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Washington State Archives “Going Paperless”

Washington State Archives “Going Paperless”. A GUIDE TO THE APPROVAL PROCESS FOR THE EARLY DESTRUCTION OF SOURCE DOCUMENTS ** ** Formerly Electronic Imaging Systems. Presented by: Leslie Koziara, ERMP November 13, 2009. Going Paperless Can Save $$.

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Washington State Archives “Going Paperless”

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  1. Washington State Archives“Going Paperless” A GUIDE TO THE APPROVAL PROCESS FOR THE EARLY DESTRUCTION OF SOURCE DOCUMENTS** **Formerly Electronic Imaging Systems Presented by: Leslie Koziara, ERMP November 13, 2009

  2. Going Paperless Can Save $$ • Work flow improves, increased productivity • Access and storage costs decrease • Active retention & disposition reduces costs- less to store, search, and migrate • You save paper! • As a bonus – no more paper cuts!

  3. WAC 434-663-600Imaging Systems “Conversion to an imaging system DOES NOT automatically authorize the destruction of source documents for which images have been created……

  4. “Going paperless” You can’t just scan and toss until certain requirements have been met as per Chapter 434-663 WAC. Source documents still must be kept for the full retention period unless prior approval for early destruction is granted.

  5. Introducing “DAD” DESTRUCTION AFTER DIGITIZATION* *destruction of the source documents after digitization

  6. Options for “going paperless” • Agencies may choose to digitize and keep the paper for the minimum required retention period • Agencies may choose to digitize and want to destroy the paper prior to the full retention period. Agencies are required to apply for approval for the destruction of source documents.

  7. More options 3. Agencies may choose to add more processes where they are all “born digital” – No paper involved at all 4. For archival series records, an option could be to scan and then transfer the paper to Washington State Archives

  8. To ensure that imaged records remain authentic and accessible for the full duration of their retention period. RCW 40.14.020 (6)(c), it is the State Archivist’sresponsibility to adopt rules governing the accuracy and durability of, and facilitating access to, photographic, optical, electronic, or otherimages used as public records. Why get approval?

  9. Any government agency that converts paper-based records to digitized images and then… Wants to get rid of the paper-based source documents prior to meeting their full retention period Who Needs to Apply for Approval?

  10. Alaska Dept of Revenue March 2007 Technician reformatting a disk drive during routine maintenance accidentally deleted the files for the yearly resident dividends Also accidentally reformatted the back up drive The back up tapes were found to be unreadable Oops

  11. Files contained information concerning the yearly payout and supporting documentation 800,000 electronic images had been scanned Only back up left was in more than 300 boxes 300 Boxes

  12. 6 weeks $200,000 Recovery Costs

  13. What are the consequences of not getting approval to destroy source documents?

  14. If it can be proven that an agency disposed of original paper records without approval, the consequences could be grim Front page news Audit findings And not to mention..…. RCW 40.16 – penal provisions for the unlawful destruction of public records

  15. Introducing the NEW and IMPROVED Application THEN: • Formerly known as Electronic Imaging Systems (EIS) NOW: • Request for the Early Destruction of Source Documents After Digitization

  16. The application is generally a team effort. The records officer, coordinators, and IT staff will most likely be involved in this process Who Gets to Fill It Out?

  17. Because each agency has its own records and systems, each agency needs to submit their own application There are no cookie cutter or one-size-fits-all answers No Cookie Cutters

  18. Since the images will be considered the primary record copy, they will required to be maintained, preserved and protected according to the appropriate retention and disposition for the record series Regardless of whether it’s 5, 10, 15 or 50 years

  19. We want to know How will those images be taken care of? Will you be able to access, retrieve, and have the record keep its integrity for the entire retention period as required? What if……

  20. Retention and disposal • Are retention schedules being applied to the images and tracked accordingly? • Are there indexing, metadata standards? • What about access/retrieval/security? • What storage format are you using? • What plans do you have for the future? • Migration? • Recopying? • Disposal once retention is met?

  21. Preparedness Are you prepared? Do you have a plan? • What if “technology happens?” • System failure • Vendor failure • Disasters – natural or manmade • Back-ups

  22. I want to add more records series? Changes to the system? There are updates and upgrades? What if:

  23. Forms will available on our website: http://www.secstate.wa.gov/archives Online

  24. Contact us: Recordsmanagement@secstate.wa.gov Subscribe to listserv: Click on either local or state government link www.secstate.wa.gov/archives

  25. Thank you! Washington State Archives: Partners in preservation and access. www.secstate.wa.gov/archives

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