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CC SR 20170502 04 - Electronic Documents Storage ProcessesRANCHO PALOS VERDES CITY COUNCIL MEETING DATE: 05/02/2017 AGENDA REPORT AGENDA HEADING: Regular Business AGENDA DESCRIPTION: Consideration and possible action to receive a status update on the City's paper and electronic records and documents storage processes and capabilities. RECOMMENDED COUNCIL ACTION: (1) Receive and file this report. FISCAL IMPACT: None Amount Budgeted: N/A Additional Appropriation: N/A Account Number(s): N/A ORIGINATED BY: Dan Landon, IT Manager REVIEWED BY: Gabriella Yap, Deputy City Manager APPROVED BY: Doug Willmore, City Manager '/ -X,11-11 ,11-' ATTACHED SUPPORTING DOCUMENTS: A. Trustworthy Electronic Document or Record Preservation (page A-1) BACKGROUND AND DISCUSSION: City data is stored in various formats based upon the source. Documents such as Staff reports, agendas and financial reports are originally generated electronically, while others such as contracts, permits, and project documents are often paper. The City Clerk's Office has already digitized a considerable amount of paper records into the City's Laserfiche document management system, and the City is continuing its efforts to scan, organize and store all paper records from around the organization. Staff has recently implemented business systems for the Finance and Public Works departments, and is also in the process of implementing human resources, payroll, and planning and permitting systems to be used as a platform for organizing scanned electronic documents. As these new systems come online, document storage policies will be implemented to comply with document management regulations, including the City's document retention policy. These systems will also enhance transparency by integrating with existing systems such as the "Documents" link on the City's main webpage, the "OpenGov" financial data system, and the Granicus "Meeting and Agenda" function. 1 A Write Once Read Many (WORM) backup device that complies with the California Trustworthy Electronic Document or Record Preservation requirements (Attachment A) is in place and backs up various permanent record stores. As new systems that require permanent record retention are brought online they are integrated into the WORM backup server. Other file servers are backed up at 4 -hour or overnight intervals, and those records are taken offsite weekly and stored by a contracted electronic records custodian. Finally, still other records are maintained in cloud -hosted systems, and backup and records management specifications are part of the agreements with these vendors. Paper Documents While many City records are already stored electronically, there are still stores of paper records, primarily in the Community Development and Public Works departments, that have not yet been digitized. These documents are stored in filing cabinets, boxes and storage containers on the Civic Center property. A project to digitize those documents is expected to be presented to City Council for consideration this summer. Digitizing paper records provides many benefits including the ability to easily find documents when the public has questions or for research purposes, and as a backup to ensure that paper records are not lost or damaged in a fire, flood or other disaster. Email Staff has contracted with a cloud archival and compliance vendor and all emails stored in the City's email server are mirrored in the cloud archival system. The archiver "journals" all new email activity from the City's email system (whether inbound, outbound or internal) and creates a record that cannot be deleted until the 5 -year retention period expires. Emails will be retained longer based on their content as specified in the City's approved retention schedules. The archival system also includes a function by which any documents can be stored indefinitely if they are subject to known or anticipated legal action. Geoloaic Records At the City Council meeting on April 18, 2017, a member of the public suggested that the City should digitize the geologic records in its files and include this information in the City's geographic information system (GIS). City -required geologic reports consist of 2 components. First, the recommendation report used during the planning or permitting process (if required), and second, the background data that geologists use to analyze and prepare the recommendation report. Both types of data are currently saved in paper form, and are expected to be a part of the proposed permit and plans scanning project mentioned above. Once digitized, those records will be linked to the parcel record in the City's new planning and permit system (Trakit) and be easily viewable in an electronic format. 2 When an applicant applies for a permit or project, the City geologist determines the extent of the geologic study (if any) that is required. The applicant is then required to contract with a geologist to perform the necessary research and analysis. The Community Development Department is working on a new requirement for applicants to provide geologic data in an electronic format, but because the City is substantially built out, the number of projects requiring geologic reports each year is very limited, which also considerably restricts the amount of data that could be cataloged and imported into the City GIS system. 3 Alex Padilla California Secretary of State What can we help you with? Search Trustworthy Electronic Document or Record Preservation California Code of Regulations Title 2. Administration Division 7. Secretary of State Chapter 15. Trustworthy Electronic Document or Record Preservation 22620.1. Purpose. 22620.2. Applicability of Electronic Document or Record Standards 22620.3. Definitions. 22620.4. Official Document or Record Storage Using Electronic Technologies. 22620.5. Business Practice Documentation. 22620.6. Electronic File Compression. 22620.7. Trusted Storage of Official Electronic Documents or Records. 22620.8. Electronic File Format for Preservation of Converted Official Documents or Records 22620.1. Purpose. The purpose of this chapter is to identify the uniform statewide standards adopted by the Secretary of State, in consultation with the Department of General Services, for use in recording, storing, and reproducing permanent and nonpermanent documents or records in electronic media. These regulations list minimum standards recommended by the American National Standards Institute (ANSI) or the Association for Information and Image Management (AIIM), and provide specific conditions that would meet the definition of trusted system, as provided in Government Code section 12168.7. The uniform statewide standards in these regulations apply to state agencies, pursuant to subdivisions (b) and (d) of Government Code section 12168.7. The standards apply to local agencies only to the extent that existing law requires a local agency to apply the standards. For agencies not required by statute or local law, these regulations are recommendations and best practice guidelines, which state and local agencies are strongly encouraged to follow. Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code. 22620.2. Applicability of Electronic Document or Record Standards (a) The provisions of this chapter shall apply to all electronic documents or records created or stored as the official record six months after the effective date of these regulations. (b) The provisions of this chapter shall apply where the intent is to destroy the original hardcopy and to maintain an electronic version as the official record. (c) The provisions of this chapter shall also apply to electronically originated documents or records that are maintained as official documents or records. Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code. A-1 22620.3. Definitions. As used in this chapter, the following words have the following definitions: (a) "AIIM" means the Association for Information and Image Management. (b) "ANSI" means the American National Standards Institute. (c) "Electronically originated documents or records" includes any document or record created without first having originated in hard copy format. It includes all documents or records generated through electronic submissions. (d) "ISO" means the International Organization for Standardization. (e) (e) "PDF/A" means Portable Document Format/Archive, which is an electronic file format whereby documents are self- contained allowing them to be reproduced with all of the document coding embedded within the file. (f) "CGATS" means Committee for Graphic Arts Technologies Standards administered by NPES, the Association for Suppliers of Printing, Publishing, and Converting Technologies. (g) Trusted System is defined in section 5.3.3 Trusted system and legal considerations of "AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems," approved June 5, 2009, which is incorporated by reference in this section. (h) "Official documents" or `official records" are those defined as such in applicable statutes and in business practices of the entity responsible for retaining said documents or records. In the absence of applicable statutes, official records or documents are those defined in the entity's business practices. Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code. 22620.4. Official Document or Record Storage Using Electronic Technologies. To ensure that all electronic versions of official documents or records (including documents or records converted from hard copy or electronically originated documents or records) are stored and managed in a trusted system as required in Government Code section 12168.7(c), electronic content management systems implemented six months after the adoption of these regulations shall be designed in accordance with section 6.2 Recommended Project Steps and Activities of "AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems," approved June 5, 2009, which is incorporated by reference in this section. All existing electronic content management systems in place prior to six months after the adoption of these regulations should be evaluated to the greatest extent technologically and procedurally possible, and as soon as practicable secure all necessary local and/or state approvals to meet the intent of Government Code section 12168.7 that electronic documents or records be stored in a trusted system as defined in these regulations. The published version of the AIIM recommended practice may be downloaded directly from AIIM at www.alim.org/standards (http://www.aiim.org/standards), or from the Secretary of State at www.sos.ca.gov/archives/local-gov-program (httD://www.sos.ca.aov/archives/local-aov-Droarami. Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code. 22620.5. Business Practice Documentation. To ensure that appropriate policies and procedures associated with the creation, management, and storage of electronic documents or records are in writing, a document management policy shall be prepared prior to system implementation and updated at regular intervals in accordance with section 6.17 Business practices documentation of "AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems," approved June 5, 2009, which is incorporated by reference in this section. The published version of the AIIM recommended practice may be downloaded directly from AIIM at www.aiim.ora/standards (http://www.aiim.org/standards), or from the Secretary of State at www.sos.ca.gov/archives/local-gov-program (httD://www.sos.ca.aov/archives/local-aov-Droaram). Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code, and section 10851, Welfare and Institutions Code. 22620.6. Electronic File Compression. A-2 When it is determined that electronic documents or records are to be compressed and to ensure that electronic documents or records can be accessed after being converted from hard copy format, only those compression technologies identified in section 5.4.2.4. Document image compression of"AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems," approved June 5, 2009, which is incorporated by reference in this section, shall be used. The published version of the AIIM recommended practice may be downloaded directly from AIIM at www.aiim.org/standards (http://www.aiim.org/standards), or from the Secretary of State at www.sos.ca.gov/archives/local-gov-program (httD://www.sos.ca.aov/archives/local-aov-proaraml. Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code. 22620.7. Trusted Storage of Official Electronic Documents or Records. To ensure that every official electronic document or record is considered to be a true and accurate copy of the original information received and before the original copy may be destroyed, at least two (2) separate copies of the official document or record must be created on electronic media meeting all the conditions of a trusted system as identified in section 5.3.3 Trusted system and legal considerations of "AIIM ARPl-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems," approved June 5, 2009, which is incorporated by reference in this section. The published version of the AIIM recommended practice may be downloaded directly from AIIM at www.aiim.org/standards (http://www.aiim.org/standards), or from the Secretary of State at www.sos.ca.gov/archives/local-gov-program (http://www.sos.ca.aov/archives/local-aov-proaraml. Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code. 22620.8. Electronic File Format for Preservation of Converted Official Documents or Records To ensure long term accessibility of documents or records converted from hard copy format into electronic format, the storing and recording of permanent and nonpermanent documents or records shall be maintained in a trusted system as defined in section 2307022620.7, Trusted Storage of Official Electronic Documents or Records, using standards adopted or developed by ANSI or AIIM and as identified in section 5.4.1.4 Image formats of "AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document Management Systems," approved June 5, 2009, which is incorporated by reference in this section. If PDF/A is chosen as the file format for long-term storage, the adopted standard that should be followed is "ANSI/AIIM/CGATS/ISO 19005-1:2005, Document Management- Electronic Document File Format for Long -Term Preservation - Part 1: Use of PDF 1.4 (PDF/A-1)," approved as ANSI Standards, June 15, 2008, which is incorporated by reference in this section. The published version of the AIIM recommended practice may be downloaded directly from AIIM at www.aiim.org/standards (http://www.aiim.org/standards), or from the Secretary of State at www.sos.ca.gov/archives/local-gov-program (http://www.sos.ca.gov/archives/local-gov-program). The published version of ANSI/AIIM/CGATS/ISO 19005-1:2005 may be purchased from AIIM at www.aiim.org/standards (http://www.aiim.org/standards). Authority Cited: Government Code section 12168.7 Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Government Code; section 102235, Health and Safety Code; and section 10851, Welfare and Institutions Code. A-3