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 ofthe 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 ofthe 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
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 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 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 Sompcrt 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, orfiscal 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