Category: Data/Information Keywords: Records Management, Digitization, Imaging, Image capture, Scanning, Process

Transcription

1 IMT Standards IMT Standards Oversight Committee Government of Alberta Effective Date: Scheduled Review: Last Reviewed: Type: Process Standard number A Digitization Process Category: Data/Information Keywords: Records Management, Digitization, Imaging, Image capture, Scanning, Process Description of Standard This standard describes the processes that ministries should implement for all digitization projects and must implement when the goal of the digitization project is to create digital business records: Whose authenticity and reliability are demonstrable, That are legally admissible in place of the Source Records, That are in compliance with CGSB (Canadian General Standards Board) , Microfilm and Electronic Images as Documentary Evidence, and That are available to be produced at all times. Standard Specification Terms Bibliographic Information: Information regarding the content and context of a document. It is created by the organization (possibly obtained from the Source Record) and aids in the retrieval of an image. Source: CAN/CGSB Microfilm and Electronic Images as Documentary Evidence Biographic Information: Information regarding image capture that may include the date captured, the time, the operator identification, the capture device identification and location and details of modification, if any. Source: CAN/CGSB Microfilm and Electronic Images as Documentary Evidence Digitization: The use of a scanner or similar equipment to convert documents to digitally coded electronic images suitable for electronic storage. Source: ANSI/AIIM TR Glossary of Document Technologies Enterprise Content Management (ECM): The strategies, methods and tools used to capture, manage, store, preserve, and deliver content and documents related to organizational processes. ECM tools and strategies allow the management of an INFORMATION SENSITIVITY: Unrestricted Page 1 of 7

2 organization's unstructured information, wherever that information exists. Source: What is Enterprise Content Management (ECM)?, AIIM (retrieved February 2015) Indexing: Identification of specific attributes of a document to facilitate retrieval. Source: ANSI/AIIM TR Glossary of Document Technologies Master Record: Source Records or image-produced records that have been designated by GoA authority to stand in the place of Source Records for all purposes. For records in a digital environment, the Master Record is the first generation electronic document or image capable of being used to produce duplicates. Source: ISO :2012, Electronic Imaging - Vocabulary Metadata: Structured information about data. Metadata describes, defines, explains, locates, and otherwise makes it easier to retrieve and use an information resource or data asset. Essentially, Metadata is anything that might influence the way in which the data or information is used. Source: Understanding Metadata National Information Standards Organization (NISO) Press (2004) Quality Assurance (QA): Similar to Quality Control (QC), but with the program independent of the production organization (Source: ANSI/AIIM TR2-1998, Glossary of Document Technologies). In the case of GoA digitization projects, it refers to the process of reviewing images (the content) and associated data (Metadata, etc.). QA should be conducted by personnel not directly involved in the digitization or Indexing of documents and may be conducted by an independent third party. This level of quality review is above the normal QC deployed to ensure that procedures met requirements. Quality Control (QC): The review of the processes being used, to ensure that they are meeting the project s requirements. It is defined as procedures, plans or actions used to ensure processes conform to established requirements, comply with standards and maintain confidence in integrity and accuracy. Source: ANSI/AIIM TR2-1998, Glossary of Document Technologies Records Retention and Disposition Schedules: A legal authority that describes the records under the control of a government organization, specifies how long and where records must be kept as they progress through the phases of their life cycle, and what the records final disposition will be at the end of their life cycle. Source: Records and Information Management Branch (RIMB) Glossary Secure Storage: Storage repositories of quality assured digital records that satisfy all relevant control objectives. Source: CAN/CGSB , Microfilm and Electronic Images as Documentary Evidence Source Record: The record itself or any facsimile intended by the author of the record to have the same effect. Source: CAN/CGSB , Microfilm and Electronic Images as Documentary Evidence Transitional Storage: Storage repositories used to hold digital records and related data temporarily (Source: CAN/CGSB , Microfilm and Electronic Images as INFORMATION SENSITIVITY: Unrestricted Page 2 of 7

3 Documentary Evidence). This may be used while records are being processed or prior to the records being transferred from the capture facility to the final repository. Digitization Process The following provides a brief overview of the main steps within the digitization process. Details of each step of the digitization phases and other relevant considerations can be found in the supporting documents. The digitization phases include: 1. Business analysis 2. Digitization program establishment and authorization 3. Preparation of original documents 4. Image capture and re-capture 5. Indexing and Metadata 6. Quality assurance 7. Image storage Issues to consider throughout digitization: 8. Records management requirements 9. Quality Control 10. Logging 11. Technical considerations 1. Business analysis A thorough feasibility and business analysis must be completed and approved by the appropriate role identified under the ministry s imaging directive or policy prior to starting the digitization project. The analysis should be based on electronic records management best practices and include a risk assessment. Records Retention and Disposition Schedules may need to be updated or created to incorporate electronic business records and this should be done in alignment with the ministry digitization program and overall IMT strategy. 2. Digitization Program establishment and authorization The digitization program should be planned, authorized and documented before starting a digitization process. The digitization program must include a digitization procedures manual and may include the development of contract specifications if digitization will be outsourced. The digitization procedures manual includes details relating to how digitization will proceed and the justification for why the ministry has selected the options outlined in the procedures. 3. Preparation of original documents Document preparation is the process where original documents are examined and prepared for digitization. The procedures performed to prepare original documents for digitization or to INFORMATION SENSITIVITY: Unrestricted Page 3 of 7

4 correct any issues either to the original documents or the digitized versions must be documented within the digitization procedures manual. 4. Image capture and re-capture Image capture and re-capturing is the process of scanning or otherwise capturing an image of the original document for digitization. Re-capture (or re-scanning) is implemented only when image quality fails the Quality Control or Quality Assurance checks. If the digitized images require a recapture, then the re-captured images and associated Metadata must proceed through Quality Control and, where applicable, Quality Assurance again. 5. Indexing and Metadata Indexing and Metadata are used to describe business objects or resources and must be retained for at least as long as the records to which they relate. The digitization process includes four phases where Indexing must be applied. The phases are: Scanning Re-scanning Quality Assurance Data Transfer There are two types of Indexing information that are pertinent to these specifications: Biographical and Bibliographical. See Digitization Technical Requirements Standard (A000013) for further details regarding Indexing. Metadata may be used as a means of Indexing electronic records. 6. Quality Assurance Quality Assurance is the process of verifying images or determining whether digitization quality and associated Indexing within a digitization project meets expectations. Quality Assurance must be conducted by personnel not directly involved in the digitization or Indexing of documents and may be conducted by an independent third party if required. This level of quality review is above the normal Quality Control deployed as part of the digitization process (refer to the Quality Control section, below) and must be proven via audit logs, which include details such as: Quality Assurance operator, date, and whether the image passed or failed the test. A subset size of 5-10% of the total volume digitized is the required minimum Quality Assurance level, though the project s risk assessment may indicate a need for more. It is recommended that a statistical probability assessment be undertaken and documented, which will provide a procedure for calculating appropriate sampling based on either total annual imaging activity or total image project population. Acceptable margins of error and what constitutes an error must also be documented. 7. Image storage Once an image has met all required quality checks, it must be moved to Secure Storage immediately. INFORMATION SENSITIVITY: Unrestricted Page 4 of 7

5 Depending on the project requirements and legal or records management policies, some digitization processes may require a certification step where the digitized image is certified as being complete and correct before it can be deemed as final. Digitized images may be moved to Transitional Storage before being moved to the final storage location, but even temporary storage must be secure. 8. Records Management requirements Throughout the planning and implementation of a digitization project, records management requirements must be taken into consideration to ensure that they are being met for both the original source documents (Source Records) and the digitized documents. 9. Quality Control Quality Control must be considered and implemented throughout the digitization phases. The specific checks within the Quality Control phase must be documented within the digitization procedures manual to reduce the risk of insufficient image quality and inaccurate Index information. Digitization solutions deploying system generated Metadata are subject to validation during system design analysis and user acceptance testing. The process to ensure Quality Control of system generated Metadata must be documented in the digitization procedures manual. 10. Logging To ensure that there is the ability to review phases, track documents and processes, and provide an auditable trail, logging should be implemented throughout the digitization process. 11. Technical considerations Refer to the Digitization Technical Requirements Standard A for details and requirements. Where to Apply This Standard This applies to all Government of Alberta ministries, boards, agencies, and commissions. Authority and Exceptions Verify individual Ministry Acts to determine any specific exclusions This standard applies to all records, as described in the Description of Standard section Records excluded from the Electronic Transactions Act, S.A. 2011, c. E-5.5, section 7(1) and (2) may be digitized, but legal recognition of the digital version is not guaranteed, as per the Act. These records include: o Wills and codicils o Trusts created by wills or codicils o Enduring powers of attorney under the Powers of Attorney Act INFORMATION SENSITIVITY: Unrestricted Page 5 of 7

6 o Personal directives under the Personal Directives Act o Records that create or transfer interests in land, including interests in mines and minerals o Guarantees under the Guarantees Acknowledgment Act o o o Negotiable instruments Records that are prescribed, or that belong to a class that is prescribed, as records or a class of records to which the Act does not apply Documents of title, with some exceptions (refer to the Act for details) Supporting Documentation Digitization Technical Requirements Standard A Government of Alberta IMT Standards. Preparation of Record Schedules for the Disposition of Imaged Sourced Records Digitization Chain of Custody (RIM0001) Digitization Document Preparation (RIM0002) Digitization Program Required Documentation (RIM0003) Digitization Quality Assurance (RIM0004) Digitization Recommended Practice (RIM0005) Digitization Frequently Asked Questions (RIM0006) Digitization Indexing Field Descriptions (RIM0007) Digitization Program Business Analysis (RIM0008) Digitization Procedures Manual Guide References What is Enterprise Content Management (ECM)?, AIIM (retrieved February 2015) ANSI/AIIM TR2-1998, Glossary of Document Technologies CAN/CGSB , Microfilm and Electronic Images as Documentary Evidence CAN/CGSB , Electronic Records as Documentary Evidence ISO :2012, Electronic Imaging - Vocabulary ISO/TR 15801:2004, Electronic Digitization Information Stored Electronically Recommendations for Trustworthiness and Reliability Records and Information Management Branch (RIMB) Glossary WordNet 2.1, Princeton University (2005) Owner Service Alberta, Information Management Branch SA.InformationManagement@gov.ab.ca Contact IMT Standards at imt.standards@gov.ab.ca INFORMATION SENSITIVITY: Unrestricted Page 6 of 7

7 Additional Information Audience Source Sensitivity Government of Alberta Service Alberta, Information Management Branch Unrestricted Proposed Date Proposed By Service Alberta, Open Government Laurel Frank, Executive Director Information Management Branch (780) INFORMATION SENSITIVITY: Unrestricted Page 7 of 7