Scanning Records

Like their paper counterparts, electronic records must be authentic, reliable, have integrity, and be usable regardless of the file format or the media on which they are recorded. An 'original' is not automatically regarded as better evidence than a copy, including those made and kept by electronic means. However, the value of a record as evidence will depend on how reliably it has been created and maintained.

Before beginning a records scanning project, RIMS recommends that you consider this Scanning Decision Tree to decide if scanning is the right choice for your records. There are many questions to consider before making your decision and we've included some below:

1. Can the files be disposed of now? If the files have no further operational value, they may be eligible for disposal and unnecessary to scan. Non-records can be disposed of without State approval. To request State approval to dispose of records or for more information, please contact RIMS.
2. Are the files being scanned primarily to save space? Storage costs in a commercial records center generally are far less than the cost to scan a large volume of files, even for very long-term storage of over 100 years. In addition, State approval is required to dispose of original records that have a permanent retention requirement in favor of digital surrogates. 
3. Will the files be infrequently accessed or accessed for less than 5 years? If the files are not regularly accessed or will be eligible for disposal within a few years, it is not likely to be worth the cost to scan the files.
4. Are there fewer than 100 pages to scan?  Small scans are often just for convenience and can be accomplished with little risk using existing resources in between regular duties. 
5. Does the historic, disaster recovery, or business value exceed the cost to scan? The use of scanning to preserve multiple, geographically redundant copies of at risk historical or business critical records as part of business continuity planning may be appropriate to protect against disasters, water, fire, theft, pests, and other threats. Costs to prepare files for scanning such as removal of staples, creation of cover sheets, and formatting irregularly shaped documents affect the cost of scanning, however. Long-term digital preservation factors such as file format obsolescence must also be considered. In addition, duplicate copies may already exist in electronic or paper form and limit the need for scanning.
6. Is access needed rapidly, remotely, or by multiple people simultaneously?  Electronic access is often the best method for fast retrieval, full text search capabilities, and cross-reference metadata. Indexing costs increase as metadata is increased, however. Access can often be extended to distributed locations for “in the field” use. Collaboration is also enhanced by electronic access.

Formats

Resolution Guidelines

¹PPI (Pixels Per Inch) refers to the number of pixels in one line having a length of 1 inch. PPI affects both print size and quality. A low PPI causes image pixelation resulting in poor image quality. The higher the PPI, the better the image quality.

Standards

University (and Industry) standards for document imaging recommend the following quality control measures:

• Documentation (or certification) verifying the integrity of the scanning/copying process, particularly when it is done by an external organization
• Periodic testing and cleaning of scanning equipment
• Careful preparation of the documents to be scanned such as staple removal and unfolding corners to ensure information is not obscured
• Random sampling of pages scanned to check quality. Samples of 5-10% are acceptable, although 30% is recommended and high-risk documents may require 100% review. Check the pages to examine:
  • smallest detail legibly captured (e.g. smallest type size for text; clarity of punctuation marks, including decimal points);
  • completeness of detail (e.g. acceptability of broken characters, missing segments of lines);
  • dimensional accuracy compared with the original (i.e. can you still read the document);
  • scanner-generated speckle (i.e. speckle not present on the original);
  • completeness of overall image area (i.e. missing information at the edges of the image area);
  • density of solid black areas; and
  • color fidelity.

Image Enhancement

There are times when the final scanned image may be difficult to read for a number of reasons. If the scanned document is unreadable it is also essentially unusable. If the scanned document is to replace the original paper record these common problems must be corrected:

• Skewed Images
  Images that are skewed or not properly aligned must be corrected by rescanning the records so that the image appears straight.  All portrait orientation pages should be rotated to read from left to right.  All landscape orientation pages should be rotated with the top of the page starting on the left.

• Poor Quality
  If the scanned record is of poor quality and is not clearly readable reset the PPI (pixels per inch) setting on the scanner to a setting higher than 200 PPI and scan again. Keep increasing the PPI until the record is as readable as possible.
• Poor Quality Original
  Sometimes the condition of the original paper record precludes a good quality scanned image from being produced. In these cases document the poor quality of the original record to avoid future confusion over the poor quality of the scanned image. This documentation can be accomplished by:
  • Tagging the image in metadata as "best scan possible" ; or
  • When indexing/naming the document include, "bestScanPossible"
  You may also need to keep the paper copy of the records that did not scan well.

Documentation 

Scanning processes must be documented by the office or unit responsible for the scanning. A copy of this documentation should be filed with the Records and Information Management Services team.

The scanning process documentation includes the following nine sections found on our documenting a scanning process form:

1. A description of the type of scanning hardware and software used;
2. Instructions for how to set up the scanning hardware and software, including scanning settings;
3. Standards for indexing, naming and labeling files, including any necessary instructions for the system into which the scanned documents will be stored and accessed;
4. A description of how Quality Control inspections are conducted;
5. A description of any image enhancement or manipulation standards used to create a more readable image;
6. A description of the detailed steps that will be taken to correct a scanned record that is not clear or is difficult to read, blurry, or otherwise illegible;
7. The process used to identify images that have passed their retention period;
8. The procedure used to delete the records if they do not have enduring or archival value; and
9. The procedure used to transfer the records to the Campus Archives if they do have enduring or archival value.

Document classification

• Determine classification of document types to be scanned (e.g. What business processes do they support?)
• Decide what to do with the original files
  • (e.g. Will you need the originals after the scanning project is complete? If so, you may take greater care with how and where you re-file them)
• Determine the retention requirements for the documents 
• Identify sensitive data that must be redacted or obscured from imaged documents

Scanning Hardware

Before scanners and digital senders were ordinary, it was common to list the brand and hardware specifications of the equipment used.  Today, these electronic tools are standard office machines and as a result, most equipment used to digitize paper documents are acceptable for the electronic formatting of daily business records.  However, there are important things to consider when purchasing a scanner for your department or unit:

• Types of material to be scanned
• Available output file formats and standards
• Work load – frequency of use
• Automatic document feed
• Duplex feed (both sides of document at once)
• Speed of scanning – page per minute
• Optical resolution – minimum 200 dpi/ppi
• Dimensions of scanning bed
• Equipment cost or lease
• Warranty and service
• Physical ‘footprint’ of unit
• Connection to your shared network drive
• Scanning software package compatible with hardware

Image Storage

The best practice for image storage is to store records on a server which is backed-up on a regular basis with the back-ups being stored off-site. Long term retention of electronic records requires continual maintenance to make sure the media is usable, backed-up and readable when needed.

Disposal of Paper Originals

• Original paper records should be kept for a minimum of thirty to ninety days after scanning is complete in a manner that allows them to be available to the business unit. This period allows for any errors to be detected and for re-scanning if necessary.
• After 30-90 days:
  • For records that have a permanent retention requirement, which the digital versions will now fulfill, State approval is required for disposal of the paper originals.  Please consult our State Approval Request Process Guide or contact us with any questions.
  • For records that do not have a permanent retention requirement, the paper originals can be properly disposed of at your convenience.
• Please consult our Materials Destruction Guide or contact us for information about arranging destruction and the difference between materials requiring secure disposal and those that do not.
• Document how and when the records were destroyed, and if approval was required, please inform RIMS when the destruction took place.  External companies can generally provide a destruction certificate.
• For more information, we recommend that you review our Guide to Materials and Data Disposal, which explains all processes required for disposal of records and other material.