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HomeMy WebLinkAboutE-19 - Staff Report Retention of E-MailCONSENT ITEM E-19 TO: HONORABLE MAYOR, MEMBERS OF THE CITY COUNCIL VIA: TROY L. BUTZLAFF, ICMA-CM, CITY MANAGER FROM: ANN GRAF, DIRECTOR OF INFORMATION AND LIBRARY SERVICES ADRIAN GARCIA, CMC, CHIEF DEPUTY CITY CLERK DATE: JULY 18, 2016 SUBJECT: ADMINISTRATIVE REGULATION RELATED TO THE RETENTION OF CITY E-MAILS SUMMARY The City recognizes that access to information concerning the conduct of City business is a fundamental and necessary right of citizens. The City Council has previously approved a retention schedule for each City department, which establishes procedures for the retention and disposal of City records in accordance with legal and administrative time periods. In addition to the City’s retention schedule, the City Manager has implemented an Administrative Regulatio n to further address and reinforce the City’s rules pertaining to electronic communication and the retention thereof. This action receives and files the Administrative Regulation related to the Retention of City E-Mails. RECOMMENDATION Staff recommends that the City Council take the following action: 1) Receive and File the Administrative Regulation related to the Retention of City E-Mails. BACKGROUND The City Council has heretofore adopted Resolution 06-C44 approving an updated schedule for the retention and destruction of obsolete City records. The City’s Record Retention Schedule provides for a well-planned and orderly storage and/or destruction for City records. The retention period stated in the Record Retention Schedule promotes an efficient and cost effective conduct of the City’s business by reducing the number of records that the City retains, eliminating the unnecessary retention of duplicate or obsolete records, reducing the need for filing equipment and APPROVED COUNCIL MEETING 7/18/2016 Administrative Regulation Related to the Retention of City E-Mails July 18, 2016 Page 2 2 storage space, facilitating the retrieval of records and establishing a tradition of good records management. The City’s Records Retention Schedule was last updated in March 2015. Although e-mail records fall under the category of correspondence, which has a defined two-year retention period per the State of California’s Electronic Records Management Handbook, not all e-mails constitute a public record. To better define the City’s policy pertaining to the management, preservation and protection of e-mail messages, the City Manager has implemented the attached Administrative Regulation. While the Administrative Regulation applies to all employees and contractors to the City who have access to City computers and related systems and who work in departments and offices directly responsible to the City Manager it also covers elected offices, commissions, boards, and committees of the City For file management and storage purposes, City e-mail messages will only be retained for ninety (90) days. If an e-mail message, including any attachments thereto, is considered an official city record, such e-mails should be printed as a hard copy and filed in accordance with the City's records retention policy (For example, an e-mail communication to the Council regarding an item scheduled for a Public Hearing will be printed so that the hard copy may be referenced or included in the staff report regarding that item). It is the responsibility of users of City e-mail to determine if an e-mail is an Official City Record that must be retained in accordance with the City's records retention policy. The City Attorney may assist in making such a determination. The City recognizes that education of records management is a critical component to ensuring consistent record-keeping and transparency. Over the next six months, and continually thereafter, the City Clerk’s Office, in conjunction with the City Attorney, will coordinate and implement citywide training sessions on the management and retention of e-mail messages. FISCAL IMPACT There is no fiscal impact associated with the recommended action. Prepared by: Prepared by: Ann Graf Adrian Garcia, CMC Director of Information Systems and Chief Deputy City Clerk Library Services Reviewed and Approved by: Approved by: Louie F. Lacasella Troy L. Butzlaff, ICMA-CM Management Analyst City Manager Attachment – 1) Administrative Regulation Related to the Retention of City E-Mails Final - 1 - 7/13/2016 City of Azusa Administrative Regulation Subject: Retention of City E-Mails I. Objective The purpose of this Administrative Regulation is to ensure the proper use of the City’s Electronic Mail (E-Mail) System. Inappropriate use exposes the City to risks including virus attacks, compromise of network systems and services, and legal issues. The City reserves the right to amend this policy at its discretion. In case of amendments, users will be informed appropriately. The City provides communication technology to its elected officials, employees, and contractors as tools to conduct the business of the City and, in so doing, expects all users to manage and protect records resulting from such communications. City e-mail may consist of correspondence and other documentation, which may constitute City records subject to the requirements of the Public Records Act, the City’s Records Retention Schedule and the laws and regulations governing it, and other laws and regulations that apply to public agency information. II. Policy Electronic communications are a business tool which shall be used in accordance with generally accepted business practices and all federal and State laws, including the Public Records Act to provide an efficient and effective means of intra-agency and interagency communications. Under most circumstances, communications regarding City business sent or received electronically are public records, subject to disclosure under the Public Records Act and subject to records retention laws applicable to cities. III. Application All current employees and contractors (hereafter “covered individuals” or “users”) who have access to City computers and related systems and who work in departments and offices directly responsible to the City Manager are covered by this Administrative Regulation. It is requested that elected City officials and appointed City officials serving on commissions, boards, and committees of the City that use the City’s computers and related systems also comply with this Administrative Regulation. Final 7/13/2016 - 2 - IV. Official City Records Under this Administrative Regulation, the definition of “Official City Record” follows the definitions provided in the Public Records Act (Gov. Code § 6250 et seq.) for “public records” and “writing”: “…’Public records’ includes any writing containing information relating to the conduct of the public’s business prepared, owned, used or retained by [the City of Azusa] regardless of physical form or characteristics…” “…’Writing’ means handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combination thereof, and any record thereby created, regardless of the manner in which the record has been stored.” A. Electronic Messages as Official City Records The City’s e-mail and text messaging systems are tools used for the temporary transport of communication, and as methods to send or receive correspondence. If an e-mail message or text message, including any attachments, can be considered an Official City Record, as defined above, such messages must be preserved for the legally required time period in accordance with the City’s Records Retention Schedule. B. Personal E-mail Accounts and Official City Records The use of personal e-mail accounts to transmit messages regarding City business should be avoided by all City officials and employees. In the event that messages regarding City business are sent or received by City personnel through their personal e-mail accounts, all City personnel are requested to forward copies of such e-mails to their City e-mail addresses. Personal e-mails discussing City business may be considered Official City Records that are subject to the Public Records Act and records retention laws. All City personnel are requested to use only their City e-mail accounts for sending/receiving e-mails regarding City business. V. Managing Your City E-Mail Individual City personnel are responsible for the management of their mailboxes and associated folders on a daily basis. To ensure maximum efficiency in the operation of the e-mail system, City personnel are directed to delete e-mail messages that are not Official City Records from their inboxes on a daily basis. Final 7/13/2016 - 3 - Examples of such messages are personal e-mails, e-mail advertisements, announcements, or newsletters received via e-mail. If e-mail messages that are not Official City Records are necessary for transitory work, preliminary drafts, preparation of work product or personal notes, City personnel are directed to either print the e-mail and maintain the paper copy, or create a PDF version of the e-mail (print to PDF) and store the file in an electronic folder on the City’s network drive. A. E-mail messages (including any attachments) that are Official City Records shall be preserved by one of the following methods: 1. Print the e-mail and place the printed copy in the appropriate file. 2. Electronically move the e-mail out of the City’s e-mail system and store it on a network drive. E-mail should not be stored on portable media (CDs, DVDs, thumb drives, etc.) and should not be preserved in the City’s e -mail system. It is the responsibility of individual City personnel to determine if an e-mail message is an Official City Record which must be retained in accordance with the City’s Record Retention Policy. Please refer to the City of Azusa Records Retention Policy for the required time frame for retention. Always consider the content of an e-mail message when you are determining if the e-mail is an Official City Record. The City Clerk can assist you in making such a determination. In addition, following is a general guideline for determining whether an e-mail message is an Official City Record subject to disclosure under the Public Records Act and required to be retained under the State’s records retention laws: B. Messages That Are Generally Considered As Official City Records (Retention Time = 2 years)  E-mail that is created or received in connection with official City business.  E-mail that shows how a City policy was created or how a decision was made by City staff and/or the City Council.  E-mail that begins, or authorizes, or completes an item or a transaction of official City business.  •E-mail that documents significant official decisions or commitments reached verbally (person-to-person, by phone or in conference) and not otherwise documented in City files. Final 7/13/2016 - 4 - C. Messages That Are Generally NOT Considered As Official City Records Requiring Retention  Personal messages and announcements not related to official City business.  E-mails transmitting duplicate documents (copies or excerpts) distributed for convenience or reference.  Messages containing no substantive information; they merely assist the flow of work.  E-mails containing drafts, notes, interagency or intra-agency memos that are NOT retained in the ordinary course of business. (Gov. Code §6254(a).) D. Examples of Messages that are Generally Considered as Official City Records (Retention Required):  E-mail requesting to add a consent calendar item to the City Council meeting agenda  E-mails between City staff regarding the need for an e-mail retention policy.  E-mails between City staff regarding approval of a building permit application.  E-mail that refers to meeting a deadline (i.e., “In compliance with FPPC filing requirements, attached please find…)  E-mails that describe informal negotiations with property owners for code enforcement cases.  Formal negotiations that exist only in e-mail form. E. Examples of Messages that are Generally NOT Considered as Official City Records (Retention Not Required):  General announcements of birthday celebrations or baby showers; invitations to lunch.  Copies of a staff meeting agenda distributed via e-mail.  “Cover” e-mails that simply transmit documents (i.e., “See attached” or “FYI...”). However, an attached document may be a record required to be retained (see Section VII – “E-mail Attachments”).  Working drafts of a document that are copied (“cc”ed) to staff for comment and then the draft is later revised to include all staff comments. Final 7/13/2016 - 5 - VII. E-Mail Attachments Attachments to e-mail messages should be retained or disposed of according to the content of the attachment itself, not according to the e-mail transmitting the attachment. Many e-mail attachments are simply duplicates of existing documents, or are draft versions of documents that might not be retained by the City after the final version of the document is complete. If you need help in determining whether an attachment to an e-mail message must be retained, please contact the City Clerk. VIII. Preserving Electronic Messages – Public Records Act Requests, Subpoenas, Claims, and Potential Claims Against the City Periodically, the City receives requests for inspection or copies of documents pursuant to the Public Records Act, as well as subpoenas or court orders for production of documents. The City also receives claims filed under the Government Claims Act. In addition, City staff members may be aware of active disputes or controversies that could lead to claims being filed against the City. In the event that a records request or a subpoena includes a demand for e-mails, City personnel who have control over, or access to, any such messages shall, once they become aware of the request or subpoena, use their best efforts, by reasonable means available, to temporarily preserve all relevant e-mails. For claims filed against the City and potential claims, City personnel who control or have access to e-mails relevant to such claims shall: (1) use their best efforts and any reasonable means available to preserve the e-mails, and (2) contact the City Clerk for direction. IX. Deletion of E-mail in “Trash” Folders The City’s e-mail management system does not automatically delete City e- mails, including any text messages that become e-mails, from “inbox” or “sent” folders. However, e-mail that has been manually deleted by moving messages to the ”trash” folder will be automatically removed after 90 days. X. Effective Date This procedure shall be effective immediately. XI. Documents Referenced The City’s Records Retention Schedule is available in the City Clerk’s Office or can be viewed here.