1. Purpose To provide a recommended practice for document preparation that ministries should implement when digitizing original paper records or microform with the intention to use the digitized record as the business record and to dispose of the original. 2. Scope These guidelines apply to any project or program converting Government of Alberta (GoA) records from paper or microform to an electronic format where the digitized record will be designated as the business record and reside within a trusted repository. 3. Normative References The following referenced documents form the foundation for the application of this recommended practice in document preparation. ISO/TR 15801:2004, Electronic Imaging Information stored electronically Recommendations for trustworthiness and reliability; ANSI/AIIM TR15-1997, Planning Considerations Addressing Preparation of Documents for Image Capture. 4. Planning Considerations 4.1. Storage The storage location of paper or microform records during the digitization conversion process must be controlled both to assure the ability to retrieve the records and to assure the records have not been changed. 4.2. Retrieval Maintain indices of storage location to allow users to retrieve records when required. Use audit trails generated from the document logs or file access logs to track when original records are removed and returned from the storage location. 4.3. Digitization Goals and Objectives The digitization process from paper or microform to electronic must show that no records were lost. The digitization conversion process must also indicate the original record was not damaged. Accurate control process must establish that all records are converted.
Tracking Document Preparation The detailed document preparation process of a paper record must be tracked and documented. This process will establish the mandatory audit trail. During all preparation stages the physical location of a paper record must be known. 5. Process Overview The preparation process for either paper or microform records for a digitization project is unique. However, recommended practices are applicable to every instance. 6. Original Record Analysis To facilitate efficient electronic information life cycle management, perform an analysis of the original records and determine the most appropriate structure for the digital file. Ensure the digital file does not include duplication of information, and that security, FOIP or privacy concerns, and the record retention of all documents within the record series are considered. 7. Preparation of Original Documents All original records must be examined for their digitization suitability prior to the digitization process. This process will determine the extent of preparation required and ensure successful images are obtained from the digitization process. Considerations of the physical properties and attributes of the original documents will influence the image quality. When the physical condition of paper documents is not acceptable, possible fixes could be to photocopy the original document or use transparent wallets. Poor quality originals should be marked as such prior to digitization. Ensure when removing staples or other types of bindings, the original document is not damaged. Some of the major influencing factors are: Weight (tissue, carbon, card stock, etc.) Size (documents may need to be reduced if larger than scanner capture device) Condition (creased, stapled, rolled, brittle, etc.) Orientation Unique finishes (transparent, semi-transparent or opaque) Binding Color Embossing (usually in the form of seals) Stick-On notes (must be distinguished from documents; common practice is to tape the stick-on note onto a standard sized sheet of paper prior to scanning)
7.1. Document Batching Documents should be grouped together in batches to ensure easier management and to be able to perform quality control and other procedures on a sampling basis. A batch may consist of a collection of many pages or a collection of one page. A collection of one document may be necessary for a day-forward digitization solution. 7.2. Document Batching Sheets Document batching sheets are sheets of paper, usually with bar coding information used to separate either a document within a batch or separate the various batches that are fed through the scanner device at one time. The scanner software is programmed to recognize and interpret the bar-coding information. 8. Program Specific Procedures and Documentation All document preparation procedures, including corrective measures, must be documented within the Digitization Procedures Manual. Appendix A is a generic example of document preparation procedures and Appendix B outlines the document preparation levels used in the Digitization PQR (CORP-446).
Appendix A: Example of Document Preparation Procedures Workstation #1 Open container Remove contents Check contents of container against the inventory sheet Record any inventory differences and notify the supervisor Place elastic around contents to maintain the order Forward contents to Workstation #2 Document routing detail Returns container Retrieves new container Workstation #2 Remove the elastic Remove the folder Remove the first document Place document batching sheet between each document or batch Remove staples or any other type of binding clips Repair any damaged paper Smooth/Unfold all pages Photocopy any pages (if necessary) Stamp any poor quality original document with a poor quality stamp Post-it notes and other paper that is covering information will be moved to a location where information does not exist. This may mean another sheet of paper for post-it notes. Place elastic around contents to maintain the documents in the proper order and batches Items that cannot be imaged (e.g. Video) the client will be contacted Forward contents to workstation #3 Document routing detail Workstation 3# Hold for image capture
Appendix B: Document Preparation levels as outlined in section 3.4.1 (Document Preparation), Schedule 3 (Digitization Services) of the Digitization Services and Resources PQR (CORP-446), as of September 2012 Document Preparation Level I Remove document(s) from file back, file folders, etc., Insert document header sheet, Remove all staples, paper clips, pins, etc., Confirm header toggle page is complete with all necessary information, and, Place all landscape documents with the head of the document in one direction. Document Preparation Level II All Level I requirements plus: Place document files in chronological order (specifications may be defined in the SOW), Confirm all necessary fields are completed on a batch header that a Purchaser creates, Placement of all information header pages, Repair any paper that has tears or holes, Straighten folds or creases, o When 51% or more of the paper requires removal of folds or creases the document preparation is considered Document Preparation - Level III Stamp to denote poor quality where text is not clear, Placement of Post-It notes, and, Tape smaller documents onto 8.5 x 11 bond paper. Document Preparation Level III All Level I and II requirements plus: 51% or more of the paper requires removal of folds or creases, Interfile as required, Place document files in chronologic order, Cut torn areas of paper where it is the leading edge and no text exists, Sort documents into single documents and attachments, Special handling of fragile documents, Document preparation staff has detailed knowledge of best practices and standards in terms of image quality, File restoration, Merging of information (two files put together as one), and, Removal of duplicate pages.