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 o 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 o 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, o 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

o f pa pe r! OT he re is still a L T

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

Yo u c a n’ t “just do it” “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

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 oye 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 ansfe r o f e ithe r the pa pe r o rig ina ls tr o 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 oye 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 , c hable , r ie vable , a nd authe ntic se ar e tr 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 imaging so tha t e ve ryo ne is do ing pr oc e sse s for 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 s , to o ! ve ndor 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 o 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

Che c k a nd c he c k a g a in 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 o 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 o f the re te ntio n re q uire me nt