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October 4, 2022
ITEM TITLE
Records and Information Management (RIM): Amend the Citywide Records Management Program and Declare a Trusted System for the Management of City Records and the Automation of Retention Requirements
Report Number: 22-0267
Location: No specific geographic location
Department: City Clerk
Environmental Notice: This activity is not a “Project” as defined under Section 15378 of the California Environmental Quality Act State Guidelines; therefore, pursuant to State Guidelines Section 15060(c)(3) no environmental review is required.
Recommended Action
Adopt resolutions A) Repealing Resolution No. 17577 and amending Council Policy 112 -01, City -Wide Records Management Program, to update the City’s Records and Information Management Program and B) Declaring Laserfiche a Trusted System for the management of City records and the automation of retention requirements.
SUMMARY
Adoption of the proposed resolutions will 1) update the City’s records management program to establish policies and procedures for efficient control over records citywide, including incorporation of industry best practices for records management and accounting for new technology; and 2) declare a “trusted system,” allowing City records to be stored electronically instead of in hardcopy in specified circumstances.
ENVIRONMENTAL REVIEW
The Development Services Director has reviewed the proposed activity for compliance with the California Environmental Quality Act (CEQA) and has determined that the activity is not a “Project” as defined under Section 15378 of the State CEQA Guidelines because it will not result in a physical change in the environment; therefore, pursuant to Section 15060(c)(3) of the State CEQA Guidelines, the activity is not subject to CEQA.
Thus, no environmental review is required
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BOARD/COMMISSION/COMMITTEE RECOMMENDATION
Not applicable.
DISCUSSION
Approving a Records and Information Management (RIM) Program The City Council adopted the City-Wide Records Management program in 1994. Since that time, technology and industry best practices have changed significantly, requiring that the program be brought up to date.
The purpose of a records management program is to establish policies and procedures to control the orderly creation, utilization, maintenance, retention, preservation, and disposition of Ci ty Records, consistent with State law, including the California Public Records Act (Gov Code 6250 et seq .) and with City business practices.
The revised program, provided in full as Attachment 1, includes the following:
- Renaming the program the “Records and Information Management” program - Regulations pertaining to the storage of records
- Updated policies regarding electronic communication
- Provisions to, even when retained electronically, prevent the destruction of the original paper version of some of the City’s most vital and historical records, such as City Council resolutions, meeting minutes, and ordinances
Staff recommends revising C ouncil Policy 112 -01 by adopting Resolution A, to bring the City’s records management program up to date.
Designating a Trusted System
The California Public Records Act defines records as “any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics.” While many records today are received in electronic format, the City has many records in paper format.
State laws and regul ations have been enacted to allow government agencies to convert paper records to electronic formats. Storing records electronically is a cost-saving measure, reducing the need for onsite and offsite storage and management of voluminous paper records, and also allows the City to provide easier and quicker access to records.
In order to retain records electronically and dispose of the paper version, the legislative body of an agency must declare a “trusted system.” Under California law (Government Code se ction 12168.7), “a ‘trusted system’ means a combination of technologies, policies, and procedures for which there is no plausible scenario in which a public record retrieved from or reproduced by the system could differ substantially from the public record that is originally stored.”
Additionally, the Secretary of State has adopted Trustworthy Electronic Document or Record Preservation regulations (Chapter 15, Division 7, Title 2 of the California Code of Regulations), which govern the recording, P a g e | 3
storing, and reproducing of records in electronic media where the intent is to destroy the original hardcopy and maintain the electronic copy as the official Record.
The City Clerk’s Office has worked with City departments and the City’s records consulta nt to ensure the City's enterprise content management system, Laserfiche, and the records stored within the system, are kept in accordance with the State's Trusted System requirements and the Trustworthy Electronic Document and/or Record Preservation regulations.
On March 18, 2018, the City Council adopted Resolution 2018 -043, creating a Records Retention Schedule which established requirements for retaining City Records and for disposing of Records when they are no longer needed for administrative, fiscal, historical, or legal purposes.
The City uses Laserfiche to electronically store Records for departments in PDF and/or TIFF format.
Laserfiche has audit capabilities to track records as they are added, deleted, and viewed in the system. Folder- level permissions and restrictions for security have been established in Laserfiche to ensure only appropriate personnel have access to records.
Records Management Procedures, included as Attachments 2 and 3, have been developed for the implementation of the Reten tion Schedule and to provide for the routine searching, scanning, uploading, saving, importing, and disposing of Records in Laserfiche during the normal course of business.
Collectively, the City's comprehensive Retention Schedule, the Records Management Procedures, and the Laserfiche technology constitute a Trusted System in accordance with state law.
Staff recommends adopting Resolution B to declare Laserfiche a “trusted system” for the management of City records and the automation of retention requirem ents, allowing staff to convert paper records for storage electronically.
The process of converting existing paper records to an electronic format will be an ongoing process, conducted as resources are available for scanning.
DECISION-MAKER CONFLICT
Staff has reviewed the decision contemplated by this action and has determined that it is not site-specific and consequently, the real property holdings of the City Council members do not create a disqualifying real property-related financial conflict of interest under the Political Reform Act (Cal. Gov't Code § 87100, et seq.).
Staff is not independently aware and has not been informed by any City Council member, of any other fact that may constitute a basis for a decision-maker conflict of interest in this matter.
CURRENT-YEAR FISCAL IMPACT
There is no current-year fiscal impact.
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ONGOING FISCAL IMPACT
Currently the City spends $45,000 annually for off -site records storage. As funding becomes available and documents are scanned and stored electronically to the trusted system, the cost the City bears for off -site storage fees would continue to decrease. Funding requests for document scanning will be made through the established budget processes.
ATTACHMENTS
1. Proposed Council Policy – Records and Information Management Program
2. RIM Procedure for Saving Official Records to Laserfiche
3. RIM Procedure for Deletion of Obsolete Records from Laserfiche
Staff Contact: Tyshar Turner, Assistant City Clerk/Records Manager Kerry Bigelow, City Clerk