HomeMy WebLinkAboutReso 05-2012 RESOLUTION NO. 05 -2012
CITY COUNCIL, CITY OF SOUTH SAN FRANCISCO, STATE OF CALIFORNIA
A RESOLUTION APPROVING CHANGES TO THE HUMAN
RESOURCES DEPARTMENT AND RISK MANAGEMENT
RECORDS RETENTION SCHEDULE
WHEREAS, the City of South San Francisco ( "City ") has an official record retention
policy ( "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; and
WHEREAS, the City Council has previously approved and adopted an Electronics
Records Policy.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of South San
Francisco that the City Council hereby approves modifications to the Human Resources
Department and Risk Management Records 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 25 day of
January, 2012 by the following vote:
AYES: Councilmembers Mark Addiego, Karyl Matsumoto, and Kevin Mullin,
Vice Mayor Pedro Gonzalez and Mayor Richard A. Garbarino
NOES: None
ABSTAIN: None
ABSENT: None
ATTEST: Y 1`
City Clerk
Exhibit "A"
f S AiV �
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4 LIFOO 1 �
CITY OF SOUTH SAN FRANCISCO
RECORDS RETENTION
SCHEDULE
2011
Adopted by Reso #74 -2003, August 13, 2003
Amended 2/23/05 — Resolution 21 -2005
Amended 9/14/2011- Resolution 115 -2011
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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 12131)
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
I = Image (a digital representation of an original paper document)
L = Life
O = 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 H &S = Califomia Health and Safety Code
CAC = Califomia Administrative Code HUD = Housing and Urban Development
CCP = Code of Civil Procedure OSHA = Occupational Saf & Health Agency
CCR = Code of California Regulations PC = Califomia Penal Code
CEQA = California Envt'l Quality Act POST = Police Officers Standards Training
CFR = Code of Federal Regulations UFC = Uniform Fire Code
EC = Elections Code USC = United States Code
EL = California Elections Code WIC = Welfare & Institutions Code
FMLA = Family & Medical Leave Act, 1993
GC = Califomia Government Code
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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 "Elect" 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 AIIM
ARP1 -2009 Analysis, Selection, and Implementation of Electronic Document
Management Systems, ( "ARP1- 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;
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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.
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:
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a) The Trusted System must utilize both hardware and software storage methodologies
to prevent unauthorized additions, modifications or deletions during the approved
Iifecycle 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
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 intemal 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.
iii
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RECORDS RETENTION SCHEDULE
ADMINISTRATION
Admin
(Continued) Retention Format Citation Remarks
Records Series Title
RISK MANAGEMENT
Accident Reports - City C +7 HC /Electr. 29 CFR 1904.2; 29 CFR 1904.6 Reports and related records
Assets
Bonds, Insurance P HC /Electr. CCP 337.2; 343 Bond and insurance policies insuring city property and
other assets
Claims, Damage CI +5 HC /Electr. GC34090; GC25105.5 - • • - - - - . - - - ' aid/Denied Claims.
Litigation, complaints, and /or claims suspend normal
retention periods (retention begins after settlement)
Incident Reports CI +7 HC /Electr. 29 CFR 1904.2; 29 CFR 1904.6 Theft, arson, vandalism, property damage or similar
occurrence (excluding fire/law enforcement) (includes
incidents occurring on City property)
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Insurance, Joint Powers P HC /Electr. GC34090 Accreditation /MOU's /agreements, agendas (C +5
Agreement when LaserFiched)
Insurance, Certificates P HC /Electr, GC34090 Insurance certificates filed separately from contracts,
includes insurance filed by licensees
Insurance, P HC /Electr. GC34090 May include liability, property, Certificates of
Liability/Property Participation, deferred, use of facilities
(C +5 when LaserFiched)
Insurance, Workers P HC /Electr. GC6410; 29 CFR 1910,20
Compensation and Administrator
Excess workers'
compensation coverage
Photographs, C +2 HC /Electr. GC34090
Negatives, Film
Risk Management CI +5 HC /Electr. OMB 1220 -0029; 29 CFR 1904.4; Federal OSHA Forms; Loss Analysis Report; Safety
Reports GC34090 Reports; Actuarial Studies
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PAYROLL
Address changes - - - See Human Resources
Adjustments to Au +4 HC/ GC34090 Audit purposes
Pay, including Electr. 29 CFR 516.5 -516.6
direct deposit and
compensation time
sales/transactions
Deferred - HC/ Electr. - See Human Resources
Compensation -
Reports
Employee Time Au +6 HC/ 29 CFR 516.2; Signed by employee for audit & FEMA Reports
Cards Electr. 29 CFR 516.6(1); IRS Reg 31.6001 -
1(e)(z); R &T 19530; LC 1174(d)
Reports, PERS T +4 HC/ Electr. GC34090; Record of deductions (PERS Public Employee
Employee CAC 22- 1085 -2 Retirement System).
Deduction 26 CFR 31- 6001 -1; 29 CFR 516.5, T = termination of the employee
516.6, LC 1174(d)
Reports, Federal Au +4 HC/ Electr. 29 USC 436 Forms 1096, 1099, W-4's and W -2's
and State Tax 26 CFR 31.6001.1 -4; IRS Reg
31.6001- 1(e)(2); R &T 19530;29 CFR
516.5 -516.6
Labor Distribution Au +7 HC/ Electr. GC34090 Costs by employee & program
Records
Leave Hour C +4 HC/ IRS Reg 31.6001- 1(e)(2), 29 CFR
Records Electr. 516.5- 516.6, R &T19530; LC1174(d);
GC 34090
Salary Records T +3 HC/ Electr. GC34090; T = upon termination of employee service with City of
29 CFR 516.2 South San Francisco
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RECORDS RETENTION SCHEDULE
HUMAN RESOURCES
Human
Resources
Records Series Retention Format Citation Remarks
Tide
Benefit Plan T +5 HC! Electr. GC34090 (Part of E€emplovee file)
Enrollment,
Denied
Benefit Plan P HC/ Electr. GC6250 et se q.; CFR 1602.30; 32;
Claims Lab Rel Sec 1174 29 CFR 1637.3; 29
USC 1027; 29 CFR 1627.3; 29 USC Assistaasepart of employee file
1113
Billings - Health T +25 HC/ Electr. May be part of employee file for individuals and may be
Insurance, bills from providers.
including (Medical,
FDental, Vision
etc.)
Cal OSHA T +25 H Electr. Forms 300 -A Annual Summary & 301 Incident Report
�-+ I Classifications and P HC/ Electr. GC34090; • _ _ - _. _ _ _ :: : • . ' : •. _ - • _ : - - - _ Part of
Appointments GC12946; 29 CFR 516.6(2); 29 CFR employee personnel file and HR recruitment lists
1602.4
Employee T +5 HC/ Electr. GC34090 May be (2Part of €-E--employee .file and /or Risk
Accident Reports Management files)
Enleyee S +2 HC/ Electr. GC34090
klandbeek
(s +eatiy non -
oxistent)Human
Resources
Procedures
Manual
Employee C +5 HC/ Electr. GC34090; Recognition /customer service
Programs GC12946
€byes- fights HC/ Electr. GC12946; 29 CFR 1602; 29 USC 211 May include arbitrations, grievances, union requests,
Non Safety T +5 (e); 203(m); 207(g) sexual harassment and civil rights, complaints, disciplinary
€mpleyees T +5 actions
Safety
(Pelise)Labor
Relations
Hourly Employees T + 5 HC/ Electr. GC12946; Part of employee files
GC34090
29 CFR 1627.3, Labor Relations
Section 1174
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Immigration P HC/ Electr. Immigration Reform /Control Act 1986 I -9's
Pub L 99 -603
Leave requests TT +5 HC/ Electr. FMLA 1993 US OSHA; 29 CFR Part of employee personnel file.
1910.20; 29 CFR 1602.30.32; 49 CFR
193 -9
G-14 Q434490
N
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Human
Resources
(Continued) Retention Format Citation Remarks
Records Series
Title
Medical- t-eave T - + - 6 1H1Q- ElestF
roguectc e. • ; ' - =' • e . ,
493-9
Motor Vehicle CI +7 HC/ Electr. GC12946,
Pulls (DMV) CA 91009; 8 USC 1324 (a)
Labor Negotiations P HC/ Electr. 29 USC Sections 211c, 203(m), 207(g) Notes, notebooks, correspondence, contracts, and
(laber- retatisae) Memorandums of Agreements
Personnel Files: HC/ Electr. Reference: 29 CFR 16273; Lbr Rltns May include AApplication recordss, eertiffeates, Personnel
Sec 1174; 29 CFR 1602.30.32; Action Forms, Employee demographic information;
safety T +25 GC6250 et seq.; 29 CFR; GC 12946, disciplinary action, , grievances,
Employeos T +25 34090,1607.4; 29 CFR 655.202; 29 inserancebenefits information, licenses and certifications ;,
Safoty CFR 516.6 et seq.; 45 CFR 1068.6(a) performance appraisals, pefsennel- salary and position
history, Release Authorizations; - certifications;
reassignrments; ; commendations;
terminations; Oaths of Office; pre- employee-employment
medical examinations; fingerprints; identification cards
(ID's); leave requests; training records. workers'
compensation records and other employee related
►-+ information.
Persegnel 2 6534898; . _ •- - ; . . , _ . . .
Rec ords{cepies-) 666258
Human
Resources Retentier3 Format Citation Refaacks
(Continued)
Resefdc Soros
Title
FERS- Sociat l+S H®tCIElectr. - ; - - - - , - • • • (Part-ef-E&file)-ESOGIACCA
Sssu fity, SSI
Recruitment 61+3 HC/ Electr. Reference: Applications (not hired), resumes, alternate lists/logs,
CI +5 GC12946; GC6250 et seq; 29 CFR indices; ethnicity disclosures; examination materials,
1602 et seq.; 29 CFR 1607; 49 USC examination answer sheets, job bulletins; eligibility;
2000(e) -8; 2000c -12 electronic database. eligible lists. appointment information.
Reference Checks T +2 HC/ Electr. GC12946
Surveys & Studies C +5 HC/ Electr. GC 12946, 34090; 29 CFR 516.6(2); Includes classification, wage rates
• 29 CFR 1602.14
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Training Records: HC/ Electr.
Non -Safety C +7 GC6250 et seq- Employee/volunteer applications, program training, class
training materials, intemships
Paperwork documenting officers' intemal and extemal
Personnel (by T +7 GC34090 training
name)
Certifications/designations
C +2 GC34090
Safety
Volunteer workers: HC/ Electr. Includes applications, waivers, placement forms;
hired T +2 GC34090 Information is generally kept by departments
not -hired C +2
Workers P HC/ Electr. CCR 14311; 154002 Labor Code Claim Files, Reports, Incidents (working fitec) in employee
Compensation 5405 Title 8 _ personnel file; originals filed with Administrator
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