Washington State Archives
Presented by:Leslie Koziara, ERMPNovember 13, 2009A GUIDE TO THE APPROVAL PROCESS FOR THE EARLY DESTRUCTION OF SOURCE DOCUMENTS** **Formerly Electronic Imaging Systems
Going Paperless Can Save $$Work flow improves, increased productivityAccess and storage costs decreaseActive retention & disposition reduces costs- less to store, search, and migrateYou save paper!As a bonus no more paper cuts!
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
Going paperlessYou cant 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.
Introducing DADDESTRUCTIONAFTER DIGITIZATION**destruction of the source documents after digitization
Options for going paperlessAgencies 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.
More options3. Agencies may choose to add more processes where they are all born digital No paper involved at all4. For archival series records, an option could be to scan and then transfer the paper to Washington State Archives
Why get approval?
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 Archivists responsibility to adopt rules governing the accuracy and durability of, and facilitating access to, photographic, optical, electronic, or other images used as public records.
Who Needs to Apply for Approval?
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
OopsAlaska Dept of Revenue March 2007 Technician reformatting a disk drive during routine maintenance accidentally deleted the files for the yearly resident dividendsAlso accidentally reformatted the back up driveThe back up tapes were found to be unreadable
300 BoxesFiles contained information concerning the yearly payout and supporting documentation800,000 electronic images had been scannedOnly back up left was in more than 300 boxes
6 weeks $200,000
What are the consequences of not getting approval to destroy source documents?
If it can be proven that an agency disposed of original paper records without approval, the consequences could be grimFront page newsAudit findings
And not to mention... RCW 40.16 penal provisions for the unlawful destruction of public records
Introducing the NEW and IMPROVED ApplicationTHEN: Formerly known as Electronic Imaging Systems (EIS)
NOW: Request for the Early Destruction of Source Documents After Digitization
Who Gets to Fill It Out?The application is generally a team effort. The records officer, coordinators, and IT staff will most likely be involved in this process
No Cookie CuttersBecause 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
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 its 5, 10, 15 or 50 years
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?
Retention and disposalAre 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?
PreparednessAre you prepared? Do you have a plan?
What if technology happens?System failureVendor failureDisasters natural or manmadeBack-ups
I want to add more records series?Changes to the system? There are updates and upgrades?
OnlineForms will available on our website:
Contact us: Recordsmanagement@secstate.wa.govSubscribe to listserv:
Click on either local or state government linkwww.secstate.wa.gov/archives
Washington State Archives: Partners in preservation and access.www.secstate.wa.gov/archivesThank you!
ERM- Washington State Archives *ERM- Washington State Archives