FOR THE COUNCIL MEETING OF JANUARY 18, 2022
COUNCIL AGENDA REPORT
TO: City Council
FROM: City Manager
Prepared by: Chief Deputy City Clerk
SUBJECT: CITYWIDE RECORDS RETENTION SCHEDULE REVISIONS
RECOMMENDATION:
That the City Council adopt a Resolution approving revisions to the Citywide Records Retention Schedule.
BACKGROUND:
On July 17, 2001, the City Council approved a Document Management Program, including an updated Records Retention Schedule that established uniform guidelines for the minimum retention and disposition of records throughout the City. Since that time, the City Council has approved numerous revisions to the Retention Schedule. The last update was approved by the City Council on June 15, 2021.
DISCUSSION:
The approved Citywide Document Management Program and Records Retention Schedule have been in effect since 2001. Departments have been using the Records Retention Schedule regularly and have found that from time to time changes are needed.
The Clerk's Office has committed to bringing forward amendments to the Records Retention Schedule as they are needed to keep the schedule current and usable.
Currently, changes are being proposed to the following sections: City Attorney/Code Enforcement, Records/City Clerk, and Risk Management.
Fiscal Considerations:
Regular updates to the Records Retention Schedule allow for the legal destruction of records resulting in better utilization of existing storage space. Additional costs would be incurred for the storage of records that were retained beyond their useful life.
Impact to the Community:
Maintaining a Records Retention Schedule that is current and conforms to existing law ensures that City records are retained for the benefit of the public and destroyed properly in accordance with lec�! requirements; and minimizes additional costs for storage of obsolete records
RHO . WHITE, CMC
Chief Deputy City Clerk
RESOLUTION NO.
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA
MARIA, CALIFORNIA, APPROVING REVISIONS TO THE CITYWIDE
RECORDS RETENTION SCHEDULE
WHEREAS, California Government Code Section 34090 et seq. sets forth specific legal requirements relating to the management and retention of certain municipal records; and
WHEREAS, on July 17, 2001, the City Council approved a Document Management Program which included a Citywide Records Retention Schedule; and WHEREAS, the Records Retention Schedule has been updated over the past 20 years, and additional revisions are now needed.
NOW, THEREFORE, IT IS HEREBY RESOLVED that the City Council of the City of Santa Maria does hereby:
1) Approve those certain revisions to the Citywide Records Retention Schedule attached as Exhibit A, and on file in the office of the Records/City Clerk Division; and
2) The Chief Deputy City Clerk is hereby authorized to make minor changes herein to address clerical errors, so long as substantial conformance of the intent of this document is maintained. In doing so, the Chief Deputy City Clerk shall consult with the City Manager and City Attorney concerning any changes deemed necessary.
PASSED AND ADOPTED at a regular meeting of the City Council of the City of Santa Maria held this 18th day of January 2022.
Mayor
ATTEST:
APPROVED AS TO FORM:
Chief Deputy City Clerk
City Attorney
APPROVED AS TO CONTENT:
EXHIBIT A — Retention Schedule Updates
Deparhnent Director
RETENTION SCHEDULE UPDATES
JANUARY 2022
New language is shown in red, while deletions are shown with €trikcouto.
LEGEND
RECORDS RETENTION
A = Active E = Election
AD = Adoption L = Life
AN = As needed 0 = Obsolete
AU = Audit P = Permanent
C = Current Year S = Superseded
CL = Closed T = Termination or Term of Office
CO = Completion
2 = No. of years (2 used for example only)
Note: Audit means 7/1, one complete year following the last day of the fiscal year. Retention Periods listed need to be strictly adhered to with the occasional exception of records that need to be retained longer than listed for legal, personnel, and administrative and/or operational purposes.
CITATIONS — CALIFORNIA CODES
B&P
CAC
CCP
EC
EVC
FC
GC
H&S
LC
PC
VC
WIC
= Business & Professions Code
= California Administrative Code
Code of Civil Procedure
= Elections Code
= Evidence Code
= Financial Code
= Government Code
= Health and Safety Code
= Labor Code
= Penal Code
= Vehicle Code
= Welfare and Institutions Code
CITATIONS — OTHER SOURCES
CC = California Constitution
CCR = Code of California Regulations
CEQA = California Environmental Quality Act
CFR = Code of Federal Regulations
FMLA = Family and Medical Leave Act, 1993
HUD = Housing and Urban Development
OMB = Federal Office of Management and Budget
OSHA = Occupational Safety and Health Agency
POST = Police Officers Standards Training
UFC = Uniform Fire Code
USC = United States Code
1 EXHIBIT A
*CITY ATTORNEY/CODE ENFORCEMENT
COMPLIANCE
strive to be a paperless Department. Files created digitally are considered the *The City Attorney and Code Enforcement Divisions
original record and may be retained in a City -approved database in lieu of printing the file for retention of a hard -file copy. As the City Attorney and Code Enforcement Divisions continue its transition to paperless, hard copies of digitally created files which are printed for purposes of signature or compilation only shall be considered incidental copies. The file should be scanned if signed, retained in the City -approved database, and the copy either destroyed or maintained as needed.
Records Series Title
Retention
Citation
Description
Claims Files (legacy hard
CL
GC 34090
Duplicates of files in City Clerk's Office,
materials related to claims until claim closes
when they are turned over to City Clerk's
Office,
files)
Claim Files (legacy database)
P
CL+5
Claims submitted after October 2000 and
prior to January 2022 which have been
scanned and stored in database, paid or
denied and not resulting in litigation.
CL+2
'3C-34099
Except for rcports related to minors
[Note: Updated in Risk Management -
duplicated entry.]
Office Files
CL+5
GC 34090
Includes final versions of budget and
budget -related files, and similar
administrative files.
Personnel Investigations
Internal Employees
CL+5
PC 832.5
GC 12916
PC 801.5, 803(c)
VC 2517
Safety & Non Safcty
P
tapes/CD's
[Note: Listed in All Departments - duplicated
ent .
[Note: Made part of Council Notes and
managed by City Manager's Office.]
GC 31090
n tiv eFt
Case Files
P
GC 34090
Service Request Forms, information,
utility
information, business licenses,
assessor's
deed information, form letters,
construction
permits, aAdministrative citations,
compliance orders, requests for hearing,
notices of hearing, case summaries, form
letter, photographs, or other media used as
evidence (unused/duplicate photographs
only retained as needed) reports, and
criminal citations.
Service Request Forms Logo
CL+2
GC 34090
Service Request Forms. Logs of
violations
P
Administrative Hearing
C+2
GC 34090
Used to records Media records/recordings
Recordings Tapes, Audio
of Administrative Hearings.
2 EXHIBIT A
RECORDS/CITY CLERK
Records Series Title
Retention
Citation
Description
Claims (closed)
CL+5
GC 34090
GC 945.6*
Claims -received from Risk Management
that have been closed and that were
either paid or denied and did not result in
litigation. *Exception: If claimant is
imprisoned in a State and cannot
prison
file Iawc it within the ren ired timefram eT
record to be retained for 5 following
years
the date right to file civil action is restored
to claimant.
Council Agendas and
P
AN
GC 34090
GC 34090
GC 34090
Full agenda packet — document imaged
immediately and retained in electronic
format only in Document Management
Agenda Reports
Council Agendas (paper
System (AX) >2000; City Clerk
Shared/Agenda Reports-PDF folder
>2006; and Civicplus (iCompass) meeting
>6/2018. {beginning Jan 2000).
portal
Original agendas for City Council
meetings retained in electronic format
only.
Agenda Reports retained in file,
copies)
Council Agenda Reports
C+2
AN
subject
then destroyed when file is destroyed
(original paper copies)
C+10
or
unle.s otherwise specified herein. If
eubject matter is on or deemed
going
hicterical i he retained Ienger
Retained in electronic format only in
Document Management System (AX)
>2000; City Clerk Shared/Agenda
Reports-PDF folder >2006; and Civicplus
(iCompass) meeting portal >6/2018.
Original Council Agenda Reports relating
to planning applications are returned to
Community Development Department
following Council action and retained with
the permanent planning file.
Time Work Logs
C+1
CC 34090
Copies of SB 90 reimbursement logs.
[Note: No longer process SB 90
reimbursement claims.]
POLITICAL REFORM ACT
Consultant Questionnaires
C+2
GC 34090
Consultant Questionnaire (internal form)
completed by Departments and filed with
the Clerk's Office to determine potential
conflicts of interest of a consultant who
will perform work for the City
3 EXHIBIT A
RISK MANAGEMENT
Records Series Title
Retention
Citation
Description
Claims, Damage (hard
CL+5
GC 34090•
Copies liability
o#Original claims received
copy),
G
945.6*
by the City Clerk's Office and submitted
to the Risk Management Division for
processing. Claims that were paid or
denied and did not result in litigation.
*Exception: If claimant is imprisoned in a
State prison and cannot file lawsuit within
the required timeframe, record to be
retained for 5 years following the date
right to file civil action is restored to
maintained by City Clerk or City
claimant.
Attorney.
Claims, Damage (digital
P
GC 34090
Original liability claims received by the
copy),
City Clerk's Office and submitted to the
Risk Management Division for processing
that were paid or denied and did not
result in litigation which have been
scanned.
Incident Reports
(Confidential)
CL+7
29 CFR 1904.6
Theft, arson, vandalism, property damage
or similar occurrence (excluding fire/law
enforcement and minors).
4 EXHIBIT A