NOES: NONE
ABSENT: NONE
DISQUALIFIED: NONE
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Sheila R. Cobian, CMC, City Clerk
City of Poway
Resolution No. 14 -001
Page 3
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CITY OF POWAY
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. 14 -001
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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 as directed by a resolution adopted by the City of
Poway City Council. This subsection does not apply to a City record that is
temporarily transferred to a contractor for purposes of microfilming, duplication,
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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 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 Retention Schedule based
on state and federal laws for 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
schedules and records destruction requests in accordance with federal, state and
local laws.
C. 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.
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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 and present to the City
Council for adoption by resolution.
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.
D. 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
such rules as may be approved by the City Council.
E. 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:
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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.
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 must be monitored and amended as needed by
the City Clerk and approved by the Department Directors, City Attorney and City
Manager.
C. The Records Retention Schedule, and any amendments and revisions, 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, and must be signed by
the department's director, City Clerk, City Attorney, and ultimately approved 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.
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5. 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.
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 inventory of
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.