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HomeMy WebLinkAboutScan and Toss Procedure - Submitted 7.3.2018Records Management Procedure - How to digitize and destroy non-archival records 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 minimum 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”. Scope This procedure applies to all departments who wish to convert original paper-based, non-archival records into digital format for retention purposes. Definitions Archival Records WAC 434-610-090 defines archival records as “those public records of state and local government agencies which are determined by the state archivist as having continued historical value, must be permanently preserved 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 Washington Secretary of State-approved process. 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 (Source: the CORE Retention Schedule Glossary). Records Officer The Records Officer in each department 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 Officers are responsible for aligning their scanning and tossing practices with the Washington Secretary of State’s current Records Management Advice sheet titled Requirements for the Destruction of Non-Archival Paper Records after Imaging “Scanning and Tossing”. The Records Officer, with the assistance of the Information Technology Director, is responsible for: 1. Ensuring 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. Work with your Records Officer to ensure compliance with county and department/office policies and procedures. 2. Only scan-and-toss non-archival records. Archival records may not be destroyed. For more information on archival records, see Imaging and managing archival records. Source documents may not be destroyed when required for: a) Existing public records requests b) Ongoing or reasonably anticipated litigation c) Other legal requirements, federal statutes, grant agreements, etc. d) Archival transfer 3. Ensure copies of original records are complete and accurate. Records that are not completely and accurately captured must not be destroyed. a) Scan with a resolution of at least 300 dpi. b) Scan to black and white, unless gray-scale or color adds visual information or detail that would be lost in black and white. c) Enhance the copy by image processing: de-skew, de-speckle, and auto-rotate. d) Save as TIFF images. 4. Verify the accuracy of the scan. a) Each image, or a sampling of images, must be visually compared to the source record to verify that an accurate representation is being captured. This should be performed by an employee other than the one who scanned the records. Single record scans may be verified by the employee who scanned the record. b) 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. c) If the source document is not completely legible or a complete and accurate image cannot be obtained and verified, the source document must be retained for the entire minimum retention period and the scanned image labeled as ‘Best scan possible’. 5. Third-party scanning a) If the Washington State Archives Imaging Services or a third party vendor performs the scan they must also comply with requirements of this document. b) A confirmation of review and the destruction of the original source documents is required. c) If the vendor will not be destroying the source documents, make arrangements for them to be returned to Kittitas County for destruction following completion of the digitization verification. 6. Ensure images are accessible and protected for the entire retention period. a) Save the digitized documents as they are created. b) Documents must be named and stored in a manner that is reasonable for future reference and destruction by retention is not hampered. c) Follow your department’s records organization procedure and filing plan for electronic records to ensure consistency and efficient accessibility. d) It is recommended images be stored in Laserfiche for the remainder of their retention. 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 (DAN GS50-09-14 Rev. 3). 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 should include: a) Test scanners on a regular basis. b) Periodically check that indexing/metadata is accurate and appropriate. c) Perform a secondary review of 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” 3. Secretary of State’s Local Government CORE – See 5.5 Records Conversion Departments affected All departments that wish to convert paper-based records into digital format.