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Home My WebLink About07.a. Attachment 2: PowerPoint from EID re Records and Electronic Content Assessment and RecommendationsCentral Contra Costa Sanitary District Records and Electronic Content Assessment and Recommendations Presented By: Robert Blatt, MIT, LIT Principal Consultant and Jo Dunlap, Esq. Sr. Legal /Records Consultant EID 18 December 2014 Pagel N\1YRDIPUCTOM t,,, THE RIE(Cokos ANSI /AIIM 25 Records /Content Management Assessment i � ❑What is this standard for record assessments? ❑What is document (or Content) management? ❑How was the assessment executed and what were the key findings? ❑Recommendations and associated activities to implement industry standards identified in Gov. Codes /Reps *I] Page 2 .anew u . Wi eQ SIS LUAU P)aLrir ;,ANSri ftanUedii • Existing BPD /policies Et procedures • Capture Et indexing • Information retention, preservation Et destruction • Ingestion of information into the system • Information access • History Et audit • Technical and data storage environments J EID Page 3 1�116, SEIM Assessing Existing Systems Awl Page 4 I I � INI 747 A.51"M' i INTINTE, IN W M 19 11111111�� 111111i� I I T I No Do 0 ❑ Government Code 12168.7 and 26200 series of the regulations ❑ Compliance with court orders, Public Records Act requests, and internal retention policies ❑ Reducing the costs of litigation ❑ Efficiencies in conducting business EID o Pre -late `90's Scan, sore, retrieve model Just beginning to store "objects" and business records Optical storage technology commonly relied upon trusted storage technologies c 2000's Industry moved into save when created and apply retention and management controls during information lifecycle Many organizations designed to new model, others didn't know and /or want to migrate EID Page 6 IN T" 102 116 1 1 ITI ANSI /AIIM 25 Records /Content Management Assessment ❑ Performed a detailed records assessment including examining all aspects of how electronic in hard -copy documents/ records are created, managed & stored, and associated records related policies and procedures from technical and records management perspectives ❑ Identified how the District currently manages its electronic and physical content /records (emails, word, excel, pdf, jpg, etc.) through observations and discussions with 85 staff members U Developed a 68 -page report detailing gaps in best practices and identifying a plan f, how the records /content may be managed and stored for more ease and efficient access across the District ❑ Provided Strategic Recommendations that: ❑ Close the identified gaps ❑ Establish a document (or content) management roadmap ❑ Identify the technology requirements for obtaining a technology solution for both short and long term needs of the District -9.l_J Page 7 ❑ District does a good job with managing many of the physical records ❑ Detailed retention plan ❑ Off site storage for key documents LJ Areas that need some improvement since not all physical records are tracked through the Versatile Records Management system ❑ Current/ Existing records and ECM /EDMS applications ❑ DO NOT incorporate necessary components and /or records mgmt functionality needed by the District ❑ DO NOT support /allow required compliance with relevant electronic records codes /regs as currently designed and configured ❑ Versatile (out of date and limited functionality) ❑ LaserFiche (out of date Et doesn't manage records as required) (designed as store afterwards, rather then when created) ❑ Electronic records are not well managed by the District ❑ Multiple versions /copies of electronic records in several locations ❑ Not managed to the retention schedule l —po. I ❑ Security and reliability of electronic records is a significant issue ❑ Non compliant with gov codes /regs for electronic official records UL, Page 8 ❑ Phase 1 ❑ Continue maintaining control over physical records by managing them through Versatile (being used for physical records mgmt capabilities) ❑ Develop an enterprise wide taxonomy and retention bridge and prepare a business practices document, along with developing (or updating) recommended policies and procedures ❑ Modify existing ECM system (LaserFiche) to become compliant with codes /regs; establish enterprise taxonomy to implement / enforce retention policies (re- configuration from current approach needed) ❑ Perform modified conversion to ensure official electronic records are placed under retention control in a "trustworthy environment" ❑ Phase 2 ❑ Identify enterprise wide ECM products after records m _qmt and IT infrastructure stabilized, prepare an RFP and select a full ECM technology suite that will meet all District needs and requirements Page 9 Page 10 Document Re ositories Data Locations � P - -- l aserfiche - - - - -- -- - - SCADA Otis \ ESRI PIMS I GD1 -- Email Server Network Versatile Workgroup Share Document drives Silos to be 2 Library searched in Personal Info M mt Systems response to Network PRA or Litigation Acella's Public Sussex Share Drive Mainsaver External Hard Drives Backup j HTE Tapes J Sunguard Dropbox BidSync NeoGov F anet Bid -..- Laserfiche Email inbox Engineering Support r Engineering Support share drive Physical File Admin Share Drive (4x) Email out box Network share drive (4x) Email Inbox #1 Engineer Personal Drive #2 Engineer Email Inbox #2 Engineer Email Inbox Admin Asst. Personal Drive #1 Engineer Between 15 and 18 separate copies stored in 4 data locations: Email Server Network Server EID Physical File Laserfiche Document Imaging Document / Library Services BP /Routing/ Workflow OCR /ICR, Full Text, Forms Mgmt Records Mgmt Applications Base Application Services Database Seri Storage Device Services Drivers Operating System STATOT��s SYSTF14 o Government records 12168.7 (local) Only applies IF a local records as the official -- Gov't Code sec. agency uses electronic public records. Since 2000 electronic records must be maintained in accordance with the ANSI /Al IM standards. 14 (a) The California Legislature hereby recognizes the need to adopt uniform statewide standards for the purpose of storing and recording permanent and nonpermanent documents in electronic media. (b) In order to ensure that uniform statewide standards remain current and relevant, the Secretary of State, in consultation with the Department of General Services, shall approve and adopt appropriate standards established by the American National Standards Institute or the Association for Information and Image Management. (c) The standards specified in subdivision (b) shall include a requirement that a trusted system be utilized. For this purpose and for purposes of Sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and 60203, Section 102235 of the Health and Safety Code, and Section 10851 of the Welfare and Institutions Code, "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. (d) In order to develop statewide standards as expeditiously as possible, and until the time that statewide standards are adopted pursuant to subdivision (b), state officials shall ensure that microfilming, electronic data imaging, and photographic reproduction are done in compliance with the minimum standards or guidelines, or both, as recommended by the American National Standards Institute or the Association for Information and Image Management for recording of permanent records or nonpermanent records. (Added by S_tats.1998, c. 677 (A. 8.972) § 2. Amended by Stats.2000, c. 569 (S. B. 2067), § 1; Stats.2007, c. 343 (S. 8. 144) § 7.7. ) *•J 15 *Key provisions of AI IM's Practices #1: Recommended Combination of hardware, media and software storage to prevent unauthorized alterations Verifiable through independent audit processes Write at least 1 of the 2 required copies to a safe and separate location Policies and procedures for proper records handling I� Page 16 �Wl�rl Mg- �*" I �' MW �Lu�l M�M� Cal. Admin. Code title 2, §5 2 § 22620.1. Identify uniform statewide standards 5 22620.2. Applies to all electronic documents or records created or stored as the official record § 22620.3. Definitions § 22620.4. Applicability going forward 5 22620.5. Documentation Et policies/ procedures § 22620.6. Electronic file compression standards S 22620.7. References ARP standards system (2 copies, audit, etc) 5 22620.8. File format Art 17