HomeMy WebLinkAboutReso 91-2016 (16-363)City of South San Francisco P.O. Box 711 (City Hall,
400 Grand Avenue)
South San Francisco, CA
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Resolution: RES 91 -2016
File Number: 16 -363 Enactment Number: RES 91 -2016
RESOLUTION APPROVING CHANGES TO THE FIRE
DEPARTMENT RECORDS RETENTION SCHEDULE RELATED TO
THE FORMAT OF THE RECORDS.
WHEREAS, the City of South San Francisco ( "City ") has an official Records Retention Policy
( "Policy ") that is managed by the City Clerk's Office; and
WHEREAS, from time to time it becomes necessary to modify the Policy and/or the retention
schedule referenced in the Policy; and
WHEREAS, a records retention schedule is necessary to meet the needs of the City and its citizens
to assure storage of records that assist in the conduct of the City's business and the prompt destruction of
records without continuing value; and
WHEREAS, electronic storage makes information more accessible to the public and city staff, and
WHEREAS, staff has identified which Fire Department records will be maintained electronically.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of South San Francisco
hereby approves modifications to the Fire Department section of the Records Retention Schedule and
changes to the Records Retention Schedule Index accomplishing a change that will allow the storage of
records in an electronic database, as indicated in Attachment A and Attachment B incorporated herein.
At a meeting of the City Council on 7/13/2016, a motion was made by Richard Garbarino, seconded by
Pradeep Gupta, that this Resolution be approved. The motion passed.
Yes: 5 Councilmember Normandy, Councilmember Garbarino, Councilmember
Matsumoto, Vice Mayor Gupta, and Mayor Addiego
Attest by O X=i-- -GV11
Krista Martinelli
Page 1
Attachment A
CITY OF SOUTH SAN FRANCISCO
RECORDS RETENTION
SCHEDULE
2016
Adopted by Reso #74 -2003, August 13, 2003
Amended February 23, 2005 — Resolution 21 -2005
Amended September 14, 2011 -
Resolution 115 -2011
Amended January 25, 2012 — Resolution 5 -2012
Amended May 22, 2013 —Resolution 45 -2013
Amended February 17, 2016 — Resolution 19 -2016
Amended April 27, 2016- Resolution 50 -2016
Amended July 13, 2016 — Resolution -2016
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).
Cr = Creation date
Cl = 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
CAC = California Administrative Code
CCP = Code of Civil Procedure
CCR = Code of California Regulations
CEQA = California Envt'I Quality Act
CFR = Code of Federal Regulations
EC = Elections Code
EL = California Elections Code
FMLA = Family & Medical Leave Act, 1993
1
GC = California Government Code
H &S = California Health and Safety Code
HUD = Housing and Urban Development
OSHA = Occupational Saf & Health Agency
PC = California Penal Code
POST = Police Officers Standards Training
UFC = Uniform Fire Code
USC = United States Code
WIC = Welfare & Institutions Code
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 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;
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
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 compute r....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
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.
Policv 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.
RECORDS RETENTION SCHEDULE
FIRE DEPARTMENT
Fire
Records Series Title
Retention
Format
Citation
Remarks
ADMINISTRATION
Books, Fire Code
S +3
GC 34090.7
Include OPS manuals
HC
CCP 340.5
Inspections, Fire Station
CI +2
Electr
GC34090
CRW System
CRW System
Inspections, Fire Prevention
CI +3
UFC103.34
Alarm /sprinkler systems,
Electr
rvention efforts
Investigations, Evidence Arson
P
PC799
Sompc rt prosecution resulting in
HC
Investigations, Evidence Arson
CI +6
PC800
Great bodily harm, inhabited
HC
structure or property
Journals, Fire Station
P
GC34090
Activities, personnel, engine
company
Legal Opinions
P
GC34090
From State legislature or City
Attorney's office
Mutual Aid, Strategic Plans
C +2
GC34090
Patient Care Reports
P
Medical reports
Permits, Fireworks
C +2
Electr
GC34090
CRW System
Permits for fireworks booths
Policies & Procedures
C +2
GC34090
Includes rules, regulations,
standards
FIRE PERSONNEL
Background investigations:
Hired
T +5
GC34090
Not hired
C1 +2
Controlled substance
P
GC34090
Mo hine /valium record keeping
29CFR
Sampling results, collection
Exposure
T +30
1910.1020
methodology, background
29CFR
Laboratory reports and
Exposure
T +1
1910.1020
worksheets
Medical
T +30
29CFR
1910.1020
Medical
T +2
29CFR
Employees less than one year
1910.1020
Training
T +2
GC34090
C e rtifications/desig nations
PROPERTY
GC34090
CCP 340.5
Repair and Maintenance
Apparatus/Vehicle
C +2
8 CA Code of
Regulations
3203 b 1
Field, Non -fire and Los
C +2
GC34090
Fire, Non -arson and Los
C +2
GC34090
Fire Equipment/Gear Los
C +2
GC34090
GC34090
Incident Reports
CI +5
CCP338
Dispatch and daily logs
CCP 340.5
Inventory, Equipment &
C +2
GC34090
Supplies
Investigations, Evidence Arson
C +3
PC801;
UFC 104.32
Structure
CODE ENFORCEMENT
GC34090d
CRW System
Abandoned Vehicles
CI +2
Electr
Private property
Fire
Records Series Title
Retention
=c mat
Citation
Remarks
CRW System
Building, housing and mobile
home code violation records
Case Files
P
GC34090d
including inspections; public
nuisance rubbish and weed
abatement, vehicle abatement,
citations, massage parlor permits,
Electr
general
Forms /handouts
S
Knox box, after hour inspections
etc.
Liens & Releases, Supporting
CI +2
Electr
GC34090
CRW System
Utilities, abatement, licenses
CRW System
Case History
C +2
GC34090d
Lien Recovery, citations,
Electr
complaints
Regulations
S +2
GC34090d
Includes rules
CRW System
Reports, Federal & State
P
GC34090a
Code enforcement statistics; may
contain records affecting title to
Electr
real property or liens thereon
CRW System
Safety Inspector Reports
P
GC34090
Engine Company and Safety
Electr
Inspector
CRW System
Violations, Building, Property &
CI +2
GC34090d
Supporting code enforcement
Zoning
Electr
activity
CRW System
Weed Abatement
C +5
GC34090
Reports, assessments,
Electr
resolutions, documentation
HAZARDOUS MATERIALS
CA OSHA;
CRW System
Hazardous Waste Disposal
C +10
40CFR122.21
documentation re handling and
Electr
disposal of hazardous waste
CRW System
Although the GC only
Permits, Hazardous Materials
recommends current + 2 years,
Storage
P
GC34090
other agencies consistently
recommend permanent retention
of environmentally sensitive
Electr
material
Programs, Household
S +2
GC34090
Hazardous Waste
Training Materials
S +2
Cal Code Reg.
3204(d), et se g.
Standards and Administration
Underground Storage Tank:
CRW System
Compliance
P
GC34090a
Documents re: storage
Maintenance & Oper.
C +2
GC34090
Location, installation, removal,
Electr
remediation
RECORDS RETENTION SCHEDULE AND INDEX Attachment
File .series not addressed in the retention schedule should be considered routine in nature and should be
identified as "General Subject" page 3, and retention for those files should be two (2) years unless
specific laws, decisions or opinions would apply to the file series. If a file series is not addressed in the
attached schedule and the department believes other legal requirements apply or it is an essential record
either for legal, historical, fiscal or administrative value, then that series can be added to the retention
schedule. The retention schedule is not a `permanent" document, but flexible in nature to accommodate
legal, administrative, or fiscal policy changes.
RECORDS RETENTION INDEX
RECORD SERIES
DEPARTMENT
PAGE
Library Board of Trustees meeting packets
Library
25
Licenses
Information Technology
24
Licenses, Permits
Parks, Recreation & Maint Services
34
Liens & Releases, Supporting
Fire
20
Lighting
Parks, Recreation & Maint Services
33
Loans
ECD
12
Location Records (WQCP)
Public Works
36
Los
ECD
11
Logs, Attorney Service Request
Administration
7
Leqs�gase Histo , Code Enforcement
Fire
20
Maintenance and Operations (Garage)
Parks, Recreation & Maint Services
34
Maintenance and Operations (Streets / Parks)
Parks, Recreation & Maint Services
34
Maintenance and Operations (WQCP)
Public Works
36
Maps
Parks, Recreation & Maint Services
34
Maps, Plats and Surveys
Public Works
35
Maps (WQCP)
Public Works
36
Maps, Plans, Drawings, Exhibits, Photos
ECD
15
Maps, PrecinctsNoter Information
Administration
5
Master Plans
ECD
14
Master Plans
Parks, Recreation & Maint Services
34
Master Plans (WQCP)
Public Works
36
Media Relations
Administration
8
Medical
Fire
20
Medical Leave
Human Resources
22
Meter Operations (WQCP)
Public Works
36
Microfilm — Prop History
ECD
1 D
Minutes
Administration
7
Minutes (BPAC and TAC)
Public Works
35
Monthly Full Backups
Information Technolo4v
24
Monthly Traffic Reports
Police
31
Motor Vehicle Pulls (DMV)
Human Resources
22
Municipal Code
Administration
8
Mutual Aid, Strategic Plans
Fire
20
Narcotics Task Force NTF — County
Police
29
Narcotics: Confidential Informant Files
Police
29
NCIC Validations
Police
32
Negotiations Labor Relations
Human Resources
22
Network Information Systems LAN/WAN
Information Technology
24
Nomination Papers
Administration
5
Notices, Meeting
Administration
7
Notices Meetin
Public Works
35
Notifications and Publications
Administration
5