Enterprise Content Management (ECM) System Document Imaging and Capture
Policy Number: 2.4.2
Current Effective Date: 07/08/2014
Original Effective Date: 07/08/2014
Revision Dates: 07/08/2014
Revision Number: 0
Responsible Official: Vice President, Student Records
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.
18.104.22.168 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 scanning and quality assurance process. Following the imaging and 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.
- Quality Assurance (QA) Process
Quality assurance begins when documents are identified as something that needs to be placed in the ECM system and document preparation starts through disposition after the documents have been placed in OnBase.
Employees must be fully knowledgeable of the KCTCS scanning process and records retention process to ensure the most accurate end-results. To successfully manage the documents being placed in OnBase it is essential that shortcuts are not taken through the process. All steps (regardless of the repetition or minute nature of the step) must be done to ensure accurate results. ECM system users will be trained using the established procedures included in the training guide for the appropriate functional area.
KCTCS has identified the following basic quality assurance processes:
- Have one employee scan and a second employee review and verify the quality and content of the image before submitting to OnBase.
- Using the holding queue, an employee scans the documents, and then reviews and verifies at another time. This should be done the following day, to allow an ample amount of time between scanning and the review/verification process.
- In either of these QA processes, users need to use document preparation and QA processes.
The illustration below steps through the gathering of documents through the placement in OnBase and verifying of imaging and indexing to the disposition of the documents.
- 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.
- 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 will petition the Director of the Public Records Division with the KDLA for approval of an exception to maintain eye readable copies in accordance with their policies and procedures. KDLA approved an exception for the Student Academic Performance File in November 2013 and additional petitions will be made as needed. For nonpermanent records, KCTCS will follow the same quality assurance processes as for permanent records.