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Home My WebLink About03 - Amendments to the Records Retention SchedulePORT CITY OF O � _ i NEWPORT BEACH City Council Staff Report <i FO RN March 26, 2019 Agenda Item No. 3 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 jnelson@newportbeachca.gov TITLE: Resolution No. 2019-24: Amendments to the Records Retention Schedule ABSTRACT - The City continues to improve its records management program, including updating the City's Records Retention Schedule (RRS) to incorporate new laws and business practices. At the March 27, 2018 City Council meeting, the City Council approved Resolution No. 2018-18 amending certain sections of the RRS, authorizing destruction of certain City records, and indicating that major or substantive revisions to the RRS are required to be considered by the City Council for review and approval. Attached to this staff report is a list of proposed amendments for 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. 2019-24, 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 an 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, 2016 and 2018. The purpose of the revisions is to keep the RRS as up-to-date as possible. 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 based on new laws and business practices. 3-1 Amendments to the Records Retention Schedule March 26, 2019 Page 2 On an as needed basis, the City Clerk's Office will meet with records staff from each department to review their specific records and this collaboration, along with the City recently creating a new Harbor Department, has generated the need to reevaluate the RRS for additional changes. The changes include deleting document types that are transitory in nature, duplicated elsewhere in the RRS, moved to another department, are no longer City records, or the retention period of the document has been reduced due to changing department needs. The Assistant City Clerk, Records Specialist, 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 (Exhibit 1 to Attachment A). 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. 2019-24 3-2 ATTACHMENT A RESOLUTION NO. 2019-24 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 Section 34090 et seq. provides 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 ("Initial Records Retention Schedule"); WHEREAS, the City Council revised the Initial Records Retention Schedule through the adoption of Resolution Nos. 2006-104 and 2011-18; WHEREAS, in 2014, the City Council adopted a new records retention schedule via Resolution No. 2014-35 ("Records Retention Schedule") and rescinded all prior resolutions; WHEREAS, the Record Retention Schedule as provided in Resolution No. 2014- 35 was amended by Resolution Nos. 2016-48 and 2018-18; 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 any written or electronic documents, instructions, books, microforms, electronic files, magnetic tape, optical media, papers, or other items as defined by the California Public Records Act ("CPRA") under California Government Code Section 6252(e). 3-3 Resolution No. 2019 - Page 2 of 3 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 the Records Retention Schedule, Exhibit 1, and as amended by Resolution Nos. 2016-48 and 2018- 18 ("Amended Records Retention Schedule"), are hereby authorized to be destroyed in accordance with California Government Code Section 34090 et. seq. and the applicable timeline set forth in the Amended Records Retention 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, the following amendments are hereby authorized to be made to the Amended Records Retention Schedule without further action by the City Council: (1) minor clarifications or improvements of records descriptions, (2) changes of Office of Record/re-naming of departments or divisions, and (3) new records series being added; as long as those additions or amendments do not reduce the retention timeline or eliminate any portion of the Amended Records Retention Schedule. Although these items do not require City Council approval, a copy of all changes shall be made available to the City Council for review. Section 5: All other parts of the Record Retention Schedule, as amended by Resolution Nos. 2016-48 and 2018-18, that are not modified by the adoption of this resolution, 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. 3-4 Resolution No. 2019 - Page 3 of 3 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 26th day of March, 2019. Diane B. Dixon Mayor ATTEST: Leilani 1. Brown City Clerk APPROVED AS TO FORM: CITY ATTORNEY'S OFFICE A, C. Aaron C. Harp City Attorney Attachment: Exhibit 1 — 2019 Records Retention Schedule Update — Individual Proposed Changes 3-5 Exhibit 1 Current Action Requested Specific Request / Comments / Reference / q Department/Division Current OFR Classification Records Description Information/Reasoning / Clarification Needed BLI Building I SL019Building Permit Delete: this is a transitory record and not necessary to Applications include in the retention schedule 3-6 Action Requested Department/Division Current OFR Current Classification Records Description Specific Request/ Comments / Reference / No. information/Reasoning/ Clarification Needed ' CAO City Attorney CA -t)14 Employee Investigations (NOT Involving the CAO) Delete: this is an HR record, to be merged with HR -041 3-7 3-8 Current Action Requested Department/Division Current OFR Classification Records Description Specific Request / Comments / Reference / No. Information/Reasoning / Clarification Needed 't r Apartment Rental / HBR City Clerk HBR-001 Lease Agreements (See No longer Harbor records CC -005( Harbor IABR Depart. HBR-013 Facility Security plan Not Harbor records Resources HER Harbor Depart. Resources HBR-014 Facility Security Plan Drills & Exercises (FSP} Not Harbor records Permits: Residential & Commercial Docks and Harbor Piers - Includes Permit HER Depart, Resources HBR-045 Drawings, Dredging permits, Coastaf Permits, Mooring Records Moved to PW -034 (Permits and backup( etc. HBR Harbor Depart. Resources HBR-009 Spills (Class 31 Records held by Orange County OCSD / Coast Guard records, not City records Harbor HBR Depart. Resources HBR-010 Subject Files (Office Files) Not useful as a retention item; description too broad Harbor HBR pepart. Resources HBR-011 Vessel Inspections (Live Aboards) Moved to HBR-003 3-8 3-9 Current Specific Request / Comments / Reference / Action Requested Department/Division Current OFR Classification Records Description Information/Reasoning / Clarification Needed No. Permits: Residential & Commercial Docks and Amend Office of Record: Public Works Harbor Resources Piers (Residential & Amend Records Description: Permits: Residential & Commercial) Includes PW Public Works Harbor PW -034 Permit Drawings, Commercial Docks and Piers (Residential & Commercial) Includes Permit Drawings, Dredging permits, Coastal HBR-006 Dredging permits, Resources Permits, Mooring Records (Permits and backup), etc. Coastal Permits, Amend Active and Total Retention: End of Tenancy+10 Mooring Records (Permits and backup), years P etc. 3-9 Action Requested q Department/Division Current Current Classification No. Records Specific Request / Comments/ Reference/ Information/Reasoning/Clarification Needed Indicates mustgoto Council forapproval if x in box ■ Facility Use Applications Recreation & Includes Certificate of RS Senior RS -016 Insurance and Alcohol Duplicate of RS -006; does not need to be duplicated for Services Permits (Room Senior Services Reservations, Parks, etc.) 3-10