Sc a nning a nd T o ssing I ma g ing Re q uire me nts fo r Pa - - PowerPoint PPT Presentation

“Sc a nning a nd T

• ssing ”

I ma g ing Re q uire me nts fo r Pa pe r Ba se d Re c o rds

Ove rvie w

• Our o ffic e wa nts to “g o pa pe rle ss”!
• Ca n I

sc a n a nd to ss?

• Wha t a re the rule s a nd re q uire me nts

a b o ut ima g ing ?

• Wha t a re the rule s a nd re q uire me nts

a b o ut g e tting rid o f the pa pe r?

Who sho uld kno w “sc a nning a nd to ssing ” re q uire me nts?

• Pub lic a g e nc ie s tha t wa nt to sc a n

pa pe r b a se d re c o rds a nd the n de stro y the pa pe r o rig ina ls a fte r ima g ing

• Ve ndo rs tha t a re c o ntra c ting fo r

ima g ing / sc a nning pro je c ts

“Go ing pa pe rle ss”

Do e s NOT me a n simply to ssing the pa pe r b a se d c o pie s a fte r sc a nning

I f yo u are still c re ating pape r base d re c o rds as part o f yo ur busine ss pro c e ss, yo u are no t “go ing pape rle ss”

Ho w do I “g o pa pe rle ss”?

• Go ing “pa pe rle ss” is de ve lo ping

c o mple te ly e le c tro nic pro c e sse s fro m sta rt to finish

• No pa pe r c o py is g e ne ra te d, no ha rd

c o py sig na ture s re q uire d fo r a utho rity o r e xe c utio n.

• T

he tra nsa c tio ns a nd e xe c utio n o f b usine ss is a ll do ne in a dig ita l fo rma t

(F

• r e xample : using e -fo rms, e le c tro nic we b-base d

applic atio ns, database s, e le c tro nic appro vals/ signature s)

Do so me pla nning whe n yo u do “g o pa pe rle ss”

Yo u c a n a b so lute ly do b usine ss c o mple te ly e le c tro nic a lly (b o rn dig ita l) a s lo ng a s yo u fo llo w re te ntio n a nd dispo sitio n re q uire me nts

and

Me e t any o the r re quire me nts (le gal, audit, ac c e ss, o the r re gulato ry) as ne c e ssary fo r yo ur age nc y busine ss

I t’ s a g o o d ide a to do c ume nt the de c isio ns a nd imple me nta tio n o f “g o ing pa pe rle ss”

Bridg ing the g a p

• Still ha ve pa pe r-c e ntric

pro c e sse s

• Wa nt to tra nsitio n fro m hyb rid

to c o mple te ly e le c tro nic

Bo rn Dig ita l vs Dig itiza tio n

• I

ma g ing o r dig itizing is CONVE RT I NG thro ug h a physic a l pro c e ss a pa pe r b a se d re c o rd to a dig ita l fo rma t

• “Bo rn dig ita l” me a ns c re a te d

fro m the b e g inning using so ftwa re

Wha t is “Bo rn Dig ita l”? # 1

– Bo a rd minute s a re dra fte d using Mic ro so ft

Wo rd a nd the n printe d

– Cha ir sig ns the printe d minute s a t the ne xt

me e ting

– T

ra nsa c tio n o f pub lic b usine ss o c c urs in pa pe r, so the sig ne d pa pe r minute s ne e d to b e re ta ine d

Wha t is “Bo rn Dig ita l”? # 2

– Ag e nda s a re dra fte d using Mic ro so ft

Wo rd

– Ag e nda s a re distrib ute d to Co mmitte e

me mb e rs via e ma il with the Wo rd a tta c hme nt

– T

ra nsa c tio n o f pub lic b usine ss o c c urs e le c tro nic a lly, so the se nt e ma il (inc luding a tta c hme nts) ne e ds to b e re ta ine d

Wha t is “Bo rn Dig ita l”? # 3

– A re q ue st to c ha ng e a stude nt’ s a ddre ss

is sub mitte d in ha rd c o py to the sc ho o l

– I

nfo rma tio n is tra nsc rib e d into da ta b a se

– T

ra nsa c tio n o f pub lic b usine ss o c c urs in pa pe r, so the sub mitte d ha rdc o py re c o rd ne e d to b e re ta ine d – tha t fo rm is the e vide nc e a nd the a utho rity to ma ke the c ha ng e re q ue ste d

An e xa mple

• A lo c a l sc ho o l b o a rd “g o e s pa pe rle ss”

– Me e ting a rra ng e me nts, a g e nda s, dra fts o f

minute s, a ppro va l o f minute s, re so lutio ns a re a ll dra fte d, c irc ula te d, a c c e sse d, a ppro ve d a nd e xe c ute d witho ut printing o ut o f a ny pa pe r a nd no ha rd c o py sig na ture s re q uire d

– Offic ia l b usine ss is a ll c o nduc te d via e ma il,

• nline , o r use o f a so ftwa re a pplic a tio ns

spe c ific to suppo rting b o a rds a nd me e ting s

– All b usine ss c a pture d a nd suppo rte d

e le c tro nic a lly (NO PAPE R I S USE D)

– Bo a rd pa sse d re so lutio n to do so

T he re is still a L OT

• f pa pe r!

Ca n I sc a n a nd to ss pa pe r-b a se d re c o rds?

Ab so lute ly – with c o nditio ns!

As long as you me e t the r ule s and r e quir e me nts in ac c or danc e with Chapte r 434-663 WAC Imaging Syste ms, Standar ds for Ac c ur ac y and Dur ability

“Co nve rsio n to a n ima g ing syste m

do e s no t a uto ma tic a lly a utho rize the

de struc tio n o f the so urc e do c ume nts fo r whic h ima g e s ha ve b e e n c re a te d...”

WAC 434-663-600

Yo u c a n’ t “just do it”

Wha t yo u ne e d to kno w first

Pa pe r-b a se d so urc e re c o rds must b e e ligible for de str uction

• T

he re must b e a n a ppro pria te re c o rds se rie s a ppro ve d fo r a g e nc y use

• T

he re c o rds must b e de sig na te d a s

NON-AR CHIVAL Any Non-Ar c hival r e c or d se r ie s is e ligible for “sc anning and tossing”

Whe re do I find o ut if re c o rds a re NON-Arc hiva l?

All a ppro ve d re te ntio n sc he dule s will no te if re c o rds ha ve a “No n-Arc hiva l” o r “Arc hiva l” de sig na tio n:

Ar c hival R e c or ds ar e NOT to be de str

• ye d!

An a g e nc y ma y sc a n a ny a rc hiva l re c o rd a nd the n c ontac t the

Ar c hive s for appr aisal and possible tr ansfe ro f e ithe r the pa pe r o rig ina ls

• r the dig ita l ve rsio n o r b o th!

Ar c hival R e c or ds ar e NOT to be de str

• ye d!

The archivists will do an appraisal to determine if they want either one or the other or both to be included as part of the Archives collections for preservation.

For certain records, there is an intrinsic archival value to the paper it is on with a signature or seals affixed. For other archival records the value is in the information itself, not piece of paper it is captured on what it is contained within (i.e. database)

Pre se rva tio n o f E le c tro nic Re c o rds

I f yo u a re re pla c ing a pa pe r re c o rd with a sc a nne d ima g e , yo u must ma inta in tha t ima g e (a nd a ny inde xing info rma tio n) fo r the e ntire minimum re q uire d re te ntio n pe rio d. T he re c o rds must re ma in r

e adable, se ar c hable, r e tr ie vable, a nd authe ntic

thro ug ho ut tha t pe rio d. (WAC 434-662)

L e t the ima g ing b e g in

T he ima g ing pro c e ss sho uld b e g uide d b y re q uire me nts in WAC 434-663-325 : Captur e a comple te and accur ate image of e ach sour ce docume nt I t is c ritic a l tha t a n a g e nc y de ve lop and

doc ume nt wr itte n standar ds and c onsiste nt pr

• c e sse s for

imaging so tha t e ve ryo ne is do ing

it the sa me wa y, a ll the time , a g a in a nd a g a in...

Ve ndo rs ne e d to kno w

Cha pte r 434-663 WAC re q uire me nts a pply to ima g e s pro duc e d o n b e ha lf o f a g e nc ie s b y

ve ndor s, to o !

Ma ke sure a ny ve ndo r yo u a re using kno ws the y ne e d to a b ide b y the se sa me rule s a nd re q uire me nts Ma ke sure the se o b lig a tio ns, inc luding le g a l c usto dy o f the re c o rds, a re inc lude d in c o ntra c t ne g o tia tio ns

Just in c a se …

I f the c o ntra c t te rmina te s, a ll ima g e d re c o rds a nd me ta da ta must b e r

e tur ne d to the age nc y in an ac c e ssible for mat

Ag e nc ie s sho uld a pply a ppro pria te mitig a tio n stra te g ie s to e nsure the y c a n fully re c o ve r re c o rds a nd me ta da ta tha t ha ve no t me t re q uire d re te ntio n pe rio ds

Qua lity Co ntro l

Qua lity c o ntro l ne e ds to sta rt a t the be ginning to e nsure c o mple te a nd a c c ura te c a pture :

• Bo th side s a re c a pture d if do ub le side d
• No line s, b e nt pa g e s o r b e nt c o rne rs
• Sc a nning a ll te xtua l do c ume nts a t 300 dpi

e nsure s yo u a re me e ting minimums

• Co mpa riso ns (individua l visua l c he c k o f

e a c h do c ume nt o r b a tc h c he c ks? )

Mo re QC

Spe c ific q ua lity c o ntro l pro c e dure s ma y inc lude , b ut a re no t limite d to :

• E

nha nc e me nts o r o the r ma nipula tio ns o f the ima g e s (suc h a s de -ske w, de -spe c kle , e tc .) whic h ma y b e e mplo ye d to impro ve the q ua lity

• f the re sulta nt ima g e
• Ro utine use o f sc a nning ta rg e ts to ve rify

c o nfig ura tio n se tting s

Pe rio dic c he c ks tha t the inde xing / me ta da ta is a ppro pria te a nd a c c ura te . Yo u do no t wa nt to ha ve to re -do tho usa nds o f ima g e s! I F a c o mple te , a c c ura te a nd le g ib le c a pture o f the so urc e do c ume nt’ s c o nte nt c a nno t b e

• b ta ine d, the ima g e sho uld b e la b e le d o r

ta g g e d a s “b e st sc a n po ssib le ” AND the o rig ina l pa pe r b a se d re c o rd must b e ke pt fo r the le ng th

• f the re te ntio n re q uire me nt

Che c k a nd c he c k a g a in

F

• rma t c a n ma tte r

Re c o rds with total

r e te ntion r e quir e me nts*

• f 6 ye ar

s or fe we r c a n

b e ima g e d with a n a c c e pta b le lossy or

lossle ss fo rma t, inc luding

PDF , PDF / A, JPE G, o r T I F F

*Read the full retention requirement – certain cut‐offs will actually add years to the total required retention. For example, contracts and agreements you keep for 6 years, BUT the trigger or cut‐off to start the retention clock may not kick in for a decade or more

L

• ng te rm re c o rds a nd ima g ing

Re c o rds with to ta l re te ntio n re q uire me nts longe r

than 6 ye ar s

must b e sc a nne d using a lossle ss da ta c o mpre ssio n fo rma t

(e .g. T I F F Gro up 4, PNG, o r GI F ) Must c o nside r lo ng-te rm stability o f the te c hno lo gy to e nsure sustainability and se arc hability o f the image s

Pre dic ting the future

Planning for futur e ac c e ss r e quir e s making c hoic e s base d on stability and longe vity

Re me mb e r whe n?

Ca sse tte ta pe s 8 tra c k ta pe s CD’ s

I nsura nc e po lic y

F

• r c e rta in lo ng -te rm re c o rds, it is

no t a b a d ide a to c o nside r

MICR OF IL M (ye s, mic ro film)

Mic ro film is ve ry stable (think hundre ds o f ye ars) and te c hno lo gy-inde pe nde nt

I ma g e s a nd film

Mic ro film c a n b e g e ne ra te d e a sily a nd e c o no mic a lly fro m sc a nne d ima g e s I n the e ve nt o f a disa ste r, ima g e s c a n b e writte n fro m film fo r re sto ra tio n a nd a c c e ss Sta te Arc hive s will inspe c t a nd sto re yo ur mic ro film fo r fre e

Go o d c a ndida te s fo r mic ro filming

• Re c o rds with a total r

e quir e d r e te ntion tha t is se ve ra l de c a de s

lo ng (e .g ., pa yro ll re c o rds to ve rify re tire me nt, o ffic ia l stude nt re c o rds, a s-b uilts)

• Re c o rds tha t ha ve a de sig na tio n
• f E

sse ntia l in re c o rds re te ntio n sc he dule s

Muc h a do a b o ut me ta da ta

Co mmo nly de sc rib e d a s “da ta a b o ut the da ta ”

• E

sta b lishe s a nd pre se rve s the a uthe ntic ity o f a n e le c tro nic re c o rd – pro vide s pro o f a nd inte g rity

• F

a c ilita te s a c c e ss, re trie va l a nd ma na g e me nt o f re sulting ima g e s

Me ta da ta a nd inde xing

I ma g ing re q uire s c o nsiste nt inde xing a nd me ta da ta fo r ide ntific a tio n, a c c e ss a nd re trie va l o f pub lic re c o rds

Mo re pla nning fo r the future

Ana lyze yo ur b usine ss pro c e ss a nd e sta b lish c o nve ntio ns a nd file / dire c to ry struc ture s to fa c ilita te o rg a niza tio n a nd a c c e ss no w a nd into the future

Ac c e ss a nd Re trie va l

De ve lo p a ppro pria te b usine ss a nd re c o rdke e ping me ta da ta in o rde r to ide ntify, a c c e ss a nd ma na g e in the future – re c o mme nd 5 – 7 fie lds (huma ns a ll think diffe re ntly!) Da te (whe n)

• Ag e nc y/ E

ntity (who it is)

• Do c ume nt type (wha t it is)
• Othe r ide ntifie rs so tha t yo u c a n lo c a te it

a g a in (a nd a g a in, a nd a g a in!)

Unique Reference Identifier Image File Name Agency Board/Commission/Div/Dept/Program Doc Date Doc Type

• E

sta b lish se c urity pro to c o ls

• De sig na te a ppro ve d use rs
• Do re g ula r syste m c he c ks
• Pe rfo rm c he c k sums a nd e rro r-c he c king
• De ve lo p disa ste r pla ns
• Ge ne ra te re g ula r b a c kups whic h a re

se c ure ly sto re d a t le a st 50 mile s a wa y o ffsite to e na b le a c c e ss to a nd re c o ve ry o f the ima g e s in the e ve nt o f a disa ste r

An o unc e o f pre ve ntio n

Dispo sitio n a nd De struc tio n

I ma g e s a re sub je c t to the sa me rule s fo r re c o rds ma na g e me nt, pub lic re c o rds re q ue sts a nd litig a tio n ho lds Do no t de stro y ima g e s if a n o pe n re c o rds re q ue st o r litig a tio n ho ld is in pla c e Ma ke sure ima g e s a re de stro ye d a t the e nd

• f the ir re q uire d re te ntio n pe rio ds in

a c c o rda nc e with a ppro ve d re c o rds re te ntio n sc he dule s (WAC 434-663-615)

Dispo sitio n is a ve rb Be pro a c tive

Pr ac tic e de fe nsible disposition!

Do c ume nt de struc tio n o f the pa pe r b a se d re c o rds a fte r ve rifying ima g e c a pture

AND

Do c ume nt de struc tio n o f ima g e s o nc e re te ntio n ha s b e e n me t

http://www.sos.wa.gov/archives/RecordsManagement/ Destruction-of-Public-Records.aspx

Requirements for the Destruction of Non-Archival Paper Records After Imaging

Available online

Yo u a re no t a lo ne

Que stio ns? re c o rdsma na g e me nt@ so s.wa .g o v T ha nk yo u! Wa shing to n Sta te Arc hive s

Partne rs in pre se rvatio n and ac c e sss