DIGITAL IMAGING DIGITAL IMAGING What Every Archivist and What Every Archivist and

Records Officer Should KnowRecords Officer Should Know

Presented by Presented by

Kelly EubankKelly EubankBarbara TookeyBarbara Tookey

November 13, 2006November 13, 2006

Purpose for Discussing Purpose for Discussing ImagingImaging

Imaging projects are popping up Imaging projects are popping up all of our campuses all of our campuses

Record management concerns Record management concerns need to be brought up and need to be brought up and addressed sooner rather than addressed sooner rather than later later

Identify records that may require Identify records that may require special attention to meet special attention to meet retention requirements retention requirements

Goal of Records Goal of Records ManagementManagement

““The ultimate goal of records The ultimate goal of records management is to ensure that at management is to ensure that at no point during its life cycle will no point during its life cycle will the fate of the record be left to the fate of the record be left to chance; the record is managed or chance; the record is managed or controlled at every stage.”controlled at every stage.”

Philip C. Bantin, Indiana UniversityPhilip C. Bantin, Indiana UniversityRecords Management in a Digital WorldRecords Management in a Digital WorldEducause Center for Applied ResesarchEducause Center for Applied Resesarch

Volume 2002, Issue 16 Volume 2002, Issue 16 August 6, 2002August 6, 2002

The Positives of ImagingThe Positives of Imaging

In many cases, imaging makes excellent business In many cases, imaging makes excellent business sense.sense.

Acknowledge the positives of imagingAcknowledge the positives of imaging– Streamlines and speeds up business processesStreamlines and speeds up business processes– Facilitates sharing information with multiple usersFacilitates sharing information with multiple users– Easily accessibleEasily accessible– Easily storedEasily stored– SearchableSearchable– Frees up physical space Frees up physical space – Creates efficienciesCreates efficiencies– Can be cost effective Can be cost effective – Disaster recoveryDisaster recovery

Some Concerns About Some Concerns About ImagingImaging Some of the concerns associated with Some of the concerns associated with

digital imagingdigital imaging– Proper indexing can be complicated and time Proper indexing can be complicated and time

consumingconsuming– Was the imaging done correctly?Was the imaging done correctly?– ConfidentialityConfidentiality– Security Security – Records need to be reliable and authentic Records need to be reliable and authentic – Loss of data (accidental, intentional, migration…)Loss of data (accidental, intentional, migration…)– Long-term storage Long-term storage – Off-line storage media deteriorationOff-line storage media deterioration– Purging images from systemPurging images from system

Digital Preservation Digital Preservation Management-OverviewManagement-Overview IngestIngest, or acceptance of the data or information and its , or acceptance of the data or information and its

preparation for inclusion in the repository;preparation for inclusion in the repository; StorageStorage, or long-term storage and maintenance of the , or long-term storage and maintenance of the

data with appropriate procedures for preservation and data with appropriate procedures for preservation and error-checking;error-checking;

Data managementData management, or maintenance of databases of , or maintenance of databases of descriptive metadata, appropriately updated and descriptive metadata, appropriately updated and preserved;preserved;

Preservation planningPreservation planning, including updating policies and , including updating policies and procedures and monitoring the external environment, procedures and monitoring the external environment, including the development of new technologies;including the development of new technologies;

AccessAccess, or management of the means by which users , or management of the means by which users find, ask for, and receive data;find, ask for, and receive data;

Daily administrationDaily administration, including interaction with users, , including interaction with users, problem-solving, negotiation with data donors, and problem-solving, negotiation with data donors, and overseeing performance of the system.overseeing performance of the system.

Authenticity of ERsAuthenticity of ERs

Content, Context, StructureContent, Context, Structure Documented process and procedures Documented process and procedures

for production of Digital Imagesfor production of Digital Images Quality control of images before Quality control of images before

destruction of source documentsdestruction of source documents Save as relatively stable file format Save as relatively stable file format

that will be accessible over timethat will be accessible over time Use quality media to store images and Use quality media to store images and

back ups or else data will be back ups or else data will be corrupted, lost or disc can no longer be corrupted, lost or disc can no longer be read (Gold CDs)read (Gold CDs)

Best Practices —Best Practices —Policy and ProceduresPolicy and Procedures Document the process, provide training and Document the process, provide training and

refresher trainingrefresher training

Decide update cycles and migration Decide update cycles and migration strategiesstrategies

Have a security backup routine and store Have a security backup routine and store multiple copies at different locationsmultiple copies at different locations

Best Practices —Best Practices —Integrity and IndexingIntegrity and Indexing Integrity of DataIntegrity of Data

– Metadata is critical and collecting it is essential if Metadata is critical and collecting it is essential if you intend to access or utilize the records over you intend to access or utilize the records over time.time.

– Document special authorizations and permissions Document special authorizations and permissions for recordsfor records

– Have a migration plan in placeHave a migration plan in place– For admissibility of records, preservation of For admissibility of records, preservation of

content, context and structure is criticalcontent, context and structure is critical– Index all data and ensure that index can be Index all data and ensure that index can be

exported as an ASCII text fileexported as an ASCII text file– If using vendor to index, escrow the code should If using vendor to index, escrow the code should

the contract expire.the contract expire.

Best Practices —Best Practices — Scanning Scanning Use appropriate file format—Tiff IV, uncompressedUse appropriate file format—Tiff IV, uncompressed Make multiple copies--master file and access fileMake multiple copies--master file and access file

– Access file can be compressed format with lower Access file can be compressed format with lower resolutionresolution

Scan at DPI of at least 300Scan at DPI of at least 300 Naming of Files-Naming of Files-

– No spaces, use underscoreNo spaces, use underscore– Should not contain non-alphanumeric charactersShould not contain non-alphanumeric characters– Decide between multi-page and single page TIFFs.Decide between multi-page and single page TIFFs.

Best Practices —Best Practices —System Parameters:System Parameters: Document the system that produced the record including Document the system that produced the record including

the system hardware and software versions used to create the system hardware and software versions used to create the record.the record.

All system equipment specificationsAll system equipment specifications– Contact information for manufacturers and vendors.Contact information for manufacturers and vendors.– All system equipment specifications. All system equipment specifications. – A description of all hardware and software upgrades A description of all hardware and software upgrades – Technical and user operation manuals. Technical and user operation manuals. – All policies and procedures related to access to and All policies and procedures related to access to and

security security Any changes made to the system or the process should be Any changes made to the system or the process should be

documented. documented. System should be capable of providing audit trails and System should be capable of providing audit trails and

system security system security

Best Practices —Best Practices —System Parameters System Parameters (Cont’d)(Cont’d) A migration strategy should be established A migration strategy should be established

and implemented and implemented Document the controls that monitor the Document the controls that monitor the

accuracy and authenticity of dataaccuracy and authenticity of data Use open-source software.Use open-source software. Use preferred file formats Use preferred file formats

Best Practices — Media Best Practices — Media Preservation and StoragePreservation and Storage Select appropriate storage media and environment. Select appropriate storage media and environment. Store media in environmentally controlled conditions Store media in environmentally controlled conditions Never operate drive systems in environments with Never operate drive systems in environments with

high models of airborne particles.high models of airborne particles. If using optical media, periodically clean optical media If using optical media, periodically clean optical media

to remove dust and other particulates. to remove dust and other particulates. Store media in appropriate physical positions-e.g. CD Store media in appropriate physical positions-e.g. CD

uprightupright If using DLT tape, tapes should be rewound under If using DLT tape, tapes should be rewound under

constant tension and periodically checkedconstant tension and periodically checked Label properlyLabel properly

Best Practices —Best Practices —Eye to the FutureEye to the Future Technology WatchTechnology Watch Stay abreast of Industry Standards, new technologies Stay abreast of Industry Standards, new technologies

and file formatsand file formats– Acrobat 8 allows user to strip metadataAcrobat 8 allows user to strip metadata

Best Practices —Best Practices —Legal Admissibility Legal Admissibility StandardsStandards The Uniform Photographic Copies of Business and The Uniform Photographic Copies of Business and

Public Records as Evidence ActPublic Records as Evidence Act § G.S. 8‑45.1.  Photographic reproductions admissible; § G.S. 8‑45.1.  Photographic reproductions admissible;

destruction of originalsdestruction of originals Rule 1003 of the Uniform Rules of Evidence and Rule 1003 of the Uniform Rules of Evidence and

Federal Rules of EvidenceFederal Rules of Evidence Changes to the Federal Rules to Civil procedures, Changes to the Federal Rules to Civil procedures,

effective Dec. 1, 2006effective Dec. 1, 2006

How Can We Help?How Can We Help?

What can we as Records Officers do to What can we as Records Officers do to help our campuses?help our campuses?

– Encourage indexing that will make purging Encourage indexing that will make purging records easy to accomplishrecords easy to accomplish

– Encourage documented migration plans for Encourage documented migration plans for long-term retentionslong-term retentions

– Identify records that meet DCR’s Identify records that meet DCR’s Public Public Records Requiring Human-Readable Records Requiring Human-Readable Preservation DuplicatesPreservation Duplicates

– Insist on compliance to DCR’s policy by having Insist on compliance to DCR’s policy by having microfilm or paper copies of these recordsmicrofilm or paper copies of these records

Possible Actions by Possible Actions by this Groupthis Group

– Make sure that records that are Make sure that records that are “permanent” truly warrant the “permanent” truly warrant the retention (provide the reason why)retention (provide the reason why)

– Prepare a list of records that meet Prepare a list of records that meet DCR’s human-readable DCR’s human-readable requirementsrequirements

– Identify those on campus that Identify those on campus that should have this list and distribute should have this list and distribute the list to themthe list to them

– Any other actions?Any other actions?

Questions to Ask?Questions to Ask?

1)1) Would this kind of list be Would this kind of list be beneficial to your campus?beneficial to your campus?

2)2) Could this group make this kind Could this group make this kind of determination?of determination?

3)3) If there is an interest, what is If there is an interest, what is the best way to get this done?the best way to get this done?

4)4) Other ideas?Other ideas?