HomeMy WebLinkAboutRES NO 031-02RESOLUTION NO. 0 3 1-0 2
A RESOLUTION OF THE CITY OF BAKERSFIELD
ADOPTING POLICY FOR THE CITY-WIDE
DOCUMENT IMAGING RETENTION
WHEREAS, Government Code Section 34090.5 provides the authority for the
destruction of records, documents, instruments, books, and papers when said documents
are photographed, microphotographed, reproduced by electronically recorded video
images on magnetic surfaces, recorded in the electronic data processing, recorded on
optical disk or film; and,
WHEREAS, Government Code Section 34090.5(a) requires the film or any
other medium to be a trusted system, that does not permit additions, deletions, or changes
to the original document; and
WHEREAS, Government Code Section 34090.5(d) requires a true copy of
archival quality of the film, optical disk, or any other medium reproductions shall be kept
in a safe and separate place for security purposes; and
WHEREAS, the City's Management information System assures the integrity
of the system in accordance with Government Code Section 34090.5.
NOW, THEREFORE, BE IT RESOLVED that the above recitals be
incorporated herein and the Administrative Policy for city-wide document imaging attached
hereto and incorporated herein as Exhibit "A" is to become effective July 1,2002.
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I HEREBY CERTIFY that the foregoing Resolution was passed and adopted by the
Council of the City of Bakersfield at a regular meeting thereof held on MAR 6 :~00Z , by
the following vote:
AYES:
NOES:
ABSTAIN:
ABSENT:
COUNCILMEMBER CARSON, BENHAM, MAGGARD, COUCH, HANSON, SULLIVAN, SALVAGGIO
COUNC~LMEMBER ~
COUNCILMEMBER
COUNCILMEMBFR b,.H~.,rxz. ,
APPROVED
~AayRoVr Eo';' tLh ~Hc/~Lo, Bakersfiel0/?
PAMELA A. McCARTHY, CMC//~
CITY CLERK and Ex Officio ClerkV' of the
Council of the City of Bakersfield
APPROVED as to form
BART J. THILTGEN
City Attorney
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EXHIBIT "A"
CITY OF BAKERSFIELD
ADMINISTRATIVE POLICY
CITY-WIDE DOCUMENT IMAGING POLICIES
SYSTEM DESCRIPTION: LaserFiche is an "archive and retrieval" system, intended to
store and retrieve final documents. All documents are copied onto non-rewritable optical
disk or "WORM" which cannot be altered, and provides the archive and disaster
recovery capabilities of microfilm.
GOALS:
· Provide fast and accurate archival research capabilities and document retrieval
· Provide disaster recovery capabilities
· Facilitate the widest organizational access to final and completed records in the
most efficient and effective manner
· Ensure LaserFiche is implemented with a community-wide, long-term perspective
(e.g. Internet access to public records by citizens)
· Save the cost of storage space for some paper records that can be converted to
electronic storage
It is critical that issues that affect system administration, database integrity, system
functionality, efficiency and end-users (which will include the public) are implemented in
a consistent, well-planned manner.
Because policies and procedures establish the legal admissibility of records stored in
LaserFiche, compliance with Bakersfield's Records Management and Document
Imaging policies and procedures play a critical role in this process.
MAXIMIZE TECHNOLOGY - APPLIES TO ALL DEPARTMENTS (whether or not they
plan on using LaserFiche)
Font. To provide better OCRing (Optical Character Recognition), avoid italics, bold
and underlininq whenever possible. It is also advisable to use Arial font whenever
possible.
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Terminology / Search n.q. If there is a common or specific term not identified in a
document that may be useful for tracking purposes (e.g. "Target Shopping Center")
type in the specific term on the document so you can be assured to perform
successful searches for it in the future. This is especially important in Staff Reports.¢,~.
numbers and common names ~n add~tlo~ to
presented in Council - include project
the legal terminology.
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· White Paper. Avoid printing final documents on colored paper, which doesn't image
well.
POLICIES
Any exceptions to these policies must be approved in advance by the City ManagedCity
Clerk. This will ensure the integrity of records management issues and coordination
among departments and systems. Any issues affecting databases or system integration
will be referred to Management Information Services for their determination.
1. User Lo(~ons. In order to receive a LaserFiche Logon, contact Management
Information Services.
2. System Administration Responsibilities.
a. Templates, Policies, Procedures, Scanning, etc. contact:
b. Users, privileges, passwords, volumes, etc. contact:
City Clerk
MiS/Clerk
3. Database Inte.qrity. Only the City Clerk, with the approval of Management
Information Services, may change, add or delete templates. This is required to ensure
that citywide seamhing and database integrity is maintained, and will avoid system
crashes. Any department may request changes, additions, or deletions to templates by
contacting the City Clerk's Department.
4. City Business. Only City-related business documents may be stored into the
LaserFiche System.
5. Le.qality. Policies and procedures play a major role in establishing the legal
admissibility of documents stored in LaserFiche as a legally accepted original. It is
therefore important to use and retain Scan / Import Logs to assist in establishing the
legal admissibility of our documents.
6. Duplication Avoidance. The "Office of Record" (usually the department that
originates the document) is responsible for scanning or electronically storing completed
documents in LaserFiche. Other departments may NOT scan in documents that they
are not the Office of Record for.
a. Only the City Clerk's Department scans in City Council documents (i.e.,
Agenda Administrative Reports and other related information that is submitted to
Council in the agenda packets for Council action).
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7. Destroying Paper Records.
a. Paper records must be retained a minimum of one (1) year, per the council
approved retention schedule, after scanning to assure the images meet user
needs before destruction.
b. Prior to destruction, all files must be submitted to the Department Head in a list
format indicating the record description and dates. Columns should include: File
Name or Description and Retention Period. Signature lines should be provided
for the approval of the City Clerk and City Attorney.
c. The approval of the City Clerk and the City Attorney are required prior to the
destruction of paper version of documents stored in LaserFiche.
8. Pur.qinq Records from LaserFiche. At least annually, a list will be produced in
LaserFiche of all documents that should be evaluated for purging. The list will be
reviewed and approved by the Department Head, City Clerk and City Attorney prior to
purging the documents from LaserFiche.
9. Disaster Recovery. The Management Information Services Division will "burn" non-
rewritable optical disk or WORMs periodically, and then forward one to the off-site
Storage Center~.
a. One WORM copy is filed in a central, fireproof vault or cabinet; one WORM
copy is stored off-site.
b. A copy of the current version of the software will be stored off-site with the
WORMs, which will be replaced with each software upgrade.
10. Media Lonqevity. The number of years that optical media lasts without
deteriorating has not been proven; the quality of WORM's purchased affects the "life" of
a WORM. To ensure they do not deteriorate, they will be "refreshed" every 10 years.
As empirical data and tests prove the longevity of optical media, the 1 O-year period may
be extended with the approval of the City Clerk and City Attorney.
Each WORM must be copied every 5 years after the annual purge has been pedormed.
This will ensure the optical media does not deteriorate and affect the ability to retrieve
documents that are legally accepted originals. As empirical data and tests prove the
longevity of the media, the 5-year period may be extended with the approval of the City
Clerk and City Attorney.
11. Miqration to New Technology. If a new document imaging system is purchased, it
is essential to plan, budget, and then execute the conversion of all the documents that
have been stored in an older optical disk system to the new system. The conversion is
critical in complying with the Public Records Act. (If paper records have been destroyed
] Government Code Section 34090.5(d) requires a copy of CDs (or microforms) be "kept in a safe and separate~
place for security purposes."
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and the conversion is not performed, the old system must be maintained and
supported).
PROCEDURES
1. 5-year Retention. As a "general" rule, documents with a retention of five (5) years or
less should not be scanned or imported into LaserFiche. Exceptions to this rule shall be
approved by the City Manager/City Clerk.
2. Document Orqanization. Before scanning, organize your records in the order you
want them to display in LaserFiche (usually the most searched for page on top).
Remove any documents that are duplicates or that other departments are responsible
for scanning (see your retention schedule for the "Office of Record" and City Clerk for
exceptions).
3. Naminq Documents. Naming conventions are critical. If you are developing naming
conventions for a new type of document, consult with the City Clerk so that it will "fit"
with the rest of the system and be accessible over the Internet.
4. indexinq Documents. All information entered into the form template (Indexing) must
conform to Bakersfield's Data Entry Standards. These are abbreviation standards,
naming conventions, and date formatting. Required fields (must be entered on each
document) are:
a. Document Type
b. Date (mmddyyyy)
c. Retention Period
d. Document Name
5. Stamp Document. After scanning, stamp the back of the document or file folder with
a "scanned" stamp to prevent someone else scanning in again at a later date. Or use
the scanned label (S) and affix it to the file folder.
6. Importinq. "Import" (electronic copying - "Snapshot") EIR's or other large
documents electronically, ONLY if they do not need signatures or seals to make them a
legally accepted original. All documents must be final version (a "Draft EIR" that is
presented to the Planning Commission or Council qualifies but it must be identified as
the Draft EIR in the document name). The Scan / Import log must be filled out for all
documents stored in LaserFiche.
7. Non-Text Documents. Maps, handwritten forms, and other image-only documents:
Add "Keywords" by pressing the Edit Text Button. If a map, permit, photograph,
handwritten form or other document is scanned into the system that cannot be OCR'd,
keywords must be typed in so that the image can be found and retrieved via full text
"word" searches.
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8. Editinq OCR. When editing OCR'd text for accuracy, correct ONLY the keywords,
ordinance, resolution or project numbers that would typically be entered when
searching. If LaserFiche can locate even one occurrence of a word, it can then retrieve
the image. (The function of the text file is to locate the image of the document, and it is
very time consuming to correct words that will never be searched for).
9. Quality Control. Always pedorm "Quality Control" on all documents scanned or
imported into LaserFiche Note: some cities that have not been diligent about quality
and consistency have had to delete their old database and start over - sometimes after
years of scanning! Always check:
a. Document Name.
b. Images, size (legal/letter) and correct # of pages.
c. Data entered in the indexing Fields.
d. Text file (OCR) for keyword accuracy.
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