Procedure

The College maintains documentation that describes system procedures, practices, and workflows. This documentation also identifies system software and hardware and major processes. Documentation is reviewed and updated by IT staff periodically or upon implementation of a new information technology system. Such documentation maintained by the institution includes:

• Procedural manuals
• System documentation
• Security backup and disaster recovery procedures

System documentation will be maintained during the period for which the records produced by the process or system could likely be subject to court review and until all data created by every system instance has been destroyed or transferred to a new operating environment. All such documentation is listed in the institution’s records retention schedule.

• System and Procedural Documentation
• Indexing and Metadata
• Auditing and Audit Trails
• Retention of Original and Duplicate Records

System and Procedural Documentation

The IT department is responsible for preparing and updating detailed procedures that describe the process followed to create and manage imaged electronic records. This documentation will include a description of the system hardware and software. A current procedural manual will be maintained to ensure the most current steps are followed and to ensure reliable system documentation will be available for judicial or similar proceedings.

Each workstation designated as a scanning station will have, at a minimum, the following hardware and software, unless the scanner is collocated by means of a network interface:[1]

• Document/image scanners authorized by IT and approved as compatible by the software vendor. Fujitsu scanners with Kofax/TWAIN drivers are the standard for scanning stations.
• Softdocs Etrieve software has a built-in scanning utility that is compatible with the scanners and is used at all workstations.
• The minimum resolution for scanned documents is 300dpi. The approved file formats are .tiff and .pdf files.

Additionally:

• Documents are automatically named based upon the document type and key field data. Filenames cannot be changed by users.
• Within Etrieve, there are built-in image enhancement tools for deskewing, despeckling, removing hole punches and lightening or darkening documents. Staff trained to conduct imaging are encouraged to use these tools as needed to assist with providing the best quality for document storage.

Indexing and Metadata

All imaged records must be indexed in order to facilitate efficient retrieval, ease of use, and up-to-date information about the images stored. This index should capture the content, structure, and context of the imaged records and will be developed by IT staff prior to the implementation of any imaging system. It should also be indexed according to guidelines set by the Department of Natural and Cultural Resources. Metadata will be maintained in accordance with the guidelines provided in Section 07.01.030.c, Maintenance of Trustworthy Records.

Each document type has required key fields that serve as the index for the document.  Some of the fields are shared across multiple document types (such as student id number) but are still part of a unique index per document. In addition, there is standard metadata for every document such as: creation date, created by and the file name.

After scanned documents have been verified, the Department/Records Manager submits a request to the Data Owners to destroy the paper records and after approval, they are shredded by Records Creators/Staff.

Auditing and Audit Trails

Staff trained to conduct imaging will conduct a quality control audit following the imaging of a record to ensure that the following features of the imaged record are legible:

• Individual letters, numbers, and symbols
• Combinations of letters, numbers, and symbols forming words or sentences
• Graphics such as signatures, logos, and pictures
• Other features of records such as color, shape, texture, etc., that relate to the content of the information

Managerial staff for the various departments of the institution will also periodically audit imaged records for accuracy, readability, and reproduction capabilities. The system automatically keeps an audit trail for each document that will create a record of the audit. If the expected level of accuracy was not achieved, written quality control documentation will be prepared indicating the sampling of records and what remedial procedures were followed for corrections.

Audit trails should be built into the imaging system that will automatically document who creates, duplicates, modifies, or otherwise accesses records and what procedures were taken. Audit trails include the success or failure, date, time, and user of the following events:

• Add/Edit electronic document
• View electronic document
• Insert page
• Move document
• Export document

Managerial staff will document by employee responsibilities, who has the authority to complete each of the tasks listed.

Retention of Original and Duplicate Records

To obtain permission to destroy original records following imaging, the College will complete Section 07.01.030.h of this document, Authorization to Destroy Paper Records. For each records series identified for scanning, the college designated data owners must approve the destruction of the original records. Permanent records may be imaged for ease of access, but the original documents may not be destroyed unless an analog copy exists prior to the records’ destruction.[2]

Destruction of original records is allowed only after quality assurance has been conducted on the imaged records, necessary corrections have been made, the electronic records system is audited for accuracy, and the destruction of records has been approved.

If digital images replace the original records and assume all legal authorities, these scanned records will be considered the record copy and must be maintained for the specified retention period defined in the appropriate records retention and disposition schedule.[3]  The retention period is considered to have begun when the original document was created, not when the electronic version was produced. Any hard copy generated from the imaged records will be considered the institution’s duplicate “working” record or reference copy.

[1] If your scanner is networked, you will only have one response to each of the first three items. If you have separate workstations throughout your agency, we recommend an inventory that specifies the equipment and software used at each workstation.

[2] Any permanent records maintained in electronic form must also exist as a paper or microfilm preservation duplicate copy in compliance with the Department of Natural and Cultural Resources Human-Readable Preservation Duplicates policy (https://archives.ncdcr.gov/documents/human-readable-preservation-duplicates).

[3] The Society of American Archivists Glossary of Archival and Records Terminology defines record copy as “the single copy of a document, often the original, that is designated as the official copy for reference and preservation.” Available at http://www2.archivists.org/glossary/terms/r/record-copy.

Adopted: June 2019

Legal Reference:              N.C.G.S. §§ 121-5; 132-1 et seq; Records Retention & Disposition Schedule