Brian,

My answers to your questions are included below.  If I recall, don't you work in the financial services industry?  How you are regulated and your comfort level with the risks of audit and litigation will have a lot to do with what your process looks like.

Sandra Broady-Rudd, CRM
Records and Information Manager
Texas Municipal Retirement System
1200 North IH 35
Austin, TX  78701
(P) 512-225-3729
(F) 512-476-5576
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-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]]On
Behalf Of Records Management
Sent: Thursday, June 23, 2005 9:23 PM
To: [log in to unmask]
Subject: Post Scan Audit Parameters For Document Imaging...


Aloha All,

This posting is directed to listserv members who employ document imaging and
are responsible for its quality control...

With greater audit and regulatory scrutiny of imaging systems due to privacy
and "best practices" considerations, I would appreciate your feedback on the
following:

1) What's an "acceptable" sample size for post-scan audit?  (i.e. Audit after
scanning by users to ensure integrity of file and no lost pages)  Is 1 out of
a 100 files an industry standard?

At TMRS, we only audit what we call our backlog scanning - our high volume scanning
goes right from the scanner to the departments to be worked via the workflow module,
they, in essence, do the quality control as they are performing their work on the document,
and then provide feedback to us of any readability or indexing problems.  We also have a research
que, that allows departments to send documents with problems, so that I can audit and fix them.

As far as the backlog, these are documents that go to the departments first and then come back to us
after they are worked.  We include quality control in the job description of our records management
technicians and they rotate this function once a week.

2) How many resources are used in post scan audit?  Is it equivalent to an
FTE?

Because we are a pretty small agency (57 employees), quality control is just a small percentage
of the records technician's work.  I would say about 10%.

3) Does your process allow for identifing "exception" files that require
greater scrutiny?  We treat all scanned files the same...

We don't distinguish one type of document from another as far as risk...  Now when I worked for a Bank in Florida, we had a diffent philosophy.  We kept our hard copy signature cards longer because our security VP was concerned about fraud, fingerprints, etc.

4) Do you destroy all hardcopies after scanning and review?  If not, what do
you retain?  We retain what we classify as "legal" documents that are
considered "risk" in litigation, etc.

We retain all hardcopies after scanning for approximately 1 year and then destroy.  They are kept in-house for approximately three months to assure the quality control has been completed and the need for access has pretty much diminished.

5) How long should you retain hardcopies after scanning and review before
destruction?  We keep ours for 7 days after post scan audit...

As long as you have a policy and a procedure dictating your process, you follow it consistently, and you can prove integrity, reliability, and all those things, you should be in pretty good shape.  Again, how you are regulated and your company culture will dictate a big part in defining your process.  I can't imagine you need to keep all your hardcopies, that sort of would defeat the purpose, don't you think?

We're trying to get a "feel" of the prevailing practices in the document
imaging community as we grapple with regulatory concerns.  The question will
ultimately be whether we need to keep all hardcopies to meet regulatory
concerns.  If so, then the BIG QUESTION will be whether "imaging" justifies
the cost of maintaining documents, etc.

I would appreciate your responses on the list or direct to my email address:
[log in to unmask]

Mahalo!

Brian A. Moriki





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