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Board Policy No. 14 – Record Management and Document Control <br />Page 2 of 4 <br />This policy sets forth NCTD’s policy and guidance on responsibilities, the document management <br />system, documents with restricted access (sensitive security information or SSI), and specific <br />guidelines for records retention. <br />Responsibilities <br />The Executive Director is responsible for the appointment of a Document Control Coordinator <br />(DCC) and ensuring NCTD meets the requirements of this policy and applicable law. <br />The Document Control Coordinator (DCC), under guidance and oversight from management and <br />legal staff, is responsible for implementing and monitoring the records management program, <br />updating the retention schedule as needed and ensuring the district’s compliance to applicable <br />laws and regulations regarding record retention, storage, and destruction. <br />Document Management System <br />NCTD will utilize an electronic document management system (DMS). <br />The DMS shall meet the definition of “trusted system” as set forth in Government Code § <br />12168.7(c) and comply with the uniform statewide standards adopted by the Secretary of State <br />with respect to any and all official records created or stored as the original. The DMS shall not <br />permit additions, deletions or changes to the original document. In addition, to the extent required <br />by Federal regulations at 2 C.C.R. 22620.4, the DMS shall be designed in accordance with <br />Section 6.2 Recommended Project Steps and Activities of AIIM ARPI-2009 Analysis, Selection, <br />and Implementation of Electronic Document Management Systems approved June 5, 2009. <br />Electronic records shall be placed in conveniently accessible files and must be able to be <br />reproduced on film, optical disk or another medium which accurately reproduces the original <br />thereof in all details. For official records stored in an electronic format only, the digital version <br />must be created in an electronic media that meets all requirements specified herein or otherwise <br />required by law before the original may be destroyed. <br />To aid in convenience and accessibility, the DMS shall be used to retain electronic versions of all <br />official records where feasible, even those required by law to be retained in their original hardcopy <br />format as specified in the District’s Records Retention Schedule. The original hardcopy shall be <br />considered the official record and the electronic version will be considered the copy. <br />Documents with Restricted Access <br />Documents that contain restricted information such as SSI and which require document control <br />management based on Federal Transit Administration (FTA), American Public Transportation <br />Association (APTA), and NCTD policies, or other federal or state requirements, will be accessible <br />only to designated individuals. The process for filing/storing and managing staff access to these <br />types of documents will be outlined in a written policy and procedure under the direction of an SSI <br />Committee.