Loading...
HomeMy WebLinkAboutReso 2022-215 DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD RESOLUTION NO. 2022-215 RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CHULA VISTA DECLARING A TRUSTED SYSTEM FOR THE MANAGEMENT OF RECORDS AND THE AUTOMATION OF RETENTION REQUIREMENTS WHEREAS, on March 13, 2018, the City Council adopted Resolution No. 2018-043, creating a Records Retention Schedule which established procedures for retaining City Records, and for disposing of City Records (Records) when they are no longer needed for administrative, fiscal, historical, or legal purposes; and WHEREAS, section 34090, et seq, of the Government Code of the State of California provides the parameters whereby Records that have served their purpose and are no longer required may be destroyed, including the requirement that certain Records be reproduced on a "Trusted System," as defined in California Government Code Section 12168.7, prior to destruction; and WHEREAS, California Government Code Section 12168.7 provides uniform statewide standards for storing documents in electronic media; and WHEREAS, the Secretary of State has adopted Trustworthy Electronic Document or Record Preservation regulations, located in Chapter 15, Division 7, Title 2 of the California Code of Regulations, which govern the recording, 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; and WHEREAS, the City Clerk has worked to ensure the City's content management system, and Records stored within the system, are kept in accordance with the State's Trusted System requirements and the Trustworthy Electronic Document or Record Preservation regulations; and WHEREAS, the City Council approved amendments to Council Policy 112-01 establishing a Policy instituting the City's standards for proper management of Records; and WHEREAS, the City uses Laserfiche to electronically store Records in PDF and/or TIFF format; and WHEREAS, folder level permissions and restrictions have been established in Laserfiche to ensure only appropriate personnel have access to certain Records; and WHEREAS, Records and Information Management Procedures, attached hereto as Exhibits 1 and 2, have been developed for the implementation of the Retention Schedule and to provide for the routine scanning, uploading, saving, importing, and disposing of Records in Laserfiche during the normal course of business; and DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD Resolution No. 2022-215 Page No. 2 WHEREAS, collectively, the City's comprehensive Records Retention Schedule, Records and Information Management Policy, Records and Information Management Procedures, and the Laserfiche technology constitute a Trusted System in accordance with State law; and WHEREAS, in the future, other technologies, in addition to Laserfiche, may be designated separately as a Trusted System. NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Chula Vista, as follows: 1. The City Council hereby finds that the facts set forth in the recitals to this Resolution are true and correct and establish the factual basis for the City Council's adoption of this Resolution. 2. Laserfiche is declared the City's Records storage repository. 3. Laserfiche is backed up and the backup copy is stored offsite on a routine schedule in a format that cannot be altered. 4. The Records and Information Management Procedures attached hereto as Exhibits 1 and 2 have been implemented and are considered the approved procedures for the management of electronic Records and the City Clerk,with the approval of the City Attorney, is hereby authorized to make periodic procedural updates to Exhibits l and 2 as required. 5. The City Council hereby declares the adopted Retention Schedule, Records and Information Management Policy, Records and Information Management Procedures, and Laserfiche technology collectively establish the City of Chula Vista's Trusted System. 6. This Resolution shall take effect immediately upon its adoption. [SIGNATURES ON THE FOLLOWING PAGE] DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD Resolution No. 2022-215 Page No. 3 Presented by Approved as to form by DocuSigned by: DocuSigned by: 3074D104EAF342E... CF406508504446F... Kerry K. Bigelow, MMC Glen R. Googins City Clerk City Attorney PASSED, APPROVED, and ADOPTED by the City Council of the City of Chula Vista, California, this 4th day of October 2022 by the following vote: AYES: Councilmembers: Cardenas,Galvez,McCann,Padilla, and Casillas Salas NAYS: Councilmembers: None ABSENT: Councilmembers: None DocuSigned by: 0626FD7C0386456... Maty Casillas Salas, Mayor ATTEST: DocuSigned by: 3074D104EAF342E... Kerry K. Bigelow, MMC, City Clerk STATE OF CALIFORNIA ) COUNTY OF SAN DIEGO ) CITY OF CHULA VISTA ) I, Kerry K. Bigelow, City Clerk of Chula Vista, California, do hereby certify that the foregoing Resolution No. 2022-215 was duly passed, approved, and adopted by the City Council at a regular meeting of the Chula Vista City Council held on the 4th day of October 2022. Executed this 4th day of October 2022. DocuSigned by: 3074D104EAF342E... Kerry K. Bigelow, MMC, City Clerk DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD Exhibit 1 CITY OF CHULA VISTA Resolution No. 2022-215 Records and Information Management Procedure for Saving Official Records to Laserfiche 1. Purpose The purpose of this procedure is to describe the steps to scan, import,upload, and save official City Records into Laserfiche, the City's trusted repository. Documents that have not been finalized, or that otherwise do not meet the criteria for official City Records, are not to be moved into Laserfiche. 2. Scope This procedure applies to elected officials, employees, Council-appointed board, commission, and committee members, contractors, consultants, and volunteers, who are acting on behalf of the City and have access to, use of, or are involved in the creation, maintenance or storage of the City's Records, information, and electronic communication and who file official City Records into Laserfiche. 3. Definitions City Records ("Records") are: • Defined specifically in applicable statutes, Municipal Code, City business practices, or • In the absence of a specific legal definition,the document or information generated as the final output of a City business process or business decision, and • In any format, either physical or electronic, structured or unstructured 4. Procedure Identify the following information before beginning: • The repository or department file plan to receive the Records • The appropriate record category • The required metadata, as well as any optional metadata, for the record category you will be using If you are unsure about the repository or file plan, the record category, or what metadata is required, contact the City Clerk's office for assistance before beginning. 4.1. Scanning paper Records into Laserfiche: i) Prepare documents (i.e., remove paperclips, make sure pages are facing all the same way, etc.). ii) Follow departmental procedures for accessing Laserfiche and using the scan functions. 1 DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD CITY OF CHULA VISTA Records and Information Management Procedure for Saving Official Records to Laserfiche iii) Scan one type of document at a time (e.g., all Resolutions, all Ordinances, all Minutes, etc.). iv) If scanning in multiple Records of the same type at the same time, they will need to be split apart; follow Laserfiche scanning procedures to separate them. v) Before moving to the next step perform quality checks to be certain all pages have scanned correctly; rescan any Records that do not meet quality assurance criteria; ensure both sides of two-sided documents are scanned. vi) Select the appropriate template for the record category from the dropdown list in the Document Properties pane; the metadata fields for that record category will appear on the right of the screen in the Document Properties pane. vii)Enter values for ALL required metadata fields; enter values in optional fields if you can. viii) Once all metadata required values have been entered, right-click the document in the Revision pane and click Store or click Store at the bottom of the Document Properties pane. The document will be moved to its respective folder in the repository. 4.2. Uploading and saving electronic Records into Laserfiche: i) From within the application (e.g., Word, Excel, etc.) select the Print option. ii) For the printer, select"Laserfiche Snapshot." iii) Select the appropriate repository and log in. iv) Select the appropriate template for the record category from the dropdown list in the Document Properties pane; the metadata fields for that record category will appear on the right of the screen in the Document Properties pane. v) Enter values for ALL required metadata fields; enter values in optional fields if you can. vi) Once all metadata required values have been entered, click Store at the bottom of the Document Properties pane. The document will be moved to its respective folder in the repository. 4.3. Importing Records into Laserfiche: i) You must be logged into the Laserfiche repository and file plan into which you want to import the record. ii) From Laserfiche, click the "Import" icon on top ribbon of screen. iii) The "Import File" screen will appear. Choose file location of the record to import, highlight the document and click the "Import"button. iv) "Import to Laserfiche" screen will appear. Click the "Fields" tab where you will see a dropdown menu of templates. 2 DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD CITY OF CHULA VISTA Records and Information Management Procedure for Saving Official Records to Laserfiche v) Choose the appropriate template, then click"ok." The metadata fields for that template will appear. vi) Enter values for ALL required metadata fields; enter values in optional fields if you can. vii)Click"ok." The document will then be sent to its assigned folder. 3 DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD CITY OF CHULA VISTA Exhibit 2 Records and Information Management Resolution No. 2022-215 Procedure for Deletion of Records from Laserfiche 1. Purpose The City of Chula Vista's Records stored in the Laserfiche repository are to be retained for the length of time defined in the City's Retention Schedule. The Retention Schedule identifies the categories of Records of the City and how long each category shall be retained, consistent with Resolution No. 2022-215. Records are to be filed in their designated folders in Laserfiche for each department to allow for the automated calculation of retention periods. Records may not be deleted from Laserfiche or destroyed until they have passed their retention period. This procedure defines the steps to be completed in destroying "official" electronic City Records that are stored in the Laserfiche repository once their retention period has passed. Records that reside outside of the Laserfiche repository are not addressed in this procedure. 2. Scope This procedure applies to elected officials, employees, Council-appointed board, commission, and committee members, contractors, consultants, and volunteers, who are acting on behalf of the City and have access to, use of, or are involved in the creation, maintenance or storage of the City's Records, information, and electronic communication and those who are authorized to delete Records from Laserfiche. 3. Definitions City Records ("Records"): • Defined specifically in applicable statutes, Municipal Code, City business practices, or • in the absence of a specific legal definition, the document or information generated as the final output of a City business process or business decision, and • In any format, either physical or electronic, structured, or unstructured Legal Hold: • A directive sent from the City Attorney instructing staff to preserve any Records or information relevant to current or anticipated litigation or governmental investigation or other such matters giving rise to a legal obligation to preserve documents and information. Once a Legal Hold has been sent, retention requirements for Records subject to a Legal Hold are suspended until further notification from the City Attorney. Records Notification: An electronic or paper notification generated by the City Clerk and provided to relevant departments that includes information regarding potentially obsolete Records and includes Record categories that shall not be deleted due to their relevance in a legal action, the list of Records eligible for deletion according to the City's Retention Schedule, the date upon which the obsolete Records are scheduled for deletion, and the deadline for a department to contact the City Clerk to prevent the deletion of listed Records. 11 II:1 a g n DocuSign Envelope ID: DE936410-CEAF-4599-AA50-D FOBF7D7C5FD CITY OF CHULA VISTA Records and Information Management Procedure for Deletion of Records from Laserfiche 4. Procedure Annually, the City Clerk will initiate the process to delete electronic official Records that have met retention requirements from Laserfiche. a) The City Clerk contacts the City Attorney requesting information regarding any active or potential legal action(s) against the City to determine which category(s) of Records may be relevant to the action and therefore should be preserved and placed on Legal Hold. b) City Clerk searches, or causes a search to be conducted, for the relevant Records, suspends their destruction date and annotates the Records to indicate that they are on Legal Hold. c) City Clerk prepares a Records Notification containing a list of Records eligible for deletion based on the Retention Schedule requirements. The notification specifies the date on which deletion of these Records is scheduled to occur. d) City Clerk sends the Records Notification to departments regarding the required deletion of obsolete electronic Records in Laserfiche. Included in the notification is a link to the Retention Schedule and who to contact with questions. The Records Notification is to include the following: • Record categories that shall not be deleted due to their relevance in a legal action. • The list of Records eligible for deletion according to the City's Retention Schedule. • The date on which the obsolete Records will be deleted. • The deadline for a department to contact the City Clerk to prevent the deletion of the obsolete Records. e) Departments shall notify the City Clerk's Office by the deadline on the Records Notification if any of the Records eligible to be deleted should be exempted from deletion and shall provide a written justification for that exemption. In addition, departments shall notify the City Clerk if any of the documents on the list should be considered for continued retention due to ongoing historical value. f) The City Clerk sends the final list of Records eligible for deletion to the City Attorney and the Finance Director to confirm there is no legal reason for continuing to retain these Records. g) The City Attorney and the Finance Director review and approve the deletion of the eligible Records and send their approval to the City Clerk. h) On the designated date, or as soon as practicable thereafter, the City Clerk will delete the Records that have passed their retention period and have not been held for any legal or business reason. City Clerk maintains the documentation of compliance with this in accordance with the Retention Schedule. 2iIf1agn