Guidelines for PDFs and Imaged Records
Departments may convert master records from paper to electronic format if records management requirements and procedures as well security requirements are implemented. Note that all retention and disposition requirements that apply to hard copy records also apply to imaged records.
Departments should review the following checklist and verify that any electronic records system whether proposed or currently in use meets these requirements.
- Document all processes for converting, indexing, filing, and destroying the paper records
once the images are verified. Provide for quality assurance processes, including a visual
inspection of the images, scanner testing, and verification of image index data. A visual inspection of each
image must be performed to ensure that the full content of the document has been captured. When an image has
been verified to be a complete and accurate representation containing all information from the original, the
hard copy may be destroyed as a convenience copy. In the event of a legal requirement to produce the records,
full documentation of imaging procedures will be part of demonstrating the authenticity and integrity of the
imaged records.
- Provide training and update training for staff in imaging, retrieval, and disposition policy and procedure.
Should legal issues arise courts consider up-to-date documentation and training demonstrations of
good faith in records management practice.
- Confidential records must be secured so that only authorized personnel can access them.
See the Information Security Office for support and information in
developing secure departmental electronic records storage and retrieval systems.
- Consider how the images will be indexed; master records must be retrievable throughout the life of the record.
Naming conventions should be consistent. Information from the University Records Retention Schedule should be
associated with each imaged record as part of the indexing metadata to determine record destruction dates.
Note that
disposition procedures must be followed prior to deleting or otherwise disposing of any
master record retained in electronic format.
- When managing files manually, organize records in a way that will ease their disposition when retention
requirements are fulfilled. Similar record series should be filed together; records with a retention period
of FE+1 should not be filed with records that must be kept for AC+8.
- If destruction dates are set for the purpose of automated deletion when requirements have been fulfilled,
there must be fail-safe measures to place document holds and suspend destruction in the event of any litigation,
claim, negotiation, audit, public information request, administrative review, or other action involving the
record, and to reinstate destruction when all outstanding issues have been resolved.
- Consider the format for records storage. The industry standard is TIFF (Tagged Image File Format). PDF
(Portable Document Format) is widely accepted as a standard format. There are now International Organization
for Standardization (ISO) standards for archival quality PDFs for retention of imaged records with retention
requirements of five or more years. Although state law does not require the use of industry standards, it does
facilitate migration to new systems and allows access to the records for the entire retention period.
- Consider hardware and storage issues. Plan to accommodate future growth. We strongly
recommend that a central server or storage device be used to prevent accidental destruction of important data.
Regular backup copies of the data should be created. These backup copies of vital and essential master records
are required to be stored off-site for disaster recovery purposes. See the
Information Security Office for support and information for
developing departmental disaster recovery plans.
- You may wish to review
- Electronic Records Standards and Procedures Section 6.94 and Section 6.96(f)(3), a Texas State Library publication available online.
- “Recommended Practice for Quality Control of Image Scanners”. Contact Records Management Services for assistance regarding this.
For your convenience, we have provided a signature line below, so that your department or office may print this out and have the appropriate authority sign and date, should legal issues ever arise in the future.
I have read and taken into consideration the above list of requirements and recommendations.
_____________________________________ |
__________________ |
Signature |
Date |
|
|
Printed Name |
* Note: PDF documents best viewed with Adobe Acrobat Reader 6.0 or later. Earlier versions may result in incomplete rendering of information. A free update of Adobe Acrobat Reader may be obtained from Adobe.
