Conversion of Electronic Records to Microfilm

The records that are most suitable for conversion from images to microfilm are (as indicated by the applicable records retention schedule):
• Records that are of permanent or long-term value.
• Records that have a high likelihood of being used in litigation. An agency may suffer adverse financial and legal consequences if they are unable to produce records needed during litigation at a remote point in the future.
• Records that are subject to statutory or other requirements, which require secure off-site storage.

Images must have a minimum resolution of 300 dpi. The DAW and SMA 51 will convert documents with higher dpi values, but this will not result in the production of better microfilm and is generally not recommended.

Images must be an uncompressed TIFF, PDF, or PDF/A. Agencies maintaining other file formats should explore the use of file conversion software.

Images that have been converted from another format to PDF or TIFF formats should have embedded fonts. Any conversion process should be thoroughly tested and documented as part of the procedural documentation and audit trails associated with the project.

If using a flatbed scanner for image capture, images should be cropped to reduce excessive, surrounding space, but should retain a small border to show that the entire document has been captured.

Because image quality is controlled at the point of scanning, it is recommended that scanners be checked for proper resolution using “AIIM Scanner Test Chart #2” as outlined in Recommended Practice for Quality Control of Image Scanners, ANSI/AIIM Standard MS44-1998 (R1993). Scanners should also come with resolution targets included in their software. For more information about standard resolution targets for your scanner, please consult the vendor.

Because the DAW and SMA 51 create a linear medium (microfilm) from a group of images, complying with file-naming requirements is critical to the production of quality and useful microfilm. The computers associated with the DAW and SMA 51 sort images prior to film production. The retrieval of the images on microfilm will be difficult if they are not sorted as anticipated. Not all computers sort lists the same way. It is critical that files sent for conversion adhere to the “Best Practices for File Naming” guidelines produced by the Archives and Records Section. The guidelines are available on our website.

• Additional requirements for file naming are below. Examples of file naming schema are included in Appendix B: File Naming Considerations for DAW and SMA 51.
• File names should be no longer than 25 characters and must be alphanumeric with no special characters. Allowable characters in file and folder names include letters, numbers, and underscores.
• Do not leave blank spaces in the file name.
• When using numbers, make sure that the number of characters is consistent to ensure that these are accurately sorted by the computer. For example:
  10.tif
  100.tif
  2.tif
  are not sorted correctly, whereas the following files are:
  002.tif
  010.tif
  100.tif

Just as using file-naming conventions is important to the production of quality microfilm with the DAW and SMA 51, folder structure also plays a critical role in converting electronic images to microfilm. The DAW and SMA 51 cannot accommodate deep file structures, e.g. multiple levels of hierarchy, when converting the images to microfilm. Some important guidelines for suitable folder structures include:
Do not submit empty folders for filming. If the DAW or SMA 51 encounters an empty folder, it interrupts the conversion process.

• There are also limitations as to how many levels into a folder structure the DAW and SMA 51 will go.
  • Single-page TIFFs [i.e., one image per file name] may be no more than two folders from the root (e.g. folder, subfolder, and image).
• Agencies with electronic files utilizing folder structures that do not conform to the above guidelines may still utilize the DAW or SMA 51 provided they flatten the folder structure to meet the guidelines prior to transferring the images to the Archives and Records Section.
• To support high-speed information retrieval, the DAW and SMA 51 can produce image marks on the microfilm according to the hierarchical structure in which the images are submitted. If a government agency is interested in utilizing this feature, it will be incumbent upon the agency to purchase/support the associated equipment. Before relying on image mark retrieval, one should be aware that this technology could become obsolete.

Each reel of film produced by the DAW or SMA 51 should be indexed, either by means of a self-index or an externally-created index. Page numbering, chronological order, alphabetical order, or any other readily apparent organizational system inherent in the submitted images will self-index a reel of microfilm. Lacking that, an agency may submit an external index for inclusion on the microfilm.

Agencies may create a database to serve as an external index for submitted information when, for example, the files do not follow chronological or numerical order (e.g. case files that are not completed in numerical sequence). However, utilization of an external index will require the agency to either maintain the index permanently in-house or to submit a printout or images of the printout at the end of the project to be included on the last reel of the project.

The use of an external electronic index without submitting a copy to be converted to microfilm is not recommended because it counteracts one of the primary benefits of creating microfilm from digital content—protection from technological obsolescence.

Targets are used to identify the records being filmed, to serve as finding aids to those records, to conduct quality assurance tests on the film, and to provide the certification needed to ensure that the filmed records will be accepted in court in lieu of the original records.

In order for each reel to be appropriately targeted:

• State agency submissions must include the full name of the submitting agency, with all of the organizational layers named; the record’s item number from an active records schedule; title of the records: the date, page, or other range of content information for each reel; and a digital image of any external indexes.
• Local agency submissions must include the name of the submitting county or municipality; the name of the board, council, department, or agency; the title of the records; the date, page, or other range of content information for each reel; and a digital image of any indexes.

Ideally, the submitting state government agency should batch its jobs to match the number of images that will fit on a reel of microfilm. Refer to the following requirements for batching records for transfer using either the DAW or SMA 51:

• Only one record series or one item number from a records retention schedule should be placed in a batch.
• No files or documents should be split between batches.
• The submitting agency must retain a copy of all files submitted to the State Archives until the agency has been notified that the transfer to microfilm has been successfully completed.
• Size of batch will vary based on reduction ratio for the reel and machine used for conversion. Contact Imaging Unit staff to verify number of images that will fit on each roll of film. Additional details concerning factors that impact reel sizes can be found in Appendix C: Reel Size Considerations for DAW and SMA 51

Once records are batched and ready for transfer to the Archives and Records Section for conversion, the records management analyst assigned to your agency can assist with the transfer protocol, including providing information on authentication of files for transfer.