HomeMy WebLinkAbout; ; Records Management Program AUDIT-Building; 2013-01-31CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
COVER SHEET
:ED/B^ILDJNG AUDIT DATE
PREPARED BY
DEPARTMENT
RECORDS MANAGEMENT
This records audit has been conducted by Records Management (RM) staff Its purpose is to determine whether
the records in your department are being managed in accordance with the City Council adopted Records
Management Program (RMP). This evaluation includes a review of staff RMP training, whether there is a need
for potential Records Retention Schedule (RRS) modifications, and whether department records are being
processed for archiving or destruction appropriately.
INSTRUCTIONS:
• Department manager and records liaison review the findings of this report.
• After review, please sign and return this single page cover sheet to Records Management. This
will acknowledge that the audit findings and any action items have been reviewed.
Additional steps to take if there are items listed on the Action Items page:
• Complete the listed Action Items within the recommended timeline.
• Return Action Item Checklist to Records Management when corrections are completed.
Listed below is a summary ofthe audit findings.
AUDIT ELEMENT COMPLIANCE STATUS ACTION ITEM
Records Management Program
Training (RMP) Not in compliance See Action Item Checklist
Records Retention Schedule (RRS) In compliance None
Records Maintenance and
Disposition Not in compliance See Action Item Checklist
Ifyou have any questions regarding this audit, please contact Ronna Stickrod, Records Management Supervisor,
at X2482.
We have reviewed the following audit report and agree to comply with any required action items.
Department Head: Datt
•.s/zf/a Department Staff: Date
Annual Records Management Audit Review—CED/Building
CITYOF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
SUMMARY OF FINDINGS:
• RM staff met with Janean Hawney and Laura Stuppy-Moore. They were asked a series of
questions regarding records management training, the management of department paper and
electronic records, whether the retention schedule is accurate for all records where
CED/Building is identified as the "Office of Record", and the status of destruction of any record
and non-record material.
• The staff members that were interviewed are familiar with the RMP in general; however both
need additional training regarding the destruction process for record and non-record material,
including the disposition of files once they are scanned into the DMS. It was recommended that
all department personnel review the RMP training video. See Action Item Checklist.
• Two out of three issues from the previous Building records audit in 2008 remain unresolved;
1) the storage of building plans in an unsatisfactory environment at the Farmers building and
2) the review and disposition of Building records on microfiche. See next two bullet points for
additional information on these action items.
• The building plans that are stored at Farmers are being maintained in a substandard
environment. As mentioned above, this is an action item from the previous audit that has not
been resolved. See Action Item Checklist.
• The building department records that are stored on microfiche at Faraday have not been
reviewed for disposition. This is the remaining action item from the previous audit that has not
been resolved. See Action Item Checklist.
• Building stores active and inactive records in three locations: 1) on-site at Faraday 2) off-site at
Iron Mountain or 3) Farmers. There is a records inventory for each location. Sometimes staff is
not able to locate records listed on the inventory. There has not been an assessment ofthe
inventories for a long time; therefore the accuracy of the inventory is unknown. See Action Item
Checklist.
• The TAB labeling program contains the Building permit inventory and has been used to identify
building permit files. This was verified with a sample review of records (list attached).
• Staff continues scanning Building Permit files into the DMS. The records that have been
scanned include all files with the street names beginning with the letters A through D. Some of
the original paper files are still being maintained in central files once they are imaged. It has
been recommended in the past that the paper records be destroyed once they are imaged and
QC'd in the DMS. This was approved by the City Attorney's office and is documented in the
DMS Policies, Standards & Procedures. Policy states the DMS file is the official record for
Building Permit files. Paper copies should be destroyed in accordance with the RMP. See Action
Item Checklist.
2
Annual Records Management Audit Review—CED/Building
The audit revealed that the program is no longer being utilized by staff. This is a required step in
the RMP. Because the TAB program is not being used, the database is not accurate. See Action
Item Checklist.
The RRS had been reviewed by staff. There were no suggested changes at this time. The
building department participated in a thorough review and update ofthe RRS along with LDE
and Planning in 2011.
The Final File Clean-Up Matrix was discussed during the audit. All documents contained in a
Building Permit file have either a "Closed Plus 2 Years" (CL+2) or "Permanent" (PE) retention.
Upon completion of a project, this matrix provides staff with a list of the documents that need
to be pulled for destruction and what gets scanned for long term retention in the DMS. Staff
has been processing the appropriate records for destruction in accordance with the current
RRS.
The Building Department utilizes Permits Plus and the DMS for data and document storage. The
Permits Plus data and the imaged records in the DMS have long term retentions, so no
deletions are required.
The shared community and personal network computer drives are not being managed. The
data contained on network drives should be reviewed and obsolete data removed at least on
an annual basis. See Action Item Checklist.
Annual Records Management Audit Review—CED/Building
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTION ITEM CHECKLIST
ACTION ITEM COMPLETED?
It is strongly recommended that all Building staff view the Records Management
Training Video on the Intranet. Department records liaisons need to obtain more
in-depth training by Records staff regarding the detailed requirements ofthe RMP.
This training will be scheduled as soon as possible.
YES NO
The "Finaled" building plans stored at the Farmer's building are detenorating in the
current environment. Due to a recent RRS revision, some ofthe plans are no longer
required to be maintained long term. A strategy should be developed to address a
permanent solution for the plans that are retained permanently. This could include
1) imaging the plans for placement in the DMS or 2) storing them with an off-site
vendor in an appropriate environment. Please contact Ronna for assistance.
YES NO
Review the building records on microfiche and either 1) digitize and place records
in the DMS or 2) process records for destruction in accordance with retention
requirements. Contact Ronna for assistance with the review and disposition.
YES NO
Review records inventory lists for all storage locations and update as needed. This
can be done by randomly checking inventory lists with the physical records. Once
the review is completed, send the updated inventory lists to Records Management.
YES NO
Begin using TAB software to inventory and label building permit files. An alternative
to using TAB to label folders is to destroy all paper documents in the building
permit files once they are scanned into the DMS - rather than filing them back in a
file folder. By destroying the paper records after they are imaged, any costs
associated with labeling and filing would be eliminated. The preferred process after
DMS scanning is destroying the paper. This is standard citywide practice with
scanned DMS documents as outlined in the DMS Policy, Standards and Procedures.
A copy ofthis policy is attached for reference. Due to the inconsistent use of TAB,
the existing database for Building needs to be corrected. Records staff will assist
with this cleanup.
YES NO
Annual Records Management Audit Review—CED/Building
CITYOF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTION ITEM CHECKLIST
ACTION ITEM COMPLETED?
Electronic records stored on the shared Network drives and individual F:/drives
should be reviewed for obsolete data. Non-records can simply be deleted. If there
is official record data stored on the computer drives, the appropriate retention
shall be applied. Any deletions of record material will need to be processed in
accordance with RMP guidelines. Records staff will assist, if needed.
YES NO
For further assistance regarding an action item please contact Sonya at ext. 2738.
I hereby certify that the above listed Action Items have been completed and are now in compliance
with Records Management Policy and Procedures.
Department Manager Date
Records Management Date
Annual Records Management Audit Review—CED/Building
City of Carlsbad
All Building
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Tuesday, Januaiy 15, 2013 4:10:19 PM - SmeadSoft Grid Print sfini Page: 1
DOCUMENT
MANAGEMENT SYSTEM
STANDARDS, POLICIES
PROCEDURES
Prepared by Records Management
City of Carlsbad
Revised 2012
immmmJl „ """•Ull-'**
TABLE OF CONTENTS
CHAPTER 1: BACKGROUND 3
CHAPTER 2: EVALUATION 4
CHAPTER 3: IMPLEMENTATION 5
CHAPTER 4: SYSTEM SELECTION/DESCRIPTION.. 6
4.1 System Selection 6
4.2 System Description 6
CHAPTER 5: SYSTEM OPERATIONS 8
CHAPTER 6: ROLES AND RESPONSIBILITIES 9
CHAPTER?: TRAINING 10
CHAPTER 8: LEGAL & POUCY CONSIDERATIONS 11
8.1 City Requirements 11
8.2 Federal and State Regulations 11
CHAPTER 9: SYSTEM SECURITY 13
CHAPTER 10: MEDIA PRESERVATION 14
10.1 Retention Guidelines 14
10.2 Preservation of Electronic Records 14
10.3 DMS as Original Document 15
CHAPTER 11: SYSTEM MIGRATION 16
11.1 Migration Strategy 16
Document Authorization 17
APPENDICES 18
DMS Standards, Policies and Procedures Page 2 of 27
Revised 2/14/2012
CHAPTER!: BACKGROUND
In the City of Carlsbad, the Office of the City Clerk and Records Management Department
provide guidance in the maintenance, preservation and disposition of public records. The City
of Carlsbad Records Retention Program, which was initially approved by the City Council in
October 2000, and is now updated on an annual basis, provides detailed guidelines for
management of City records.
One ofthe tools used by the City in archiving records is the electronic Document Management
System (DMS). This system is used to convert either paper or electronic documents into
digitally imaged and indexed documents. Multiple users citywide can easily retrieve these
documents via their computers. As of June 2003, Internet users are now able to retrieve
portions ofthe DMS archived records such as minutes, agendas and maps.
This policy and procedure guideline will outline the requirements for lawful and responsible
management of the DMS archived records. Guidance regarding the capture, retrieval,
maintenance and preservation of electronic records will be addressed. In addition, specifics will
be provided regarding the following:
• That the DMS can be considered a trusted system and does not permit additions,
deletions or changes to the original document.
• That the electronic records are as, or more, accessible than original records.
That the DMS provides a central repository of the archival documents in a secure
environment.
• That the quality of DMS reproductions is equal to, or better than, that of the original
documents.
• That the DMS records can be maintained through time, despite migration between
hardware, digital media or software formats.
• That the records can be searchable, (the context known through system indexing).
This guidance is intended to serve the citizens of Carlsbad and to underscore the legitimacy of
the public records entrusted to our City.
DMS Standards, Policies and Procedures Page 3 of 27
Revised 2/14/2012
CHAPTER 2: EVALUATION
The City of Carlsbad performed a feasibility study in 1998 to ensure that the DMS would be
appropnate for the City's needs and complies with technology standards, and that City records
that are created in, or converted to, electronic format for placement in the DMS are managed
in a strategic manner. The following issues were taken into consideration during the
preparation ofthe study:
• Business process analysis
• A complete inventory of existing records
• Data needs assessment
• Alternative technologies assessment
• Network support (citywide interface)
• Costs/benefits analysis
• Project growth
• Retention and legal requirements
The project evaluation^ also included the following recommendations regarding electronic
records contained in the City's DMS:
• Imaged records shall be made from the original or hard copy documents.
• Electronic records, which are scanned from the original documents, shall be considered
authentic, accurate and as reliable as the original hard copy of the documents.
• Electronic documents shall be added to the DMS in their native format, when possible.
• Electronic records shall be handled as original records and used in the regular course of
business.
^ Detailed project evaluation and recommendations are contained in Appendix I.
DMS Standards, Policies and Procedures Page 4 of 27
Revised 2/14/2012
CHAPTER 3: IMPLEMENTATION
Implementation of the DMS has required careful and consistent documentation of all records
and the technical processes that convert traditional paper-based documents to a digitized
format.
To ensure the reliability and accuracy of the DMS and processes, the City of Carlsbad has
implemented the following measures:
• Policies and procedures defining proper development, maintenance and use of the
system, such as this document.
• Periodic training and support programs that ensure staff understand the policies and
procedures.
• Controls that monitor the accuracy and authenticity of data, the reliability of hardware
and software, and the integrity and security ofthe system.
• Verification of the DMS to ensure that it accurately reproduces all original records so
that any information that is readable and recognizable in the original hard copy
document can be recognized on the digital image.
• Use of standard compression and decompression algorithms, if images are compressed,
to insure long-term readability and trustworthiness.
• Use of provisions and safeguards to prevent alteration of digital images.
• Integration ofthe DMS into the normal course ofthe City business activities.
DMS Standards, Policies and Procedures Page 5 of 27
Revised 2/14/2012
CHAPTER 4: SYSTEM SELECTION/DESCRIPTION
4.1 System Selection'
In May 1999, the City Council appropriated funds and authorized staff to proceed with the
issuance of the Request for Proposals for an electronic DMS. Responses were reviewed by the
City's consultant and project team, which consisted of members from 13 departments.
Vendors, whose proposed systems best met the City's requirements, demonstrated their
systems. Following the demonstrations, site visits and reference checks were conducted to
evaluate the proposed software in use and review the vendor's previous installations. At the
conclusion ofthe evaluation, the project team determined that the FileNet DMS provided the
functionality that best met the City's needs and recommended the purchase of that system.
4,2 System Description^
The City of Carlsbad implemented the DMS, which consists of computers, applications software,
servers, storage media, monitors and scanners that provide the highest quality of performance
necessary to produce and maintain electronic City records.
The following describes, in general terms, the components ofthe City's DMS:
• Software: Programs providing the ability to capture, store, access, and view electronic
City records. Software is to be maintained in accordance with vendor's
recommendations.
• Hardware: Servers and computer workstations, capable of supporting the DMS
software. Hardware is to be maintained per manufacturer's recommendations and
replaced per depreciation schedule and Information Technology (IT) Department
recommendations.
• Scanners: Equipment that produces high-quality images with verifiable quality.
Calibration and maintenance ofthe scanners is to be performed per the manufacturer's
recommended schedule.
• Verification and Inspection: Visual inspection and operating procedures to verify the
completeness and accuracy of the scanning process and transfer of documents into the
DMS.
2 Detailed information regarding system selection is contained in Appendix II.
^ Detailed information regarding system description is contained in Appendix III.
DMS Standards, Policies and Procedures Page 6 of 27
Revised 2/14/2012
• Training: This is provided to every DMS user to enable them to properly utilize the
system. Additional training is required and provided for employees who are authonzed
to input documents into the DMS.
• Upgrade Documentation: Ali versions and upgrades must be documented to ensure
and promote continued optimal performance. This is accomplished through the IT
Department change control process.
DMS Standards, Policies and Procedures Page 7 of 27
Revised 2/14/2012
CHAPTER 5: SYSTEM OPERATIONS*
Imaging is the process by which digital images of objects, such as books, maps, papers, and
photographs are created to reproduce the object. Images are created digitally by "scanning"
the original City records, using selected scanner equipment, so that they can be placed online
for citywide retrieval.
Established procedures require that 100% of document images be checked for quality and
accuracy. Those images that do not meet industry standards of these guidelines would be
defined as defective, and retained in the native format in the respective designated "Office of
Record" per the Records Retention Schedule. Unless specified elsewhere, document images
shall be scanned and maintained in the exact order as the original or existing file order.
Documents are scanned at different settings controlled by the scanning software and adjusted
by the scanner operator. In accordance with industry standards, scanners are set at a density
of at least 200 dots per inch for text documents and 300 dots per inch for engineering drawings
and maps, and photos, and include settings choices such as color, bi-tonal, halftone, and
different levels of grayscale as well as adjustments of brightness, density, and contrast.
Documents are also able to be added to the DMS in their native formats, such as Word, Excel or
PowerPoint, or can be converted to Portable Document Format (PDF) for placement in the
system. Maps and drawings are scanned utilizing the Tagged Image File Format (TIFF) and then
added to the DMS. Photos are scanned in as a "PDF", but if a "jpg" or "tiff" are received, they
can be added to the DMS in the native format.
The context of documents is achieved by required indexing. Key field entries that are
developed by established user groups are utilized when entering all designated document types
are entered into the DMS. These key field entries, or properties, allow system users to search
and locate documents in the DMS.
•* Detailed information on system operating procedures is contained in Appendix IV.
DMS Standards, Policies and Procedures Page 8 of 27
Revised 2/14/2012
CHAPTER 6: ROLES AND RESPONSIBILITIES
The DMS, including all information, documentation and equipment, is the property of the City
of Carlsbad. The DMS users, IT Department staff. Records Management staff, and the City
Attorney's office are all involved in the process of producing and maintaining electronic City
records to ensure their legal acceptance and authenticity.
The respective responsibilities^ are as follows:
Imaging/scanning users are responsible for making sure that the records they create and
maintain meet the established operational and retention requirements of the City.
Records personnel confirm this responsibility during routine annual audits.
City departments are responsible for following the established procedures for the
creation, maintenance, and disposition of records, including electronic records
contained in the DMS.
IT Department staff is responsible for the operation of the system, including
administration, system maintenance, system security, physical preservation of the
electronic records, and disaster recovery. The IT Department shares responsibility with
Records Management for system upgrades and migration.
Records Management Department staff is responsible for management ofthe system in
accordance with the established requirements of the operating procedures and the
City's Records Management Program.
City Attorney Department staff is responsible for providing advice and information
regarding issues of authenticity and admissibility of electronic City records.
s Details of individual roles and responsibilities are contained in Appendix V.
DMS Standards, Policies and Procedures Page 9 of 27
Revised 2/14/2012
CHAPTER 7: TRAINING
The City has provided step-by-step instructions regarding how to operate the DMS. DMS
training^ is provided in three areas: general system use, scanner use, and system
administration. The IT Department maintains a list of all employees who have access to the
DMS that includes; employee name, department, and security level. Records Management
provides DMS general user training a minimum of one time per year. Specialized training is
offered to small groups, and individual training is offered to all users upon request.
The System Administration Manual is incorporated by reference, and is available in DMS only to
IT staff and can be found with the following search values:
Document Class: Manual-Policy-Procedure
Manual/Policy/Procedure Type: IT Docs - SysAdmin
Title: Document Management System
Subject: DMS Custom System Admin Manual
Department:.... Information Technology
^ Specific training materials for general users and scanners are contained in Appendix VI.
DMS Standards, Policies and Procedures Page 10 of 27
Revised 2/14/2012
CHAPTER 8: LEGAL & POLICY CONSIDERATIONS
Implementation of the DMS has required careful and consistent documentation of all actions
and technical processes that convert traditional paper-based documents to a digitized,
electronic format. Standards and procedures have been established to ensure that the
information and the system generating it satisfy the rules of evidence. The Records
Management Program has adopted a criterion, which instead of specifying the type of storage
technology that may be used sets forth standards that the electronic storage media must satisfy
to be considered an acceptable method of storage.
8.1 City Requirements
Specific laws and regulations relating to governmental functions define how records are
created, formatted, and maintained. The provisions contained in the approved Records
Management Program, Records Retention Schedule, and Administrative Order No. 53, have
been established in accordance with state and federal regulations, and must be followed for
electronic, as well as hard copy City records.
8.2 Federal and State Regulations'
Numerous citations and articles exist relative to "Electronic Records", some of which also deal
with the issue of "Electronic Signature". Following is a brief analysis of federal E-Sign and UETA
regulations, as well as related California regulations:
• Electronic Signature Global and National Commerce Act (E-SIGN) - Federal
This established the validity of e-signatures for national and global commerce and
allows UETA to preempt the federal law. The focus is on the market and technology
rather than legislation to shape use of e-signatures.
• Uniform Electronic Transmission Act (UETA) - Federal
This deals with use of electronic records and electronic signatures. It specifies that
parties must agree to transact business electronically. This Act states that a record or
signature cannot be denied legal effect because of its electronic form and provides
details regarding sending/receiving e-records.
• Uniform Electronic Transmission Act (UETA) - State of California
^ Detailed Federal and State Citations and Regulations are contained in Appendix VII.
DMS Standards, Policies and Procedures Page 11 of 27
Revised 2/14/2012
This Act establishes electronic documents and use of e-signature with paper documents
and manual signatures. It is intended to eliminate questions regarding legal
status/enforceability, and use or acceptance of electronic records and e-signatures.
Freedom of Information Act (FOIA) - Federal
The fOIA includes rules, regulations, and procedures regarding handling requests for
public information and making records available to the public.
Public Records Act (PRA) - State of California
State rules, regulations, and procedures for handling requests for public information and
making records available to the public. The PRA has been updated to include e-records
in the types of information that must be made available.
• GC 11104.5-State Code
Allows for electronic transmission of documents and information at the request of
recipient (includes PRA requests), and allows for collection of direct costs for the
service.
• GC 12168.5 - 12168.7 - State Code
Provides for establishment of statewide standards for the purpose of storing permanent
and non-permanent documents in electronic media. Also provides that media used
should not permit changes to original document, and provides for use of electronic
filing.
• GC 11340.85 - State Code
Defines electronic communication. Permits use of electronic communication, but not
exclusive means of publication or distribution.
• GC 14741-State Code
Defines "records" in official Records Management terms "Records means all paper,
maps, exhibits, magnetic or paper tapes, photographic films and prints, and other
documents produced, received, owned or used by an agency, regardless of media,
physical form, or characteristics."
• GC 34090 - State Code
Defines records destruction requirements for cities. This code has been revised to
include references to electronic records/data.
DMS Standards, Policies and Procedures Page 12 of 27
Revised 2/14/2012
CHAPTER 9: SYSTEM SECURITY
Guidelines have been implemented for the security and protection of the DMS and the
electronic records it contains. Written policies have been implemented and specify appropriate
use of City computer equipment and software by employees of the City^.
The IT Department staff serves as the designated administrator of the DMS. The System
Administrator is the established point of contact for technical and professional support for the
DMS, and includes support, troubleshooting services, and the following:
• Limitation of system access and update privileges to appropriate personnel.
• Prevention of unauthorized modification of database and imaged City records.
• Generation of a system activity log to track user access and monitor any work
performed to the data. This process occurs on an as-needed basis.
Continual review and update of disaster preparedness plans and security back-up
procedures.
Specific DMS security policies, which are incorporated by reference, are located in the System
Administration Manual, which includes System Security Documentation. This document is in
the DMS under the Document Class "Manual-Policy-Procedure", and is available only to
Information Technology staff. The DMS search values for this document are identified in
Chapter 7 on page 9.
^ Administrative Order 53 is contained in Appendix VIII.
DMS Standards, Policies and Procedures Page 13 of 27
Revised 2/14/2012
CHAPTER 10: MEDIA PRESERVATION
Preservation of media is one element that ensures long-term accessibility to records. The
retention of electronic records must comply with the provisions of the citywide Records
Management Program^ and Records Retention Schedule, and must follow the procedures and
instructions for destruction. The record retention period is the time during which records need
to be kept for administrative, fiscal, legal and historical purposes. Original records, whether
paper or electronic, shall be maintained and disposed of according to the provisions of the
citywide Records Management Program.
Creating and adhering to a Records Retention Schedule keeps documents organized and
accessible during their lifespan. It also establishes a method for determining when records
outlive their usefulness, and the procedure for disposal at the appropriate time.
10.1 Retention Guidelines
Guidelines have been established to ensure that the DMS preserves and retains electronic
records over time, in accordance with provisions ofthe citywide Records Management Program
and Records Retention Schedule.
Retention policies provide the following:
Maintenance of records (regardless of format) for inspection and audit, for the full
period required by the Records Retention Schedule.
• Retention of electronic records in an understandable form, and assurance that they can
be made accessible during their required retention period.
Use of established procedures, and detailed documentation of proper destruction of
electronic records in the DMS, in accordance with provisions of the citywide Records
Management Program and Records Retention Schedule.
10.2 Preservation of Electronic Records
The Information Technology Department is responsible for ensuring the DMS data is backed up
per a defined backup schedule. In addition, for preservation purposes, the DMS has been
included in the City of Carlsbad Disaster Recovery Plan.
' The documents relating to the Records Management Program are contained in Appendix IX.
DMS Standards, Policies and Procedures Page 14 of 27
Revised 2/14/2012
10.3 DMS as Original Document
Some paper documents are now being eliminated and are located only in the DMS once they
are scanned. Multiple quality control checks of indexing data and images are performed before
the original paper document is destroyed.
Documents that reside in the DMS only:
• Agenda (City Clerk, Boards, Commissions, Committee's)
• Agenda Bills (City Clerk)
• Contracts/Agreements (City Clerk)
• Recorded Documents (City Clerk)
• Secured Agreements (City Clerk)
Paper documents that are in the process of being placed in the DMS only:
• Building Permits (Building)
• Reports/Studies (All Departments)
• Planning/Engineering Applications (Community & Economic Development)
These lists will continually be revised to include additional records that are allowed to be
maintained only in electronic format.
DMS Standards, Policies and Procedures Page 15 of 27
Revised 2/14/2012
CHAPTER 11: SYSTEM MIGRATION
Ensuring the long-term accessibility and usability of electronic records and digital images is not
only dependent on how the system is designed, implemented, and managed, but also how the
data is migrated. The DMS consists of hardware and software that conforms to non-proprietary
standards and is constructed in open system architecture. Maintaining access to records stored
on the DMS requires a comprehensive migration strategy. The strategy must factor in vendor
stability, system obsolescence and media longevity.
11.1 Migration Strategy
Migration strategy is the process that ensures the movement of electronic City records from
one generation of technology to another. The key to maintaining usable electronic records for
long periods of time is the ability to transfer data between hardware platforms, software
platforms and storage media. Migration is integral to continued use ofthe DMS, and requires
continued provision of technology upgrades and training. Information Technology employs
best practices for all supported systems to ensure data integrity and system availability.
Migration policies provide the following:
• Preservation of imaged records on existing media through careful attention to
environmental storage.
• Maintenance and functionality of existing hardware and software through upgrades of
equipment and source code. By maintaining software maintenance agreements,
software is upgraded when new versions are available.
• Maintenance of all software and hardware interfaces with the DMS.
• Transfer of images, indices and other related data through successive versions of
hardware and software.
• Migration of data to successive generations of technology.
• Monitoring technology developments and trends, and modifying migration plan as
needed.
• Collaboration between Information Technology and Records Management regarding
migration strategy.
DMS Standards, Policies and Procedures Page 16 of 27
Revised 2/14/2012
Document Authorization
IN THE WITNESS WHEREOF, the following have reviewed and are duly authorized to execute
this document.
7///IU
Date
information Technology Date
IZ-
Date
DMS Standards, Policies and Procedures Page 17 of 27
Revised 2/14/2012