Administrative Policies

Enterprise Content Management (ECM) System Document Imaging and Capture

In preparing records for imaging, it is important to ensure the chain of custody for the hard copy records is maintained in accordance with the standard operating procedures for the functional unit so, the accuracy of records can be preserved. The processes adopted in this policy and related procedures are designed to ensure the documents captured are a true copy of the original document. This process documents a chain of evidence to ensure that the hard copy and electronic copy are the same.

Each KCTCS College will adopt a policy incorporating the processes/procedures included in this administrative policy.

2.4.2.1 Responsibilities and Processes

For records to be imaged, the employee receiving documents has ownership of the records on behalf of KCTCS until they are delivered to an employee (or approved vendor) responsible for imaging. When records are delivered to an employee (or approved vendor) responsible for imaging, ownership of the records is then transferred to the receiving employee or approved vendor. The receiving party is responsible for the safekeeping of the eye readable record throughout the quality assurance process. Following the quality assurance process, the documents may be transferred to another KCTCS employee that is responsible for the documents until destruction of the records. KCTCS will maintain a training guide for each application of the ECM system, which outlines the document capture process and procedures.

1. Quality Assurance (QA) Process
   
   The Quality Assurance process begins when documents are identified for placement in the ECM system and document preparation starts, and it continues until the documents have been indexed and stored in OnBase for final disposition.
   
   Employees must be fully knowledgeable of the KCTCS scanning and records retention processes to ensure the highest level of accuracy. Each step in the document lifecycle—no matter how small or repetitive—must be followed to maintain the integrity of the records. All ECM users are required to complete a training using the established procedures outlined in their functional area’s training guide, which can be found [OnBase].
   
   KCTCS employees must utilize one of recognizes the following QA methods to ensure the integrity of records:
   
   
   1. Dual-User QA: One employee scans and indexes the document, and a second employee completes the QA process by reviewing and verifying the image quality and indexing accuracy before the document is finalized in OnBase.
   2. Single-User Delayed QA: An employee may perform both the initial scan/index and the verification of accuracy and quality only if the accuracy and quality review is completed at a later time, separate from the initial scanning/indexing activity. This delay should be sufficient to allow a fresh review of the content—ideally, the QA should occur the following business day.
2. Transcript Capture
   
   Transcript imaging processes will be managed in the following manner:
   • All official transcripts received electronically from institutions via email will include a statement of authenticity that will be included in the employee or student records stored in the ECM system.
   • Official transcripts received from institutions by regular mail, will include a statement of authenticity that will be included in the employee or student records stored in the ECM system.
   • KCTCS will utilize the American Association of Collegiate Registrars and Admissions Officers (AACRAO) guidelines for determining transcripts authenticity.
     
     
3. Destruction of Records
   
   Hard copy records captured in the ECM system will be destroyed in accordance with the requirements established by the Kentucky Department for Libraries and Archives (KDLA). For permanent records, KCTCS has petitioned the Director of the Public Records Division with the KDLA for approval of exceptions to maintain eye readable copies in accordance with their policies and procedures. KDLA approved such exceptions for certain Student, Employee, and System documents in November 2013 and May 2018.
   
   The following permanent retention KDLA State University Model Series #s have been approved as exceptions by KDLA to destroy hard copy documents once the OnBase electronic document is verified through the quality assurance process listed in this policy.
   

   U0100, Correspondence - Official; 

   U0113, Reports - Periodic Activity; 

   U0134 Investigation File

   U0135 Program Client File

   U0239 General Financial Records

   U0244, Ledgers/Journals; 

   U0245 Federal Tax Forms

   U0247 Invitation for Bid/Request for Proposal File

   U0401, Student Academic Performance File; 

   U0408, Application/Authorization for Graduation File; 

   U0412, Class Schedules; 

   U0422, Disciplinary Warning/Action File; 

   U0432, Final Grade Submission Reports; 

   U0435, Graduation Lists; 

   U0613, Job Description/Classification File; 

   U0617 Payroll Deduction File;

   U1603, Property Records/Files; 

   U0647 Periodic Payroll Reports (Includes Time Sheets/Time Cards); and

   U2200, Donor/Endowment Records.