Standard

April 2009

Record-keeping Requirements
for Digitization

Approved by: Bridget Sisk

Approval date: April 2011
Contact: Tony Newton ([email protected])
Review date:
 Standard

Record-Keeping Requirements for Digitization

Contents:

1. Introduction ………………………………………………………………………………...3

2. Purpose and Scope ……………………………………………………………………….4

3. Planning for Digitization ………………………………………………………………….4

3.1 Value Assessment for Records Digitization
3.2 Defining Record-Keeping Requirements for Digitization
3.3 Retention and Disposition of Records
3.4 Organising Records
3.5 Sensitive Information
3.6 Metadata Requirements
3.7 Documentation Requirements
3.8 Technical Requirements
3.9 In-House or Off-Site Digitization
3.10 Training Requirements

4. Processes Occurring Prior to Digitization ………………………………………….. 15

4.1 Record-Keeping Requirements
4.2. Documentation Requirements
4.3 Information Technology Requirements
4.4 In-House or Off-Site and Training Requirements

5. Digital Conversion ………………………………………………………………………. 17

5.1 Preparing Physical Files for Scanning
5.2 Fragile or Special Format Records
5.3 Capturing Digitised Records into a Record-Keeping System

6. Post Digitization …………………………………………………………………………. 18

6.1 Quality Checking and Control
6.2 Evaluation and Revision of Digitization Processes
6.3 Testing Access to Digital Images
6.4 Applying Retention Policy to Digital and Hard Copy Records

7. Digitization Checklist …………………………………………………………………….20

2
ANNEXES

Appendix 1. Technical Specifications for Image Quality …………………………… 22

Appendix 2. Technical Specifications Table and Visual Samples ………………… 24

Appendix 3. Additional Resources for Consultation …………………………………27

3
1. INTRODUCTION

Digitization is the process of converting any physical or analogue item, such as a paper record,
photograph or graphic items, into an electronic representation or image that can be accessed
and stored electronically.

In the context of these requirements, digitization of UN records should be done to supports UN

objectives for organisational transparency, knowledge sharing and business continuity by
providing better access to, and faster retrieval of information, and more cost effective storage of
UN records.

In general, digitization is usually undertaken for the following three reasons:

• Reduction of Paper Records and Business Continuity

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 part of a disaster
mitigation strategy.

• Better Information Sharing

Records digitization and increased use of electronic records improves information

sharing by allowing access to digital information on web sites, records and information
management systems and by allowing efficient dissemination of information through
email and other forms of communication. Electronic records can support more efficient of
information access and sharing

• Archival Preservation

Digitization offers a strategy 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 any
archival preservation initiatives should be coordinated with ARMS.

A departmental or office digitization programme will follow one or more of these strategies.

2. PURPOSE AND SCOPE

By implementing these requirements United Nations departments and offices will be able to
establish a programme for the authentic, complete and accessible digital capture of United
Nations’ paper records. These requirements identify the necessary resources and standards to
implement a compliant records digitization programme for the purposes of good record keeping,
archival preservation, and business continuity planning.

The digital capture and the conversion of audio visual materials such as videotape or audiotape
recordings is not within the scope of these requirements. Also outside the scope of these
requirements is the management of born-digital (electronic) records. For information on the
management of born-digital (electronic) records please visit the website of the Archives and
Records Management Section at: [email protected].

4
3. PLANNING FOR DIGITIZATION

The digitization process can be divided into four main phases:

1. Project Planning for Digitization

2. Processes Occurring Prior to Digitization

3. Digital Conversion

4. Post Digitization Work

Records digitization is a strategy that should be undertaken as part of an overall records

management programme. Digitization should not be a stand alone initiative. Therefore, when
determining what records should be set for digitization there are a number of critical planning
issues to consider before commencing records scanning.

Given the scale of many paper records holdings, digitization initiatives need the most cost-
effective and efficient complement of approaches and tools to achieve the long-term
preservation of and access to records.

3.1 Value Assessment for Records Digitization

A records digitization programme offers strategic benefits for storage costs, information sharing,
paper reduction and preservation. These benefits form the basis for establishing a value
assessment for digitization. The following table offers information to assist in determining
whether to proceed with a digitization plan:

VALUE ADDED
REQUIREMENT COMMENTS
BENEFIT
If the records are frequently
accessed and used
Enhanced Access The records are in constant use digitization can support
and Information and accessed frequently by better information sharing
Sharing many people. and ease of dissemination
electronically.

The records have lasting Digitization is a strategy

historical value or they are still that is often used for older
active or semi-active but in a archival records that are in
Preservation and fragile condition. danger of damage due to
Protection of aging, or to create a digital
Archives The records are vital records that master or access copy for
must be protected as a disaster unstable or damaged
mitigation strategy. materials.

5
 Digitization can be used in
situations when storage of
Records storage costs outweigh
physical records is either
the benefit of keeping physical
too costly or unavailable
records of temporary value.
due to moving locations or
lack of space.
There are conditions that prevent
Reduction of
the storage of temporary
Paper Records Records retention and
physical records, such as a lack
and Business disposal policy must be
of space.
Continuity applied to digital and hard
copy records.
Your office is implementing an
electronic recordkeeping solution
Digital copies of hard copy
that will facilitate increased use
records can be used for
of electronic records.
back up and business
continuity purposes.

In addition to the above, when undertaking a value assessment of records digitization the
following issues should be considered:

• Published materials, UN parliamentary documents 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 digitization. For example,
convenience or reference copies of official UN Official Documents (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 digitization
than others. For example, large format records and/or those 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 digital format 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 fragile.

3.2 Defining Record-keeping Requirements for Digitization

The value of a digitised record is dependent on the content, the 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.

3.2.1 The Electronic Copy as Record

Record-keeping standards require that records be authentic, complete and accessible to

be relied on as evidence. Departments and offices may be required to prove the

6
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

The product of routine, documented,

Authentic
authorized copying and registration processes.
Accurate, legible reproduction of the original
that contains all intellectual and physical
Complete components of the original without alterations
to content.

Available, searchable and readable to all

those with a right to access it, for as long as it
Accessible
is required.

In order to achieve the qualities of authenticity, completeness and accessibility

departments and offices must ensure that records digitization efforts are undertaken as
part of an overall record-keeping programme. A recordkeeping programme consists of
recordkeeping polices, standards, procedures and guidelines, staff members who are
qualified and experienced in records management, and robust, reliable technology to
support recordkeeping.

A critical part of the planning stage is incorporating good record-keeping practices in to

records digitization initiatives through the identification of record-keeping requirements
and tools that will ensure digitised records will have the same evidentiary qualities listed
above that should be inherent in hard copy original records.

3.2.2 Deciding on a Record-Keeping System

Once records are digitised, consideration will need to be given on how they will be
retrieved for use, on how the organisation of your electronic system relates to the system
used to manage hard copy records. It is important that electronic and hard copy records
are organised, tracked, secure and retrievable within 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 or
inaccessibility to records. Record-keeping systems provide the tools necessary for
records retention and disposal, metadata capture, records classification, tracking and
indexing.

For more information on solutions that are available to support record-keeping please
consult with OICT, for record-keeping requirements please refer to Functional
Requirements for Record-Keeping Systems on the ARMS website.

During the planning stages of digitization project teams should examine and address
requirements for records classification, record-keeping metadata requirements
information security, and records disposition that will be required support digitization
efforts.

7
 These requirements are addressed in detail below. For more information about record-
keeping requirements please see ARMS website at: [email protected].

3.3 Retention and Disposition of Records

All UN records are subject to records retention policy. At the end of a records life cycle, when a
record progresses from active to semi-active to non-active, the record will either be eventually
destroyed or retained as archives due to its enduring historical value. The disposal of physical
and electronic (digital) records requires authorisation by ARMS through the issuance of an
approved records retention schedule. Records should not be digitised and paper originals
disposed of unless the office or department has specific approval from ARMS authorising the
disposal of original hard copy records after digitization. Please see below for further information

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 records policy. Physical
and digital records that have reached the end of their lifecycle can only be disposed in
accordance with established guidelines.

If records are to be retained for 2 years or less, according an ARMS approved records retention
schedule, it is probably not be worth the expense of digitization unless the records are very
frequently accessed. For more information on retention scheduling see:

http://archives.un.org/ARMS/retention-schedules

3.3.1 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 without ARMS approval.
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 the original Court records
related to the International Criminal Tribunals of Rwanda or Yugoslavia.

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

8
 authentic, complete and accessible. A good strategy for managing original hard copy
records to be disposed after digitization 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 digitization projects should document the results of their
assessment of such requirements for retaining original hard copy records, and obtain an
approval 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.

3.3.2 Retention and Disposal of Digital Copies

There are some principles to follow when and managing the imaged 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;

It is important to note that records retention schedules apply to a record regardless of its
format. When a retention schedule authorises the disposal of records after a certain
period, both hardcopy records, as well as any corresponding digital copies of the records
should be destroyed. Records management software that is configured with records
retention functionality has the capability to manage the disposal of hardcopy and digital
records. Guidelines for secure records disposition can be found:

3.4 Organising Records

Good organization of records is critical to successful records digitization. Remember that an

unorganized mess of hard copy records will only become and unorganized digital mess after
digitization. To facilitate future access and retrieval, records need to be organised and arranged

9
using a file classification scheme. File Classification Schemes provide a structure for describing
and organizing records based on their function and activity. A file plan or classification plan
identifies categories to aid in the arrangement of records.
Records being prepared for digitization should correlate with the department or office file
classification scheme. Arrangement refers to the physical placement of records within groups
according to your file classification scheme. This arrangement should be replicated in your
electronic record keeping system, once the records have been digitised. Records should be
scanned according to their original physical arrangement and order. It is critical that records be
organized before digitization commenced. Where records are organized according to some
scheme it is essential that the original order of the records is maintained with the digital records
after digitization.

An essential requisite for developing a file classification scheme is for each department or office
to undertake records surveys to identify the types (records series, classification) of records that
may be eligible for digitization. This information provides a basis for developing a file
classification scheme.

If your Department or Office does not have a file classification scheme please contact ARMS for
advice on: [email protected].

3.5 Sensitive Information

While records digitization 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 ST/SGB/2007/6, 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 authorized to access the records, and to reduce the risk of possible
unauthorised access to sensitive information. This information can be management in the form
of an information security plan that identifies records series and their corresponding information
sensitivity levels.

During the digitization 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 the following SGBs at
ST/SGB/2007/5, ST/SGB/2007/6, and the Information Sensitivity Toolkit.

3.6 Metadata Requirements

All records, hard copy and electronic records (digitised and born-digital records such as emails)
require unique identifiers or metadata elements to facilitate their management. Metadata is
information about records, such as their date, title, description, security classification, retention,
etc. 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 and access
to records.

10
The following is a list of recordkeeping metadata elements required by ARMS and was
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
Aggregation Mandatory
Language Mandatory
Location Optional
Security & Access Mandatory
Disposal Mandatory
Format Mandatory
Preservation Optional

For more information on metadata standards:

http://dublincore.org/documents/2008/01/14/dces/

3.7 Documentation Requirements

Departments and offices must be able to certify that their electronic records are accurate,
unalterable 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 digitization
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 digital
records may be relied upon as evidence, either for legal purposes, or by an external
investigative body or by 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;

11
 • 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;

• application of security classification for records that contain sensitive information

3.8 Technical Requirements

3.8.1 Determining on Technical Specifications for Digital Imaging

ARMS requires that digitised records meet the minimum technical specifications for
image quality based on UN and international standards. Applying technical standards
ensures the accurate reproduction of United Nations records while also considering the
levels of access requirements and the cost of electronic storage.

For detailed information technical specifications for image quality please see Appendix
1.

3.8.2 Deciding on Optical Character Recognition (OCR)

Upon starting a digitization programme there may be instances where digital files are
used for other purposes 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 an OCR process should be 1-bit none-continuous tone 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.

3.8.3 Determining Digitization Tools and Resources

Digitization 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.
Scanning and imaging software and file type (PDF, JPEG etc) will also depend on the
system you are using and your user needs.

12
Tools required for digitization include:

• 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 and your IT professionals for more information on digitization tools.

For a complete set of imaging specifications and imaging samples refer to Appendix 1.
For more information on file formats and standards please consult ARMS or your IT
professional.

http://memory.loc.gov/ammem/about/techStandards.pdf

3.8.4 Determining Electronic Storage Requirements

Consider what kind of reliable long-term storage methods are available that will both
maintain the authenticity of the records as evidence, protection of sensitive information,
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.

13
 Consult with ARMS for information on best practices for electronic storage.

3.9 In-House of Off-Site Digitization

This step involves deciding whether the digitization will be done in-house by UN staff members
or in house by consultants or off site by a vendor. There are advantages and disadvantages
with the three approaches.

Method Advantages Disadvantages

In-house by staff The most risk free way of Very resource intensive
digitizing records containing option that requires staff to
sensitive information as there is be available full time or for
less risk of unauthorized access most of the time for records
to sensitive information. digitization.

Less risk of damage to records Project management and

as they remain on-site. quality control checking
would need to be done by
UN staff has complete control UN staff members, often in
over the digitization process. addition to performing other
duties.

Likely to be less digitization

expertise in-house.
Requires space for records,
equipment and staff.

In-house by Allows UN staff members to Department and offices

consultant focus on project management would need to budget for
and/or quality checking of consultants costs.
digitised images.
UN staff members need to
Less risk of damage to records allocate time for project
as they remain on-site. oversight and quality
checking.
Less risk of non UN staff
accessing sensitive information if Requires on-site space for
confidentiality clause is in records, equipment and
contract. staff.
Off-site by vendor Does not require space in UN No UN oversight of
premises process.

Digital images can be sent Risk of damage to records

regularly to the UN for quality during moving.
checking
High risk of unauthorized
The least resource demanding in access to records that are

14
 terms of UN staff involvement. classified as Confidential or
Strictly Confidential.

3.10 Training Requirements

The final step during the planning stage of digitization is to identify training and change
management requirements, particularly if the decision is to do the digitization in-house by UN
staff members, or in-house using a consultant. A training programme should be developed that
addresses the following issues:

• Overview of the digitization initiative, its size, timeframe, purpose and desired outcomes,
project manager;

• Proper use of digitization hardware and software;

• Digital image formats;

• Proper records handling techniques to avoid damage to records;

• The use of a file classification scheme for organizing images;

• Maintaining the records in their original order;

• How to identify and process records containing sensitive information;

• Digitization documentation requirements;

• How to identify and process records that require specialised digitization techniques, such
as photographs or large format records;

• Standards and procedures for quality control checking;

• Varying work to avoid fatigue from repetition.

4. PROCESSES OCCURRING PRIOR TO DIGITIZATION

The following processes should have been completed prior to commencing digitization of
records.

4.1 Record-Keeping Requirements

Records Survey You have surveyed and analysed the records and
determined that digitization is a beneficial, value added
exercise.

Records Retention & You have an ARMS approved records retention schedule
Disposition that has been applied to all records to assess their eligibility

15
 for digitization.

Organising Records Records have been classified and organised according to a

file classification scheme.

Information Security Records containing sensitive information have been

identified and appropriate protection and security measure
have been put in place for hard copy and digitised records.

Metadata All record-keeping and other technical metadata elements

have been identified and documented

4.2 Documentation Requirements

Which records are digitised, destroyed, retained

United Nations policy and
or transferred as archives.
procedures for record keeping and
digitization.
Verification of quality control measures.

Ensure that electronic storage and use of file

formats were chosen to suit the nature of the
records and the organisation’s requirements.
The work plan outlining the
digitization system
Ensure that image enhancement techniques are
done such as retouching and editing that may
substantively alter the records.
Documentation of operational or
business requirements that impact Reasons why originals should be retained by
the retention, disposal or transfer of your organisation.
records
Ensure that all risks associated with digital
records have been assessed.

Planning documents for long term Ensure that measures are in place to ensure long
accessibility of the digital copies term accessibility to the images.

Ensure that digital records are managed in a

trustworthy record keeping system.
Documentation of disposal as
Ensure that records (electronic and physical) are
required by ARMS
disposed in an authorised, secure and
accountable way.

16
4.3 Information Technology Requirements

Record-Keeping System You have selected a system that meets

ARMS’ record-keeping requirements.
Technical Specifications You have selected digital format standards
for preservation and/or access only
digitization.
Electronic Storage You have consulted with OICT to select
the most appropriate and cost effective
storage
Optical Character Recognition (OCR) You have made done an analysis and
made a decision on whether to OCR the
records or not.
Digitization software and hardware You have acquired appropriate scanners,
digitization and related software

4.4 In-House or Off-Site Digitization and Training Requirements

Digitization is being done in house or You have undertaken a value assessment

off site and decided whether to have the
digitization done in-house by UN staff
members, in-house using consultants, or
off-site using a vendor.
Training and change management You have identified and documented all
requirements training and change management
requirements

5. DIGITIAL CONVERSION

5.1 Preparing Physical Files for Scanning

The following is a list of preparatory tasks that must be undertaken on records prior to
digitization commencing. Any additional preservation measures, such as photocopying fragile
items, can be undertaken at this time.

• Remove the following materials: file clips, staples, plastic sleeves, clips, metal clips and
rubber bands. Replace them with the stainless steel paper clips placed around paper
strips on the document, or replace them with the archival tape if the file is too thick for a
clip.

• Remove file dividers such as plastic or cardboard section dividers. If the section divider
contains relevant information, make a photocopy and place on file.

17
 • 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 that the disposal of newspapers or thermal faxes
that are copied for preservation purposed do not need ARMS’ approval prior to
destruction.

• Documents that are clearly duplicates or copies, and not annotated copies, can be
removed from the file of disposed of. Please note that this is only worthwhile if it is a
value added exercise involving many copies of the same document are found on file.

5.2 Fragile and/or special format records

If a large collection of photographs is found in a file, remove them from the file, place them in
archival plastic sleeves, create a surrogate sheet and place it in the file, and link the records in
the record-keeping system. Place photographs and other graphic items such as drawings in
archival plastic sleeves, and place them in the file. Consult with ARMS about separate storage
for the photographs.

If you come across records of different media types other than paper, such as diskettes, floppy
disks, video tapes, audio tapes, CDs, please contact ARMS for further guidance.

5.3 Capturing Digitised Records into a Record-Keeping System

Capturing digitised records in a record keeping system 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 (file 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, the intellectual arrangement and
context of your digitised records must be maintained.

6. POST DIGITIZATION

6.1 Quality Checking and Control

Quality control measures include 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 an electronic record keeping system.

18
Quality control measures for checking digital images 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 greys 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 digitization involves
colour as an intrinsic part of the record, you 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 that
comply with the ISO 12641 standard).

6.2 Review, Evaluation and Revision of Digitization Processes

As in any other process it is productive to review the digitization process and evaluate how
effective it has been. This is an opportunity to identify any redundancies, inefficiencies or
problems in the process and revise and enhance the process accordingly. Any changes to the
process must be reflected in an updated training programme.

6.3 Testing Access to Digital Images

It is important to test retrievability of and access to digital images that have been captured into
database, server or some other electronic storage system. A retrieval exercise involving a
sample of digitised records should suffice.

6.4 Applying Retention Policy to Digital and Hard Copy Records

Ensure that decisions have been made in relation to the retention and disposition of image copy
and hard copy records. Please note that hard copies of records that are to be kept as archives

19
 because of their historic value must not be destroyed. Please consult with ARMS about
transferring these records to ARMS custody.

Also not that records retention schedules apply to all records regardless or format. In terms of
digitization this means that a retention action applied to a hard copy records also applies to its
corresponding digital copy.

7. DIGITIZATION CHECK-LIST

1.
Planning for Digitization

1.1 A value assessment been made on the benefits of digitization that relate to access,
preservation, storage, cost and other resource requirements and business continuity
requirements.

1.2 Requirements for digital copies to be authentic, complete and accessible have been
identified.

1.3 There is an approved records retention schedule, or the need for a records retention
schedule has been identified. There is a plan for retention/disposition of original hard
copy records, and a retention policy for digital copies.

1.4 There is a file classification scheme for future retrieval purposes or have identified
the need for one.
1.5 Information sensitivity issues have been identified.

1.6 Metadata requirements to facilitate future access, security and preservation have
been identified.

1.7 Adequate digitization documentation process requirements have been identified.

1.8 Technical specifications for image quality have been identified for future retrieval and
retention purposes.

1.9 Electronic storage requirements and costs have been identified and calculated.

1.1 A decision has been made of whether to proceed with in-house digitization, in house
0 by consultant or off-site by vendor.
1.1 Digitization training requirements for staff members have been identified.
1

2. Processes Occurring Prior to Digitization

2.1 You have a record-keeping system in place.

2.2 An ARMS approved records retention schedule has been implemented.

2.3 Records have been organized according to a file classification scheme.

20
2.4 An information sensitivity plan has been completed and records have marked
according to ST/SGB/2007/6.

2.5 A metadata schema is in place.

2.6 Staff has been trained and internal quality checking controls are in place.
2.7 Technical specifications for digital images are agreed and configured in the system.

2.8 Optical Character Recognition (OCR) software has been acquired (if needed).

2.9 Adequate electronic storage has been acquired

.
3. Digital Conversion
3.1 The physical records are prepared for scanning.

3.2 Damaged or fragile records have been identified for special treatment.

3.3 Digital records and metadata are being captured into an electronic record-keeping
system.

4. Post Digitization Work

4.1 Quality control measures on digital images and equipment have been applied to all
levels of the process.

4.2 The digitization process has been reviewed and any identified enhancements have
been implemented.

4.3 Access to and retrieval of digital images has been tested.

4.4 Retention and disposition policy has been applied to digital and hard copy records.

21
Appendix 1: Technical Specifications for Image Quality

Image Quality

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 that are to be retained as archives 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.

Technical specifications for image quality are made up of four attributes:

• 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.

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).

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. It is advisable to seek advice from
ARMS when scanning speciality materials such as photographs for long term archival
preservation.

22
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.

Access-Only Quality Digital Imaging

For information sharing using email or the Internet a smaller compact file size is needed without
sacrificing legibility. Reducing quality for the sake of file size can cause pixilation, 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.

23
 Appendix 2: TECHNICAL SPECIFICATIONS Table and Visual Samples

DOCUMENT TYPE RESOLUTION BIT DEPTH FILE FORMATS COMPRESSION

Text only, black and Lossless

Minimum 300ppi 1-bit (bi-tonal) TIFF,PDF, or PDF/A
white compression

Documents with
watermarks, grey TIFF,PDF,JPEG, or Lossless
Minimum 600 ppi 8-bit greyscale
shading, grey PDF/A compression
graphics

Documents with
Minimum: 24-bit TIFF,JPEG,PDF, or Lossless
discrete colour used Minimum 600 ppi
colour PDF/A compression
in text or diagrams

Sufficient to provide
Black and white TIFF,JPEG, PDF, or Lossless
>3000 pixels across 8-bit greyscale
photographs PDF/A compression
long dimensions

Sufficient to provide
TIFF,JPEG, PDF, Lossless
Colour photographs >3000 pixels across 24-bit colour
or PDF/A compression
long dimensions

Sufficient to provide
Black and white 8-bit greyscale or TIFF,JPEG,PDF, or Lossless
>3000 pixels across
negatives 24-bit colour PDF/A compression
long dimensions

Sufficient to provide
Colour negatives TIFF,JPEG,PDF or Lossless
>3000 pixels across 24-bit colour
and transparencies PDF/A compression
long dimensions

24
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 greyscale, 300ppi. File size, 442 kb.

3. 24-bit colour, 300ppi. File size, 716 kb.

25
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 greyscale at 300ppi. File size: 920 kb.

b) Newspaper clipping scanned at 72ppi. File size, 71.2 kb.

26
Appendix 3: ADDITIONAL RESOURCES FOR CONSULTATION

Implementing a digitization strategy to meet your record keeping needs requires a lot of
research and planning. The following websites can help to understand the various terms, tools
and processes associated with digitization and record keeping systems.

The Society for American Archivists (SAA):

http://www.archivists.org/

Manual for Design and Implementing a Record Keeping System (DIRKS) available through
ARMS:

Association for Image and Information management (AIIM):

www.aiim.org

International Standards Organisation (ISO):

www.iso.org

The Dublin Core Metadata Initiative

http://dublincore.org/

The United States Administration on Records and Archives

www.archives.gov

Library and Archives Canada

http://www.collectionscanada.gc.ca/index-e.html

National Archives of Australia

http://www.naa.gov.au/

How digital records and metadata will be used in access systems and stored in digital
repositories.

27