HomeMy WebLinkAbout22-121WHEREAS, Government [ode section 26205 authorizes the Board of Supervisors ("Board") to permit the
electronic reproduction, storage, and destruction ofCounty physical records if the record is (1) not expressly required by
law to be filed and preserved and (2) an electronic copy is stored on a trusted system that does not permit modifications
tothe original record and meets other legal requirements; and
WHEREAS, Government Code section 26205.1 authorizes County officers having custody ofCounty records to
destroy physical records if electronic copies are stored on a trusted system with Board approval; and
WHEREAS, Government Code section 12168.7 defines a "trusted system" as a combination of techniques, policies,
and procedures for which there is no plausible scenario in which a document retrieved from or reproduced by the system
could differ substantially from the original; and
WHEREAS, the Board previously approved Resolution No. 14-168, Revised Resolution Establishing an Orderly
System for Destruction 4fRecords ofthe County ofButte, which approved a departmental records retention schedule,
including records retained by the County Counsel's Office (the "Department");
WHEREAS, pursuant to its policy, Office ofthe County Counsel Official Electronic Records Retention, ("Policy")
(attached as Exhibit A) the Department, in consultation with the Information Systems Department, has established a
trusted system for the conversion of certain hard copy officha| records to official electronic records meeting 1e8o|
requirements; and
WHEREAS, the Department has custody of the following departmental official records (hereinafter referred to as
OFFICIAL RECORD CATEGORIES
Abstracts of Judgment and money judgments
Litigation files, potential litigation files and claim files
Administrative and financial records/procurement, including
but not limited budget worksheets and backup, accounts
receivable and payable files (FPOs, claims, requisitions, etc.)
Nuisance abatement/code enforcement files/Decision Letters
Attorney time sheet records and calendars, payroll -related
employment records, timecards, etc,
Formal legal opinions to the Board of Supervisors and all other
County departments and agencies
Bail bond forfeiture files
Petitions to have dogs declared vicious or potentially
dangerous, and other petitions filed on behalf of Butte County
Animal Control
Bankruptcy case files
Pitchess motion files
I Child dependency cases
Probate and LPS conservatorship case files
Closed employment-related files
Correspondence
Closed Session agenda transmittal
Special education due process hearing files
Closed Session forms
Subpoena files
Welfare and Institutions Code section 6500 and Penal Code
Contract files
section 4011,6 files
Decedent estates case files
Whistleblower investigations
Department of Employment and Social Services fair hearing
Human Resources (i.e. recruitment/hi ring documents; MOA -
files
MOU Labor Contract re County Employees)
Labor Commissioner wage claims files
Worker's Compensation case files
Land use project files
Statement of Economic Interest Form 700
Memorandum of Agreements or Understanding between
Public Record Act Requests, including response and records
County departments, offices, agencies relating to County
released
business or functions
Memorandum of Agreement or Understanding (Non -
Public Meeting/Hearing Records and Minutes
Procurement, External Entities)
State Board of Equalization Reports
Reference materials -clerical
Legislative Files
Grand Jury
Office Management (i,e, bank staternents; logs or logbooks
memorializing official duties or assignment of employees;
policies and procedures; legal services requests; training
files/MCLS Certificates; in County/out of County travel; supplies
and inventory management records)
Conflict of Interest
. . .. . .... . ...... .................... . .. ......... . .......
WHEREAS, the law does not require the Official Records to be retained in hard copy format; and
NOW, THEREFORE, BE IT RESOLVED that the Board hereby approves the Policy as a trusted system; and
BE IT FURTHER RESOLVED that, pursuant to Government Code section 26205.1(a), the Board hereby grants
County Counsel, or his or her authorized designee(s), continuing authority to destroy the original hard copies of the Official
Records and maintain such Official Records electronically for the applicable retention period as described in the Policy;
and
BE IT FURTHER RESOLVED that, if notice of litigation, reasonably anticipated litigation, audit or records reqluest is
received bythe Department priorto the expiration olfthe applicable retention period of the Official Records, the scheduled
destruction and/or deletion of any relevant Official Records and/or converted official electronic records shall be
suspended by County Counsel or his/her designee until final resolution of litigation, audit and/or records request.
PASSED AND ADOPTED by the Butte County Board of Supervisors this 13'h day of September, 2022, by the
following vote:
AYES: Supervisors Ritter, Kimmelshue, Teeter, and Chair Connelly
NOES: None
ABSENT: Supervisor Lucero,
NOT VOTING: None
Bill Connelly, Chair
Butte County Board of Supervisors
ATTEST:
Andy Pickett, Chief Administrative Officer and Clerk of the Board of
Supervisors
By: 16LA
EXHIBIT A
OFFICIAL ELECTRONIC RECORDS RETENTION POLICY
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The purpose of this Electronic Records Retention Policy (the "Policy") is to establish guidelines for the
Office of the County Counsel (the "Department"), to convert hard copy official records to official
electronic records consistent with, state document retention standards and adopted County policy.
Effective implementation of this Policy will help to ensure accountable and accurate handling and
orderly disposition of the Department's official records in a manner that provides for prompt record
retrieval, increases staff efficiency, reduces storage costs, and complies with the legal retention
requirements established by federal, state, and local authorities,
11. Authority
This Policy is adopted pursuant to the following legal requirements and related guidance:
a California Government Code sections 26205 and 26205.1 (requirements for electronic retention
and destruction of physical records);
0 California Government Code section 12168.7 (standards for electronic recording/retention and
a trusted system);
0 2 C.C.R. §§ 22620.1-22620.8 (requirements for electronic records preservation);
0 California Secretary of State's Local Government Management Guidelines, Trustworthy
Electronic Document or Records Preservation Standards!, Association for Information and
Image Management's Recommended Practice for Analysis, Selection, and Implementation of
Electronic Management Systems; and
a Board of Supervisors Resolution No. 14-168 Establishing an Orderly System for Destruction of
Records of the County of Butte (as amended) (the "Resolution").'
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This Policy permits the Department to take the following actions:
Ihtts://www.sos.ca,gov/administration/regulations/cu!rre,nt-regulations/technolog/trustworthy-electronic-
document-or-record-preservation
electronic-
document-or-record-preservation
2https://archives..cdn.sos.ca.gov/pdf/er-aiim-arpl-2009,pdf
I https://buttecounty,grancius.com/MetaView.php?view id=2&event id=245&meta Jd=81329
1. Create and/or store electronic records as the official records of the County;
2. Destroy the original hard copy records physically stored within the Department and any offsite
locations, and maintain the electronic records as the official records of the County; and
3. Maintain electronically originated records as the official records of the County.
The Department shall comply with this Policy and implement or exceed the minimum standards
established.
IV. Definitions
As used in this Policy, the following definitions shall apply:
An "official record" is a record in the Department's custody that meets any of the following
criteria: (i) the record was prepared to disseminate information to the public; (ii) the record
was prepared and retained to memorialize an official transaction; (iii) the record is required
by law or regulation to be retained; (iv) is identified in the Resolution; or (v) the record is
necessary to the discharge of a County employee's official duties and was made or retained
to preserve its informational content.
2. An "official electronic record" is an electronic record that is created and/or stored by the
Department as the official record of the County.
"PDF/A" means Portable Document Format/Archive, an electronic file format that self -
contains documents and allows for reproduction with all of the document coding embedded
within the file.
4. A "record" or "records" are synonymous with documents and include — but are not limited to
— any handwriting, typewriting, printing, photographing, photocopying, whether transmitting
by electronic mail communication or facsimile, and every other means of recording upon
any tangible thing; any form of written communication or representation, including letters,
words, pictures, symbols, or combinations thereof, and any record thereby created,
regardless of how the record has been stored or its physical form or characteristics.
5. "Trusted System" means a combination of techniques, policies, and procedures for which
there is no plausible scenario in which a document retrieved from or reproduced by the
system could differ substantially from the document that is originally stored.
V. Policy
A. General
Hard copy records may be converted to other electronic mediums (i.e. burning CDs or DVDs or
another format reasonably accepted within the industry) as long as the Department meets the
following conditions:
The record is photographed, micro -photographed, reproduced by electronically
recorded video images on magnetic surfaces, recorded in an electronic data processing
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system, recorded on an optical disk, or reproduced on film or any other medium that is
a trusted system and that does not permit additions, deletions, or changes to the original
document and is produced in compliance with California Government Code section
12168.7 for the recording of records;
2. The device used to reproduce the record, paper, or document on film, optical disk, or
any other medium is one that accurately reproduces the original in all details and does
not permit additions, deletions, or changes to the original document images;
3. The photographs, microphotographs, electronically recorded video images on magnetic
surfaces, records in the electronic data processing system, records recorded on an
optical disk, or other reproductions on film, or any medium are placed in conveniently
accessible files and provision is made for preserving, examining, and using the files; and
4. The Department shall also separately maintain a duplicate copy of a record contained
in the electronic data processing system, on an optical disk, or on any other medium that
does not permit additions, deletes, or changes to the original document images. Where
the method of reproduction is by electronically recorded video images on magnetic
surfaces, a duplicate videotape must be separately maintained.
If these conditions are met, the public official having custody of the records (County Counsel),
or his or her appointed designee(s), may convert the hard copy to a permissible electronic
format and destroy the hard copy, subject to the requirements of this Policy.
A Conversion of Hard Copy Official Records to Official Electronic Records
A. Creating Electronic Files: Records personnel should be familiar with the content of the
physical copy to be converted and the Department's applicable record retention schedule for
the record. Records personnel should indicate relevant dates or years and use consistent
naming conventions when creating and storing electronic records on the trusted system.
B. Trusted System: The Department, in consultation with the County's Information Systems
Department (the "IS Department"), has determined that (i) documents scanned and
electronically stored in JPEG, JBIG, JPEG 2000, TIFF, or PDF -A image format, (ii) retained in
a document/library service such as Laserfiche, and (iii) twice duplicated onto a trusted electronic
media meets the definition of a trusted system, and the Department may then destroy the
physical copy of the records, subject to the requirements of this Policy.
C. Procedure: The process for converting hard copy official records into official electronic records
is as follows:
1. Scan document(s) in the IS Department -approved document system (such as
Laserfiche), using the appropriate template as needed.
a. Image File Formats for Converted Official Records: Documents must be stored
as JPEG, JBIG, JPEG 2000, TIFF, or PDF -A images.
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b. Verify images are legible, accurate, and represent a true copy of the original
document.
2. Enter the record into the Record Destruction Log (Attachment A) with the required
information noted. Place the original hard copy (now scanned) in a designated location
(for example, banker's box or other labeled storage) pending destruction.
3. Storage:
a. The scanned official electronic records will be stored in the IS Department -
approved document system (such as Laserfiche);
b. An IS Department -approved backup software (such as Rubrik) will create
backups of all document management system content daily;
c. Backups will also be stored in an IS Department -approved software -hosted
cloud environment (such as AWS).
4. Destruction of Documents. County Counsel or his/her designee must review the Record
Destruction Log and authorize the destruction of the record. After confirming that the
original hard copy has been accurately scanned, stored in Laserfiche, and twice
duplicated onto trusted media, the Department may destroy the original hard copy of the
records (subject to the requirements of this Policy). The specific method for destruction
of these records shall be at the discretion of County Counsel; however, records
containing confidential information must be shredded.
5. Other Approved System. The Department and/or IS Department may update or change
the approved document system (such as Laserfiche) at any time without prior Board
approval, so long as the selected electronic document storage system meets or exceeds
the criteria of a "trusted system." If the Department implements an alternative electronic
document storage system, then this procedure shall be updated accordingly.
D. Conditions for Destruction of Hard Copy Official Records: The County Counsel, or his or
her appointed designee(s), may cause the original hard copy of such official records to be
destroyed and maintain such official records electronically only if all of the following conditions
are satisfied:
1. The official records are not expressly required bylaw or statute to be filed and preserved
or retained in hard copy format;
2. The original official record has been reproduced and stored using a trusted system, as
outlined in this Policy; and
3. The reproduction is available for use in Departmental operations.
E. Conditions for Destruction of Official Electronic Records: The Department should
periodically review all electronically stored official electronic records in its custody. Official
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electronic records should be destroyed after the County Counsel, or his or her appointed
designee(s), has made the following determinations:
1. The official electronic records have been retained for the legally -mandated period
specified in the Resolution; and
2. If no such legally -mandated retention period exists, the official electronic records have
been retained for the minimum two-year retention period; and
3. The official electronic records are not subject to a Litigation Hold or pending California
Public Records Act request; and
4. The County Counsel, or his or her appointed designee(s), has determined that the
official electronic record(s) do not have specifically -articulated vital, administrative,
fiscal, legal, or research/historical/archival value, as described below, that justifies a
retention period longer than the legally -mandated period:
a. Vital Value: records generally have vital value when they are essential for
the reconstruction and continuation of operations if a disaster or an
emergency negatively impacts the County's business.
b. Administrative Value: records generally have administrative value as long
as they can be shown to significantly assist the County in performing current
or future public -entity business.
C. Legal Value: records generally have legal value if they contain evidence of
the County's legally -enforceable rights or obligations.
d. Fiscal Value: records generally have fiscal value if they pertain to financial
transactions.
e. Research/Historical/Archival Value: records generally have enduring
research/historical/archival value if they reflect significant historical events or
document a significant aspect of County or Departmental history or
development.
VII. Other: Administrative Standards and Requirements for Official Electronic Records
A. Departmental Cooperation: The Department shall cooperate with the IS Department to
meet the intent of this Policy.
B. Departmental Records Personnel: The County Counsel shall designate records
personnel to enforce and monitor compliance with this Policy and ensure compliance with
its procedures on the trusted system.
C. Custodian of Official Electronic Records: To ensure County official electronic records
are admissible evidence, the County Counsel shall designate a "Custodian of Official
Electronic Records" to authenticate the official electronic records that are maintained in the
Department's trusted system.
The "Custodian of Official Electronic Records" shall be sufficiently knowledgeable about the
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Department's trusted system, i.e. Laserfiche (including how official electronic records are
collected, assembled, and stored), this Policy, and the associated Departmental procedures
for the trusted system.
D. Training on Trusted System: Records personnel, with the following responsibilities, are
required to attend training conducted by the IS Department and/or other training approved
by the IS Department:
a. Enforcing this Policy;
b. Designated as the Department's "Custodian of Official Electronic Records"; or
c. Authorized users of the Department's trusted system, i.e. Laserfiche.
E. Board Approval and Resolution: The Department is required to secure the Board of
Supervisors' approval of this Policy, its proposed trusted system (I.e. Laserfiche), and a
resolution authorizing the Department, to destroy the original hard copy and maintain the
official electronic record in the Department's trusted system, i.e. Laserfiche.
Attachment A: Record Destruction Log
D
Attachment A
Record Destruction Log