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HomeMy WebLinkAboutScan and Toss - with markupRecords Management Procedure - How to digitize and destroy non-archival records Purpose To explain the process of digitizing non-archival paper records in order to store them in electronic format for the duration required by the Washington Secretary of State’s Records Retention Schedule, to ensure mimimum digital quality requirements are met prior to disposing of the paper record, and how to properly document destruction of the original paper record. This process is also known as “scanning and tossing”.meant for retention. Scope This procedure applies to all departments Records Coordinators who wish to converting original paper-based, non-archival records into digital media format for retention purposes. and documenting destruction of the original record according to approved retention schedules. Definitions Archival Records WAC 434-610-090 defines archival records as “those records of state and local government agencies which are determined by the state archivist as having continued historical value, must be permanently perserved and have been or may be transferred to the custody of the division of archives after their approved retention has been met.” The records retention schedules indicate which types of records are designated archival and which are non-archival. Archival paper records may NOT be destroyed after scanning. Digitization Digitization is the conversion of paper-based records to digital images through a WashingtonA Secretary of State-approved process. The retention value of an archival record is not affected by conversion to a different format or storage media. Electronic imaging system An electronic document imaging system is a computer-based configuration of equipment and software that stores machine-readable document images and their associated character-coded index data for on-demand retrieval. Electronic images can be computer generated, or created through document scanning. Image An image can be a document, picture, or graphic. An image can be produced by scanning paper or film documents, producing images through a computer program, receiving an image by means of a fax, or by other means. Non-Archival Records Public records which do not possess sufficient historic value to be designated as “Archival”. Agencies must retain these records for the minimum retention period specified by the appropriate, current records retention schedule. Agencies should destroy these records after their minimum retention period expires, provided that the records are not required for litigation, public records requests, or other purposes required by law (definition taken from Source: the CORE Retention Schedule Glossary). Records CoordinatorOfficer The Records Coordinator Officer in each department supervises is responsible for coordinating records management within their department/office and ensuring proper disposition of the department’s records by applying the retention requirements found in approved records retention schedules. Per RCW 40.14 and WAC 434-640, disposition of records shall take place as soon as possible after records have met their minimum retention requirements. Responsibilities Records Coordinators Officers are responsible for aligning their scanning and tossing records management practices with the Washington Secretary of State’s current Records Management Advice sheet titled Electronic Records Management: What to do with Archival Paper Records after Imaging. Requirements for the Destruction of Non-Archival Paper Records after Imagine “Scanning and Tossing”. The Records Officer, with the assistance of the Information Technology Director, is responsible for providing assistance to the Records Coordinators to: 1. Ensuringe the document imaging system meets technical requirements outlined in WAC 434-663. 2. Maintaining the required system documentation as described in WAC 434-663-530. Prerequisites 1. Access to a system that will digitize paper-based records or an arrangement with another agency or entity that can digitize records. 2. Familiarity with WAC 434-663. 3. An Electronic Imaging System that meets the recordkeeping capabilities required by WAC 434-663, or, if obtaining the services of a vendor for the imaging, the vendor must also comply with the requirements. Procedure Digitizing records, verifying digitized records, and documenting the destruction of records after digitization: 1. Archival records may be scanned but shall not be destroyed; an appraisal and/or transfer of these records must be arranged (this applies to both the digitized and the original paper records). Determine if the record is archival or non-archival. This procedure is intended for non-archival records only. For archival records sSee Imaging and managing archival records for Archival Records. 2. Determine the retention values of the non-archival records being digitized by consulting the appropriate retention schedule. For information on determining the appropriate retention schedule, see Using records retention schedules. Follow the Requirements for the Destruction of Non-Archival Paper Records after Imaging and review the “Scan and Toss” CHECKLIST on page two. a) Determine method of disposition by consulting appropriate retention schedule and Disposition (destruction) of non-archival records. 3. Determine who will be responsible for the digitization, review, and destruction of the documents. 4. Follow the Requirements for the Destruction of Non-Archival Paper Records after Imaging “Scanning and Tossing” (to ensure scanning is done properly, refer to the “Minimum Requirements to “Scan and Toss” checklist on page two). a) The document scanning technology being used must be capable of creating archival quality digital images (refer to “What Formats Should Be Used?” on page four). TIFF is the preferred format and 300 DPI is the preferred density. b) Quality control procedures recommended for scanning should be used including de-skew and de-speckle. 5. Save the digitized documents as they are created. Documents must be named and stored in a manner that is reasonable for future reference and destruction by retention is not hampered. It is recommended that departments set up and follow a standardized format for storing documents to ensure consistency and efficient accessibility. It is recommended images be stored in Laserfiche for the remainder of their retention. 3.6.Verify the accuracy of the scan. This must be done by either the employee creating the scan or the third party vendor responsible for the digitization. a) If the digitization will be done in-house, the documents, or a sampling of selected images and source documents, must be visually reviewed by the employee to verify that an accurate representation of the original is being captured. scanning technology being used must be capable of creating archival quality digital images. b) If the digitization will be done by Washington State Archives Imaging Services or a third party vendor, a confirmation of review and the destruction of the original source documents is required. and: If a third party vendor will be destroying the source documents after digitizing them, the documents destroyed must also be documented clearly; then entered into the CAMAS Request for In-House Destruction - Local Government as required. If a third party vendor will not be destroying the source documents, make arrangements for the source documents to be returned to Kittitas County for destruction following completion of the digitization. c) In instances where a complete and accurate image cannot be obtained and verified, the source document must be retained for the entire minimum retention period (and should be labeled or tagged as “best scan possible”). d) In instances where the content of the source document is not completely legible (faded receipt, coffee stain covering information, etc.), the source document must be retained for the entire minimum retention period. (If the image is more legible than the source document, retention of the source document is not necessary.) 7. Record the destruction of the original document using the CAMAS Request for In-House Destruction - Local Government (Records Management Policy – 3.3.2 Digitizing and Destroying (Scanning and Tossing)) and destroy the originals. Then, after the appropriate retention period, destroy the digital copy and record its destruction using the CAMAS Request for In-House Destruction - Local Government. 8. Other quality control measures to consider may include: a) Testing the systems and scanners on a regular basis. b) Periodic checks that indexing/metadata is accurate and appropriate. c) Secondary review of the scanned documents. Documents 1. CAMAS Request for In-House Destruction - Local Government 2. Disposition (destruction) of non-archival records 3. Imaging and managing archival records 4. Using records retention schedules References 1. WAC 434-663 Imaging systems, standards for accuracy and durability 2. Requirements for the Destruction of Non-Archival Paper Records after Imaging “Scanning and Tossing” 1.3.Secretary of State’s Local Government CORE – See 5.5 Records Conversion Departments affected All departments that wish to converting paper-based records into digital mediaformat.