CC Resolution No. 3803
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' RESOLUTION N0. 3803
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CUPERTINO
ESTABLISHING RULES AND REGULATIONS FOR RECORDS RETENTION
AND DESTRUCTION
WHEREAS, it is necessary for the administration of good city government
to have policies governing the retention and destruction of records;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Cuper-
tino adopt the following to govern said retention and destruction of records:
Section 1. Scope and Purpose
The purpose of these rules and regulations is to provide standard
administrative procedures for the evaluation, retention and destruction of
the City records of the City of Cupertino. The procedures are applicable
to all records, documents and other communications generated by or necessary
to the performance of city functions.
Section 2. General
(a) Administrative Interpretations
These rules and regulations are supplemental to the stat-
utory requirements of the various codes of California and binding legal inter-
pretations thereof, and may not be used to supplant or evade requirements
prescribed by law. Interpretation or clarification of these rules is the res-
ponsibility of the City Clerk, subject to the general policies and directions
of the City Manager.
(b) Definitions
"Records" means any writing containing information relating
to the conduct of the public's business prepared, owned, used or retained by
the City or divisions thereof, regardless of physical form or characteristics.
The term "writing" in the above definition means handwriting,
typewriting, printing, photostating, photographing, and every other means of
recording upon any form of communication or representation, including letters,
words, pictures, sounds, or symbols, or combination thereof, and all other papers,
maps, magnetic or paper tapes, photographic films and prints, magnetic or punched
cards, discs, drums and other documents.
Section 3. Record Maintenance and Storage
(a) Responsibility of City Clerk
The City Clerk of the City of Cupertino is responsible
for maintaining all records of the city charged to his office by law, and
is also responsible for establishing rules and procedures covering the main-
tenance of City records in the custody of other departments and divisions of
the City. With the exception of records in the possession of the City At-
torney, all records of the City are the ultimate responsibility of the City Clerk
and must be maintained in accordance with the specifications of that office.
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(b) Departmental Files
Unless otherwise prescribed by law or City regulation,
records may be maintained in the department or division of the City having
responsibility for the service to which the records relate. Records shall
be filed and maintained in such form as to assure their preservation, identi-
fication and ready accessibility. Cross-reference numbering and filing systems
shall be developed to relate records to associated records of the department or
other departments.
~ (c) Retention Schedules
Each department and division of the City shall prepare a
retention schedule for each category of record it maintains, on the City form
prescribed for that purpose, including the desired period each record is to
be kept in active departmental files, instructions on the date and method
of transfer to inactive files, and the recommended retention period for records
not required indefinitely in original form. Each retention schedule shall
be approved by the City Clerk, City Attorney and City Council, and revisions
submiCted for approval as they occur.
(d) Transfer and Retirement of Files
It is the responsibility of each department head or div-
ision head to keep files at an operating minimum, taking into consideration space
available for filing, frequency of referral, value of ready access, age of
records, subject matter and related criteria. Records that are not in active
use but which may occasionally be necessary in original form are to be trans-
ferred to the records storage area designated for long-term storage of records.
Inactive records so stored must be completely indexed and marked with dates, sub-
ject matter, retention period and other information necessary for assuring
proper storage and ready access. A listing of all inactive records so stored
shall be maintained in each department and a copy filed with the City Clerk.
(e) Exempt Records
The following communications are not classed as records
and are exempt from these rules and regulations:
(1) Messages and notes that are transitory in nature and cus-
tomarily discarded.
(2) Stenographic pads containing shorthand'dictation after
transcription has taken place.
(3) Dictaphone tapes and discs used by a stenographer to trans-
scribe verbal cotmnunication after transcription has occurred.
(4) Rough drafts, working papers or an incorrectly prepared
original document, after transcription of a correct original
document.
(5) Publications, reports, and related documents of other agen-
cies that are not officially made part of City business.
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(6) Carbon, Xerox and other copies of original documents that
are distributed for information only and which are not
involved in official city actions.
Section 4. Record Destruction
(a) Limitations of Authority
No department head, employee, commission member, agent
or representative of the city shall cause records to be destroyed, erased or
otherwise altered if such action is prohibited by statute, law or other over-
riding authority. In spite of the provisions of Government Code Section 34090.5
(see below) no record may be destroyed after microfilming unless written approval
has been received from the City Clerk.
(b) Statutory Authority for Record Destruction
Alternative authority for destruction of records no longer
required is provided in the Government Code. All requests submitted to the
City Clerk for destruction of records must conform to the letter and intent
of these statutes, or as they may hereafter be amended.
(1) Section 34090 - Destruction of City records; exempted rec-
ords; construction
"Unless othexwise provided by law, with the approval of
the legislative body by resol.ution and the written con-
sent of the city attorney the head of a city department
may destroy any city record, document, instrument, book
or paper, under his charge, without making a copy thereof,
af ter the same is no longer required.
This section does not authorize the destruction of:
a. Records affecting the title to real property or liens
thereon.
b. Court records.
c. Records required to be kept by statute.
d. Records less than five years old.
e. The minutes, ordinances, or resolutions of the leg-
islative body or of a city board or commission.
This section shall not be construed as limiting or quali-
fying in any manner the authority provided in Section 34090.5
for the destruction of records, documents, instruments,
books and papers in accordance with the procedure therein
prescribed.
(2) Section 34090.5 - Destruction after microfilming
"Notwithstanding the provisions of Section 34090, the city
officer having custody of public records, documents, instru-
ments, books and papers, may, without the approval of the
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legislative body or the written consent of the City Attorney,
cause to be destroyed any or all of such records, documents,
instruments, books and papers, if all of the following con-
ditions are complied with:
a. The record, paper, or document is photographed, micro-
photographed, or reproduced on film of a type approved
for permanent photographic records by the National
Bureau of Standards.
b. The device used to reproduce such record, paper, or
document on film is one which accurately and legibly
reproduces the original thereof in all details,
c. The photographs, microphotographs, or other reproduc-
tions on film are made as accessible for public ref-
erence as the book records were.
d. A true copy of ar.chi~al. quality of such film reproduc-
tions shall be kept in a safe and separate place
for security purposes.
Provided, however, that no page of any record, paper or
document shall be destroyed if any such page cannot be
reproduced on film with full legibility. Every such un-
reproducible page shall be permanently preserved in a manner
that will afford easy reference."
(c) Review of Records Scheduled for Destruction
Each department desiring to destroy categories of records
shall submit a list, in duplicate, of such records to the City Clerk for his
approval prior to destruction, accompanied by a representative sample of each
category of record. The following information shall be shown for each category
of record:
(1) Inclusive dates.
(2) Subject matter to which each record relates.
(3) Statement as to whether or not microfilming of records
has taken place.
(4) Department Head approval, evidenced by signature.
(5) Alternate sources, if any, of information contained in
the records.
The City Clerk shall evaluate all requests for destruction
with consideration for the present and future historical, administrative, legal,~
fiscal, research or other value of each category of records in their original
form. Final action of the City Clerk shall evidence approval of destruction
on the original on the list submitted, or shall deny destruction with speci-
fications for retention of the records for a specified length of time. The
original returned to the department shall be permanently filed, and a copy
retained indefinitely in the City Clerk's records showing final action.
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(d) Destruction of Duplicates
, Nothing within these rules shall prevent the elimination and
destruction of duplicates of records from files at any time, so long as an orig-
inal document or microphotographic thereof is maintained.elsewhere in the City
records system and the duplicate is no longer required for use in the department
and has not been a basis for official action.
Section 5. Microfilming
(a) General
Active City records may be microfilmed by a department having
control of the records when the efficiency of operations will be improved, taking
into consideration budgetary limitations, ease of access, and value of the
original documents. Inactive City Records may be microfilmed as part of the
destruction procedures or as a means of increasing the amount of information
readily available to a department. In no instance, however, will microfilming
be permitted simply to assure unity of information storage or to avoid transfer-
ing filed records to inactive storage.
~ (b) Microfilming processes
At the discretion of a department head, microfilming may
be performed through an approved service agreement for such service, through
use of such general service equipment as is available to all departments, or
through departmental microfilming equipment acquired through approved purchasing
procedures. A1 1 microphotographic copying of a city record must be of such qual-
ity, however, as to assure reproduction of a copy from the film that is as
fully legible as the original document.
(c) Inspection of Microfilmed Records
In no instance may microphotographic or other photographic
copies of records be made if the right of the public to inspect public records
is impaired. Microfilmed records are to be labeled and indexed in such form
as to make them readily identifiable and accessible for inspection without
undue search and delay. The microfilming process must be such that viewing
• and reproduction of the records may be accomplished through standard microfilm
equipment.
(d) Variable Alternate Records Storage (VARS)
A clearly identifiable duplicate of all microphotographic
copies made of city records shall be stored in a secure and separate location
other than City Hall or other city facilities before any disposition may be
made of the original records. The location of such VARS storage and procedures
for its use shall be as established by the City Clerk. Each department head
is responsible for transmitting copies of departmental records microfilmed to
such storage in accordance with procedures.
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Section 6. Methods of Record Destruction
City records approved for destruction may be discarded with other City
refuse when such records do not contain confidential or privileged information.
Confidential or privileged records shall be defaced, shredded or otherwise
altered in a manner to prevent their usefulness, and then discarded with other
refuse.
Section 7. General Criteria for Establishing Retention Periods
The following criteria should be used by departments and divisions of
the City in establishing retention schedules for records within their custody.
This list is not e~austive, but summarizes the major criteria used in evalu-
ating the worth of records:
(a) Is the record physically duplicated and available elsewhere?
(b) Is the record a subsidiary to summary records?
(c) Is the subject matter of the record available elsewhere?
(d) What is the frequency of reference?
(e) Is the cost of housing and maintaining the record greater than
the costs if the record were not available?
(f) Might the record be necessary to protect the City's interests
in event of a lawsuit or investigation?
(g) Do Federal, State Statutes or agency regulations affect disposi-
tion of the record?
(h) Is the record necessary for research or other valid historical
purposes?
PASSED AND ADOPTED at a regular meeting of the City Council of the City of
Cupertino this .L6~h~ day of ~Uecem6¢~. , 19 74, by the following vote:
Vote Members of the City Council
AYES• Frolich, Jackson, Meyers, Nellis,. Sparks
NOES: None
ABSENT: None
ABSTAIN: None
ATTEST: APPROVED:
/s/ Wm. E. Ryder /s/ Reed Sparks
City Clerk Mayor, City of Cupertino
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