ARA-8.08 - Microfilm, Micrographic, and Digital Imaging Conversion

A. Purpose

The purpose of these policies is to establish consistent, responsible, and cost-effective methods for using current technologies to ensure the preservation of and access to authentic City records that comply with standards outlined in Oregon Administrative Rules, Chapter 166. 

B. Definitions

1. Digitization: the act of converting analog information into digital form. Digitization may transform information stored in analog physical formats (such as paper and parchment) or in analog but electronic formats (such as magnetic audiotape or phonograph discs). Records can be digitized via scanning or photography or via the conversation of analog audiovisual information into bits.

C. Background

All City agencies are responsible for maintaining their records, regardless of medium, in compliance with the City record retention schedule and ensuring access to all public records for the entire length of the retention period. Sometimes the medium in which the record is originally created is not suitable for meeting retention requirements. At other times, an agency may want to change a record’s medium for business purposes, such as providing greater access. 

In either case, guidelines established by Archives & Records Management must be followed. Following these guidelines will ensure that business needs, record access requirements, budgetary factors, and compliance with State law are addressed. 

Factors to evaluate: 

• Are there legal requirements dictating the form in which the record is to be maintained?
• In what format was the record originally created?
• How long must the record be retained?
• Is the original medium and system application capable of reproducing the record for its entire retention period?
• What is the cost of maintaining and providing access to the record in its original format for the duration of its retention period?
• Is the record maintained in a system that requires proprietary software to gain access?
• How frequently and for how long must the record be accessed or retrieved for normal business purposes?
• Does the need for access remain constant over time or change as the records age?
• Does the proposed new format represent the original in quality?
• Can the proposed new format be reproduced in paper at a sufficient quality to be completely legible?
• How widely is the record requested – is it used by other agencies or the public?
• Does the record have historical significance? 

D. Policy

This policy is to be applied when: 

1. Bureaus are converting the format or medium of existing public records in one of the following ways:
   1. Paper records to microfilm records
   2. Paper records to electronic records
   3. Microfilm records to electronic records
   4. Electronic records to updated electronic format:
      1. Migration of proprietary file format to open standard file format
      2. Migration of obsolete file format to new file format
      3. Other format migrations in the interest of continued access to the record
2. Agencies are creating or maintaining historically significant, permanent, or vital records. 

When an agency is considering conversion from one format to another or is required by City policy to maintain records in a specific medium, they must follow this policy, regardless of whether the work is to be performed by the agency or by another service provider.

When converting paper or microfilm records to electronic records, the standards outlined in ARA-8.14 must be met. Agencies must retain the original records for the entire scheduled retention period unless the converted electronic records are stored in the City’s electronic records repository, Content Manager, or in another electronic records repository that meets the criteria presented in OAR Chapter 166, Division 17.

Agencies must apply the following rules to ensure the proper preservation of and access to each category of City records listed below: 

Category 1: These records have a retention period of 10 years or less. 

• Paper records: As a general matter, these records should not be scanned or microfilmed unless the volume of paper is unusually large. Records should only be digitized for a legitimate business reason or if frequent access by a broad range of users is required.
• Electronic records: Records must be accessible for the duration of the retention period and should be migrated to a new format only if necessary for continued access. Records must be managed following recordkeeping practices outlined in ARA 8.12. 

Category 2: These records have a retention period of 11-99 years. 

• Paper records: Records should only be digitized for a legitimate business reason or if frequent access by a broad range of users is required. Records should only be microfilmed for a legitimate business reason.
• Electronic records: Records must be accessible for the duration of the retention period and should be migrated to a new format if necessary for continued access. Otherwise, records should only be migrated for legitimate business reasons. Records must be retained in an electronic recordkeeping system that meets the requirements outlined in ARA 8.12. 

Category 3: These records have a retention period of 100 years or longer.

• Paper records: Agencies may wish to digitize records for ongoing business need or in the interest of long-term preservation and access. If microfilm is determined to be the best conversion method, microfilmed records must have one archival quality microfilm reel created on long-term film that meets all of the OAR 166 requirements that is transferred to Archives & Records for secure storage.
• Electronic records: In compliance with State law, agencies must store official copies of these records in the City’s electronic records repository, Content Manager, or in another electronic records repository that meets the criteria presented in OAR 166, Division 17. Records must be accessible for the duration of the retention period and should be migrated to a new format if necessary for continued access or other business reasons.

Category 4: Records of historical significance – Some records are historically significant regardless of their legal retention period and may undergo archival review by the City Archivist. If the applicable retention schedule categorizes the records as potentially historical, the agency must contact Archives & Records Management before destroying or converting to another medium. If an agency believes specific records may have archival value, even if the retention schedule does not indicate, the agency must contact Archives & Records Management. 

E. Process

Agencies undertaking conversion projects should submit their requests to Printing and Distribution, a division of the Bureau of Technology Services, which will coordinate with Archives & Records Management to ensure compliance with scanning and filming standards (OAR 166-17 and OAR 166-025). 

If an agency wants to undertake conversion internally or use a third-party vendor for conversion services, it must consult Archives & Records Management to ensure vendor can achieve required standards.

Converted records must be verified for accuracy and completeness after conversion and prior to the destruction of the original.

See also: 

ARA-8.12 – Management, Preservation, and Storage of Electronic Records 

ARA-8.14 – Scanning Standards for Agency

Auditor’s Office Administrative Rule Information

Questions about this administrative rule may be directed to the Archives & Records Management Division.