UW-Madison Records Management Program2016

University Archives and Records Management

What is Document Imaging?Document imaging is the conversion of paper-based documents to digital images, making them readily accessible, thereby enhancing the business processes and workflows of our departments and units on campus.

UW-System Guidelines for Digitization Systems: https://www.wisconsin.edu/general-counsel/legal-topics/records/records-management-resources/digitization-systems/

Ask your self the following questions when considering reasons for imaging university documents….

Ask yourself, "Why are we imaging our documents?" Best answer: "We are trying to make our records more

accessible and enhance our business processes."

Worst answer: "We have a storage problem." Document imaging is a very expensive way of solving a storage problem; there are other lower cost solutions.

Ask yourself, "What documents are we imaging?"

Good answer: "Records that have a high reference value."

Bad answer: "Records that are destined for destruction shortly, or have long term retention."

Ask Yourself, "Have we identified the appropriate record series from among the General Records Schedules that are available for UW-Madison?

See the UW-Madison Records Management website University Records Scheduleshttp://www.library.wisc.edu/archives/records-management/retention-disposition/

• Electronic format is deemed an original public record if all of the following conditions are met:

• Electronic format accurately reproduces the content of the original• Complies with minimum standards of quality for such copies• Arranged, identified and indexed so that that any individual or component

of the record can be located with the use of proper equipment • Records officer, custodian, or designee executes a statement of intent and

purpose describing the records to be reproduced or transferred to electronic format, the disposition of the original record, the disposal authorization number assigned, and executes a certificate verifying the records are handled in the normal course of business.

The above is a paraphrase of the statute.

In Wisconsin State Statue 16.61(2)(b) Public records do not include duplicate copies of materials which are maintained only for convenience or reference and for no other substantive purpose. (Paraphrase of the statute)

• If the paper copy is no longer needed for quality control or other reference, then it can be deemed a duplicate and disposed of in the normal course of business.

• If temporary storage of the paper copy is needed then boxed storage may be an inexpensive alternative.

• The State Records Center is a great place to store these records• Records schedules are automated in the SRC system

Considerations in Document Imaging

A. PlanningB. Technical RecommendationsC. Storage Recommendations

A. Planning

Workflow Analysis The first step in planning for a document imaging

process is a thorough records and workflow analysis to determine and document existing and planned department/unit information needs.

This includes a cost benefit analysis to determine the cost justification of the activities and the benefits to the department/unit with their implementation.

Cost Estimate: system hardware, system software, application software, communications hardware and

software, system maintenance, training, project management, facilities upgrades/site

preparation, staffing costs, and other miscellaneous costs.

Cost Justification: a study of current operations, a proposed system

architecture, equipment pricing, and financial indicators, including

payback period, net present value, and rate of return.

Cost Justifications and Cost Estimate

Records Scheduling If it is determined that

imaging is cost effective to meet the current and future needs of the office, the records series to be digitized must be scheduled if not already covered under an existing Records Disposition Authorization (RDA) or general records schedule (GRS).

NO public record should be imaged without a current record schedule in place

With proper records schedules in place, the office can then proceed to create the digitization process itself.

Document Imaging Process: Arrangement & Prep

Document arrangement: Prior to scanning, it must be determined how the

imaged records will be organized.

Document preparation: Office must prepare documents for efficient scanning

(remove staples, unfold paper, remove extraneous documents, etc.).

Document Imaging Process..Information/Metadata:

Offices must capture metadata (information about the documents) that will allow the records to be identified, organized, searched and preserved.

Prior to scanning, offices must commit to a metadata scheme that employs consistent data entry practices (names and date formats, etc.). Controlled vocabularies are also recommended.

Metadata is “Structured information that describes, explains, locates, or otherwise makes it easier to retrieve, use or manage an information resource” NISO, Understanding Metadata.

Document Imaging Process..Conversion Process: The conversion process should result in SOURCE FILES that

are to be used as the official/preservation copy only. Subsequent CONVENIENCE COPIES can be created from the source file for use in the office. Individuals must be well trained on equipment and software.

For consistency Offices should limit the individuals authorized to doing the actual scanning to help ensure the records are accessible, accurate, authentic, reliable, legible, and readable throughout the record life cycle.

Document Imaging Process..Technical Considerations: Offices must decide on the file formats and other

technical requirements for scanning, storage, and retrieval.

What resolution to scan the document in? Will it be in a Tiff or a JPEG? What format will the scan be store as?

Document Imaging Process..Quality Control: Digital images must be inspected to ensure that they are

of sufficient quality to help ensure the record’s accessibility, accuracy, authenticity, reliability, legibility, and readability throughout the record life cycle.

To help ensure the integrity of long-term and archival records stored on the system, staff members should perform a visual quality evaluation of a sampling of scanned images

Document Imaging Process..Indexing Use an indexing database

that provides for efficient retrieval, ease of use, and up-to-date information about the digital images stored in the system.

The indexing database should be selected after an analysis of unit operations and user needs.

Reliable access to scanned images depends on an accurate, up-to-date index database.

Security and Access

Who is allowed to access? How are scans secured from unauthorized access? Documented process in place for access and

security of sensitive information.

See: CISO Policy on Handling sensitive university data

B. Technical Recommendations

Think about the File Format

Use a non-proprietary digital image file format.

Information about the digital image file includes, but is not limited to: its name, width, length, resolution, and compression techniques.

From National Archives and Records Administration’s Technical Guidelines –pp.32-36

CONVENIENCE COPIES, those that are not used for preservation but to be used in the office, may be of more diverse formats and resolutions in order to best fit the needs of the office.

The office, for example may wish to create JPG or PDFs files from the SOURCE FILES that are of lesser resolution and are compressed for day to day use.

C. Storage Recommendations

Storage:

The storage of converted records ensure that digital records are accessible, accurate, authentic, reliable, legible, and readable throughout their lifecycle, all requirements of Wisconsin Administrative Rule 12.

It is recommended that SOURCE FILES of digitized records be stored on a network server or as part of an enterprise-wide document management system and NOT on removable media.

Back-up and Business Continuity Procedures

Design backup procedures to create security copies of digitized images and their related index records.

Need to work with IT

Has your department or unit made this part of your Business Continuity Plan for records?

Migration Plan

Provide specific plans for an ongoing process of migrating long-term and archival records from older to newer hardware and software platforms to comply with Wisc. Adm. Rule 12.

Legal Requirements Satisfy any Legal

Requirements including those of the Board of Regents Records Management Policy, Wis. Stats. §16.61 & § 16.611, and Wisconsin Administrative Code, Chapter Adm 12.

Open records requests or litigation

Offices unable to provide access to older records in their possession could be found in violation of Wisconsin Administrative Rule 12 which requires electronic records must be accessible, accurate, authentic, reliable, legible, and readable throughout the record life cycle

Recommendation Departments/Units are

highly encouraged to ONLY undertake document imaging activities if done through an enterprise-wide document management system.

Campus License for Perceptive Software’s: ImageNow

Contact: Guy Stalnaker DoITjstalnak@wisc.edu608-263-8035Campus units using: Accts. Payable Enrollment Management Payroll Graduate School Other campus departments

http://www.lexmark.com/en_us/solutions/higher-education.html

Thank youFor more information refer to theUniversity Employee Guide to: Document Imaging &

Management of University Recordshttps://www.library.wisc.edu/archives/wp-content/uploads/sites/23/2015/06/2014-Guidelines-for-Document-Imaging-and-University-Records.pdf

For more information or to schedule a consultation contact the University Records Officer recmgmt@library.wisc.edu