Washington State Archives

1
Washington State ArchivesGoing Paperless
A GUIDE TO WASHINGTON STATES APPROVAL PROCESS
FOR THE DESTRUCTION OF SOURCE DOCUMENTS
Presented by Leslie Koziara, ERMP May 7, 2009
2
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!

3
Going paperless

• If an agency wants to go paperless there are
  certain legal requirements to be met before
  source documents can be destroyed
• You cant just scan and toss until certain
  requirements have been met as per
• WAC 434-663

4
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..

5
Options for going paperless

• Agencies may choose to digitize and keep the
  paper
• 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

6
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

7
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.

8
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

9
Oops

• 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

10
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

11
Recovery Costs

• 6 weeks
• 200,000

12
What are the consequences of not getting approval
to destroy source documents?
13
Relax, its just an audit

• The State Auditors 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

14
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

15
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

16
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

17
Online

• The 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

18
We want to know

• How 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?

19

• 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 its 5, 10, 15 or
  50 years

20
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

21
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

22
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

23
What if

• I want to add more records series?
• Changes to the system?
• There are updates and upgrades?

24
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_at_secstate.wa.gov

25
Congratulations!

• You made it through!

26
Contact us

• Recordsmanagement_at_secstate.wa.gov

Subscribe to listserv
Click on either local or state government
link www.secstate.wa.gov/archives
27
Thank you!
Washington State Archives Partners in
preservation and access. www.secstate.wa.gov/archi
ves