HomeMy WebLinkAboutSecretary of State Trustworthy Electronic Document or Record Preservation
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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STATE OF CALIFORNIA
SECRETARY OF STATE
1500 11TH STREET, 6TH FLOOR
SACRAMENTO, CA 95814
TITLE 2. ADMINISTRATION
DIVISION 7. SECRETARY OF STATE
ADOPT CHAPTER 15. TRUSTWORTHY ELECTRONIC DOCUMENT OR
RECORD PRESERVATION, SECTIONS 22620.1 THROUGH 22620.8
Section 22620.1. Purpose.
The purpose of this chapter is to identify the uniform statewide standards adopted by the
Secretary of State, in consultation with the Department of General Services, for use in
recording, storing, and reproducing permanent and nonpermanent documents or records in
electronic media. These regulations list minimum standards recommended by the
American National Standards Institute (ANSI) or the Association for Information and
Image Management (AIIM), and provide specific conditions that would meet the definition
of trusted system, as provided in Government Code section 12168.7. The uniform
statewide standards in these regulations apply to state agencies, pursuant to subdivisions
(b) and (d) of Government Code section 12168.7. The standards apply to local agencies
only to the extent that existing law requires a local agency to apply the standards. For
agencies not required by statute or local law, these regulations are recommendations and
best practice guidelines, which state and local agencies are strongly encouraged to follow.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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Section 22620.2. Applicability of Electronic Document or Record Standards
(a) The provisions of this chapter shall apply to all electronic documents or records created
or stored as the official record six months after the effective date of these regulations.
(b) The provisions of this chapter shall apply where the intent is to destroy the original
hardcopy and to maintain an electronic version as the official record.
(c) The provisions of this chapter shall also apply to electronically originated documents or
records that are maintained as official documents or records.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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Section 22620.3. Definitions.
As used in this chapter, the following words have the following definitions:
(a) “AIIM” means the Association for Information and Image Management.
(b) “ANSI” means the American National Standards Institute.
(c) “Electronically originated documents or records” includes any document or record
created without first having originated in hard copy format. It includes all documents or
records generated through electronic submissions.
(d) “ISO” means the International Organization for Standardization.
(e) “PDF/A” means Portable Document Format/Archive, which is an electronic file format
whereby documents are self-contained allowing them to be reproduced with all of the
document coding embedded within the file.
(f) “CGATS” means Committee for Graphic Arts Technologies Standards administered by
NPES, the Association for Suppliers of Printing, Publishing, and Converting Technologies.
(g) Trusted System is defined in section 5.3.3 Trusted system and legal considerations of
“AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document
Management Systems,” approved June 5, 2009, which is incorporated by reference in this
section.
(h) “Official documents” or “official records” are those defined as such in applicable
statutes and in business practices of the entity responsible for retaining said documents or
records. In the absence of applicable statutes, official records or documents are those
defined in the entity’s business practices.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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Section 22620.4. Official Document or Record Storage Using Electronic Technologies.
To ensure that all electronic versions of official documents or records (including
documents or records converted from hard copy or electronically originated documents or
records) are stored and managed in a trusted system as required in Government Code
section 12168.7(c), electronic content management systems implemented six months after
the adoption of these regulations shall be designed in accordance with section 6.2
Recommended Project Steps and Activities of “AIIM ARP1-2009 Analysis, Selection, and
Implementation of Electronic Document Management Systems,” approved June 5, 2009,
which is incorporated by reference in this section.
All existing electronic content management systems in place prior to six months after the
adoption of these regulations should be evaluated to the greatest extent technologically and
procedurally possible, and as soon as practicable secure all necessary local and/or state
approvals to meet the intent of Government Code section 12168.7 that electronic
documents or records be stored in a trusted system as defined in these regulations.
The published version of the AIIM recommended practice may be downloaded directly
from AIIM at www.aiim.org/standards, or from the Secretary of State at
www.sos.ca.gov/archives/local-gov-program.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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Section 22620.5. Business Practice Documentation.
To ensure that appropriate policies and procedures associated with the creation,
management, and storage of electronic documents or records are in writing, a document
management policy shall be prepared prior to system implementation and updated at
regular intervals in accordance with section 6.17 Business practices documentation of
“AIIM ARP1-2009 Analysis, Selection, and Implementation of Electronic Document
Management Systems,” approved June 5, 2009, which is incorporated by reference in this
section.
The published version of the AIIM recommended practice may be downloaded directly
from AIIM at www.aiim.org/standards, or from the Secretary of State at
www.sos.ca.gov/archives/local-gov-program.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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Section 22620.6. Electronic File Compression.
When it is determined that electronic documents or records are to be compressed and to
ensure that electronic documents or records can be accessed after being converted from
hard copy format, only those compression technologies identified in section 5.4.2.4.
Document image compression of “AIIM ARP1-2009 Analysis, Selection, and
Implementation of Electronic Document Management Systems,” approved June 5, 2009,
which is incorporated by reference in this section, shall be used.
The published version of the AIIM recommended practice may be downloaded directly
from AIIM at www.aiim.org/standards, or from the Secretary of State at
www.sos.ca.gov/archives/local-gov-program.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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Section 22620.7. Trusted Storage of Official Electronic Documents or Records.
To ensure that every official electronic document or record is considered to be a true and
accurate copy of the original information received and before the original copy may be
destroyed, at least two (2) separate copies of the official document or record must be
created on electronic media meeting all the conditions of a trusted system as identified in
section 5.3.3 Trusted system and legal considerations of “AIIM ARP1-2009 Analysis,
Selection, and Implementation of Electronic Document Management Systems,” approved
June 5, 2009, which is incorporated by reference in this section.
The published version of the AIIM recommended practice may be downloaded directly
from AIIM at www.aiim.org/standards, or from the Secretary of State at
www.sos.ca.gov/archives/local-gov-program.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.
Final Text (Trustworthy Electronic Document or Record Preservation)
2 CCR Sections 22620.1, 22620.2, 22620.3, 22620.4, 22620.5, 22620.6, 22620.7 and
22620.8
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Section 22620.8. Electronic File Format for Preservation of Converted Official Documents
or Records
To ensure long term accessibility of documents or records converted from hard copy
format into electronic format, the storing and recording of permanent and nonpermanent
documents or records shall be maintained in a trusted system as defined in section
2307022620.7, Trusted Storage of Official Electronic Documents or Records, using
standards adopted or developed by ANSI or AIIM and as identified in section 5.4.1.4
Image formats of “AIIM ARP1-2009 Analysis, Selection, and Implementation of
Electronic Document Management Systems,” approved June 5, 2009, which is
incorporated by reference in this section. If PDF/A is chosen as the file format for long-
term storage, the adopted standard that should be followed is “ANSI/AIIM/CGATS/ISO
19005-1:2005, Document Management – Electronic Document File Format for Long-Term
Preservation – Part 1: Use of PDF 1.4 (PDF/A-1),” approved as ANSI Standards, June 15,
2008, which is incorporated by reference in this section.
The published version of the AIIM recommended practice may be downloaded directly
from AIIM at www.aiim.org/standards or from the Secretary of State at
www.sos.ca.gov/archives/local-gov-program. The published version of
ANSI/AIIM/CGATS/ISO 19005-1:2005 may be purchased from AIIM at
www.aiim.org/standards.
Authority Cited: Government Code section 12168.7
Reference: sections 25105, 26205, 26205.1, 26205.5, 26907, 27001, 27322.2, 34090.5, and
60203, Government Code; section 102235, Health and Safety Code; and section 10851,
Welfare and Institutions Code.