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Washington State Archives
“Going Paperless”
Presented by:
Leslie Koziara, ERMP
May 7, 2009
A GUIDE TO WASHINGTON STATE’S APPROVAL PROCESS FOR THE DESTRUCTION OF SOURCE DOCUMENTS
Going Paperless Can Save $$
• Work flow improves, increased productivity
• Storage costs decrease
• Centralization reduces costs
• Active retention & disposition reduces costs- less to store, search, and migrate
• You save paper!
• As a bonus, save on band-aids – no more paper cuts!
“Going paperless”
If an agency wants to “go paperless” there are certain legal requirements to be met
before source documents can be destroyed
You can’t just scan and toss until certain requirements have been met as per
WAC 434-663
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…… requires legal approval of the state or local records committee…..
Options for “going paperless”
1. Agencies may choose to digitize and keep the paper
2. Agencies may choose to digitize and destroy the paper prior to the full retention period. This requires agencies to apply for approval for the destruction of source documents approval from Washington State Archives
More options
3. Agencies may choose to add more processes where they are all “born digital” – No paper involved at all
4. For state agencies, an option could be to scan and then send the paper offsite to live out the remainder of the retention period at the State Records Center Warehouse
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 Archivist’s 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?
Approval to digitize and destroy the source documents is required for any government agency that creates or maintains a record
series in the form of digitized images
IF the digital images will then serve as the primary copy of the public record
OopsAlaska 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
300 Boxes
• 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
Relax, it’s just an audit
The State Auditor’s Office now verifies EIS approval as a part of the audit process for
those agencies that are scanning their records and disposing of the original
primary copy. Lack of compliance can lead to a audit finding – which is never a
good thing
Consequences
If it can be proven that an agency disposed of original paper records without
first making sure that their digital counterparts would remain complete, authentic and accessible for the full
retention period, the consequences – in court, in the media, and in the public eye –
could be grim
Who Gets to Fill Out the Application?
The application is generally a team effort. The records officer, coordinators, and IT staff will most likely be involved in this
process
No Cookie Cutters
• 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
• Guidelines and help are available – consult with your Regional Archivist or contact Records Management
OnlineThe approval form and guidelines are
available on our website:
http://www.secstate.wa.gov/archives
Included in the guidelines are some examples from approved applications. These
are intended as a guideline ONLY – each application submitted must be specific to
your system and your agency
We want to knowHow are those images being taken care of now and for
the future?
Will you be able to access, retrieve, and have the record keep its integrity for the entire retention period?
Those images will be considered the primary record copy and are required to be maintained
and preserved according to the appropriate retention and disposition for the record series
You are required to preserve, protect, and make accessible those images for the full retention
period – regardless of whether it’s 5, 10, 15 or 50 years
Retention and disposal
• Actively applying retention schedules?
• 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
Preparedness
Are you prepared?
• Budget considerations – how are you paying for this?
• What if “technology happens?”• System failure• Vendor failure• Disasters – natural or manmade• Back-ups
Drafts are good
• Please consult with Washington State Archives when developing your application– Checklists available– Currently revising application – Submit a draft first, we will review and help
you develop a sound application
What if:
• I want to add more records series?
• Changes to the system?
• There are updates and upgrades?
Completing and Submitting the Form
• Complete the form by compiling responses and documentation• For local government, consult your Regional Archivist with any
questions, and to submit a draft for preliminary review • For state agencies, contact Leslie Koziara or Russell Wood • Submit completed form with all documentation and signatures to:
Russell Wood, State Records Manager
Washington State Archives
1129 Washington St. SE / MS 40238
Olympia, WA 98504-0238
Contact us:
Subscribe to listserv:
Click on either local or state government link
www.secstate.wa.gov/archives