Imaging Records

The guidance on this page gives an overview of digitizing records for state and local agencies and adopting imaging systems.  For information on creating trustworthy digital scans, see our guidelines for Managing Trustworthy Digital Public Records available on the Digital Preservation and Access page of this site.

The North Department of Natural and Cultural Resources requires any agency that images its records or maintains electronic records with retention periods of ten or more years to create and sign an Electronic Records and Imaging Policy. The Electronic Records Policy is designed to be used as a self‐evaluation tool to ensure that electronic records produced by county and municipal agencies are able to be retained for the designated retention period and are created, reproduced, and otherwise managed in accordance with the above guidelines and with other guidance produced by the Department of Natural and Cultural Resources. The Electronic Records and Imaging Policy replaces the former Self-Warranty Form.

 

Human-Readable Duplicates

Offices with permanent records shall create a preservation duplicate of those records as described in §132-8.2: "Preservation duplicates shall be durable, accurate, complete and clear..." It is the Department's policy that preservation duplicates should be either a paper or microfilm copy of the original records. Permanent records with certain characteristics require preservation duplicates that are human-readable. The "Human-Readable Preservation Duplicates" policy outlines these characteristics and appropriate formats for human-readable preservation duplicates.

 

Scanning Contracts

Below is a list of considerations for state and local government agencies as they negotiate contracts with scanning vendors. For tutorials on the Sample Electronic Records and Imaging Policy and on implementing a digital imaging program, see the Records Management Tutorials section of this page. 

Tab/Accordion Items

  • File formats
  • Plan for converting files to a new format
  • File naming practices
  • Access rights/security mechanisms
  • Backups (specify frequency and location)
  • Mechanism for destructions
  • Audits (data should be audited at least annually to test accessibility and assess need for refresh or migration)
  • Frequency of refreshing of media (should be at least every 3-5 years)
  • Frequency of checksum validation (should be at least at every migration)
  • Environmental conditions where media is stored (humidity 30-50%, temperature 65-75°F)
  • Training program
  • Disaster recovery procedures
  • System documentation/procedural manual – a copy should be provided to the agency that specifies what hardware and software are provided by the vendor
  • System for indexing records
  • Quality control procedures
  • Mechanism for document production due to litigation, audit, or public records request
  • Mechanism for avoiding spoliation of evidence
  • Costs for:
    • Uploading records
    • Downloading records
    • Migrating records
    • Service termination
    • Proprietary software necessary to access records (if applicable)
  • Performance/availability (e.g., planned and unplanned downtime)
  • Ownership of data
  • Procedure for exporting records (including images as well as metadata) at end of contract period and/or when vendor ceases operation

Conversion to Microfilm and Destruction

This document describes the fee-based service that the State Archives is able to offer state and local agencies for converting digital records to archival microfilm for low-cost, long-term storage and access. This service is available for both imaged records and born-digital records. The document above indicates which records are eligible, requirements for submission, and the results agencies should expect.

 

Local Governments

The Request for Destruction of Original Records Duplicated by Electronic Means form is used by local governments to request approval from the Department of Natural and Cultural Resources to dispose of non-permanent paper records which have been scanned, entered into databases, or otherwise duplicated through digital imaging or other conversion to a digital environment. This form does not apply to records which have been microfilmed or photocopied, or to records with a permanent retention.

 

State Agencies

If state government agencies have paper records you wish to scan and retain electronically rather than on paper, in addition to having an approved electronic records policy, you must also get your agency’s Chief Records Officer to approve the Authorization to Destroy Paper Records. For more information, please see the Electronic Records in State Government Agencies page. 

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