The URL can be used to link to this page

Home My WebLink About04 - Proposed Amendments to the Records Retention SchedulePORT CITY OF O � _ i NEWPORT BEACH City Council Staff Report <i FO RN March 27, 2018 Agenda Item No. 4 TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL FROM: Leilani I. Brown, City Clerk - 949-644-3005, (brown@newportbeachca.gov PREPARED BY: Jennifer Nelson, Assistant City Clerk - 949-644-3005, 0nelson ,newportbeachca.gov TITLE: Proposed Amendments to the Records Retention Schedule ABSTRACT - The City of Newport Beach ("City") continues to improve its records management program, including updating the City's Records Retention Schedule ("RRS"), to incorporate new laws and business practices. The previous amendments to the RRS were approved by the City Council in 2016. Attached to this staff report is a list of proposed new amendments that require City Council review and approval. RECOMMENDATION: a) Determine that the action is exempt from the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the CEQA Guidelines because it will not result in a physical change to the environment, directly or indirectly; and b) Adopt Resolution No. 2018-18, A Resolution of the City Council of the City of Newport Beach, California, Amending Certain Sections of the Records Retention Schedule and Authorizing Destruction of Certain Records Accordingly. FUNDING REQUIREMENTS: There is no fiscal impact related to this item. DISCUSSION: In August 2003, the City adopted a RRS, which among other things, provided record descriptions and retention periods. Since then, the City Council has approved revisions to the RRS in 2006, 2014 and 2016. The purpose of the revisions is to keep the RRS up-to-date. The City's consultant Diane Gladwell of Gladwell Governmental Services, Inc. ("Gladwell"), who specializes in local government records, periodically reviews the City's RRS and provides recommended updates. 4-1 Amendments to the Records Retention Schedule March 27, 2018 Page 2 Over the last six months, the City Clerk's Office met with staff from each department to discuss records management. During these meetings, staff reviewed their specific records with the City Clerk's Office and this collaboration generated the proposed amendments to the RRS. The City Clerk's Office, City Attorney's Office and Diane Gladwell have reviewed staff's requested revisions to the RRS and, based on best practices, all agree that the recommended changes are acceptable. ENVIRONMENTAL REVIEW: Staff recommends the City Council find this action is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly. NOTICING: The agenda item has been noticed according to the Brown Act (72 hours in advance of the meeting at which the City Council considers the item). ATTACHMENT: Attachment A — Resolution No. 2018-18 4-2 ATTACHMENT A RESOLUTION NO. 2018-18 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NEWPORT BEACH, CALIFORNIA, AMENDING CERTAIN SECTIONS OF THE RECORDS RETENTION SCHEDULE AND AUTHORIZING DESTRUCTION OF CERTAIN RECORDS ACCORDINGLY WHEREAS, the maintenance of numerous records is expensive, slows document retrieval, and is not necessary after a certain period of time for the effective and efficient operation of the government of the City of Newport Beach ("City"); WHEREAS, California Government Code Sections 34090 et seq. provide a procedure whereby any City record that has served its purpose and is no longer required may be destroyed; WHEREAS, the State of California has adopted guidelines for retention periods for various government records; WHEREAS, the City Council adopted Resolution No. 2003-39, adopting the initial Records Retention Schedule in 2003; WHEREAS, the City Council revised the Records Retention Schedule through the adoption of Resolution No. 2006-104, Resolution No. 2011-18, Resolution No. 2014-35, and Resolution No. 2016-48; and WHEREAS, the City is continuing to improve its records management program, including updating the City's Records Retention Schedule to incorporate new laws and business practices. NOW, THEREFORE, the City Council of the City of Newport Beach does hereby resolve as follows: Section 1: The term "records" as used herein shall include documents, instructions, books, microforms, electronic files, magnetic tape, optical media, papers, or other items, as defined by the California Public Records Act ("CPRA"). Section 2: The Records Retention Schedule is hereby amended, in part, as set forth in Exhibit 1, attached hereto and incorporated herein by this reference. Section 3: The records of the City of Newport Beach, as set forth in Exhibit 1, attached hereto and incorporated herein by this reference, and the Records Retention Schedule are hereby authorized to be destroyed as provided by Sections 34090 et seq. of the Government Code of the State of California and in accordance with the provision of said schedule upon the request of the Department Directors and with the written consent of the City Attorney, without further action by the City Council of the City of Newport Beach. Section 4: With the consent of the City Clerk, City Manager, and City Attorney, amendments are hereby authorized to be made to the Records Retention Schedule and Exhibit 1 without further action by the City Council for the following items, as long those additions or amendments do not reduce the retention timeline or eliminate any portion of the Records Retention Schedule: Minor clarifications or improvements of records descriptions; changes of Office of Record/re-naming of departments or divisions; new records series being added. Although these items do not require City Council approval, a copy of all changes shall be made available to the City Council for review. Glc] Resolution No. 2018-18 Page 2 of 2 Section 5: All other parts of the Records Retention Schedule shall remain unchanged and in effect. Section 6: The City Council finds this action is not subject to the California Environmental Quality Act ("CEQA") pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly. Section 7: The recitals provided in this resolution are true and correct and are incorporated into the substantive portion of this resolution. Section 8: If any section, subsection, sentence, clause or phrase of this resolution is, for any reason, held to be invalid or unconstitutional, such decision shall not affect the validity or constitutionality of the remaining portions of this resolution. The City Council hereby declares that it would have passed this resolution, and each section, subsection, sentence, clause or phrase hereof, irrespective of the fact that any one or more sections, subsections, sentences, clauses or phrases be declared invalid or unconstitutional. Section 9: This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall certify the vote adopting the resolution. ADOPTED this 27th day of March, 2018. Marshall "Duffy" Duffield Mayor ATTEST: Leilani I. Brown City Clerk APPROVED AS TO FORM: CITY ATT E OFFICE .,,& — ( (I-) Aaron C. Harp City Attorney Exhibit 1 - 2018 Records Retention Schedule Update Exhibit 1 4-5 Current Specific Request / Comments / Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning /Clarification Needed No. D = Delete City Clerk's Office CCO Agendas and Agenda CCO CCO CC -003 Packets - Paper, prior Remove CC -003 - Records no longer in existance to October, 1998 (City Council) CCO -F CCO CC -010 Budgets (Final) Remove CC -010 - Finance is the Office of Record 4-5 M Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning /Clarification Needed No. D = Delete Finance Journals, Ledgers, Reconciliations, Registers, Reports, Transaction Histories, Remove FIN -018 -Transitory record not retained in Fin. /Accounting Finance FIN -018 Balance Sheets the ordinary course of business (MONTHLY OR PERIODIC) Does NOT include year end General Ledger Redevelopment Fin. /Accounting Finance FIN -019 Statement of Remove FIN -019 - moved to CM -018 Indebtedness Street Report, AQMD Annual Report, Fin. /Accounting Finance FIN -021 Maintenance of Effort Remove FIN -021- combined with FIN -020 (MOE) Calculations, Audits, and other compliance reports Fin. /Revenue Finance FIN -068 Animal License Remove FIN -068 -this is outsourced Applications Fin. /Revenue Finance FIN -047 Payment Stubs Remove FIN -047 - no longer needed (includes temporary) M 4-7 Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning /Clarification Needed No. Indicates must go to Council for approval if x in box A = Amend A Fire(FR) FR) Indicates Amended text with reduction in retention period - must go to Council for D = Delete pproval if x in box Annual Reports/ Fire Incident Statitstics MetroNet's Statistical Report / Run Statistics Amend FR -001; Records Description: Annual Reports /Fire Incident Statitstics MetroNet's x Fire Fire FR -001 (e.g. Lifeguards, Fires, Statistical Report / Run Statistics (e.g. Lifeguards, and medical calls etc.) Fires, and medical calls etc.) Statistical Reports - Statistical Reports - Dispatch, Incidents, Dispatch, Incidents, and Other Operational Data (All Divisions); Active & Total Retention: 2 years P; and Other Operational Data (All Divisions) Destroy Paper after Imaged & QC'd: Yes - After QC No; Comments/Reference: Retained for historical and administrative value; GC §34090 Station Log Books / x Fire Fire FR -049 Station Journals (kept Amend FR -049; Active & Total Retention:2 years P at Fire Stations) D Application for Temporary Permit to Operate Fire Department, candles, (e.g. weddings) candle program (e.g. Fire FR -032 restaurants), Remove FR -032 - moved to Building BL -024 pyrotechnic display, open flame, tents, LPG, etc. / Provisional State regulated occupancies Certificated Unified Program Agencies (CUPA) — Participating Agency(PA) Hazardous Materials Fire Fire FR -045 Remove - City is no longer CUPA Emergency Business Plan, permitting/ inspection reports / enforcement records / correspondence City Code Enforcement Remove - these records are now with CDD -Cade Fire Manager or FR -024 Case Files Enforcement CE -001 Fire 4-7 0.1 Fuel Usage, Storage, Fire Fire FR -021 Remove FR -021- Part of Finance database records Records Hazardous Materials Inventory/Industry Files / Hazardous Materials Field Fire Fire FR -022 Remove FR -022 -Now part of FR -043 Inspection Notice (includes original Maps and Plans, Haz Mat Business Plans) Knox Box Location List (locked key to building Fire Fire FR -011 Remove FR -011- no longer required for emergency entries) New construction Plans (e.g. Flame Retardancy Certificates, Floor Plan Fire Fire FR -028 Remove FR -028 -moved to BL -012 Drawings, fire lanes, fuel modification, business for occupancy load,) Training ALL COURSE Fire Lead Dept. *** RECORDS - See City Remove - records filed under CW -068 Wide, CW -068 Underground Storage Fire Fire FR -033 Tanks (e.g. Remove FR -033 - filed under Building BL -025 removal/repair) 0.1 . • Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning / Clarification Needed No. HarbotResources D = Delete Violations / Warnings Harbor Harb Resources HBR-012 / Code Enforcement Remove HBR-012 -moved to CE -003 . • 4-10 Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning / Clarification Needed No. Indicates must go to Council for approval if x in box A = Amend A Human Resources Indicates Amended text with reduction in retention period - must go to Council for D = Delete (HR) approval if x in box Human LiveScan Fingerprint Amend HR-017; Active & Total Retention: 50 70 x Human Resources Resources HR-017 Clearance Log years D Applications for Employment or Human Resources Human HR-001 Resumes: Unsolicited Remove HR-001 - No longer required Resources (no open position), candidates not hired Deferred Compensation File Human Resources Human HR-006 (Employee Remove HR-006 - now under HR-022 Resources Elections/Contribution S) Human Human Resources HR-040 Employee Relations Remove HR-040 - no longer required Resources Human Master Test File for Remove HR-018 - tests that are used are x Human Resources HR-018 Resources Recruitments maintained with the recruitment file (HR-027) Human Recruitment Flyers Human Resources HR-028 Remove HR-028-this is included in HR-027 Resources and Brochures Human Human Resources HR-029 Salary Surveys Remove HR-029 -this is included in HR-005 Resources 4-10 4-11 Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning /Clarification Needed No. D = Delete Libra Services Library Art Education (murals, Library Services Services LS -004 etc) Remove LS -004 - no longer needed Contract Administration Library Services Library LS -006 (correspondence, Remove LS -006 - contracts are city-wide Services certified payrolls, time schedules, etc) Contracts with a City or County owned Product -Includes RFP, Proposal, Scope Library Services Library LS -007 of Services, Special Remove LS -007 -contracts are city-wide Services Instructions, Contract, and Final Drawings (e.g. Parks Departments, Schools, Libraries) Contracts without a Library City or County owned Library Services Services LS -008 Product (e.g. Remove LS -008 -contracts are city-wide performances) Events - Conferences, Library Library Services LS -010 other City sponsored Remove LS -010 - no longer needed Services events Library Events -Receptions Library Services LS -011 (small, medium or Remove LS -011- no longer needed Services large) Library Cash Receipts Detail / Library Services LS -015 Remove LS -015 - not retained by Library Services Backup Library Services Library LS -017 Deposit Slips (Copies) Remove LS -017 -Library is not Office of Record Services Library Video Tapes of City Library Services LS -031 Remove LS -031- no longer retained in Library Services Council meetings 4-11 4-12 Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning /Clarification Needed No. Indicates must go to Council for approval if x in box A = Amend A Municipal Indicates Amended text with reduction in retention period - must go to Council for D = Delete Operations (MOD) proval if x in box Municipal Operations Municipal Underground Storage x / Admin. Operations MOD -017 Tanks Amend MOD -017; Active Retention:3 10 years Confined Space Municipal Operations Entries (Permitted Amend MOD -061; Inactive Retention:3 years; x / OS /Storm Drain / Municipal MOD -061 entries into sewers Total Retention: 2 5 years; Comments/Reference: Operations and storm drains in Department preference; 8 CCR 5157(d)(14) & Street Sweeping order to comply with (e)(6); 29 CFR 1910.146(e)(6) GC §34090 regulations) Municipal Operations Municipal Freon Gas Journal / Remove MOD -027 - has since changed to R134A / Equip. Maint. Operations MOD -027 Log (Air Conditioning) and no longer required to keep records Municipal Operations Municipal Administrative Remove MOD -081 - this is a Code Enforcement / Admin. Operations MOD -081 Citations (Spills) record (CE -003) 4-12 4-13 Current Specific Request / Comments / Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning /Clarification Needed No. D = Delete D Public Works (PW) Public x Public Works PW -032 Newsrack Permits Remove PW -032 - no longer needed Works Storm Drain Video Utilities or Inspection Reports / Remove PW -013 - transitory record and not part of x Public Works Public PW -013 Video Tapes or Digital overall program administered by Public Works Works Recordings - Spot Checks / Inspections Utilities or Studies (pavement Public Works Public PW -014 Remove PW -014 - combined with PW -006 management, etc.) Works Public Public Works PW -017 Daily Work Reports Remove PW -017 - combined with PW -007 Works Public Public Works PW -022 Master Plans Remove PW -022 - duplicate of PW -003 Works Preliminary Studies / Public Public Works PW -024 Project Assessments Remove PW -024 - combined with PW -006 Works (Not Acquired) 4-13 4-14 Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning /Clarification Needed No. Indicates must go to Council for approval if x in box Recreation and A =Amend A Senior Services Indicates Amended text with reduction in retention period - must go to Council for D =Delete (RSS) apprM&Lf x in box Class and Camp Registrations & Amend RS -003; Department/Division & Office of Recreation & Senior Recreation & Rosters/ User Pay Record: Recreation & Senior Services; Active & Total x Services Senior RS -003 Recreation Programs Retention: 24 years; Comments/Reference: Services (Recreation Waiver) - Department preference; GC §34090 ALL Amend RS -004; Department/Division & Office of Recreation & Recreation & Senior Daily Facility and Record: Recreation & Senior Services; Active & Total Services Senior RS -004 Activity Logs Retention: 24 years; Comments/Reference: Services Department preference; GC §34090 Amend RS -012; Department/Division & Office of Recreation & Recreation & Senior Record: Recreation & Senior Services; Active & Total Services Senior RS -012 Special Event Permits Retention: 2 4 years; Comments/Reference: Services Department preference; GC §34090 Amend RS -013; Department/Division & Office of Recreation & Record: Recreation & Senior Services; Active & Total Recreation & Sen ior Volunteer Sign -ins / Senior RS -013 Retention: 2 3 years; Comments/Reference: Services Summary of Hours Services Department Preference to match retention periods for other volunteer records; GC §34090 Recreation & Agreements for Recreation &Senior Remove RS -001- City Clerk's Office is OFR for all Services Senior RS -001 Contractors: Class contracts Services Instructors etc. Recreation & Recreation & Sen ior Remove RS -011- Transitory record not pertaining Senior RS -011 Score Sheets Services to the conduct of City business Services Recreation & Agreements for Recreation & Senior Remove RS -014 - City Clerk's Office is OFR for all Services Senior RS -014 Contractors: Class contracts Services Instructors, etc. Emergency Contact Recreation & Information / Medical Recreation &Senior Senior RS -015 Release Forms (Given Remove RS -015 - this has been added to RS -005 Services Services to the Driver, instructor, etc.) Recreation & Recreation &Senior Senior RS -017 Program Evaluations Remove RS -017 - duplicate of RS -008 Services Services 4-14 4-15 Current Specific Request /Comments /Reference / Action Requested Department/Division Current OFR Classification Records Description Information /Reasoning / Clarification Needed No. Municipal D = Delete Operations - Utilities (UT) Work Requests (hard Utilities/ Electrical Utilities UT -011 copies, priorto 1997, Remove UT -011- all of these records have been destroyed prior to the database) Utilities /Electrical Utilities UT -013 Work Order Database Remove UT -013 -combined with UT -010 / Work History Utilities / Water Lead Dept. UT -096 Reservoirs: Reports, Remove UT -096 - duplicate of UT -097 Inspections, etc. 4-15