CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 1 of 14
I. BACKGROUND
A well-maintained Records and Information Management (RIM) program Program assists the City of Chula Vista (“City”) in remaining compliant with record-keeping regulations, avoiding security risks and potential legal action, and improving workflow and productivity.
Pursuant to Charter Section 502, the City Clerk is designated as the official responsible for the administration and oversight of the City’s Records and Information Management (“RIM”) Program.
II. PURPOSE
To establish policies and procedures under a comprehensive RIM Program framework to control the orderly creation, utilization, maintenance, retention, preservation, and disposition Disposition of City Records, consistent with State law, including the California Public Records Act (California Government Code §7920.000 6250 et seq). “ Public Records Act.”
This Policy also defines the requirements for using, managing, and storing Records received or created via Electronic Communication Systems in the conduct of City business. It establishes expectations for using email, messaging, and Collaborative Messaging Platforms to ensure appropriate, secure, and legally compliant practices consistent with Records management requirements.This Policy applies to elected officials, Council-appointed board, commission, and committee members, employees, contractors, consultants, and volunteers of the City who are acting on behalf of the City and who have access to, use of, or are involved in the creation, maintenance, or storage of the City’s Records, information, and electronic communication
III. POLICYSCOPE
This Policy applies to all Records, regardless of physical form, storage location, or medium. This includes, but is not limited to:
Physical Records: paper documents, maps, plans, photographs, and other tangible media. Electronic Records: documents, spreadsheets, databases, emails, and other digital formats. Electronic Communications: email, text messages, instant messages, chats, social media posts, or other electronic forms of communication related to City business.
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 2 of 14
Multimedia: Audio, video, and multimedia Records produced in the course of official City activities.
This Policy applies to elected officials,; City Council-appointed board, commission, and committee members,; employees,; contractors,; consultants,; and volunteers of the City who are acting on behalf of the City and who create, access, manage, or store City Records, information, and Electronic cCommunication.
IV. DEFINITIONS
Collaborative Messaging Platform
Collaborative Messaging Platforms are software or systems, including but not limited to Microsoft Teams, Slack, text messaging, or other collaboration tools, that enable real-time text or chat communication.
Convenience Information
Convenience Information refers to materials maintained solely for reference, ease of access, or personal convenience that are not the official Record copy of a document. These materials are typically duplicates, drafts, notes, or working copies kept to assist employees in carrying out day-to-day tasks and are classified as non -records or Convenience Information . They have no retention value once their administrative purpose is served and should be destroyed when no longer needed. Examples of Convenience Information are included in Exhibit A.
Disposition
Disposition is the final action taken with respect to a Record, such as destruction, transfer to storage, or permanent retention, after it has met its approved retention period and is no longer required for current operations.
Electronic Communication
Electronic Communication is a message or data transmitted or received via an Electronic Message System, including any attachments that may be transmitted with the message, along with its descriptive transmission metadata, including email, instant messages, text messages, chat messages, and other forms of Electronic Communications used in City business.
Electronic Communication System
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 3 of 14
An Electronic Communication System is one or more computer networks, hardware, and software applications used to create, receive, and transmit messages and other documents electronically.
Records
Records are either defined specifically in applicable statutes, including Gov. Code § 7920.530, Municipal Code, City business practices, or, in the absence of specific practices, a Record is a document or information generated as the final output of a business process or business decision, regardless of physical form or characteristics.
Records and Information Management (RIM) Program
The Records and Information Management (RIM) Program is the framework administered by the City Clerk to ensure systematic control of creation, receipt, maintenance, use, and Disposition of Records in accordance with approved policies and the Records Retention Schedule.
Records Retention Schedule
The Records Retention Schedule is the City-approved schedule identifying official Record series, retention periods, and final Disposition requirements based on legal, administrative, fiscal, and historical value.
Repository
A Repository is the official storage location, physical or electronic, approved by the City for maintaining Records in an organized and secure manner (e.g., Laserfiche, NetFile, or other City-approved systems).
User
User means any individual who is acting on behalf of the City and who creates, accesses, uses, manages, or stores Records, information, or electronic communications. This includes elected officials; City Council-appointed board, commission, and committee members; employees; contractors; consultants; and volunteers.
III.V. POLICY
1. Ownership and Privacy
1.1 City Property .: Records and information created or received in the conduct of the City’s business by Users, including staff or and elected and appointed officials , are the exclusive property of the City, unless otherwise required by contract or law, including data privacy laws.
City Records and information are subject to compliance with this Policy, the associated Records Retention Schedule, and any other City policy or procedure.
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 4 of 14
Personal Devices and Accounts. Records created, received, or stored in the conduct of City business on a personal device or account on behalf of the City isare the property of the
1.2 City. Use of personal devices or accounts for City business is strongly discouraged.1 2
1.21.3 Communication of Personal Information . Users should not communicate their private, privileged, or confidential information, including but not limited to personal attorney -client communications, financial or medical information , using any City systems, accounts , or devices. Users who do communicate their private information using any City system, account , or device will be deemed to have waived privilege or privacy rights in t hose communications, even where those communications are made via a personal password-protected account. These communications are not Records and may be accessed and/or deleted at any time, without notice.
2. Authenticity
2. 2.1 2.1. Accuracy and Integrity of Records.: The City is committed to creating and maintaining complete, accurate, and trustworthy Records and information that document its business decisions and activities. Deliberately creating false or misleading Records or information regarding the City’s activities is strictly prohibited. Records and information should not contain language that is misleading, incomplete, inaccurate, or fraudulent.
3. Classification
3. 3.1 Proper Classification.: Records and information, both paper and electronic, are to be created, stored, and managed with the appropriate classification that enables efficient and, when appropriate, shared access, appropriate application of retention, and secure protection.
3.1 4. Retention and Disposition/Destruction
4. 4.1 4.1. RecordsRetention.: Records and information are to be retained in accordance with the approved Records Retention Schedule. When Records or information complete their retention period and are no longer required for current operations , regardless of their format, they shall Formatted: Font: Bold
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CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 5 of 14
undergo appropriate Disposition shall be deleted or disposed of in compliance with established City procedures and applicable laws.
4.1 4.2 4.2. Email.: Emails not specifically designated as a Record and transferred to a Repository shall be held for two (2) years. After this period of time, emails that have not been moved to a Repository will be considered Convenience Information and automatically and permanently deleted. Each User is responsible for identifying and preserving emails that meet the definition of a Record by transferring them to the appropriate Repository within the two-year timeframe to ensure proper management and Disposition.
4.2 4.3 4.3. :. Destruction. Records must be disposed of in accordance with the Records Retention Schedule and Records destruction process established by the City Clerk. Records may not be destroyed without prior approval from the City Clerk, City Attorney, and Finance Director.
4.4 Disposal and Destruction of Sensitive Records . The destruction of confidential or sensitive Records shall be carried out in a manner that ensures the information cannot be reconstructed or retrieved.
5. Records Storage
5. 5.1. Hardcopy Records.: Hardcopy Records and information that are no longer considered active should be evaluated for Disposition in accordance with the Records Retention Schedule.
Records that must be retained beyond their active period may be transferred to City-designated storage facilities to fulfill retention requirements.
5.1 5.2.
5.1 Electronic Records .: Electronic Records , including Electronic Communications, and informationthat are no longer considered active may be transferred to approved a repositories Repository or moved offline to fulfill retenionretention requirements., but information All Records, regardless of the storage in any location must be remain accessible by City employees for business needs and in response to requests by the public. Public Records Requests.
Electronic Communication Systems, including, but not limited to, systems that send or receive email, texts, and chats, are not Repositories for the storage and retention of Records.
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Contextual
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 6 of 14
5.2 5.3 Unauthorized Storage Locations . Records should not be transferred to or stored in unauthorized physical or electronic locations, such as in personal accounts or devices.
5.2 6. Use of City-Issued and Personal Accounts and Devices5.3.
6.1 City-Issued Accounts and Devices . Users who are issued official City Electronic Communication devices or accounts , including , but not limited to, a City email account, computer, tablet, or mobile device , should use their City -issued account or device when conducting City business.
6. uthorized Storage Locations: Records and information that are owned by the City should not be transferred to or stored in any unauthorized locations, personal accounts or on personal devices. Work done on a personal device on behalf of the City is the property of the City.1 2
EC,,
6.2 Personal Accounts and Devices . Users who conduct City business using personally owned devices or accounts may create, store, or transmit Records. Such Records may be subject to disclosure under the California Public Records Act. Users are responsible for promptly forwarding or transferring Records to a Repository to ensure appropriate retention, management, and accessibility in accordance with applicable laws and this Policy..
7. Accessibility and Availability
7.1 Records Access ibility.: Records must remain accessible and retrievable for business operations, legal proceedings, audits, or investigations as long as required by their applicable retention periods, regardless of storage location or format.
7.2 Public Records. Records that are determined to be “public” are to be made available for the public to obtain in accordance with the California Public Records Act, Government Code §§7920,000-7931.000.
7.3 Public Disclosure and Department Responsibilities . Records determined to be public are accessible in accordance with the California Public Records Act and applicable City policies .
Public Records Act requests for Police Department Records are generally handled by the Police Department. Requests for Records from all other departments are generally facilitated through
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 7 of 14
the City Clerk. Users should not respond directly to requests for public Records unless expressly authorized by the City Clerk or, for Police Department Records, by the Police Department. This approach may be adjusted as needed to accommodate staffing or operational requirements.
Records that are determined to be “public” are to be made available for the public to obtain in accordance with the California Public Records Act, Government Code § 6250 Records and information must be available for future business, litigation, and investigations as necessary, regardless of storage location.
8. Records Security, Privacy, and Confidentiality
8.1 Protection of Records. Records shall be safeguarded from unauthorized access, alteration, theft, loss, or destruction. Each Department is responsible for ensuring that Records are stored in secure locations and that access is limited to individuals with a legitimate business need. The City Clerk and Information Technology Services (ITS) shall establish and maintain standards for access controls, authentication, and secure storage in accordance with applicable laws and this Policy.
8.2 Privacy and Confidential Information . Certain Records contain confidential, personal, or sensitive information protected by law, including but not limited to personnel, medical, and privileged legal Records. Users must handle such Records in compliance with all applicable privacy laws, including the California Public Records Act and the California Consumer Privacy Act, and City policies . Unauthorized disclosure or improper handling of confidential information is strictly prohibited.
8.3 Security Incidents and Unauthorized Access . Any suspected or confirmed breach, unauthorized access, or loss of Records must be reported immediately to a supervisor, the City Clerk, and Information Technology Services. T he City shall investigate and respond to such incidents in accordance with its data breach notification and mitigation protocols.
8.9.Electronic Communication and Records Management
8.1 Email messaging is required to be conducted using City systems . .
8.29.1 Collaborative Messaging Platforms.: Messages sent or received on City-provided Collaborative Messaging Platforms Instant messaging such as text messages(e.g., Microsoft Teams, Slack, etc.) are to be are considered Convenience Information and should not be used in a manner that creates a Record. If a User does create a Record through these platforms, they are responsible for capturing, saving, and Formatted: Font: Not Bold
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 8 of 14
managing it in accordance with the City’s records management policies. Examples of allowable and non-allowable messages are provided in Exhibit B.
9.2 Social Media:
a. Official City Social media Media Accounts. City social media accounts are to be is used exclusively for the distribution of official City information. Original documents are not to be created within social media platforms, but attached, and original communication posted to social media is to be limited to City announcements , notifications, or information al updates consistent with the City’s approved communications guidelines. a. Personal Social Media Accounts: Posts, comments, messages, and related metadata created or received on a personal social media account must be assessed by the User to determine whether they constitute a Record. The User who created or received the content is responsible for retaining and producing it in accordance with applicable laws and this Policy.
b. Record Status and Stora ge: Electronic Communication systems, are intended to be a medium of communication and not as repositories for City Records. Although Electronic Communication may seem to be less formal than other written communication, the same definition of Records applies, as do the rules for storage and retention. Electronic Communication that meets the definition of a record is to be stored in an official City repository.
b.
9.10. Records of Exiting Elected Officials , Council- Appointed Boards, Commissions, and Committees, Employees, Volunteers, and ContractorsDeparting Personnel and Officials
10.1 Elected and Appointed Officials . When an elected or appointed official’s term ends, the elected or appointed official is to shall work with the City Clerk to transfer Records and information to the City Clerk’s Office to comply with the requirements of this Policy and any supporting procedures for retaining and managing the Records and information of the exiting official.
9.110.2 Employees, Volunteers, and Contractors . When an employee, volunteer, or contractor leaves the City, the exiting individual’s supervisor or manager, or the contractor’s City point of contact is responsible for complying with the requirements of this Policy and any supporting procedures for retaining and managing the Records and information of the exiting employee, volunteer, or contractor.
11. Legal Holds and Suspending Retention Requirements
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 9 of 14
9.2 Legal Hold . Records and Convenience Information relevant to pending or current City litigation identified explicitly in a legal hold notice submitted by the City Attorney’s Office shall immediately suspend all destruction procedures. This includes Electronic Communications. Records, Convenience Information, including Electronic Communications subject to a legal hold, must comply with the instructions on the legal hold notice issued by the City Attorney. Users shall not delete or dispose of any Records, Convenience Information, or Electronic Communication covered by the legal hold notice and/or relevant to the matter unti l notified in writing by the City Attorney’s Office.
9.311.1 910.1. Disaster recovery backup media are exact copies of an operating system, associated application and data created for the sole purpose of protecting and recovering data in the event of a disaster or business disruption and are not subject to the requirements of the Retention Schedule. Backups serve as a level of protection for electronic systems and the data that is stored on those systems to ensure an exact duplicate or copy is available and unalterable for use in the event of a business disruption.All
12. Information Protection and Disaster Recovery
12.1 Disaster Recovery Backups. Disaster recovery backup media are exact copies of an operating system, associated application s, and data created for the sole purpose of protecting and recovering data in the event of a disaster or business disruption and are. They are not subject to the requirements of the Retention ScheduleRecords Retention Schedule . Backups serve as a level of protection for electronic systems and the data that is stored on those systems to ensure an exact duplicate or copy is available and unalterable for use in the event of a business disruption.
10.13. Preservation of Historical and Vital Records Preservation
10.113.1 Preservation.: Preservation encompasses the activities which undertaken to prolong the usable life of archival Records. Preservation These activities are designed to minimize the physical and chemicalor digital deterioration of Records and to prevent the loss of informational content. 3
10.2 RProtection of Vital and Historical Reecords.: Records and information designated as “vital” or “historical” are to be protected in a manner that establishes the priority of recovery of the data in a timely manner following a disaster or system disruption. Such Records must be safeguarded in accordance with established City p rocedures and standards for business continuity and disaster recovery. Such Vital Records are those records Records or informationessential to the City’s ability that are needed to recover from a disaster, or resume business operations , or protect legal and financial interests, and should be protected in accordance with City procedures and standards.
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 10 of 14
10.313.2
10.413.3 Mandatory Preservation of Paper Versions of Permanent Records . Under no circumstances are recordRecords specified in Government Code section 34090 authorized to be destroyed, even when digitized, including the minutes, ordinances, or resolutions of the City Council or a City board or commission, due to their historical value.
11.14. Policy Administration and ProceduresAdministrative Policies and Procedures
11.1 Administrative Policies. Notwithstanding this policy Policy or any other City Council-adopted policies or procedures, the City Clerk, in consultation with the City Attorney and City Manager, shall have the authority to develop and amend administrative policies and procedures, as necessary, to implement the terms of this policyPolicy.
11.2 This policy with guidelines and procedures is on file in the office of the City Clerk, known as the Records and Information Management Manual..
11.314.1
IV. DEFINITIONS
Records
Records are either defined specifically in applicable statutes, Municipal Code, City business practices, or, in the absence of specific practices, a record is a document or information generated as the final output of a business process or business decision.
Convenience Information and Incidental Documents
Not all information or data is a record. Some information is collected or created in order to complete a task or to enable the creation of a Record, but the City is not obligated by law to retain it. This type of information is classified as a non-record or Convenience Information or Incidental Documents. Incidental Documents and Convenience Information have no retention requirements. Examples of Incidental Documents and Convenience Information are included in Exhibit A.
Electronic Communication
Electronic Communication is a document created or received via an electronic message system, including any attachments that may be transmitted with the message, along with its descriptive transmission metadata.
Electronic Message System
Electronic Message System is one or more computer networks, hardware, and software applications used to create, receive, and transmit messages and other documents electronically. Records
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 11 of 14
Records are either defined specifically in applicable statutes, Municipal Code, City business practices, or, in the absence of specific practices, a record is a document or information generated as the final output of a business process or business decision.
Instant Messaging (IM)
Instant Messaging (IM) is an electronic system that allows users to determine whether a certain party or parties are connected to the messaging system and allows them to exchange text messages with those parties in real- time.
Thread
A Thread is an electronic mail conversation of at least one response on a similar subject; the conversation can be broken or continuous in nature.
Social Media
Social Media is websites and similar applications that enable users to create and share content or to participate in social networking.
V.VI. REFERENCES
Records Retention Schedule
HISTORY
1 City of San Jose v. Superior Court (2017): “When a city employee uses a personal account to communicate about the conduct of City business, the writings may be subject to disclosure under the California Public Records Act.” Records on personal accounts and devices may include, but are not limited to, communications via: text message, personal email accounts, and social media accounts. The City does not seek correspondence that is personal in nature but only Records that relate to City business.
DATE ACTION RESOLUTION NO.
08/02/1994 Adoption 17577
10/04/2022 Revision 2022-214
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 12 of 14
2 City’s Electronic Communications Policy No. 909
3 Government Code § 34090
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 13 of 14
EXHIBIT A
CONVENIENCE INFORMATION AND INCIDENTAL DOCUMENT EXAMPLES
The examples contained in this Exhibit are illustrative and not exhaustive. The City Clerk, in consultation with the City Attorney, is authorized to expand or clarify these examples and to issue updated guidance for staff training purposes. Such updates may be made administratively and do not require further action by the City Council, provided the underlying Policy itself is not modified.
Catalogs, Conference Handouts, and Trade Journals
Catalogs, trade journals, bulletins, magazines, manuscripts, brochures, conference/seminar handouts, manuals, external newsletters, and supplier fliers that are external publications.
Duplicate/Extra Copies
Exact copies of Records and information; duplicates of a document, such as printed publication.
Personal Working Files
When there is a final document (the “Record”) in place, the drafts of that document and any rough notes are considered Convenience Information.
Reference Materials
Materials used as review or reference by an employee, but which are not documents of the City’s business activities.
Templates
Unused or blank templates that have not been filled out or completed.
Transitory Correspondence
Casual correspondence (including e -mail) used for administrative purposes or internal communications (such as notification of a change in a meeting room or scheduling a working lunch).
Collaborative Messaging Platform Messages and Notes
Collaborative Messaging is casual notes and conversations made within any Collaborative Messaging Platform used by the City in the conduct of business.
RETENTION RULE!
CITY COUNCIL POLICIES
POLICY NAME:
Records and Information Management
(RIM) Program
POLICY NUMBER: 112-01
Effective Date: August 02, 1994 Last Revised Date: October 04, 2022 Status: Active Page: 14 of 14
Convenience Information can be shredded destroyed or deleted when after it is no longer needed, -- provided it is not subject to an active legal hold. When in doubt, ask the City Clerk before shredding.
EXHIBIT B
EXAMPLES OF ALLOWABLE AND NON-ALLOWABLE MESSAGES ON COLLABORATIVE
MESSAGING PLATFORMS
The examples contained in this Exhibit are illustrative and not exhaustive. The City Clerk, in consultation with the City Attorney, is authorized to expand or clarify these examples and to issue updated guidance for staff training purposes. Such updates may be made administratively and do not require further action by the City Council, provided the underlying Policy itself is not modified.
Examples of Allowable Messaging on Collaborative Messaging Platforms Meeting Reminders: “Reminder: Team meeting at 2 PM in Conference Room A.” General Scheduling: “I’m running 5 minutes late for our check-in.” Quick Coordination: “Can you review the draft I emailed before 3 PM?” Technical Issues: “Having trouble accessing the shared drive—anyone else?” Non-Substantive Clarifications: “Which template should we use for the report?” Office Logistics: “Lunch orders are here in the break room.” Team Updates: “FYI: IT will be updating our software this evening.”
Examples of Non-Permitted Messaging on Collaborative Messaging Platforms Official Decisions or Approvals: “I approve the final version of the policy update.” Substantive Discussions: “Let’s discuss how to revise the ordinance before the next meeting.” Contract Negotiations: “The vendor agreed to lower the price—let’s move forward.” Policy Interpretations: “Based on our rules, this application should be denied.” Legal or Confidential Matters: “HR is investigating an issue with an employee.” Formal Requests or Directives: “Please submit your final budget recommendations by Friday.” Record-Keeping Information: “Here’s the final list of approved permits for the quarter.”
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