Section 2: Planning Before Document Imaging
Step 1 – Creating Standard Operating Procedures (SOP)
The document imaging process should be developed as a routine
business practice in Standard Operating Procedures. Standard Operating
Procedures should include the life-cycle process from preparation
of the documents, imaging process, quality control, storage location
of digital images, retention of official records, and destruction of
the paper copy upon validation.
(See Section 6 of this Chapter for detailed outline of State
and Industry Requirements/Actions for Digital Imaging)
Step 2 – Conducting a Quality Control Process on Imaged Documents
Quality Control is the visual review of image and index information. After
the process of imaging or scanning the documents is completed, a
visual quality control check is required to ensure official records
are a complete and accurate representation of the original paper
format.
The following industry Quality Control guidelines apply:
- Each scanned image must be inspected visually to ensure that the image is legible and complete and accurately captures the information contained in the original.
- Visual inspection requires that images are in the correct order, all pages (both front and back) are included and pages are not skewed (sideways or upside down).
- When index information is assigned and entered manually, such as a title for an image, each image must then be retrieved and visually verified to ensure that the index information has been entered correctly.
- Automated image capture software and image retrieval systems must allow image and index information to be visually verified and approved.
- Establish a plan for reimaging the original hard copy if visual reviews reveal that an image is illegible or incomplete.
- Organize imaged hard copies so that individual original records can be retrieved up to the point that quality control reviews are completed.
- The original hard copy may be destroyed after visual verifications are completed and may be kept for a temporary period (i.e. 1 month).
Step 3 - Destroying Paper Records After Document Imaging
- A 1420 Records Destruction Form is NOT required to destroy the physical documents after document imaging is complete. After imaging the physical record, it is now a convenience copy and can be destroyed without formal authorization. The electronic record is now considered the official record.