Washington State Archives
“Going Paperless”
Presented by:
Leslie Koziara, ERMP
November 13, 2009
A GUIDE TO THE APPROVAL PROCESS FOR THE EARLY DESTRUCTION OF SOURCE DOCUMENTS**
**Formerly Electronic Imaging Systems
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!
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 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.
Introducing “DAD”
DESTRUCTION
AFTER
DIGITIZATION**destruction of the source documents after
digitization
Options for “going paperless”
1. Agencies may choose to digitize and keep the paper for the minimum required retention period
2. 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 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
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?
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 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?
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
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
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 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
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
We want to knowHow 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……
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?
Preparedness
Are you prepared? Do you have a plan?
• What if “technology happens?”• System failure• Vendor failure• Disasters – natural or manmade• Back-ups
What if:
• I want to add more records series?
• Changes to the system?
• There are updates and upgrades?
Online
Forms will available on our website:
http://www.secstate.wa.gov/archives
Contact us:
Subscribe to listserv:
Click on either local or state government link
www.secstate.wa.gov/archives
Washington State Archives: Partners in preservation and access.
www.secstate.wa.gov/archives
Thank you!
Recommended
