Washington State Courts - Judicial Information System

1324 - Appellate Court Electronic Record Retention

Request Status Summary

Request Status	Authorized
JISC Priority	4
Status Comment

Request Detail

Requestor Name:
	Dunn, Curtis R on behalf of the Appellate Clerks
Origination Date:
	06/03/2021

Recommended Endorser:
	Appellate Courts Endorsing Group

Request Type:	Change or Enhancement
Which Systems are affected?	Appellate Court System (ACORDS)
Other affected Systems / Business Processes	OnBase Document Management System
Business Area:	Records Management
Communities Impacted:	Supreme Court Justices Supreme Court Clerks Supreme Court Judicial Asst. Appellate Court Judges Appellate Court Clerks
Impact if not Resolved:	Medium
Impact Description:
Increased search times due to an increase in documents that are included in the search database. Increased likelihood of documents retained beyond their required retention period or purged prior to thier destruction/archival dates

What is the Business Problem or Opportunity

Supplement or Enhance the OnBase document management system to allow for electronic record retention, destruction and archival in accordance with the Court of Appeals and Supreme Court Records Retention Schedules that were approved by the State Records Committee and on file with the Washington Secretary of State.

The enhancement needs to allow for:

1. Destroying documents in accordace with age since case closure per the Courts' retention schedules;

2. Transmitting certain documents to the State Archives in accordance with age since case closure AND ENSURING the State Archives have fully ingested them into their system before removing them from OnBase.

3. Retaining certain documents past the retention schedule to be used for research only (internal memos).

4. Gathering purged or transferred documents' metadata needed for disposition record purposes.

5. Recognizing when events occur that change the start of the aging process for the case documents' retention periods.

Expected Benefit:

Gaining the ability to systematically implement electronic document retention rules will result in workforce efficiencies to reduce staff hours that would be needed to manually purge documents or transmit documents to the State Archives.

Having destruction records in OnBase (and possibly communicated to ACORDS) that use the metadata from purged or transmitted records will allow the staff to better serve the citizens of Washington and our judicial partners when determining if records exist to produce when requiests for documents are made.

This will ensure that the courts only retain those documents that are required to be retained, improving search performance in the OnBase system.

This will reduce most human error when deciding which documents to purge/transmit and which documents to retain.

Any Additional Information:

The requirements documentation for this enhancement, which was drafted and approved when the enhancement was a part of the AC-ECMS project (ITG 252), is attached to this request.

This business opportunity will also impact the Court of Appeals Judicail Assistants, however they are not a selectable group in that dropdown menu.

Endorsement Detail

Endorsing Committee
	Appellate Courts Endorsing Group
Endorser Name:
	Dunn, Curtis R on behalf of the Appellate Court Endorsing Group
Origination Date:
	06/29/2021

Endorsing Action:

Endorsed

AOC Analysis Detail

Analysis Date:	07/29/2022
Request Rationale
Aligns with JIS Business Priorities, IT Strategies & Plans:	Yes
Aligns with applicable policies and with ISD Standards:	Yes
Breadth of Solution Benefit:	Narrow
Cost Estimates
Cost Benefit Analysis Complete?	No
Cost to Implement?	163,730
Projected Maintenance cost?	TBD
Feasibility Study needed?	No
Court Level User Group
Appellate Courts
Approving Authority	CIO

Request Summary:
The Appellate Courts are requesting a modification to the OnBase document management system (DMS) to allow and comply to electronic record retention, destruction, and archival rules. This is in accordance with the Court of Appeals and Supreme Court Records Retention Schedules that were approved by the State Records Committee and on file with the Washington Secretary of State: • The Supreme Court Records Retention Schedule Version 1.0 March 2013 and the Court of Appeals Records Retention Schedule Version 1.0 June 2021 • Information provided by the State Archives relating to their processes for receiving (as of April 2021).
Business Impacts:
The primary business impact is to comply to the Court of Appeals and Supreme Court Records retention schedules approved by the State Records Committee and Washigton Secretrary of State. The OnBase DMS was implemented in 2017. The table below shows that ~50K to 55K documents are added to the system each year. This is a nearly 20% annual growth rate. With the implementation of an records archiving process, the growth rate is expected to be reduced to 10%.
Summary of Proposed Solution
The AOC proposes to modify the OnBase document management system to meet the requirements for electronic record retention, destruction and archival. The enhancement needs to allow for: 1. Destroying documents in accordance with age since case closure per the Courts' retention schedules; 2. Transmitting certain documents to the State Archives in accordance with age since case closure AND ENSURING the State Archives have fully ingested them into their system before deleting them from OnBase. 3. Retaining certain documents past the retention schedule to be used for research only (internal memos). 4. Gathering purged or transferred documents' metadata needed for disposition record purposes. 5. Recognizing when events occur that change the start of the aging process for the case documents' retention periods.
Proposed Solution
The AOC proposes to execute an options analysis to determine the extent of the requirements, investigate the OnBase Records Retention module's ability to fulfill the requirements, and determine a solution for sending electronic documents to the State Archive. Initiate a proof-of-concept (POC) to determine if the OnBase Records Retention (RR) Module will meet the AC-ECMS Records Retention Requirements. • The OnBase Records Retention (RR) module costs between $10-20K • A trial version for RR is free from OnBase for a POC. o This POC will also help determine if AOC requirements can be met with the existing OnBase Workflow and Workview modules that AOC is already licensed for • The most complicated part of the solution will be interfacing with the Secretary of State's Archive System o Sending documents and validating the documents were successfully received by archives • The proof-of-concept will require assistance from OnBase consulting services. Estimated at 8 hours.
Additional Systems Affected
Other
Communities Impacted
AOC Supreme Court Justices Supreme Court Clerks Supreme Court Judicial Asst. Appellate Court Judges Appellate Court Clerks

Confirmation of Endorsing Action Detail

Endorsing Committee
	Appellate Courts Endorsing Group
Endorser Name:
	Ammons, Kevin on behalf of the Appellate CLUG
Origination Date:
	10/31/2022

Endorsing Action:	Endorsed
Endorser’s Explanation and Comments
This request is prioritized at #3.

Court Level User Group Decision Detail

CLUG	Appellate Courts
Chair of Group	Justice Debra Stephens
Date of Decision	10/31/2022
Decision
Decision to Recommend for Approval	Unamimously recommended to the approving authority
Priority Processing Status	Prioritized

Scoring Detail
In making their decision, detailed score values were not provided by Appellate Courts.

Implementation Detail

Analysis Date:
Implementation Stage	Authorized
Prioritization Option:	Prioritized

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