Washington State Archives

“Going Paperless”

Presented by:

Leslie Koziara, ERMP

April 24, 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

Recovery Costs

6 weeks

$200,000

What are the consequences of not getting approval to

destroy source documents?

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

rwood@secstate.wa.gov

You made it through!

Congratulations!

Contact us:

recordsmanagement@secstate.wa.gov

Subscribe to listserv:

http://www.secstate.wa.gov/archives/RecordsManagement

Click on either local or state government link

Washington State Archives: Partners in preservation and access.

www.secstate.wa.gov/archives

Thank you!