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
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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
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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
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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.
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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.
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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
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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.
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