san_francisco_dao_record_retention_policy.pdf

SAN FRANCISCO DISTRICT ATTORNEY'S OFFICE Record Retention and Destruction Policy The San Francisco District Attorney hereby adopts this Record Retention and Destruction Policy pursuant to Chapter 8 of the San Francisco Administrative Code, which requires each department head to maintain records and create a records retention and destruction schedule. This policy supercedes all previous record retention and destruction policies issued by this office. This policy covers all records and documents, regardless of physical form or characteristics, which have been made or received by the District Attorney's Office in connection with the transaction of public business. The purpose of this policy is to provide a system for managing the records of the District Attorney's Office, to safely store and retain those records that need to be retained, to comply with all applicable legal requirements regarding document retention and destruction, and to identify and establish guidelines for the destruction of those documents that are obsolete or for which retention is otherwise not required. PART I: POLICY AND PROCEDURES A. RETENTION POLICY The District Attorney's Office shall retain records for the period of their immediate or current use, unless longer retention is necessary to comply with contractual or legal requirements; the District Attorney's Office has determined that a longer retention period is required for historical reference; or, for other purposes as set forth below. For record retention and destruction purposes, the term "record" is defined as set forth in Section 8.1 of the San Francisco Administrative Code. Documents and other materials that do not constitute "records" under that section, including those described below in Category 4, may be destroyed when no longer needed, unless otherwise specified in Part II. The records of the District Attorney's Office shall be classified for purposes of retention and destruction as follows: Category 1: Permanent Retention. Records that are permanent or essential shall be retained and preserved indefinitely. • Permanent records. Permanent records are records required by law to be permanently retained and that are ineligible for destruction unless they are microfilmed or placed on an optical imaging system and the image remains unalterable and special measures are followed. Admin. Code Section 8.4; See also Government Code§. 26205.1. Once these measures are followed, the original paper records may be destroyed. Duplicate copies of permanent records may be destroyed whenever they are no longer necessary for the efficient operation of the District Attorney's Office. Examples of permanent records include felony homicide records. • Essential records. Essential records are records necessary for the continuity of government and the protection of the rights and interests of individuals. Admin. Code - 1- Section 8.9. Examples of essential records include pending litigation with the office and correspondence between the District Attorney and California Attorney General. Category 2: Current Records. Current records are records that for convenience, ready reference or other reasons are retained in the office space and equipment of the District Attorney's Office. Current records shall be retained as follows: • Where retention period specified by law. Where federal, state, or local law prescribes a definite period of time for retaining certain records, the District Attorney's Office will retain the records for the period specified by law. Examples of records required to be maintained for a specific period are Workers Compensation records and Family Medical Leave Act records. • Where no retention period specified by law. Where no specific retention period is specified by law, the retention period for those records shall be as specified in the attached Record Retention and Destruction Schedule. Records shall be retained for a minimum of two years, although such records may be treated as "storage records" and placed in storage at any time during the applicable retention period. Examples of current records include invoices for purchases of supplies, miscellaneous administrative documents, budget documents. Category 3: Storage Records. Storage records are records that are retained offsite. Storage records are subject to the same retention requirements as current records, but are maintained at the City's off-site storage facilities. Examples of storage records include closed case files and terminated,contracts. Category 4: No Retention Required. Documents and other materials that are not "records" as defined by Admin. Code section 8.1 need not be retained unless otherwise specified by local law. Documents and other materials (including originals and duplicates) that are not otherwise required to be retained, are not necessary to the functioning or continuity of the office and which have no legal significance may be destroyed when no longer needed. Examples include materials and documents generated for the convenience of the person generating them, draft documents ( other than some contracts) that have been superseded by subsequent versions, or rendered moot by departmental action, and duplicate copies of records that are no longer needed. Specific examples include calendars (other than the District Attorney's calendar), telephone message slips, miscellaneous c01Tespondence not requiring follow-up or departmental action, notepads, e-mails that do not contain information required to be retained under this policy, and chronological files. With limited exception, no specific retention requirements are assigned to documents in this category. Instead, it us up to the originator or recipient to determine when the document's business utility has ended. -2- U. RECORDS NOT ADDRESSED IN THE RECORD RETENTION SCHEDULE Records and other documents or materials that are not required to be retained by law, and are not expressly addressed by the attached schedule may be destroyed at any time provided that they have been retained for the periods prescribed for substantially similar records. Current or storage records may be destroyed five years after they were created if they have served their purpose and are no longer required for any public business or public purpose, and destruction of the record has been approved by the Controller (for records pertaining to financial matters), the City Attorney (for records pertaining to legal matters), and the Retirement Board (for payroll checks, time cards and related documents). C. STORAGE OF RECORDS Records may be stored in the District Attorney's office space or equipment if the records are in active use or are maintained in the office for convenience or ready reference. Examples of active files appropriately maintained in the District Attorney's office space or equipment include active chronological files, research and reference files, legislative drafting files, pending complaint files, administrative files, personnel files, and calendars. Inactive records, for which use or reference has diminished sufficiently to permit removal from the District Attorney's office space or equipment, may be sent to the City's off-site storage facility. Storage ofrecords imposes considerable costs on the District Attorney's Office. Accordingly, records should be stored only when necessary, and should be promptly destroyed once the applicable retention period has passed and the records are no longer needed. It shall be the policy of the District Attorney's Office to work with contractors providing off-site storage of records to ensure that records are destroyed once the requisite time period for retention has passed. D. HISTORICAL RECORDS Historical records are records which are no longer of use to the District Attorney's Office but which because of their age or research value may be of historical interest or significance may not be destroyed except in accordance with the procedures set forth in Administrative Code section 8. 7. Records will be kept if necessary for public safety reasons. E. RECORDS RELATING TO FINANICAL MATTERS Records relating to financial matters may only be destroyed after the approval of the Controller, and payroll checks, time cards and related documents may be destroyed only after approval by the Retirement Board. If the Retirement Board determines that they need certain payroll records, they shall be delivered to the Retirement Board instead of being destroyed. (S.F. Administrative Code Section 8.3) - 3 - APPROVALS This Record Retention and Destruction Policy and attached Schedule are hereby approved: Steve Kawa Chief of Staff Office of the Mayor Approved as to ecords of Legal Significance: 1s . Herrera City Attorney Approved as to Records Relating to Financial Matters: Approved as to Records Relating to Payroll Matters: ~ ,- lf \ ) f i!PM-,hl . ~ Clare M. Murphy V Executive Director Retirement System - 4 - ' I S}Ji}J_tl Date ~ Date ¥0},cPz Date Date Date Department Name: San Francisco District Attorney Department Contact: Martha Knutzen Contact Phone Number: 415-553-1268 Division Record Category TYPE OF RECORD RETENTION CATEGORY Administration & Finance Administration Administrative Administrative records, miscellaneous 2 & Finance Administration Finance Audit Reports 1 & Finance Administration Administrative Annual Reports 1 & Finance Administration Administrative Calendar (department head)- Prop G 2 & Finance Administration Administrative Citizen Complaints 1 & Finance Administration Administrative District Attorney Correspondence, 2 & Finance miscellaneous Administrative Administrative District Attorney Correspondence to 1 Attorney General Administration Administrative Publications, reports created by 2 & Finance department Administration Administrative Public Records Requests 2 Administration Administrative Pending Litigation with Office 2 Administration Contract/Grants Contracts and Payment Records 2 & Finance Administration Contract/Grants MOUs 2 & Finance Administration Contract/Grants Exchanged Drafts of Agreements 2 & Finance Administration Contract/Grants Grant Awards, Fiscal, and Program 2 & Finance Records I of 4 RETENTION PERIOD REMARKS Total On Site Off Site 2 years 2 years None Permanent Permanent None Permanent Permanent None 2 years 2 years None Permanent Permanent None 2 years 2 years None Permanent Permanent None 3 years 3 years None 3 years 3 years 3 years Permanent Permanent None Disclose only after litigation is complete 20 years after termination of 2 years 18 years contract after after termination termination of contract of contract 7 years after termination of 2 years 5 years contract after after termination termination of contract of contract 2 years 2 years None Life of the contract plus 3 years Life of the twenty years contract plus twenty years Administration Contract/Grants Lease Files 2 7 years after expiration 7 years None & Finance after expiration Administration Contract/Grants Regulations I Life of the agreement plus Life of the None & Finance twenty years agreement plus twenty years Administration Contract/Grants Requests for Proposals (RFPs) and 2 5 years 5years None & Finance Requests for Qualifications (RFQs); Responses to RFPs and RFQs Administration Contract/Grants RFP Scoring Records 2 3 years 3 years None & Finance Administration Finance Budget Files 2 2 years 2 years None & Finance Administration Finance General Fund Financial Records 2 5 years after applicable Fiscal 5 years None & Finance Year after applicable Fiscal Year Administration Finance Purchase Orders 2 5 years after applicable Fiscal 5 years None & Finance Year after applicable Fiscal Year Administration Finance Revolving Fund Records 2 5 years after applicable Fiscal 5 years None & Finance Year after I applicable Fiscal Year Administration Finance Work Orders and Payments 2 5 years after applicable Fiscal 5 years None & Finance Year after applicable Fiscal Year Administration Personnel/HR ADA Request for Reasonable 2 Lesser of 50 years or life of During Lesser of & Finance Accommodation Repo1t employee employee 50 years or tenure life of employee Administration Personnel/HR Conflict of Interest/Form 700 2 7 years 7 years None Govt. Code§ & Finance 8 1009(e) Administration Personnel/HR Discrimination & Harassment 2 Lesser of 50 years or life of During Lesser of & Finance Complaints employee employee 50 years or tenure life of employee Administration Persom1el/HR Employment Applications/Resumes 2 2 years 2 years None & Finance Administration Persom1el/HR Equal Employment Opportunity Plan 2 2 years 2 years None & Finance 2of4 Administration Personnel/HR Family Medical Leave Act Records 2 Lesser of 50 years or life of During Le&ser of Required by & Finance employee employee 50 years or Fair Laber tenure life of Standards Act employee I I © Administration Personnel/HR Oaths of Office 2 Permanent Permanent None & Finance Administration Personnel/HR Payroll Records 2 3 years 3 years None Records & Finance relating to financial matters may only be destroyed after the approval of the Controller, and "payroll checks, time cards and related documents" may be destroyed on ly after approval by the Retirement Board. If the Retirement Board determines that they need certain payroll records, they "shall he delivered to the Retirement Board instead of being destroyed." (S.F. Administrative Code Section 8.3) Administration Personnel/HR Personnel Files 2 Lesser of 50 years or life of During Lesser of & Finance employee employee 50 years or tenure life of emplovee 3 of 4 ft#'-~~ Administration Personnel/HR Time Roster 2 2 years 2 years None & Finance Administration Personnel/HR Time Sheets 2 2 years 2 years None & Finance Administration Personnel/HR Travel and Reimbursement Records 2 S years 3 years 2 years & Finance Administration Personnel/HR Workers Compensation Records 2 Lesser of SO years or life of During Lesser of Cal. Code of & Finance employee employee SO years or Regulations tenure life of Title 8 Section employee 10102 Litigation Trial Court Bench Warrants 2 S years S years None Litigation Trial Court Misdemeanor Dispositions 2 2 years 1 year 1 year Litigation Trial Court Misdemeanor Intake Discharges 2 2 years 1 year 1 vear Litigation Trial Court Misdemeanor Case Files 2 2 years from closure of case 1 year from 1 year from closure of closure of case case Litigation T1ial Court Investigator Files 2 2 years from closure of case 2 years None from closure of case ! Litigation Trial COUit Felony Homicide Records 1 Permanent 2 years Permanent Litigation Trial Cowt Felony Court Case Files 2 SO years 2 years 48 years Litigation Trial Court Felony Discharge Files 2 7 years 2 years S years NOTES on using this table: I. You may add rows to the table as necessary but do NOT add any columns. 2. Make sure that each data item is contained within one cell. You may enter returns or allow the data to wrap. 3. Do not enter page breaks and new tables. All data should be in one table only. 4.Whatever you enter into each cell will appear on the website exactly as you've written on the table. 4 of 4