ABOUT THIS GUIDANCE
The purpose
of this guidance is to assist United Nations departments and offices in
establishing a procedure for the authentic, complete and accessible digital capture of United Nations’ paper records.
Records digitisation is a tool that is used
to facilitate information sharing, business continuity, security and to support
cost effective measures for improved governance, accountability and
transparency in the United Nations. This
guidance identifies the necessary resources and standards to implement a
records digitisation programme for record
keeping systems, archival preservation, Enterprise Content Management (ECM) compliance,
and vital records risk
mitigation. Please note that the digital capture and the conversion of
audio visual materials such as videotape or audiotape recordings is not within
the scope of this guidance. Also outside
the scope of this guidance is the management of born-digital records.
In addition
to information contained within this guidance there is a digitisation
check-list, a technical specifications table and a list of additional resources
that can be found at the end for your convenience. Likewise, the Archives and Records Management
Section (ARMS) is available for consultation at arms@un.org.
More information can be found on ARMS’ website at:
TABLE OF CONTENTS
2. Benefits
of Records Digitisation
3. Choosing
Records to be Digitised
3.3 Substantive
Records versus Official Documents and Reference Materials
4.1 The
Electronic Copy as Record
4.3 Digitisation and Information Sensitivity
4.5.1 Disposal of Original Hardcopy Records
4.5.2. Disposal of Digital Copies
5. Documenting the Digitisation Process
6. Technical
Specifications for Digitisation
6.1.3 Reformatting or
Specialty Software
7.1 Organizing Records for Future Retrieval
7.2
Preparing Physical Files for Scanning
7.3
Digitizing (Scanning) the Records
7.4
Capturing Digitised Records
8. Quality Control for Digitisation
9. Digitisation Check-List
Appendix 1. Additional Resources Appendix 2. Technical Specifications Table and Visual Samples 1. INTRODUCTION
Digitisation is the process of converting any physical or analog item, such as a
paper record, photograph or graphic items, into an electronic representation or image that can be stored electronically. In
the context of this guidance, digitisation of records is a tool that supports UN objectives for greater organisational transparency, knowledge sharing and business continuity by
providing ease of information access, retrieval and storage of UN business records.
In general, digitisation is usually undertaken for the three following reasons:
·
Reduction of Paper and Storage Costs
Selected digital records can be stored on electronic storage
devices and thus reduce the need for physical space while also promoting
strategies for vital records protection. This strategy is often undertaken as a
result of having to move premises or as a disaster mitigation strategy. At the same time
electronic records offer greater ease of information access and sharing.
·
Implementation Enterprise Content Management (ECM) Solutions
Digitisation of records, and increased use of electronic records, functions as part of the organisation wide implementation of ECM platform Documentum for
information sharing and business continuity. The ECM initiative facilitates
informed decision making, through the introduction the electronic workflow, the
creation and capture of electronic records and enhanced preservation of vital
records through systems backup.
·
Archival Preservation
Digitisation offers strategies for long-term preservation of archival records by reducing handling of
original hard copy archives, improving access to archives by making digital archives available through
databases, websites and via email. Please note, that archival preservation
measures should be coordinated with ARMS.
A departmental or office digitisation programme will follow one or more of these strategies. This guidance addresses the three strategies through the provision of policy, record keeping and technical requirements to support digitisation.
2. BENEFITS OF RECORDS DIGITISATION
A records
digitisation programme offers strategic benefits for storage costs, information
sharing, paper elimination and preservation. These benefits form the basis for
establishing a value assessment for digitisation. The following table offers
information to assist staff members in determining whether to proceed with a
digitisation plan:
VALUE ADDED BENEFIT |
REQUIREMENT |
COMMENTS |
|---|---|---|
| Access | Are there records, either active or archival, that are in heavy use by multiple people? | If the records are heavily used, active transactional records or archival records digitisation allows for ease of dissemination electronically. |
| Preservation and Protection | Do the records have lasting historical value or are still active or semi-active but in a fragile condition? Are they vital records that must be protected as a disaster mitigation strategy? | Digitisation is often used for older archival materials that are in danger of damage due to aging, or to create a digital master or access copy for unstable or damaged materials. |
| Storage and Paper Reduction | Do storage costs outweigh the benefit to keeping physical records with temporary value? Are there conditions that prevent the storage of temporary physical records? Is your office working towards an ECM platform that will facilitate increased use of electronic records? |
Digitisation can be used in situations when storage of physical records is either too costly or unavailable due to moving locations or lack of resources. Reducing paper and increasing the use of electronic records also supports the implementation of the ECM initiative. In both cases, record keeping standards must be incorporated into the digitisation programme. See Section 4.1 |
3. CHOOSING RECORDS TO BE DIGITISED
Digitisation
is a strategy that can be used as part of an overall records management programme.
It does not and cannot function alone. Therefore, when determining what records
should be set for digitisation there are issues to consider depending on the
record keeping system and the type of records being managed. For instance, there should already be a file
plan, an information security plan and a retention
schedule in place prior to launching a digitisation project. A record keeping system can be a simple data
base that follows a basic office file plan or it can be a sophisticated records
management solution with detailed taxonomies. Documentum will act as your database and
records management technical solution. The following outlines considerations other
than access, preservation and storage concerns.
When an
approved records retention schedule for a category of records defines that the
records should be retained for 2 years or less, it may not be worth the expense
of digitisation unless they are heavily trafficked. Refer to the office or
department retention schedule for more information on records’ lifecycles (the
lifespan of a record from it creation to its disposition or transfer to
archives). See also section 4.5 on retention scheduling or visit:
http://archives.un.org/unarms/en/unrecordsmgmt/unrecordsresources/retentionschedules.html
Staff
members should assess if the materials being considered for digitisation are documents that are likely to be added to or
amended in the normal course of business. If so, they may not be suitable for
digitisation. Documents should be finalized and unalterable to be considered
appropriate for digitisation. Frequency of access to records can be a deciding
factor in records digitisation. For
example, if records are not in active use and are due for disposal in the near
future, it may not be a value added exercise to digitise them.
3.3 Substantive Records
versus Official Documents and Reference Materials
Published
materials and reference documents are not considered records or archives
according to the standards of records management and archives and therefore
should not be considered for digitisation. For example, convenience or reference copies
of official UN Official Document (resolutions, SGBs, AIs, ICs etc) should
not be digitised, nor should UN parliamentary
documents (General Assembly, Security Council, ECOSOC, etc.) that are
kept in offices for reference purposes. The
documents are available in digital form through the Official Documents System
(ODS) at: http://documents.un.org/.
Depending
on the tools available, some record formats are more suitable for digitisation
than others. For example, large format records, ones with reflective surfaces
or materials
that are bound such as booklets, may be more difficult
to scan effectively. Photographs,
maps and plans can also pose challenges and may require a special kind of scanner, software programme and guidelines in
terms of resolution and quality. It is
also important to consider frail items that may need additional preservation
measures such as photographs that are fading or paper records that are ripped.
4. RECORD KEEPING REQUIREMENTS FOR DIGITISATION
The
value of a digitised record is dependent on the content, quality of digital
capture and the security measures taken to protect it from tampering and
information loss. Record keeping systems and
requirements are designed to ensure that records are protected according to the
best practices available.
4.1
The Electronic Copy as Record
Record
keeping standards require that copies of records be authentic, complete and accessible to be relied on as evidence. Departments and offices may be required
to prove the authenticity, accuracy and completeness of digitised records. The
following is a summary of requirements for ensuring reliable digital copies:
TO BE…
|
...DIGITAL
CAPTURE MUST BE
|
Authentic
|
the product of routine, authorized
copying and registration processes.
|
Complete
|
an accurate, legible reproduction
of the original that contains all intellectual and physical components of the
original without alterations to content.
|
Accessible
|
Available, searchable and readable
to all those with a right to access it, for as long as it is required.
|
Once
records are digitised, how will they be retrieved for use? How will the
structure of your electronic filing system fit with that of the hard copies? It
is important that records,
both the electronic and the paper versions are organised,
tracked, secure and retrievable in accordance with a record keeping system.
Record keeping systems facilitate the management of records throughout their lifecycle and minimize the risks associated with
poor record keeping such as loss of important documents. As stated before, your
electronic record keeping system can be a simple database programme or a
sophisticated system such as Documentum.
Record
keeping systems provide the tools necessary for records retention and disposal, metadata capture, classification of records and tracking and indexing.
Please refer to Functional
Requirements for Record Keeping Systems found through
ARMS
website:
http://archives.un.org/unarms/doc/arms_functionalrequirements_standard.pdf
4.3 Digitisation and Information
Sensitivity
While records digitisation can have many benefits it can also
present certain risks in relation to the protection of sensitive
information. Careful consideration should be given
before digitising records marked as “Strictly Confidential,”
“Top Secret,” or those containing sensitive personal information. Digitised
records containing sensitive information will require appropriate metadata;
security and access markers compliant with Secretary-General’s
bulletin ST/SGB/2007/6 on Information sensitivity, classification and handling,
to be incorporated into whatever system or database where the digitised records
will be stored. This is critical to ensure the records are only accessed by
those on a need to know basis, and to reduce the risk of possible unauthorised access to sensitive information.
During the digitisation process any security classified
records (hard copy and digital) should be kept separate from public or unclassified
records. This is done to ensure that classified records can be managed as a
separate group, in addition to being protected for future records declassification initiatives.
For
further information on records sensitivity and handling refer to Secretary-General’s bulletin ST/SGB/2007/6
on Information sensitivity, classification and handling and Secretary General’s bulletin ST/SGB/2007/5 on Record:-keeping and the management of
United Nations archives at:
http://archives.un.org/unarms/doc/ST_SGB_2007_5_eng.pdf
http://archives.un.org/unarms/doc/ST_SGB_2007_6_eng.pdf
To
facilitate future access and retrieval, records need to be organised and arranged
using taxonomies or a file plan and described
by record keeping metadata. Taxonomies
provide a structure for describing and organizing records based on their
function, while metadata describes the information about records, such as date,
origin and document type. A file plan or
classification plan identifies categories to aid in the arrangement of records. Records
being prepared for digitisation should correlate with the department or office
file plan or record keeping taxonomy. Arrangement refers to the physical
placement of records within groups according to the classifications of your
file plan. This
arrangement
will be replicated in your electronic record keeping system, once the records
have been digitised. Records should be scanned according to their original
physical arrangement. Electronic records
(digitised and born-digital records such as emails) require unique identifiers
or metadata elements to facilitate their management. Not all
metadata elements are mandatory. However, the more metadata captured, the more
complete your record, and the easier it will be to facilitate the management of
records.
The following is a list of metadata elements required by
ARMS and developed according to the International Standards Organisation (ISO
15836) and the Dublin Core Metadata Element Set:
METADATA ELEMENTS
OBLIGATION
Identifier
Mandatory
Title
Mandatory
Subject
Optional
Description
Optional
Creator
Mandatory
Date
Mandatory
Addressee
Mandatory
for email, Optional for other records
Record type
Mandatory
where applicable
Relation
Mandatory
where applicable
Function
Optional
but highly recommended
Mandatory
Language
Mandatory
Location
Optional
Security & Access
Mandatory
Disposal
Mandatory
Format
Mandatory
Preservation
Optional
Please consult ARMS for information on file plans,
classifications and taxonomies. For more information on metadata standards:
http://archives.un.org/unarms/doc/ARMS_Standard_Recordkeeping_Metadata_Final.pdf
http://dublincore.org/documents/2008/01/14/dces/
All UN records are subject to a
retention schedule, a guide that is part of your file plan that determines the
life cycle of a record. At the end of a
records life cycle, from active to semi-active to non-active the record will
either be destroyed or retained as archivesdue to its enduring historical
value. The disposal of physical and
electronic (digital) records requires authorization by ARMS through the
issuance of an approved records retention schedule. Records should not be digitised in lieu of
retaining paper versions unless the office or department has an approved
retention schedule authorizing their disposal. Image or
digitised copies of United Nations records are themselves UN records and are subject to the same rules and regulations
established by ST/SGB/2007/5 and ST/SGB/2007/6. Failure to follow these
regulations would constitute a breach of United Nations Policy. This applies to disposition of records in
accordance with retention scheduling. Physical and digital records that have
reached the end of their lifecycle can only be disposed in accordance with
established guidelines.
4.5.1 Disposal of Original Hardcopy Records
Physical records
that are to be kept (according to a records retention schedule) as United
Nations archives cannot be destroyed after scanning. ARMS should be consulted
regarding long-term storage and preservation of records that have enduring
historical value and are kept as archives. Even when disposition of records is authorised by a
records retention schedule there may be other considerations concerning disposition
of original hard copy records. Examples
of possible special requirements to retain the records in their original format
include:
·
a legal or operational rule that
relies on distribution of a hard copy record for annotation and/or signature;
·
the possible use in the future of
graphic materials e.g. posters, designs, photographs, brochures for display, or
·
clients’ expectations that they will
be able to access certain records relating to them in their original formats. An
example would be original records related to the International Criminal
Tribunals of Rwanda or Yugoslavia.
When
there is concern about possible risk for the destruction of an original hard
copy, ARMS should be consulted. When destruction has been approved by ARMS, original hard copy records should be retained until
quality control is complete and digitised versions are certified to be authentic, complete and accessible. A
good strategy for managing original hard copy records to be disposed after
digitisation is to:
·
establish a set period for keeping
original hard copy records for quality control purposes – e.g. 3 months, 6
months or 1 year - and apply it consistently;
·
ensure responsible staff are aware
of possible exclusions outlined above (e.g. records required for current legal
proceedings);
·
ensure that digital copies are being
registered into a record keeping system and properly sentenced using the
appropriate retention and disposal authority.
Staff
members responsible for digitisation projects should document the results of
their assessment of such requirements for retaining original hard copy records,
and obtain an approved records retention schedule from ARMS before commencing
routine destruction of records. Where original hard copy records are not
authorised for destruction, they should be registered in a record keeping
system for management and retrieval purposes and retained for their full
retention periods.
4.5.2.
Retention and Disposal of Digital Copies
There
are some principles to follow when and managing the image copies to ensure that
they continue to be authentic, complete and accessible:
·
capture of the image copies as
records into organisational record keeping systems;
·
management of the image copies under
the framework of ARMS’ record keeping rules and requirements;
·
keeping adequate record keeping
metadata to facilitate the records' preservation, use and retrieval;
·
careful planning for long term
accessibility of the images;
·
images should be kept in an
authorised record keeping system.
It
is important to note that records retention schedules apply to a record
regardless of its format. When a retention schedules authorises the disposal of
records after a certain period both physical, hardcopy, as well as any
corresponding digital copies of the records should be destroyed. Records
management software that is configured with records retention schedules has the
capability to manage the disposal of hardcopy and digital records.
Guidelines for secure records disposal can be found:
http://archives.un.org/unarms/en/unrecordsmgmt/unrecordsservices/recordstransferdisposal.html#id2
5. DOCUMENTING THE DIGITISATION PROCESS
Departments and offices must be able to certify that
their electronic records are accurate and complete. Altered digital copies are
not considered authentic and cannot be used as evidence of UN business.
Therefore, it is essential that all aspects of the digitisation process be well
documented including image enhancement techniques, use of security controls and
preservation techniques. It is possible that your
department or office may be called upon to justify its claims that its records
copied as digital images may be relied upon as evidence, either by a court of
law, an external investigative body or a member of the public. The measures
recommended to certify that authentic, complete and accessible digital capture are as follows: adherence to standards
set by organisational policy and procedures;
·
Application of relevant, complete
and accurate metadata (See section 4.4);
·
Implementation of procedures for
accommodating documents with incomplete metadata;
·
Use of 'read-only' controls in
network servers used for electronic storage;
·
Application preservation measures
and protection of electronic storage devices (optical discs, hard drives) from
deterioration;
·
Use of security controls such as
access passwords, encryption and audit trails to prevent any alteration of the
images;
·
Use of retention scheduling for
destruction, retention or transfer of records (See
section 4.5);
·
Application of security
classification for records that contain sensitive information (See section 4.3).
The
following table outlines the kind of information that should be retained for
documentation purposes:
KEEP
COPIES OF...
|
...TO
SHOW
|
United Nations policy and
procedures for record keeping and digitisation.
|
·
which records are digitised, destroyed, retained or transferred as
archives and,
·
verification of quality control measures.
|
The work plan outlining the digitisation system
|
·
that electronic storage and use of file formats were chosen to suit
the nature of the records and the organisation’s requirements and,
·
that image enhancement techniques are done such as retouching and
editing that may substantively alter the records.
|
Documentation of legislative or
business requirements that impact the retention, disposal or transfer of
records
|
·
reasons why originals should be retained by your organisation.
|
Planning documents for long term
accessibility of the digital copies
|
·
that all risks associated with digital records have been assessed and,
·
that measures are in place to ensure long term accessibility to the images and,
·
that digital records are managed in a trustworthy record keeping
system.
|
Documentation of disposal as
required by ARMS
|
·
that records (electronic and physical) are disposed in an authorised,
secure and accountable way.
|
6.
TECHNICAL SPECIFICATIONS FOR DIGITAL
IMAGING
ARMS requires that digitised
records meet the minimum technical specifications based on international
standards. Applying technical standards ensures the accurate reproduction of
United Nations records while also considering the cost and storage constraints.
There are three conditions that will determine
the quality of digital capture:
·
User
needs: access, web use and information sharing.
·
Archival
preservation: long-term storage for permanent records.
·
Re-formatting
such as document conversion for Optical Character
Recognition (OCR).
Digital records set for archival
storage require optimum preservation quality image capture. Digital records to
be used for information sharing and web use only, and that will not be retained
for an extended period of time, require a lower quality image capture with
smaller file sizes for ease of access. Likewise, reformatting or converting files for additional uses such as
OCR, can pose an additional set of requirements. In some cases it maybe
necessary to create an access copy (lower resolution, smaller file size designed
for sending files across the web or for continuous access) for information
sharing and a master copy (meeting
all technical specifications used for long term preservation with minimum
access) for long-term preservation and
reformatting. There are four attributes
that comprise required technical specifications for image quality:
·
Resolution: the number of
elements (dots, lines or pixels) that comprise an image.
·
Bit-depth: the number of
“colours” or “channels” used to represent tonal values.
·
Image
mode: defines an image according to its bit-depth and method for “describing”
colour.
·
File
format: the way in which a file is encoded to be read for specific
purposes.
6.1.1 Preservation Quality Digital Imaging
For long-term archival
preservation, ARMS recommends using standard PDF
(Portable Document Format) file format for black & white textual
documents with 1-bit-depth bi-tonal black & white mode, and a minimum resolution of 300 ppi (pixels-per-inch. Note that it is common to use dpi
or dots-per-inch when referring to digital images, though this is technically
incorrect). Currently, the International
Standards Organisation recommends using PDF/A for long term archival storage
archival storage because of its embedded metadata-capture capabilities.
However, ARMS recommends using the standard PDF format because of its
flexibility, accessibility and smaller file size. Textual documents with
additional details such as an official seal, simple graphics pencil and ink
markings require a minimum 8-bit depth greyscale or 24-bit depth colour. Documents with extensive graphics and photography will
require TIFF (Tagged Image Format) with a minimum bit-depth 8-bit
greyscale or 24-bit colour. Though, it is advisable to seek assistance from archivist when scanning speciality materials such as photographs for long term archival
preservation. ARMS advises against using JPEG (an image file format that can be non-lossy or lossy
compression depending on the type) as it
does not have the appropriate attributes for metadata capture, nor meets the
standards for archival preservation.
Please note that ARMS must be consulted about any
archival digitisation projects to ensure they are undertaken in accordance with
archival requirements and standards.
6.1.2 Access-Only Quality Digital Imaging
For information sharing such
as email and web use a smaller compact file size is needed without sacrificing
legibility. Reducing quality for the sake of file size can cause pixelation, so it is important to apply a visual
test to scans that are captured at the minimum required resolution and
bit-depth. ARMS suggests using, PDF,
1-bit-depth with a minimum resolution of 150 ppi for legibility to keep the
file size low. Where there are graphics
and photographic images, 8-bit greyscale or 24-bit colour RGB mode may be used with graphics and
photographic images; however the minimum 150 ppi should be maintained.
Conducting visual tests (simply viewing a scanned document magnified several
times on your computer screen) will help to determine the minimum resolution
for maximum legibility. JPEG is an adequate file format for information sharing
and web use.
Upon starting a digitisation programme there may be
instances where digital files for other uses besides access and archival
storage. For example, applying Optical
Character Recognition (OCR) to your digital scans. OCR is the electronic
translation of textual image documents into web searchable and editable
text. Digital records that undergo OCRing
should be 1-bit bi-tonal high resolution images for optimal result. OCR cannot
decipher graphic images or tonal gradation between pencil and ink. The minimum resolution should be 300ppi,
though higher resolution of 400 ppi is recommended to reduce the risk of pixilation.
Digitisation
requires a set of tools and resources such as scanners, imaging software, a
storage solution and available staff. Consider your budget and available
resources. The type of scanner chosen will depend on the document type and
volume of records. Likewise, your scanning and imaging software and file type
(PDF, JPEG etc) will also depend on the system you are using and your user
needs. Also consider whether it is more cost effective to hire a vendor.
Tools
required for digitisation as a record keeping measure:
·
Digital
scanner;
·
Imaging
and scanning software;
·
Electronic
record keeping system;
·
Electronic
records storage device, server;
·
Records
management programme with file plan, retention schedule and metadata schema.
Consult ARMS or your IT professional for more information on
digitisation tools.
For a complete set of
imaging specifications and imaging samples refer to Appendix 2. For more information on file formats
and standards please consult ARMS or your IT professional.
http://memory.loc.gov/ammem/about/techStandards.pdf
Consider
what kind of reliable long-term storage methods are available that will both
maintain the authenticity of the records as evidence and provide a means to
search and retrieve the records for access. The file format and size of the digitised records will help to determine
both your storage methods and your means of tracking, retrieving and viewing
them. Electronic records storage needs regular maintenance and is likely to
require data migration should your storage method become outdated or degraded.
No storage method is permanent, but some methods are better than others. For
this reason it is important that your storage method have a back-up in case of
failure. Some options
for
electronic records storage and storage back-up are:
·
Centrally
Managed Servers
·
Write
Once Read Many (WORM) optical media;
·
External
Hard Drives;
Electronic
storage should contain the follow functionalities:
·
Read-Only
versions;
·
Read
and present digital records in a readable form;
·
Restrict
or permit Access to appropriate parties;
·
Maintain
minimum necessary record keeping metadata.
Storage methods can be used in combination to ensure that
proper measures have been taken to back-up your system. ARMS strongly advises
against using CD-ROM for long-term storage of records. CD-ROM is an unstable
storage medium that is susceptible to
degradation and is impractical for record keeping
systems. Consult ARMS for information on
best practices for electronic storage.
Prior to
digitisation, each department should have completed records surveys to identify
the types (records series, classification)
of records that are created by each office and
department.
Once records series have been identified, selection of records to be digitised
can begin using the above criteria. Once there is an established set of records
to be digitised, materials should be prepared and organised to ensure that
record keeping standards are maintained throughout the process. The following
provides steps required for a digitisation work plan.
A sample of
the records survey can be found:
http://iseek.un.org/LibraryDocuments/579-200807111449595339956.xls
Or Consult the Record Keeping Taxonomy
available on ARMS website:
http://archives.un.org/unarms/en/unrecordsmgmt/unrecordsresources/recordkptaxonomy.html
7.1 Organising Records
for Future Retrieval
Whether
using a records management system to track records or implementing an ECM
platform, records digitisation is a strategy for managing records within the
context of a Department/Office wide records management programme.
7.2 Preparing Physical Files for Scanning
Extraneous stationery items such as fasteners and paper
dividers must be removed from records in preparation for digitisation. Any
additional preservation measures, such as photocopying frail items, can be
applied at this time.
·
Remove the following materials and
replace them with the clips and paper strips, then fold the paper strips back
to cover the clips, or replace them with the archival tapes if the file is too
thick: file clips, staples, plastic sleeves, bulldozer clips, metal binding
clips and rubber bands.
·
Remove the file additions such as
plastic or cardboard section dividers. If the section divider contains relevant
information, make a photocopy and place on file.
·
Remove coloured tags and post-it notes
from files. If the post-it note contains relevant information, make a photocopy
and place on file to be scanned.
·
Remove envelopes from file and place
the content/s of the envelope on file (in a sleeve first if it is a photograph
etc.)
·
If thermal fax paper or newspaper is
found on file, remove the thermal fax paper and newspaper, make a photocopy and
place the copy in the file. The original thermal fax or newspaper should be
destroyed. Note, disposal of newspapers or
thermal faxes that
are copied for preservation purposed do not need ARMS’ approval prior to
destruction.
·
Place photographs and other graphic
items such as drawings in archival plastic sleeves, and place them in the file.
·
If a large collection of photographs is
found in a file, please remove them from the file, place them in archival
plastic sleeves, create surrogate sheet and place in file and link the records
in the record keeping system. Consult with ARMS about separate storage for the
photographs.
·
If you come across records of different
media types other than paper, such as diskette, floppy disk, video tapes, audio
tapes, CDs, please contact ARMS for further guidance.
·
Documents that are clearly duplicates
or copies, and not annotated copies, can be removed from the file of disposed
of. This is only worthwhile if it is a value added exercise involving many
copies of the same document that are found on file.
7.3 Digitizing (Scanning) the Records
Staff
responsible for the actual scanning of records should be trained on records
handling, software usage and operation of tools. Contact ITSD or follow your
vendor’s instruction of information on software programmes and scanners. Other
preparation includes removing items such as staples and paper clips from
documents, as well as, applying special processes for items such as photographs
and large format maps. Again, it is
important that the original order of the
records be maintained according to the file plan. Any staples or paperclips
removed from scanning must be replaced to assure that the documents maintain
their context and order. Photographs or maps that are to be digitised
separately, must maintain their intellectual arrangement (those they are
scanned separately, they must be stored electronically and physically as they
were found). Remember to document all aspects of the digitisation process to
ensure records are complete, authentic and accessible.
7.4 Capturing
Digitised Records
Capturing
or attaching digitised records to an electronic record keeping system sometimes
poses one of the greatest challenges yet is one of the most important elements
of the process for future access, ease of retrieval and disposal. Electronic
records must correlate with their physical counterparts in structure,
description (taxonomies, classifications and series). This is where metadata capture becomes
increasingly important, because it allows digital records to be tracked.
Depending on the system you are using, whether a simple database programme such
as Microsoft Access or a high-end
records management solution such as Documentum,
the intellectual arrangement and context of your digitised records must be
maintained.
Industry
standards for digitisation recommend quality control measures such as periodic
testing and cleaning of scanning equipment, imaging calibration (e.g. “tuning”
your scanner or computer screen to match each other) and verification of
authenticity. The details of your quality control measure will depend on your
tools, such as software, scanners and electronic record keeping system. Quality
control measures should be applied throughout the process, preferably by an
assigned staff member who can chart any errors. This can include checking
individual files for any errors in arrangement, imaging or classification. For
large volumes, it is recommended that random sampling (5% to 10%) be applied. Image
quality of digitised records is a big concern, especially when using low
resolution, 1-bit black and white non-continuous tone image mode (also known as
line-copy). 1-bit B&W image mode “sees” only black and white, and cannot
distinguish grays such as pencil marks from ink type. Quality control of images
includes checking for:
·
smallest detail legibly captured
(digitise smallest type size for text; clarity of punctuation marks, including
decimal points);
·
completeness of detail (digitise
acceptability of broken characters, missing segments of lines);
·
dimensional accuracy compared with
the original;
·
scanner-generated speckle (e.g.
speckle not present on the original);
·
completeness of overall image area
(e.g. missing information at the edges of the image area);
·
density of solid black areas;
·
true colour rendition in the case of
colour images. Where digitisation
involves colour as an intrinsic part of the record, implementers should
consider including a standard colour sheet for calibrating your image capture
tools (such target sheets are commercially available from manufacturers such as
Fuji or Kodak, and comply with the ISO 12641 standard).
| Has an assessment been made on the benefits of digitisation in terms of access, preservation, storage, cost and business continuity? | |
| Have records been organised in accordance with a file plan for future retrieval? | |
| Are the records chosen for digitisation substantive? | |
| Are the records chosen covered by a records retention schedule? Is the retention period long enough to justify digitisation? | |
| Are there any damaged materials, photographs or irregular documents that may need special tools or assistance? | |
| Are there any records that have archival value? Has ARMS been contacted for consultation regarding archival materials? | |
| Has staff been trained in digital capture with all available tools and resources? | |
| Have the physical records been appropriately prepared for scanning? | |
| Is there a system in place for documenting all aspects of the digitisation process to ensure it meets record keeping standards? | |
| Is there a metadata capture schema in place? | |
| Have technical specifications for imaging been learned and applied? | |
| Have records been scanned in accordance with record keeping requirements? | |
| Are digital copies, authentic, complete and accessible? | |
| Is there a record keeping system for access, retrieval and tracking of records? | |
| Have all security measures been met in terms of records and information sensitivity? | |
| Is there a retention schedule in place to ensure the proper retention and disposal of both hardcopy and digital records? | |
| Is there an appropriate electronic storage medium(s)? | |
| Have records been captured into an electronic record keeping system? | |
| Have quality control measures been applied to all levels of the process? |
Appendix 1. ADDITIONAL RESOURCES FOR
CONSULTATION
Implementing
a digitisation strategy to your record keeping programme requires a lot of
research and planning. The following websites can help to understand the
various terms, tools and processes associated with digitisation and record
keeping systems.
The Society for
American Archivists (SAA):
Manual for Design and Implementing a
Record Keeping System (DIRKS) available through ARMS:
http://archives.un.org/unarms/en/unrecordsmgmt/unrecordsresources/recordkppoliciesandstds.html
Association for Image
and Information management (AIIM):
International
Standards Organisation (ISO):
The Dublin Core Metadata Initiative
The United States Administration on
Records and Archives
Library and Archives Canada
http://www.collectionscanada.gc.ca/index-e.html
National Archives of Australia
Appendix 2: TECHNICAL SPECIFICATIONS FOR DIGITAL IMAGING
Table of image quality
specifications
Document Type
|
Resolution
|
Bit Depth
|
File Formats
|
Compression
|
Text
only, black and white
|
Minimum
300ppi
|
1-bit
(bi-tonal)
|
TIFF,PDF,
or PDF/A
|
Non-lossy
compression
|
Documents
with watermarks, grey shading, grey graphics
|
Minimum
600 ppi
|
8-bit
greyscale
|
TIFF,PDF,JPEG,
or PDF/A
|
Non-lossy
compression
|
Documents
with discrete colour used in text or diagrams
|
Minimum
600 ppi
|
Minimum:
24-bit colour
|
TIFF,JPEG,PDF,
or PDF/A
|
Non-lossy
compression
|
Black
and white photographs
|
Sufficient
to provide >3000 pixels across long dimensions
|
8-bit
greyscale
|
TIFF,JPEG,
PDF, or PDF/A
|
Non-lossy
compression
|
Colour
photographs
|
Sufficient
to provide >3000 pixels across long dimensions
|
24-bit
colour
|
TIFF,JPEG, PDF, or PDF/A
|
Non-lossy
compression
|
Black
and white negatives
|
Sufficient
to provide >3000 pixels across long dimensions
|
8-bit
greyscale or 24-bit colour
|
TIFF,JPEG,PDF,
or PDF/A
|
Non-lossy
compression
|
Colour
negatives and transparencies
|
Sufficient
to provide >3000 pixels across long dimensions
|
24-bit
colour
|
TIFF,JPEG,PDF or PDF/A
|
Non-lossy
compression
|
Visuals Samples: Mode
The same document was scanned in the 3
different recommended modes as a visual reference. It is recommended that a visual
test be conducted as part of Quality Control measures to ensure legibility of
text, visibility of markings, reliability of reproduction. Note the file size
as a factor to consider when determining your mode and resolution.
1. 1-bit,
bi-tonal, 300ppi. File size, 173 kb.
2. 8-bit grayscale, 300ppi. File size, 442 kb.
3. 24-bit colour, 300ppi. File size, 716 kb.
Visual
Samples: Resolution
The same newspaper clipping was scanned at two different
resolutions to show how clarity and quality of the image is altered. Depending on the use of the image being
digitised, and the standards and requirements it may be subject to, either
resolution can be appropriate if file size is a concern.
a) Newspaper clipping scanned as grayscale at 300ppi. File
size: 920 kb.
b) Newspaper clipping scanned at 72ppi. File size, 71.2 kb.
