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HomeMy WebLinkAboutReso 115-2011 RESOLUTION NO. 115 -2011 CITY COUNCIL, CITY OF SOUTH SAN FRANCISCO, STATE OF CALIFORNIA A RESOLUTION AMENDING THE CITY'S RECORDS RETENTION POLICY TO AUTHORIZE THE USE OF ELECTRONIC RECORDS FOR OFFICIAL RECORDS AND APPROVING CHANGES TO THE FINANCE DEPARTMENT'S RECORDS RETENTION SCHEDULE WHEREAS, the City of South San Francisco (the "City ") has an official record retention policy (the "Policy ") that is maintained by the City Clerk's Office; and WHEREAS, from time to time it becomes necessary to modify the Policy and/or the retention schedules referenced in the Policy; and WHEREAS every office and department in the City is faced with problems of storage space as well as decisions about which records to keep and which to discard; and WHEREAS a records retention schedule is necessary to meet the needs of the City and its citizens to assure the prompt destruction of records without continuing value thereby improving access to records that continue to have value. NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of South San Francisco hereby approves and adopts the Electronic Records Policy attached hereto as Attachment A and incorporated herein. BE IT FURTHER RESOLVED that the City Council of the City of South San Francisco hereby approves modifications to the Finance Department's Record Retention Schedule and the Legend/Definitions of Records as indicated in Attachment A and incorporated herein. * * * * * I hereby certify that the foregoing Resolution was regularly introduced and adopted by the City Council of the City of South San Francisco at a regular meeting held on the 14 day of September 2011 by the following vote: AYES: Councilmembers Mark Addiego, Pedro Gonzalez, and Karyl Matsumoto, Vice Mayor Richard A. Garbarino and Mayor Kevin Mullin NOES: None ABSTAIN: None ABSENT: None ATTE: T: ■tr .l A itr erk III Attachment A , SAN itt i o 14 L IF O?L CITY OF SOUTH SAN FRANCISCO RECORDS RETENTION SCHEDULE FINANCE DEPARTMENT Effective: October 1, 2011 LEGEND /DEFINITIONS Records Retention A = Active (while a document or work is still in progress) Ad = Adoption date Au = Audit (an audit is performed at the end of each fiscal year — to be completed by 12/31) C = Current (current year, any record or file that is made within the current calendar year; the retention period begins the first day of the following year, i.e., C +2 means a record created in 1998 plus the next two calendar years would be eligible for destruction in 01/01/01). CI = Closed (completed) Dbase = Database DOB = Date of Birth E = Election date Electr = Electronic Record (information that meets the Electronic Records Policy, see below) HC = Hard Copy Record = Image (a digital representation of an original paper document) L = Life 0 = Obsolete P = Permanent (the record is determined to be of permanent value to the City; original records affecting the title of real property or liens thereon, minutes, resolutions, ordinances) Record = Information maintained by the City in the form of a hard copy document, an image of a hard copy document, information contained in a database, or an Electronic Record maintained pursuant to the Electronics Records Policy S = Supersede (only retain the current version; once that version has been revised the older version should be destroyed to eliminate any confusion) T = Termination (upon termination of contract, obligation, program, employment or case files) CITATIONS B &P = California Bus & Professional Code GC = California Government Code CAC = California Administrative Code H &S = California Health and Safety Code CCP = Code of Civil Procedure HUD = Housing and Urban Development CCR = Code of California Regulations OSHA = Occupational Saf & Health Agency CEQA = California Envt'I Quality Act PC = California Penal Code CFR = Code of Federal Regulations POST = Police Officers Standards Training EC = Elections Code UFC = Uniform Fire Code EL = California Elections Code USC = United States Code FMLA = Family & Medical Leave Act, 1993 WIC = Welfare & Institutions Code Page 1 DRAFT (9-6 -2011) Electronic Records Policy Regardless of the format in which official City records are stored, all official information will be stored in a trusted environment when required and in compliance with the City's adopted record retention schedule. Provided that required conditions are met, certain Electronic Records can take the place of the original hard copy for those records identified as "Electr" within the adopted records retention schedule. In order for an Electronic Record to be deemed as the original record, the Electronic Record must satisfy all of the following requirements: a) The Electronic Record can be reproduced on any medium that is a trusted system, and that system does not permit additions, deletions, or changes to the original document; b) The device used to reproduce the Electronic Record is one which accurately and legibly reproduces the original thereof in all details and that does not permit additions, deletions, or changes to the original document images; c) The Electronic Records are made as accessible for public reference as the original records were; and d) A true copy of archival quality of the Electronic Record shall be kept in a safe and separate place for security purposes. If any portion of a record cannot be reproduced with full legibility, then no page of that record, paper, or document shall be destroyed. All Electronic Records shall be backed up regularly either by the City's Information Technology (IT) Department or by an outside service approved by the IT Department. The backed up records shall be kept separately. Format of Electronic Records The City IT Director shall approve Electronic Records retention storage formats prior to that particular format qualifying as an official City record. Upon format approval, that particular format will be listed within the document retention schedule, where applicable. For electronic records which are images, all approved formats for Electronic Records that involve copies of original documents must also adhere to the Al IM ARP1 -2009 Analysis, Selection, and Implementation of Electronic Document Management Systems, (NARP1- 2009") sections 5.4.1.4 and 5.4.2.4, concerning uniform standards for image format and compression. For electronic records which are stored as data in a database management system (defined below) rather than an image of a document, the following conditions must be met: 1. The database system must be authorized by, and must be supported /maintained by the IT Department. 2. As part of the support that IT Department provides, the database is backed up in a secure server environment that only authorized IT Department staff are allowed access to; 3. The database system is either maintained by IT Department or is under contract for maintenance that is authorized by IT Department. 4. The database contains safeguards against altering records, as described under "Trusted System" below; and 2 (9 -6 -2011) 5. Authorized users of the database cannot in the normal course of their duties lawfully alter data in the database (see Trusted System below). 6. IT Department has protections in place that are designed to prevent unauthorized users from access to the database or database system. A database is defined as ... any collection of data, or information, that is specially organized for rapid search and retrieval by a computer. ...A database management system (DBMS) extracts information from the database in response to queries. A database is stored as a file or a set of files on magnetic disk or tape, optical disk, or some other secondary storage device. The information in these files may be broken down into records, each of which consists of one or more fields. Fields are the basic units of data storage, and each field typically contains information pertaining to one aspect or attribute of the entity described by the database. Records are also organized into tables that include information about relationships between its various fields. Although database is applied loosely to any collection of information in computer files, a database in the strict sense provides cross - referencing capabilities. Using keywords and various sorting commands, users can rapidly search, rearrange, group, and select the fields in many records to retrieve or create reports on particular aggregates of data....(from Encyclopedia Britannica). Examples of databases used by the City include at this time: the Eden Financial System; the Highline Payroll System; the CRW permit and Business License System; the CLASS Recreation System; and the Geographical Information System (GIS). Trusted System A trusted document management system ( "Trusted System ") means a combination of techniques, policies and procedures for which there is no plausible scenario in which a document stored from or reproduced by the system could differ substantially from the document that is originally stored. A Trusted System will ensure that all electronically stored information can be considered to be a true and accurate copy of the original information received regardless of the original format. A Trusted System must be able to ensure that at least two (2) separate copies of the electronically stored information can be created that meets, at a minimum, all the following conditions: a) The Trusted System must utilize both hardware and software storage methodologies to prevent unauthorized additions, modifications or deletions during the approved lifecycle of the stored information. b) The Trusted System's methods must be verifiable through independent audit processes. c) The Trusted System must write at least one copy of the electronic document or record into electronic media that does not permit unauthorized additions, deletions, or changes to the original document and that is to be stored and maintained in a safe and separate location. For records which are stored as images, an authorized system user could not alter a document stored in the system, and a Trusted System ensures that stored images are true and accurate 3 (9-6 -2011) representations of the original. For records stored as data in a database, the data can only be modified by authorized system users in a manner in which the change is authorized and logged. For example, after a payroll file for a certain time period is finalized and executed /distributed by the Finance Department, authorized users cannot, after the fact, go back and change the information contained in that database for any employees' pay rates, etc. contained in that payroll run. A change in an employee's pay rate would only be authorized as a new action in the database, would have protections in place limiting who can execute those changes, and, rather than erase the old pay rate, the database would store the change as a new record as of the date it is entered /accepted into the system by an authorized user. That new record would then be subject to review by an authorized database system administrator. In that way, a history of the changes to one employee's pay rates, for example, can be viewed in the payroll system's log that can be accessed and reviewed by that system's authorized administrators, either in the IT Department or in the host department. Policy Implementation In order to implement this electronic records policy, the City Clerk and the IT Department will maintain a set of internal document management procedures which will accomplish the following: • describe how information will scanned, indexed, and verified; • describe how the system will be secured from unauthorized access; • describe how documents will be secured from unauthorized modification or alteration; • describe how authorized modification of documents will be managed, including audit trail information and the ability to retrieve any previous document version required to be maintained; • describe how the system will adhere to the published records retention schedule; describe how the records will be store to protect from fire, flood, or vandalism; and • describe how these policies and procedures will be followed. 4 (9-6 -2011) RECORDS RETENTION SCHEDULE FINANCE DEPARTMENT Finance Dep't Retention Format Citation Remarks Records Series Title FINANCE Accounts Payable Au +7 HC/ GC34090 Supporting documents for payments to Electr. vendors(copies maintained by departments are C +2) Accounts Receivable Au +7 HC/ GC34090 Electr. Annual Financial P HC/ GC34090 Final version of the Comprehensive Reports Electr. Annual Financial Report for City, Redevelopment Agency, and Sewer Fund Assessment Districts T +5 HC/ GC34090 Collection information /until termination of Electr. district Bank statements Au +5 HC/ GC34090; Monthly Bank Statements Electr. 26 CFR 16001 -1 Bonds (Sold or P HC/ GC34090 Sponsored by City or Electr. CCP 337.5 Redevelopment Agency), including bond administration agreements, final official statement, bond legal documents Budget Adjustments - - - See Journal Entries Budget, Adopted P HC/ GC34090 Final Adopted Operating Budget Operating Electr. Document. (See Public Works for Capital Budget Document) Business licenses: Original application T +4 HC/ GC34090; T = upon the business terminating its Electr. CCP 337 location in South San Francisco. Renewal information C +4 HC/ Renewal information has value for Electr. revenue audit purposes, with a statute of limitations of 4 years. Check Records Au +5 HC/ GC34090 Includes city record of check issuance Electr. CCP 337 and bank electronic true copy stored at bank ' Where more than one format for records are authorized, such as both HC and Electr. the department may keep those records in the format that are the most advantageous to maintain /administer, at the department's discretion. 5 (9 -6 -2011) Finance Dep't Retention Format Citation Remarks Records Series Title Bank Deposit Backup Au +1 HC/ After year end audit, bank statements (in Depts) Electr. suffice for adequate backup Developer - - - See Engineering and Planning Divisions deposits /history Petty Cash Records AU + 1 HC GC 34090.7 Includes copies of receipts, logs, (copies being transmittal forms maintained by depts.) Invoices Au +7 HC/ GC34090 Copies sent for fees owed, billing, Electr. related documents Ledger: Au +7 Electr. Transaction information is only required General to be kept for federal audit purposes for 7 years after year end close Journal Entries Au +7 HC/ GC34090; Including supporting documents, both Electr. CCP 337 general ledger and budget entries Purchase Orders / Au +7 HC/ GC34090; Original documents or electronic records Requisitions Electr. CCP 337 State Controller Au +7 HC/ GC34090 Electr. Vendor Register - - - See Ledger: General Taxes, Receivable Transit Occupancy Au +3 HC/ CCP 338 Records Electr. Au +3 Parking Tax Records HC/ Electr. FIXED ASSETS Surplus Property, - - - See Public Works for vehicle disposals Auction Vehicle Ownership & - - - See Public Works for Title transfers Title when vehicle sold Land and Building Title - - - See City Clerk for all Real Estate Transations Other Fixed Asset T Electr. T = upon termination of the asset, either Records Not Included at the time the fixed asset has lived its above depreciable useful life, or upon its disposal, if sooner 6 (9-6 -2011) Finance Dep't Retention Format Citation Remarks Records Series Title PAYROLL Address changes - - - See Human Resources Adjustments to Pay, Au +4 HC/ GC34090 Audit purposes including direct deposit Electr. 29 CFR 516.5 - and compensation time 516.6 sales /transactions Deferred Compensation - - - See Human Resources Reports Employee Time Cards Au +6 HC/ 29 CFR 516.2; Signed by employee for audit & FEMA Electr. 29 CFR 516.6(1); Reports IRS Reg 31.6001- 1(e)(z); R &T 19530; LC 1174(d) Reports, PERS T +4 HC/ GC34090; Record of deductions (PERS Public Employee Deduction Electr. CAC 22- 1085 -2 Employee Retirement System). 26 CFR 31 -6001- T = termination of the employee 1; 29 CFR 516.5, 516.6, LC 1174(d) Reports, Federal and Au +4 HC/ 29 USC 436 Forms 1096, 1099, W-4's and W -2's State Tax Electr. 26 CFR 31.6001.1 -4; IRS Reg 31.6001 - I (e)(2); R &T 19530;29 CFR 516.5 -516.6 Labor Distribution Au +7 HC/ GC34090 Costs by employee & program Records Electr. Leave Hour Records C +4 HC/ IRS Reg Electr. 31.6001- 1(e)(2), 29 CFR 516.5- 516.6, R &T19530; LC1174(d); GC 34090 Salary Records T +3 HC/ GC34090; T = upon termination of employee Electr. 29 CFR 516.2 service with City of South San Francisco TREASURER Bonds - - - See Finance City Investment T +1 HC/ GC34090; Summary of transactions including Transactions Electr. CCP 337; purchase and sale backup. GC 53607 T = until the investment terminates /matures /is sold Investment Earnings AU + 7 HC/ Reports Electr. 7 (9-6 -2011)