ISO/TR 13028:2010
(Main)Information and documentation - Implementation guidelines for digitization of records
Information and documentation - Implementation guidelines for digitization of records
ISO/TR 13028:2010: establishes guidelines for creating and maintaining records in digital format only, where the original paper, or other non-digital source record, has been copied by digitizing; establishes best practice guidelines for digitization to ensure the trustworthiness and reliability of records and enable consideration of disposal of the non-digital source records; establishes best practice guidelines for the trustworthiness of the digitized records which may impact on the legal admissibility and evidential weight of such records; establishes best practice guidelines for the accessibility of digitized records for as long as they are required; specifies strategies to assist in creating digitized records fit for long-term retention; and establishes best practice guidelines for the management of non-digital source records following digitization. ISO/TR 13028:2010 is applicable for use in the design and conduct of responsible digitization by all organizations undertaking digitization, either business process digitization or back capture digitization projects for records management purposes, as outlined in ISO 15489-1:2001 and ISO/TR 15801:2009. ISO/TR 13028:2010 is not applicable to: capture and management of born-digital records; technical specifications for the digital capture of records; procedures for making decisions about records' eventual disposition; technical specifications for the long-term preservation of digital records; or digitization of existing archival holdings for preservation purposes.
Information et documentation — Mise en oeuvre des lignes directrices pour la numérisation des enregistrements
L'ISO/TR 13028:2010 fournit des lignes directrices pour la création et la conservation des documents d'activité au format numérique uniquement, lorsque le document papier original ou un autre document source non numérique, a été copié par numérisation, établit les lignes directrices sur les meilleures pratiques en matière de numérisation afin de répondre aux exigences d'authenticité et de fiabilité des documents d'activité et de prendre en considération le sort final des documents sources non numériques, établit les lignes directrices sur les meilleures pratiques en matière de fidélité des documents d'activité numérisés, laquelle peut avoir une incidence sur leur recevabilité juridique et leur valeur probante, établit les lignes directrices sur les meilleures pratiques en matière d'accessibilité des documents d'activité numérisés aussi longtemps que nécessaire, définit les stratégies d'aide à la création de documents d'activité numérisés conçus pour une conservation à long terme et établit les lignes directrices sur les meilleures pratiques en matière de gestion des documents d'activité sources non numériques après numérisation. L'ISO/TR 13028:2010 est applicable à la conception et à l'exécution de projets de numérisation responsables par tous les organismes ayant décidé de procéder à une numérisation, qu'il s'agisse d'une numérisation dans le cadre du processus de travail ou d'une numérisation rétrospective à des fins de gestion des documents d'activité, comme indiqué dans l'ISO 15489‑1:2001 et l'ISO/TR 15801:2009. L'ISO/TR 13028:2010 ne couvre pas la capture et la gestion des documents d'activité numériques natifs, les spécifications techniques pour la capture numérique des documents d'activité, les procédures permettant d'évaluer les documents d'activité et de prendre une décision quant à leur éventuel sort final, les exigences et les spécifications pour la conservation à long terme des documents d'activité numériques et la numérisation de fonds d'archives à des fins de conservation.
Informatika in dokumentacija - Smernice za izvedbo digitalizacije zapisov
To tehnično poročilo:
– vzpostavlja smernice za ustvarjanje in vzdrževanje zapisov samo v digitalnem formatu, pri katerih je bil originalni papir ali drug nedigitalen vir zapisa digitaliziran;
– vzpostavlja smernice dobre prakse za digitalizacijo, ki zagotavljajo zaupljivost in zanesljivost zapisov ter omogočajo premislek o odstranitvi nedigitalnih virov zapisa;
– vzpostavlja smernice dobre prakse za zaupljivost digitalnih zapisov, ki lahko vplivajo na pravno sprejemljivost in dokazno težo takih zapisov;
– vzpostavlja smernice dobre prakse, ki omogočajo, da so digitalizirani zapisi na voljo toliko časa, kot je to potrebno;
– navaja strategije, ki pomagajo pri ustvarjanju digitalnih zapisov, primernih za dolgotrajno hranjenje;
– vzpostavlja smernice dobre prakse za upravljanje z nedigitalnimi viri zapisov po digitalizaciji. To tehnično poročilo se uporablja za načrtovanje in upravljanje odgovorne digitalizacije vseh organizacij, ki izvajajo digitalizacijo, digitalizacijo poslovnih procesov ali projekte digitalizacije z zajemom za nazaj z namenom upravljanja zapisov, kot je opisano v standardih ISO 15489-1:2001 in ISO/TR 15801:2009.
To tehnično poročilo se ne uporablja za:
a) zajem in upravljanje z zapisi, ki so bili izvirno ustvarjeni v digitalni obliki;
b) tehnične specifikacije za digitalni zajem zapisov;
c) postopke za odločanje o morebitni odstranitvi zapisov;
b) tehnične specifikacije za dolgotrajno shranjevanje digitalnih zapisov;
e) digitalizacijo obstoječih skladišč z arhivi z namenom shranjevanja.
General Information
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TECHNICAL ISO/TR
REPORT 13028
First edition
2010-12-01
Information and documentation —
Implementation guidelines for digitization
of records
Information et documentation — Mise en œuvre des lignes directrices
pour la numérisation des enregistrements
Reference number
ISO/TR 13028:2010(E)
©
ISO 2010
---------------------- Page: 1 ----------------------
ISO/TR 13028:2010(E)
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ii © ISO 2010 – All rights reserved
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ISO/TR 13028:2010(E)
Contents Page
Foreword .iv
Introduction.v
1 Scope.1
2 Normative references.1
3 Terms and definitions .2
4 Benefits and risks of digitization.4
5 Preliminary considerations .5
6 Best practice guidelines .5
Annex A (informative) Issues to consider when assessing the viability of digitization.16
Annex B (informative) Checklist of best practice guidelines .17
Annex C (informative) File-naming metadata recommendations.23
Annex D (informative) Quality control recommendations .25
Annex E (informative) Recommended staff skill sets .29
Bibliography.31
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ISO/TR 13028:2010(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
In exceptional circumstances, when a technical committee has collected data of a different kind from that
which is normally published as an International Standard (“state of the art”, for example), it may decide by a
simple majority vote of its participating members to publish a Technical Report. A Technical Report is entirely
informative in nature and does not have to be reviewed until the data it provides are considered to be no
longer valid or useful.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TR 13028 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This Technical Report was based on Archives New Zealand's Recordkeeping Standard S6: Digitisation
Standard, published in January 2006.
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ISO/TR 13028:2010(E)
Introduction
With the shift to managing records in digital systems, many organizations are digitizing paper and/or other
non-digital records. To manage themselves effectively, organizations need to create full and accurate records
of their activities and maintain these records over time for subsequent reference. These considerations are
valid regardless of the records' storage media.
Digitization is the process of converting hard-copy, or other non-digital, records into a digital format, such as
taking digital photographs of non-digital source records or imaging non-digital source records (also known as
scanning).
When converting records into digital objects, they are commonly:
a) captured as static pictures (raster image) represented by pixels;
b) processed by optical character recognition technology which converts the pixels into digital
representations which are searchable, editable and manipulable; or
c) captured into both formats.
Digitization can broadly be categorized into two types:
⎯ business-process digitization: ongoing, routine digitization as part of daily business processes;
⎯ digitization projects: project-based bulk digitization of legacy records.
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TECHNICAL REPORT ISO/TR 13028:2010(E)
Information and documentation — Implementation guidelines
for digitization of records
1 Scope
This Technical Report:
⎯ establishes guidelines for creating and maintaining records in digital format only, where the original paper,
or other non-digital source record, has been copied by digitizing;
⎯ establishes best practice guidelines for digitization to ensure the trustworthiness and reliability of records
and enable consideration of disposal of the non-digital source records;
⎯ establishes best practice guidelines for the trustworthiness of the digitized records which may impact on
the legal admissibility and evidential weight of such records;
⎯ establishes best practice guidelines for the accessibility of digitized records for as long as they are
required;
⎯ specifies strategies to assist in creating digitized records fit for long-term retention;
⎯ establishes best practice guidelines for the management of non-digital source records following
digitization.
This Technical Report is applicable for use in the design and conduct of responsible digitization by all
organizations undertaking digitization, either business process digitization or back capture digitization projects
for records management purposes, as outlined in ISO 15489-1:2001 and ISO/TR 15801:2009.
This Technical Report is not applicable to:
a) capture and management of born-digital records;
b) technical specifications for the digital capture of records;
c) procedures for making decisions about records' eventual disposition;
d) technical specifications for the long-term preservation of digital records;
e) digitization of existing archival holdings for preservation purposes.
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO 15489-1:2001, Information and documentation — Records management — Part 1: General
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ISO/TR 13028:2010(E)
ISO/TR 15801:2009, Document management — Information stored electronically — Recommendations for
trustworthiness and reliability
ISO 23081-1:2006, Information and documentation — Records management processes — Metadata for
records — Part 1: Principles
ISO 23081-2:2009, Information and documentation — Managing metadata for records — Part 2: Conceptual
and implementation issues
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1:2001, ISO/TR 15801:2009,
ISO 23081-1:2006 and ISO 23081-2:2009 and the following apply.
3.1
born digital records
records which are created in digital form, without a non-digital equivalent
NOTE 1 This term is used to differentiate born digital records from:
⎯ digital materials which might have been created as a result of converting non-digital source material;
⎯ non-digital materials which might have originated from a digital source but have been printed to paper or otherwise
converted into analogue form.
NOTE 2 Adapted from Reference [21].
3.2
business information system
automated systems that create or manage data about an organization's activities
NOTE 1 Business information systems are (often multiple or related) applications whose primary purpose is to facilitate
transactions between an organizational unit and its customers, e.g. an e-commerce system, client-relationship
management system, purpose-built or customized database, and finance or human resources systems. Business
information systems typically contain dynamic data that are commonly subject to constant updates, able to be transformed
(manipulated) and hold current data. For the purposes of this Technical Report, the term business information system
includes electronic records management systems. A business information system will create records, but might or might
not manage them according to records management requirements. An electronic document and records management
system is a specific type of business information system with the dedicated functionality of managing an organization's
records and information resources.
NOTE 2 Adapted from Reference [11].
3.3
business-process digitization
routine digitization of records and incorporation into business information systems where future actions take
place on the digitized record, rather than on the non-digital source record
NOTE 1 For the purposes of ongoing management of authoritative records, the version of the record on which the
business action took place, or which evidences the business action, is the version that needs to be managed as the official
record. In all cases, organizations need to analyse their business processes to identify and manage the record that
evidences the business action. Therefore:
⎯ where the digitized record is the record the business relied on in undertaking its business actions, or which evidences
the action, the digitized version needs to be regarded as the official record for management purposes;
⎯ where the action has been completed on a non-digital record prior to the digitization process, the non-digital record is
the one on which the action has been taken and which evidences the action and the digital record is the copy;
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ISO/TR 13028:2010(E)
⎯ where the digitized record is converted back to analogue form for the purposes of further business action, the paper
version of the digitized record may be required for management in specific processes in addition to the digitized
record.
NOTE 2 Such digitization may take place in conjunction with the operation of an electronic document and records
management system.
NOTE 3 Adapted from Reference [16].
3.4
destruction
process of eliminating or deleting records, beyond any possible reconstruction
[ISO 15489-1:2001]
3.5
digitization
means of converting hard-copy or non-digital records into digital format
NOTE Examples of digitization include scanning or imaging, taking digital photographs of the non-digital source
records, or converting analogue voice recordings to digital media.
[SOURCE: Reference [16]]
3.6
digitization project
retrospective, back-capture of existing sets of non-digital records to enhance accessibility and maximize
re-use
NOTE 1 In such projects, the business action has been completed on non-digital form of the record prior to digitization
and for ongoing management purposes the non-digital record on which the business action took place, or which evidences
the action, remains the official record of action.
NOTE 2 The non-digital source records for both forms of digitization should be subject to an assessment process to
determine whether there are good reasons to retain them prior to any consideration of disposition. Once non-digital
records are converted into digital records, many of the management and preservation issues for born-digital records apply.
[SOURCE: Reference [16]]
3.7
disposition
range of processes associated with implementing records retention, destruction, or transfer decisions which
are documented in disposition authorities or other instruments
[SOURCE: Reference [14]]
3.8
non-digital source record
document or record that has been copied, converted or migrated or will be the input for such a process
NOTE A non-digital source record can be an original record or it can be a reproduction that was generated by an
earlier copying, conversion or migration process.
[SOURCE: Reference [16]]
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ISO/TR 13028:2010(E)
4 Benefits and risks of digitization
4.1 Benefits of digitization
Digitization offers the following potential benefits to organizations:
⎯ capacity of more than one person to access the images concurrently;
⎯ networked access enabling access from multiple locations at any time;
⎯ greater integration with business information systems;
⎯ capacity to transmit images within a structured workflow, thus assisting work processing;
⎯ elimination of hybrid (both paper and digital) systems which can cause confusion to users who require
access to the whole history of a matter;
⎯ capacity to re-use existing resources limited in their re-use by their format, e.g. very large maps or
material held on microfilm or magnetic tape;
⎯ application of consistent classification and indexing for document retrieval particularly for hybrid files;
⎯ integration with existing organizational disaster recovery and back-up regimes;
⎯ provision of a protected and secured rendition;
⎯ potential to reduce physical storage space occupied by hard-copy records;
⎯ potential to increase organizational productivity.
4.2 Risks of digitization
There are a number of risks associated with implementing a digitization process:
⎯ short-term cost savings in space may be negated when balanced with longer-term costs in maintaining
the accessibility of digital images over time;
⎯ technology and technical standards used to create digital images may significantly affect longevity and
capacity to re-use the images in the future;
⎯ legislative, regulatory or other requirements to maintain authentic and reliable representations of
non-digital source records may limit the capacity to deploy commonly offered digitization features (such
as image manipulation, etc.);
⎯ it may not be appropriate to destroy the non-digital source records after the digitization process,
especially where there are good reasons to retain the records in their non-digital form, e.g. records with
importance for national or personal identity or other societal or cultural significance;
⎯ it may not be permissible to destroy the non-digital source records after the digitization process for
legislative reasons (by law, some specific classes of records have to be retained in their original format
and in some instances non-digitized records may even need to be retained along with their digitized
counterparts for a period of time).
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ISO/TR 13028:2010(E)
5 Preliminary considerations
5.1 Digitization project viability assessment
The rationale for digitizing should be carefully aligned to a business case geared at improving the
organization's ability to carry out its functions. The business case should clearly outline the benefits and
anticipated business or cost efficiencies. The business case should take into account appropriate project
budgets, resource commitments and be realistically costed. Digitization can involve extensive document
preparation and indexing, which can comprise the majority of a digitization budget. Organizations should not
be misled by a lack of consideration of on-going costs into thinking that digitization is a cheap option.
Digitization undertaken as a space and cost saving device may not be justified, especially when the costs of
future migration projects are factored in.
Annex A provides a set of questions to assist in assessing the viability of digitization for non-digital records.
5.2 Master copies and derivatives
Master copies of digitized records are those maintained as a separate and inviolable record in a safe storage
environment, usually executed to the highest technical specifications available at the time and subsequently
used for the production of derivatives.
Derivative versions, where required, should be made during the digitization process. Master copies should be
made available for the creation of subsequent derivative images, where necessary.
A master record may not be necessary for business-process digitization, where the digitized record:
⎯ is the version used for making business decisions;
⎯ is evidence of a business action; or
⎯ acts as supporting reference material.
Any decisions on creating master and derivative images are dependent on analysis of the legislative
framework in which the organization operates. The record to be managed to ensure ongoing evidence of
business activities is the version of the record on which the business action took place, (or the record
evidencing a business action), regardless of whether this is the digitized version or the non-digital source
record (or both). Before destroying masters or derivatives, organizations should conduct analyses of their
business processes to ensure that the appropriate format of the record on which the business action takes
place, or which evidences the action, is identified and the record in that format/s is managed according to any
jurisdictional records legislation or regulatory requirements.
6 Best practice guidelines
6.1 General
A full list of the best practice guidelines are provided in the Checklist of best practice guidelines given in
Annex B.
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ISO/TR 13028:2010(E)
6.2 Planning processes
6.2.1 Project documentation
All digitization and digitization processes should be planned, scoped and documented. The project
documentation should include:
⎯ scope definition: with clear identification of business drivers, objectives, scale, size and constraints of the
project;
⎯ statement of the purpose and expected uses of the digitized records, illustrated if necessary with
examples;
⎯ statement of benefits: clear identification of the benefits anticipated from the digitization;
⎯ statement of user needs and impacts: for example, how the digitized records are to be used, accessed
and how this impacts on users;
⎯ statement of technical standards adopted: including format, compression and metadata;
⎯ equipment and resources to support the digitization;
⎯ processes for the planning, control and execution of the digitization, including those undertaken prior to,
during and after digitization;
⎯ quality control processes;
⎯ strategies for integrating the digitized image into work processes to support the business action taking
place;
⎯ strategies for the ongoing management of the digitized records and non-digital source records for as long
as they are required to be maintained;
⎯ strategies regarding the legal requirements for digitization of the record types in question.
6.2.2 Selection of a digitization approach
6.2.2.1 General
An appropriate digitization approach should be selected, documented and implemented. A number of
approaches or a combination of approaches, to digitization can be adopted. The way these decisions are
approached can be different for business-process digitization and for digitization projects and can vary across
organizations.
Prior to digitization, consideration of third party copyright issues, legal requirements to retain the original paper
or other non-digital records as well as other constraints inherent in the record should be resolved.
Regardless of which approach to digitization is adopted, the following should apply:
⎯ the digitization approach selected should be documented;
⎯ quality control processes should be implemented regardless of the digitization approach adopted;
⎯ the digitization approach should be regularly reviewed for continuing compliance with the requirements of
the legal environment, relevance and cost effectiveness.
Decisions on each of the areas given in 6.2.2.2 to 6.2.2.4 will contribute to the overall approach employed.
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ISO/TR 13028:2010(E)
6.2.2.2 In-house or outsourced digitization
In-house digitization requires (and gives the opportunity for) an organization to develop and acquire all the
equipment and expertise necessary to digitize and integrate the digitized output into their own systems.
The alternative to this is to outsource the digitization to a third party contracted to perform this service on
behalf of the organization.
6.2.2.3 Batch process digitization or on-demand digitizing
Batch processing is the collecting of source documents into sequences prior to digitizing until documents have
been accumulated in numbers sufficient to provide efficiencies of scale in undertaking the digitizing process.
The alternatives to this approach are on-demand imaging or digitizing individual documents as they arrive in
the digitizing facility.
6.2.2.4 Centralized or decentralized digitization
Centralized digitization involves establishing a single site for digitizing in which all records to be processed are
accumulated prior to digitizing.
The alternative to this is decentralized digitization which involves placing multiple digitizing stations in different
locations throughout the organization.
6.2.3 Selection of technical specifications
Technical specifications aligned to the digitization best practice guidelines should be selected, documented
and implemented. A large volume of technical standards associated with digitization are available. Such
standards include recommendations on:
⎯ file formats;
⎯ resolution;
⎯ colour resolution or bit depth;
⎯ compression;
⎯ colour management.
Technical specification standards are rapidly evolving, especially in the area of technical capacity of
equipment to accommodate such standards. The primary consideration in adopting technical specifications is
to ensure the legibility or usability of the digitized image. The following basic criteria should be adhered to
when selecting technical standards:
a) the highest quality technical specifications that can be realistically supported should be incorporated into
the digitization process;
b) the formats should be open source (that is, non-proprietary) or employ open standards, have published
technical specifications available in the public domain, or be widely deployed within the relevant sector;
c) the formats should not contain embedded objects, or link out to external objects beyond the specific
version of the format;
d) the formats should be supported by many software applications and operating systems;
e) the formats should be able to be read by utilising a readily available viewing plug-in if the specific
production software is not available to all users;
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ISO/TR 13028:2010(E)
f) a body of accessible and product-independent technical expertise should be available to support the
decision;
g) adequate technical support should exist to enable ongoing maintenance and migration capability when
necessary;
h) the master copies should be created to the highest technical standards that can be supported;
i) the master copies should be retained inviolable in secure storage;
j) the derivative copies may be made in formats most convenient for their business purpose (e.g.
thumbnails for distribution over the internet, etc.).
6.2.4 Equipment and software
Equipment and software aligned to the digitization best practice guidelines should be implemented. The
quality of equipment and software used in digitizing significantly affects the capability to support appropriate
technical standards and, therefore, to ensure longevity of the digital image produced. Where destruction of the
non-digital source records is contemplated, organizations should be able to assert confidence in the long-term
viability of those digitized images requiring on-going retention.
6.2.5 Enhancement techniques
6.2.5.1 General
Any use of enhancement techniques employed on the digitized image to create a more exact resemblance to
the non-digital source record, should be well documented. The following guidelines are applicable.
6.2.5.2 Image enhancement
During the digitization process, the use of techniques that enhance the digitized image to make the image
have a more exact resemblance to the non-digital source record should be documented. Such procedures
may, if not undertaken in routine and documented ways, enable the challenge that the image is not an
authentic copy of the non-digital source record. Such techniques include “sharpening” and/or “clipping” of
highlights or shadows, “blurring” to eliminate scratches, “spotting” or “de-speckling” to touch up specific areas
of a digital image.
6.2.5.3 Annotation management
Where software that is employed to manage digital images after capture enables additions of annotations to
images, such as highlighting, stamps, redaction or addition of notes, these annotations should be managed as
overlays that do not change the actual image. Printing of the image should be possible with or without the
annotations.
6.2.5.4 Image quality
The display of the digital image should be in a manner, and to a quality, acceptable for the business being
conducted. This can involve reviewing equipment specifications. For example, if the quality of the colour on a
map is critical (e.g. for interpreting colour coded information illustrated on a map or chart), the quality of the
equipment used to render the image needs to support the capacity to retrieve and analyse this quality. If, on
the other hand, it is only essential to be able to read the contents to gain the sense of the text, the quality of
display could be appropriately less critical.
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ISO/TR 13028:2010(E)
6.2.5.5 Storage media
Response times required by end users can affect the storage media used for images. For example, if DVDs
are used as an offline storage media, the retrieval or response time for a user to receive a copy of the
requested image will be at least partly dependent on the hardware loading the relevant DVD onto the system.
This timeframe may be too long for the purpose of the query.
6.3 Digitization process management
6.3.1 General
Systems to support management of the digital output of digitization as records should be in place. Before the
final version is reached, the digitizing process could create a number of renditions of a digitized record – for
example, a raw file, one which has been enhanced to maximize resemblan
...
SLOVENSKI STANDARD
SIST-TP ISO/TR 13028:2013
01-julij-2013
Informatika in dokumentacija - Smernice za izvedbo digitalizacije zapisov
Information and documentation - Implementation guidelines for digitization of records
Information et documentation -- Mise en oeuvre des lignes directrices pour la
numérisation des enregistrements
Ta slovenski standard je istoveten z: ISO/TR 13028:2010
ICS:
01.140.20 Informacijske vede Information sciences
SIST-TP ISO/TR 13028:2013 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST-TP ISO/TR 13028:2013
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SIST-TP ISO/TR 13028:2013
TECHNICAL ISO/TR
REPORT 13028
First edition
2010-12-01
Information and documentation —
Implementation guidelines for digitization
of records
Information et documentation — Mise en œuvre des lignes directrices
pour la numérisation des enregistrements
Reference number
ISO/TR 13028:2010(E)
©
ISO 2010
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ISO/TR 13028:2010(E)
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Contents Page
Foreword .iv
Introduction.v
1 Scope.1
2 Normative references.1
3 Terms and definitions .2
4 Benefits and risks of digitization.4
5 Preliminary considerations .5
6 Best practice guidelines .5
Annex A (informative) Issues to consider when assessing the viability of digitization.16
Annex B (informative) Checklist of best practice guidelines .17
Annex C (informative) File-naming metadata recommendations.23
Annex D (informative) Quality control recommendations .25
Annex E (informative) Recommended staff skill sets .29
Bibliography.31
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Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
In exceptional circumstances, when a technical committee has collected data of a different kind from that
which is normally published as an International Standard (“state of the art”, for example), it may decide by a
simple majority vote of its participating members to publish a Technical Report. A Technical Report is entirely
informative in nature and does not have to be reviewed until the data it provides are considered to be no
longer valid or useful.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TR 13028 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This Technical Report was based on Archives New Zealand's Recordkeeping Standard S6: Digitisation
Standard, published in January 2006.
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Introduction
With the shift to managing records in digital systems, many organizations are digitizing paper and/or other
non-digital records. To manage themselves effectively, organizations need to create full and accurate records
of their activities and maintain these records over time for subsequent reference. These considerations are
valid regardless of the records' storage media.
Digitization is the process of converting hard-copy, or other non-digital, records into a digital format, such as
taking digital photographs of non-digital source records or imaging non-digital source records (also known as
scanning).
When converting records into digital objects, they are commonly:
a) captured as static pictures (raster image) represented by pixels;
b) processed by optical character recognition technology which converts the pixels into digital
representations which are searchable, editable and manipulable; or
c) captured into both formats.
Digitization can broadly be categorized into two types:
⎯ business-process digitization: ongoing, routine digitization as part of daily business processes;
⎯ digitization projects: project-based bulk digitization of legacy records.
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TECHNICAL REPORT ISO/TR 13028:2010(E)
Information and documentation — Implementation guidelines
for digitization of records
1 Scope
This Technical Report:
⎯ establishes guidelines for creating and maintaining records in digital format only, where the original paper,
or other non-digital source record, has been copied by digitizing;
⎯ establishes best practice guidelines for digitization to ensure the trustworthiness and reliability of records
and enable consideration of disposal of the non-digital source records;
⎯ establishes best practice guidelines for the trustworthiness of the digitized records which may impact on
the legal admissibility and evidential weight of such records;
⎯ establishes best practice guidelines for the accessibility of digitized records for as long as they are
required;
⎯ specifies strategies to assist in creating digitized records fit for long-term retention;
⎯ establishes best practice guidelines for the management of non-digital source records following
digitization.
This Technical Report is applicable for use in the design and conduct of responsible digitization by all
organizations undertaking digitization, either business process digitization or back capture digitization projects
for records management purposes, as outlined in ISO 15489-1:2001 and ISO/TR 15801:2009.
This Technical Report is not applicable to:
a) capture and management of born-digital records;
b) technical specifications for the digital capture of records;
c) procedures for making decisions about records' eventual disposition;
d) technical specifications for the long-term preservation of digital records;
e) digitization of existing archival holdings for preservation purposes.
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO 15489-1:2001, Information and documentation — Records management — Part 1: General
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ISO/TR 15801:2009, Document management — Information stored electronically — Recommendations for
trustworthiness and reliability
ISO 23081-1:2006, Information and documentation — Records management processes — Metadata for
records — Part 1: Principles
ISO 23081-2:2009, Information and documentation — Managing metadata for records — Part 2: Conceptual
and implementation issues
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1:2001, ISO/TR 15801:2009,
ISO 23081-1:2006 and ISO 23081-2:2009 and the following apply.
3.1
born digital records
records which are created in digital form, without a non-digital equivalent
NOTE 1 This term is used to differentiate born digital records from:
⎯ digital materials which might have been created as a result of converting non-digital source material;
⎯ non-digital materials which might have originated from a digital source but have been printed to paper or otherwise
converted into analogue form.
NOTE 2 Adapted from Reference [21].
3.2
business information system
automated systems that create or manage data about an organization's activities
NOTE 1 Business information systems are (often multiple or related) applications whose primary purpose is to facilitate
transactions between an organizational unit and its customers, e.g. an e-commerce system, client-relationship
management system, purpose-built or customized database, and finance or human resources systems. Business
information systems typically contain dynamic data that are commonly subject to constant updates, able to be transformed
(manipulated) and hold current data. For the purposes of this Technical Report, the term business information system
includes electronic records management systems. A business information system will create records, but might or might
not manage them according to records management requirements. An electronic document and records management
system is a specific type of business information system with the dedicated functionality of managing an organization's
records and information resources.
NOTE 2 Adapted from Reference [11].
3.3
business-process digitization
routine digitization of records and incorporation into business information systems where future actions take
place on the digitized record, rather than on the non-digital source record
NOTE 1 For the purposes of ongoing management of authoritative records, the version of the record on which the
business action took place, or which evidences the business action, is the version that needs to be managed as the official
record. In all cases, organizations need to analyse their business processes to identify and manage the record that
evidences the business action. Therefore:
⎯ where the digitized record is the record the business relied on in undertaking its business actions, or which evidences
the action, the digitized version needs to be regarded as the official record for management purposes;
⎯ where the action has been completed on a non-digital record prior to the digitization process, the non-digital record is
the one on which the action has been taken and which evidences the action and the digital record is the copy;
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⎯ where the digitized record is converted back to analogue form for the purposes of further business action, the paper
version of the digitized record may be required for management in specific processes in addition to the digitized
record.
NOTE 2 Such digitization may take place in conjunction with the operation of an electronic document and records
management system.
NOTE 3 Adapted from Reference [16].
3.4
destruction
process of eliminating or deleting records, beyond any possible reconstruction
[ISO 15489-1:2001]
3.5
digitization
means of converting hard-copy or non-digital records into digital format
NOTE Examples of digitization include scanning or imaging, taking digital photographs of the non-digital source
records, or converting analogue voice recordings to digital media.
[SOURCE: Reference [16]]
3.6
digitization project
retrospective, back-capture of existing sets of non-digital records to enhance accessibility and maximize
re-use
NOTE 1 In such projects, the business action has been completed on non-digital form of the record prior to digitization
and for ongoing management purposes the non-digital record on which the business action took place, or which evidences
the action, remains the official record of action.
NOTE 2 The non-digital source records for both forms of digitization should be subject to an assessment process to
determine whether there are good reasons to retain them prior to any consideration of disposition. Once non-digital
records are converted into digital records, many of the management and preservation issues for born-digital records apply.
[SOURCE: Reference [16]]
3.7
disposition
range of processes associated with implementing records retention, destruction, or transfer decisions which
are documented in disposition authorities or other instruments
[SOURCE: Reference [14]]
3.8
non-digital source record
document or record that has been copied, converted or migrated or will be the input for such a process
NOTE A non-digital source record can be an original record or it can be a reproduction that was generated by an
earlier copying, conversion or migration process.
[SOURCE: Reference [16]]
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4 Benefits and risks of digitization
4.1 Benefits of digitization
Digitization offers the following potential benefits to organizations:
⎯ capacity of more than one person to access the images concurrently;
⎯ networked access enabling access from multiple locations at any time;
⎯ greater integration with business information systems;
⎯ capacity to transmit images within a structured workflow, thus assisting work processing;
⎯ elimination of hybrid (both paper and digital) systems which can cause confusion to users who require
access to the whole history of a matter;
⎯ capacity to re-use existing resources limited in their re-use by their format, e.g. very large maps or
material held on microfilm or magnetic tape;
⎯ application of consistent classification and indexing for document retrieval particularly for hybrid files;
⎯ integration with existing organizational disaster recovery and back-up regimes;
⎯ provision of a protected and secured rendition;
⎯ potential to reduce physical storage space occupied by hard-copy records;
⎯ potential to increase organizational productivity.
4.2 Risks of digitization
There are a number of risks associated with implementing a digitization process:
⎯ short-term cost savings in space may be negated when balanced with longer-term costs in maintaining
the accessibility of digital images over time;
⎯ technology and technical standards used to create digital images may significantly affect longevity and
capacity to re-use the images in the future;
⎯ legislative, regulatory or other requirements to maintain authentic and reliable representations of
non-digital source records may limit the capacity to deploy commonly offered digitization features (such
as image manipulation, etc.);
⎯ it may not be appropriate to destroy the non-digital source records after the digitization process,
especially where there are good reasons to retain the records in their non-digital form, e.g. records with
importance for national or personal identity or other societal or cultural significance;
⎯ it may not be permissible to destroy the non-digital source records after the digitization process for
legislative reasons (by law, some specific classes of records have to be retained in their original format
and in some instances non-digitized records may even need to be retained along with their digitized
counterparts for a period of time).
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5 Preliminary considerations
5.1 Digitization project viability assessment
The rationale for digitizing should be carefully aligned to a business case geared at improving the
organization's ability to carry out its functions. The business case should clearly outline the benefits and
anticipated business or cost efficiencies. The business case should take into account appropriate project
budgets, resource commitments and be realistically costed. Digitization can involve extensive document
preparation and indexing, which can comprise the majority of a digitization budget. Organizations should not
be misled by a lack of consideration of on-going costs into thinking that digitization is a cheap option.
Digitization undertaken as a space and cost saving device may not be justified, especially when the costs of
future migration projects are factored in.
Annex A provides a set of questions to assist in assessing the viability of digitization for non-digital records.
5.2 Master copies and derivatives
Master copies of digitized records are those maintained as a separate and inviolable record in a safe storage
environment, usually executed to the highest technical specifications available at the time and subsequently
used for the production of derivatives.
Derivative versions, where required, should be made during the digitization process. Master copies should be
made available for the creation of subsequent derivative images, where necessary.
A master record may not be necessary for business-process digitization, where the digitized record:
⎯ is the version used for making business decisions;
⎯ is evidence of a business action; or
⎯ acts as supporting reference material.
Any decisions on creating master and derivative images are dependent on analysis of the legislative
framework in which the organization operates. The record to be managed to ensure ongoing evidence of
business activities is the version of the record on which the business action took place, (or the record
evidencing a business action), regardless of whether this is the digitized version or the non-digital source
record (or both). Before destroying masters or derivatives, organizations should conduct analyses of their
business processes to ensure that the appropriate format of the record on which the business action takes
place, or which evidences the action, is identified and the record in that format/s is managed according to any
jurisdictional records legislation or regulatory requirements.
6 Best practice guidelines
6.1 General
A full list of the best practice guidelines are provided in the Checklist of best practice guidelines given in
Annex B.
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6.2 Planning processes
6.2.1 Project documentation
All digitization and digitization processes should be planned, scoped and documented. The project
documentation should include:
⎯ scope definition: with clear identification of business drivers, objectives, scale, size and constraints of the
project;
⎯ statement of the purpose and expected uses of the digitized records, illustrated if necessary with
examples;
⎯ statement of benefits: clear identification of the benefits anticipated from the digitization;
⎯ statement of user needs and impacts: for example, how the digitized records are to be used, accessed
and how this impacts on users;
⎯ statement of technical standards adopted: including format, compression and metadata;
⎯ equipment and resources to support the digitization;
⎯ processes for the planning, control and execution of the digitization, including those undertaken prior to,
during and after digitization;
⎯ quality control processes;
⎯ strategies for integrating the digitized image into work processes to support the business action taking
place;
⎯ strategies for the ongoing management of the digitized records and non-digital source records for as long
as they are required to be maintained;
⎯ strategies regarding the legal requirements for digitization of the record types in question.
6.2.2 Selection of a digitization approach
6.2.2.1 General
An appropriate digitization approach should be selected, documented and implemented. A number of
approaches or a combination of approaches, to digitization can be adopted. The way these decisions are
approached can be different for business-process digitization and for digitization projects and can vary across
organizations.
Prior to digitization, consideration of third party copyright issues, legal requirements to retain the original paper
or other non-digital records as well as other constraints inherent in the record should be resolved.
Regardless of which approach to digitization is adopted, the following should apply:
⎯ the digitization approach selected should be documented;
⎯ quality control processes should be implemented regardless of the digitization approach adopted;
⎯ the digitization approach should be regularly reviewed for continuing compliance with the requirements of
the legal environment, relevance and cost effectiveness.
Decisions on each of the areas given in 6.2.2.2 to 6.2.2.4 will contribute to the overall approach employed.
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6.2.2.2 In-house or outsourced digitization
In-house digitization requires (and gives the opportunity for) an organization to develop and acquire all the
equipment and expertise necessary to digitize and integrate the digitized output into their own systems.
The alternative to this is to outsource the digitization to a third party contracted to perform this service on
behalf of the organization.
6.2.2.3 Batch process digitization or on-demand digitizing
Batch processing is the collecting of source documents into sequences prior to digitizing until documents have
been accumulated in numbers sufficient to provide efficiencies of scale in undertaking the digitizing process.
The alternatives to this approach are on-demand imaging or digitizing individual documents as they arrive in
the digitizing facility.
6.2.2.4 Centralized or decentralized digitization
Centralized digitization involves establishing a single site for digitizing in which all records to be processed are
accumulated prior to digitizing.
The alternative to this is decentralized digitization which involves placing multiple digitizing stations in different
locations throughout the organization.
6.2.3 Selection of technical specifications
Technical specifications aligned to the digitization best practice guidelines should be selected, documented
and implemented. A large volume of technical standards associated with digitization are available. Such
standards include recommendations on:
⎯ file formats;
⎯ resolution;
⎯ colour resolution or bit depth;
⎯ compression;
⎯ colour management.
Technical specification standards are rapidly evolving, especially in the area of technical capacity of
equipment to accommodate such standards. The primary consideration in adopting technical specifications is
to ensure the legibility or usability of the digitized image. The following basic criteria should be adhered to
when selecting technical standards:
a) the highest quality technical specifications that can be realistically supported should be incorporated into
the digitization process;
b) the formats should be open source (that is, non-proprietary) or employ open standards, have published
technical specifications available in the public domain, or be widely deployed within the relevant sector;
c) the formats should not contain embedded objects, or link out to external objects beyond the specific
version of the format;
d) the formats should be supported by many software applications and operating systems;
e) the formats should be able to be read by utilising a readily available viewing plug-in if the specific
production software is not available to all users;
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f) a body of accessible and product-independent technical expertise should be available to support the
decision;
g) adequate technical support should exist to enable ongoing maintenance and migration capability when
necessary;
h) the master copies should be created to the highest technical standards that can be supported;
i) the master copies should be retained inviolable in secure storage;
j) the derivative copies may be made in formats most convenient for their business purpose (e.g.
thumbnails for distribution over the internet, etc.).
6.2.4 Equipment and software
Equipment and software aligned to the digitization best practice guidelines should be implemented. The
quality of equipment and software used in digitizing significantly affects the capability to support appropriate
technical standards and, therefore, to ensure longevity of the digital image produced. Where destruction of the
non-digital source records is contemplated, organizations should be able to assert confidence in the long-term
viability of those digitized images requiring on-going retention.
6.2.5 Enhancement techniques
6.2.5.1 General
Any use of enhancement techniques employed on the digitized image to create a more exact resemblance to
the non-digital source record, should be well documented. The following guidelines are applicable.
6.2.5.2 Image enhancement
During the digitization process, the use of techniques that enhance the digitized image to make the image
have a more exact resemblance to the non-digital source record should be documented. Such procedures
may, if not undertaken in routine and documented ways, enable the challenge that the image is not an
authentic copy of the non-digital source record. Such techniques include “sharpening” and/or “clipping” of
highlights or shadows, “blurring” to eliminate scratches, “spotting” or “de-speckling” to touch up specific areas
of a digital image.
6.2.5.3 Annotation management
Where software that is employed to manage digital images after capture enables additions of annotations to
images, such as highlighting, stamps, redaction or addition of notes, these annotations should be managed as
overlays that do not change the actual image. Printing of the image should be possible with or without the
annotations.
6.2.5.4 Image quality
The display of the digital image should be in a manner, and to a quality, acceptable for the business being
conducted. This can involve reviewing equipment specifications. For example, if the quality of the colour on a
map is critical (e.g. for interpreting colour coded information illustrated
...
RAPPORT ISO/TR
TECHNIQUE 13028
Première édition
2010-12-01
Information et documentation — Mise
en œuvre des lignes directrices pour
la numérisation des enregistrements
Information and documentation — Implementation guidelines for
digitization of records
Numéro de référence
ISO/TR 13028:2010(F)
©
ISO 2010
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ISO/TR 13028:2010(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2010
Droits de reproduction réservés. Sauf prescription différente, aucune partie de cette publication ne peut être reproduite ni utilisée sous
quelque forme que ce soit et par aucun procédé, électronique ou mécanique, y compris la photocopie et les microfilms, sans l’accord écrit
de l’ISO à l’adresse ci-après ou du comité membre de l’ISO dans le pays du demandeur.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Version française parue en 2012
Publié en Suisse
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ISO/TR 13028:2010(F)
Sommaire Page
Avant-propos .iv
Introduction . v
1 Domaine d’application . 1
2 Références normatives . 1
3 Termes et définitions . 2
4 Avantages et risques de la numérisation . 3
4.1 Avantages de la numérisation . 3
4.2 Risques de la numérisation . 4
5 Considérations préliminaires . 4
5.1 Évaluation de la viabilité d’un projet de numérisation . 4
5.2 Masters numériques et copies dérivées . 5
6 Lignes directrices sur les meilleures pratiques . 5
6.1 Généralités . 5
6.2 Processus de planification . 5
6.3 Gestion du processus de numérisation . 8
6.4 Systèmes de gestion .12
6.5 Sort final .13
Annexe A (informative) Points à prendre en considération lors de l’évaluation de la viabilité de
la numérisation .16
Annexe B (informative) Liste de vérification des recommandations relatives aux meilleures pratiques 18
Annexe C (informative) Recommandations sur les métadonnées de nommage de fichier .26
Annexe D (informative) Recommandations relatives à l’assurance qualité .28
Annexe E (informative) Ensemble des compétences recommandées pour le personnel .32
Bibliographie .34
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ISO/TR 13028:2010(F)
Avant-propos
L’ISO (Organisation internationale de normalisation) est une fédération mondiale d’organismes nationaux de
normalisation (comités membres de l’ISO). L’élaboration des Normes internationales est en général confiée aux
comités techniques de l’ISO. Chaque comité membre intéressé par une étude a le droit de faire partie du comité
technique créé à cet effet. Les organisations internationales, gouvernementales et non gouvernementales,
en liaison avec l’ISO participent également aux travaux. L’ISO collabore étroitement avec la Commission
électrotechnique internationale (CEI) en ce qui concerne la normalisation électrotechnique.
Les Normes internationales sont rédigées conformément aux règles données dans les Directives ISO/CEI, Partie 2.
La tâche principale des comités techniques est d’élaborer les Normes internationales. Les projets de Normes
internationales adoptés par les comités techniques sont soumis aux comités membres pour vote. Leur publication
comme Normes internationales requiert l’approbation de 75 % au moins des comités membres votants.
Exceptionnellement, lorsqu’un comité technique a réuni des données de nature différente de celles qui sont
normalement publiées comme Normes internationales (ceci pouvant comprendre des informations sur l’état
de la technique par exemple), il peut décider, à la majorité simple de ses membres, de publier un Rapport
technique. Les Rapports techniques sont de nature purement informative et ne doivent pas nécessairement
être révisés avant que les données fournies ne soient plus jugées valables ou utiles.
L’attention est appelée sur le fait que certains des éléments du présent document peuvent faire l’objet de droits
de propriété intellectuelle ou de droits analogues. L’ISO ne saurait être tenue pour responsable de ne pas avoir
identifié de tels droits de propriété et averti de leur existence.
L’ISO/TR 13028 a été élaboré par le comité technique ISO/TC 46, Information et documentation, sous-comité
SC 11, Gestion des archives courantes et intermédiaires.
Le présent Rapport technique a été élaboré à partir du document d’Archives New Zealand Recordkeeping
Standard S6: Digitisation Standard, publié en janvier 2006.
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ISO/TR 13028:2010(F)
Introduction
Avec le passage à la gestion des documents d’activité dans des systèmes numériques, de nombreux
organismes numérisent les documents d’activité papier et/ou autres non numériques. Pour une gestion efficace
et autonome, les organismes ont besoin de créer des documents complets et précis de leurs activités et de
les conserver au fil du temps afin de pouvoir s’y référer ultérieurement. Cela s’applique indépendamment des
supports de stockage de ces documents.
La numérisation est le processus de conversion d’une copie papier ou de tout autre document non numérique
en format numérique. Elle peut comprendre la prise de photographies numériques des documents d’activité
sources ou leur reproduction par scanning.
Une fois les documents d’activité convertis en objets numériques, ils peuvent être
a) capturés sous forme d’images statiques (image tramée) représentées par des pixels,
b) traités par technologie de reconnaissance optique des caractères qui convertit les pixels en représentations
permettant des recherches, des modifications ou des manipulations, ou
c) capturés dans les deux formats.
D’une façon générale, la numérisation peut être classifiée en deux catégories:
— numérisation dans le cadre du processus de travail: numérisation continue, systématique lors du processus
de travail quotidien;
— projets de numérisation: numérisation de masse de documents patrimoniaux dans le cadre de projets.
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RAPPORT TECHNIQUE ISO/TR 13028:2010(F)
Information et documentation — Mise en œuvre des lignes
directrices pour la numérisation des enregistrements
1 Domaine d’application
Le présent Rapport technique
— fournit des lignes directrices pour la création et la conservation des documents d’activité au format
numérique uniquement, lorsque le document papier original ou un autre document source non numérique
a été copié par numérisation,
— établit les lignes directrices sur les meilleures pratiques en matière de numérisation afin de répondre aux
exigences d’authenticité et de fiabilité des documents d’activité et de prendre en considération le sort final
des documents sources non numériques,
— établit les lignes directrices sur les meilleures pratiques en matière de fidélité des documents d’activité
numérisés, laquelle peut avoir une incidence sur leur recevabilité juridique et leur valeur probante,
— établit les lignes directrices sur les meilleures pratiques en matière d’accessibilité des documents d’activité
numérisés aussi longtemps que nécessaire,
— définit les stratégies d’aide à la création de documents d’activité numérisés conçus pour une conservation
à long terme, et
— établit les lignes directrices sur les meilleures pratiques en matière de gestion des documents d’activité
sources non numériques après numérisation.
Le présent Rapport technique est applicable à la conception et à l’exécution de projets de numérisation
responsables par tous les organismes ayant décidé de procéder à une numérisation, qu’il s’agisse d’une
numérisation dans le cadre du processus de travail ou d’une numérisation rétrospective à des fins de gestion
des documents d’activité, comme indiqué dans l’ISO 15489-1:2001 et l’ISO/TR 15801:2009.
Le présent Rapport technique ne couvre pas
a) la capture et la gestion des documents d’activité numériques natifs,
b) les spécifications techniques pour la capture numérique des documents d’activité,
c) les procédures permettant d’évaluer les documents d’activité et de prendre une décision quant à leur
éventuel sort final,
d) les exigences et les spécifications pour la conservation à long terme des documents d’activité numériques, et
e) la numérisation de fonds d’archives à des fins de conservation.
2 Références normatives
Les documents de référence suivants sont indispensables pour l’application du présent document. Pour les
références datées, seule l’édition citée s’applique. Pour les références non datées, la dernière édition du
document de référence s’applique (y compris les éventuels amendements).
ISO 15489-1:2001, Information et documentation — «Records management» — Partie 1: Principes directeurs
ISO/TR 15801:2009, Images électroniques — Stockage électronique d’informations — Recommandations
pour les informations de valeur et leur fiabilité
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ISO/TR 13028:2010(F)
ISO 23081-1:2006, Information et documentation — Processus de gestion des enregistrements — Métadonnées
pour les enregistrements — Partie 1: Principes
ISO 23081-2:2009, Information et documentation — Gestion des métadonnées pour l’information et les
documents — Partie 2: Concepts et mise en œuvre
3 Termes et définitions
Pour les besoins du présent document, les termes et définitions donnés dans l’ISO 15489-1:2001,
l’ISO/TR 15801:2009, l’ISO 23081-1:2006 et l’ISO 23081-2:2009 ainsi que les suivants s’appliquent.
3.1
documents d’activité numériques natifs
documents d’activité créés sous forme numérique, sans équivalent non numérique
NOTE 1 Ce terme est utilisé pour différencier les documents d’activité numériques natifs des
— documents numériques éventuellement issus de la conversion d’un document source non numérique, et
— documents non numériques issus d’une source numérique mais imprimés sur papier ou convertis d’une autre manière
au format analogique.
NOTE 2 Adapté de la Référence [21].
3.2
système d’information de l’activité
systèmes automatisés qui créent ou gèrent des données sur les activités de l’organisme
NOTE 1 Les systèmes d’information de l’activité sont des applications (souvent multiples ou apparentées) visant
principalement à faciliter les transactions entre une unité organisationnelle et ses clients, par exemple un système
de commerce électronique, un système de gestion des relations clientèle, des bases de données personnalisées ou
spécialisées, et des systèmes de ressources humaines ou financières. Les systèmes d’information de l’activité comprennent
généralement des données dynamiques qui font l’objet de mises à jour constantes, capables d’être transformées
(manipulées) et contiennent des données récentes. Pour les besoins du présent Rapport technique, l’expression «système
d’information de l’activité» inclut les systèmes de gestion des informations et documents d’activité électroniques. Un
système d’information de l’activité génère des documents d’activité, qu’il peut gérer ou non conformément aux exigences
de gestion des informations et documents d’activité. Un système de gestion de documents électroniques et de documents
d’activité est un système d’information de l’activité spécifique dédié à la gestion des documents d’activité de l’organisme
et des ressources documentaires.
NOTE 2 Adapté de la Référence [11].
3.3
numérisation dans le cadre du processus de travail
numérisation courante des documents d’activité et intégration dans le système d’information de l’activité au sein
duquel on agira sur les documents d’activité numérisés davantage que sur les documents d’activité sources
non numériques
NOTE 1 Dans le cadre de la gestion courante des documents d’activité engageants, la version du document qui sert
de base ou de preuve à l’activité est la version qui est à gérer en tant que document d’activité officiel. Dans tous les cas,
les organismes ont besoin d’analyser leurs processus de travail pour identifier et gérer le document qui sert de preuve à
l’activité. En conséquence,
— quand le document d’activité numérisé est le document sur lequel s’appuie l’activité, ou qui lui sert de preuve, la
version numérisée est à considérer comme le document d’activité officiel pour les besoins de gestion,
— quand l’action a été menée à l’aide d’un document d’activité non numérique avant le processus de numérisation, le
document non numérique est celui sur lequel on a agi et qui sert de preuve à l’action, et le document numérique est la copie,
— quand le document d’activité numérisé est rematérialisé afin de poursuivre l’activité, la version papier du document
numérisé peut être requise en complément du document numérisé pour la gestion de processus spécifiques.
NOTE 2 Une telle numérisation peut avoir lieu en conjonction avec l’utilisation d’un système de gestion de l’information
et des documents d’activité électroniques.
2 © ISO 2010 – Tous droits réservés
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NOTE 3 Adapté de la Référence [16].
3.4
destruction
action d’éliminer ou de supprimer des documents d’activité, de façon irréversible
[ISO 15489-1:2001]
3.5
numérisation
moyen de conversion de copies papier ou de documents d’activité non numériques au format numérique
NOTE Parmi les exemples de numérisation, on peut citer le scanning ou l’imagerie, la prise de photographies numériques
de documents d’activité sources ou la conversion d’enregistrements vocaux analogiques sur supports numériques.
[SOURCE: Référence [16]]
3.6
projets de numérisation
numérisation rétrospective d’un ensemble préexistant de documents d’activité non numériques permettant
d’en faciliter l’accès et d’améliorer sa réutilisation
NOTE 1 Dans de tels projets, l’action a été menée à l’aide du document d’activité sous forme non numérique, avant sa
numérisation, et, dans le cadre de la gestion courante, le document non numérique sur lequel s’est appuyée l’action, ou
qui lui sert de preuve, reste le document d’activité officiel.
NOTE 2 Il convient que les documents d’activité sources non numériques, dans les deux types de numérisation,
fassent l’objet d’un processus d’évaluation afin de déterminer quelles sont les bonnes raisons de les conserver, avant
d’envisager tout sort final. Une fois que les documents non numériques sont convertis sous forme numérique, la plupart
des problèmes liés à la gestion et à la conservation des documents numériques natifs s’appliquent.
[SOURCE: Référence [16]]
3.7
sort final
palette de processus correspondant à la mise en œuvre des décisions de conservation, de destruction ou
de transfert des documents d’activité, lesquelles sont consignées dans la charte d’archivage ou tout autre
outil de référence
[SOURCE: Référence [14]]
3.8
document d’activité source non numérique
document copié, converti ou migré ou qui constituera l’entrée d’un tel processus
NOTE Un document d’activité source non numérique peut être un document d’activité original ou une reproduction
générée lors d’un processus de reproduction, de conversion ou de migration.
[SOURCE: Référence [16]]
4 Avantages et risques de la numérisation
4.1 Avantages de la numérisation
Pour les organismes, la numérisation présente les avantages suivants:
— possibilité pour plusieurs personnes d’accéder simultanément aux images;
— accès en réseau permettant de se connecter à partir de plusieurs endroits à tout moment;
— meilleure intégration avec les systèmes d’information de l’activité;
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ISO/TR 13028:2010(F)
— capacité à transmettre des images au sein d’un flux de travail structuré et de contribuer ainsi au
traitement des tâches;
— élimination des systèmes hybrides (papier et numériques), sources de confusion chez les utilisateurs
ayant besoin d’accéder à l’historique complet d’un sujet;
— capacité à réutiliser les ressources existantes limitées dans leur réutilisation par leur format, par exemple
très grandes cartes ou documents conservés sur microfilm ou bande magnétique;
— application d’une classification et d’une indexation cohérentes pour la récupération de documents, en
particulier pour les dossiers hybrides;
— intégration avec les schémas organisationnels existants de sauvegarde et de récupération en cas de sinistre;
— mise à disposition d’une reproduction protégée et sécurisée;
— possibilité de réduction de l’espace de stockage physique occupé par les documents d’activité de copie papier;
— possibilité d’accroître la productivité organisationnelle.
4.2 Risques de la numérisation
La mise en œuvre d’un processus de numérisation comporte un certain nombre de risques:
— les économies de coût à court terme réalisées en termes d’espace peuvent être contrecarrées par les
coûts à long terme engendrés par le maintien de l’accessibilité aux images numériques au fil du temps;
— la technologie et les normes techniques utilisées pour créer des images numériques peuvent affecter de
façon significative la longévité et la capacité à réutiliser les images dans le futur;
— les exigences, notamment légales ou réglementaires, relatives à la conservation de représentations
authentiques et fiables des documents d’activité sources non numériques peuvent limiter la capacité à déployer
des caractéristiques de numérisation communément offertes (telles que la manipulation d’images, etc.);
— il peut se révéler inopportun de détruire des documents d’activité sources non numériques après le
processus de numérisation, notamment en cas de nécessité de conserver des documents d’activité sous
forme non numérique, par exemple ceux revêtant une certaine importance en termes d’identité nationale
ou personnelle, ou au niveau sociétal ou culturel;
— la destruction des documents d’activité sources non numériques peut être interdite après le processus de
numérisation pour des raisons légales (légalement, certaines catégories de documents d’activité doivent
être conservées dans leur format original et, dans certaines circonstances, les documents non numériques
doivent même être conservés avec leur contrepartie numérisée pendant un certain temps).
5 Considérations préliminaires
5.1 Évaluation de la viabilité d’un projet de numérisation
Il convient que la logique de la numérisation se fonde sur une analyse de rentabilité visant à améliorer la
capacité de l’organisme à mener à bien ses fonctions. Il convient que l’analyse de rentabilité mette clairement
en évidence les avantages et les rendements en termes d’activité ou de coûts escomptés. Il convient que
l’analyse de rentabilité prenne en compte les budgets du projet appropriés, les ressources à engager et qu’elle
soit chiffrée de façon réaliste. La numérisation peut impliquer une préparation documentaire importante ainsi
que des exigences d’indexation, pouvant représenter la majeure partie d’un budget de numérisation. Il convient
que les organismes ne se méprennent pas en pensant que la numérisation représente une option économique,
sans prendre en compte les coûts inhérents à celle-ci. La numérisation en tant que dispositif permettant de
faire des économies en matière de coûts et d’espace peut ne pas être justifiée, notamment si les coûts des
futurs projets de migration sont pris en compte.
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ISO/TR 13028:2010(F)
L’Annexe A fournit une série de questions permettant d’évaluer la viabilité de la numérisation des documents
d’activité non numériques.
5.2 Masters numériques et copies dérivées
Les masters des documents d’activité numérisés sont conservés sous forme de documents séparés et
inviolables dans un environnement de stockage sécurisé, généralement créés selon les spécifications
techniques optimales du moment puis utilisés pour générer des dérivés.
Il convient de réaliser, au besoin, les versions dérivées au cours du processus de numérisation. Il convient
d’avoir accès aux documents d’activité originaux afin de créer des images dérivées ultérieures, si nécessaire.
Un document d’activité original peut ne pas être nécessaire à la numérisation dans le cadre du processus de
travail, si le document numérisé
— est la version utilisée pour la prise de décisions de travail,
— atteste d’une activité quotidienne, ou
— fait office de matériau de référence.
Toute décision relative à la création d’un master et d’images dérivées dépend de l’analyse du cadre législatif
régissant l’organisme. Le document d’activité qui implique une gestion prouvant en continu les activités
quotidiennes est la version du document soutenant cette activité (ou le document d’activité en attestant),
indépendamment du fait qu’il s’agisse de la version numérisée ou du document d’activité source non numérique
(ou les deux). Avant de détruire les masters ou les dérivés, il convient que les organismes procèdent à des
analyses de leurs processus de travail afin de s’assurer que le format approprié du document d’activité sur
lequel l’activité quotidienne se déroule, ou qui atteste de l’action, soit identifié. Il convient également que le
document d’activité dans ce(s) format(s) soit exploité selon les exigences de conservation des documents
d’activité établies par leur juridiction.
6 Lignes directrices sur les meilleures pratiques
6.1 Généralités
Une liste complète des lignes directrices sur les meilleures pratiques est disponible dans la liste de vérification
donnée dans l’Annexe B.
6.2 Processus de planification
6.2.1 Documentation du projet
Il convient de planifier, de décrire et de documenter toute la numérisation et tous les processus de numérisation.
Il convient que la documentation du projet comprenne
— la définition du champ d’application: en identifiant clairement les déclencheurs d’activité économique, les
objectifs, la portée, la taille ainsi que les contraintes du projet,
— l’énoncé de la finalité et des utilisations escomptées des documents d’activité numérisés, illustrés si
nécessaire au moyen d’exemples,
— l’énoncé des avantages: identification précise des avantages attendus de la numérisation,
— l’énoncé des besoins utilisateurs et de leurs effets: par exemple, comment les documents d’activité
numérisés seront utilisés, rendus accessibles et quel sera leur impact sur l’utilisateur,
— l’énoncé des normes techniques adoptées: y compris le format, la compression et les métadonnées,
— l’équipement et les ressources prévus pour la numérisation,
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— les processus destinés à planifier, contrôler et exécuter la numérisation, y compris ceux qui ont été
entrepris avant, pendant et après la numérisation,
— les processus d’assurance qualité,
— les stratégies d’intégration de l’image numérisée dans les processus de travail afin de supporter l’activité
quotidienne mise en œuvre,
— les stratégies de gestion continue des documents d’activité numérisés et des documents d’activité sources
non numériques aussi longtemps qu’ils doivent être conservés, et
— les stratégies relatives aux exigences légales pour la numérisation des types de documents d’activité en
question.
6.2.2 Sélection d’une stratégie de numérisation
6.2.2.1 Généralités
Il convient de sélectionner, de documenter et de mettre en œuvre une stratégie de numérisation appropriée.
Plusieurs stratégies ou une combinaison de stratégies de numérisation peuvent être adoptées. La façon dont
ces décisions seront envisagées peut être différente pour la numérisation dans le cadre du processus de
travail et pour les projets de numérisation, et peut varier d’un organisme à l’autre.
Avant la numérisation, il convient de régler les questions relatives aux droits d’auteur des tierces parties, les
exigences légales en matière de conservation du document d’activité original papier ou sous d’autres formes
non numériques, ainsi que les autres contraintes inhérentes à ce document.
Indépendamment de la stratégie de numérisation adoptée, il convient d’appliquer ce qui suit:
— il convient de documenter la stratégie de numérisation retenue;
— il convient de mettre en œuvre des processus de contrôle et d’assurance qualité indépendamment de la
stratégie de numérisation adoptée;
— il convient de revoir régulièrement la stratégie de numérisation afin de vérifier sa conformité avec les
exigences légales, son bien-fondé et son rendement en termes de coûts.
Les décisions relatives à chacun des aspects présentés de 6.2.2.2 à 6.2.2.4 contribueront à la stratégie
globale utilisée.
6.2.2.2 Numérisation en interne ou externalisée
La numérisation en interne nécessite (et permet) qu’un organisme développe et acquière tout l’équipement et
l’expertise requis pour numériser et intégrer les données de sortie numérisées dans ses propres systèmes.
L’alternative à ce système consiste à externaliser la numérisation auprès d’une tierce partie contractante
réalisant ce service pour le compte de l’organisme.
6.2.2.3 Numérisation traitée par lot ou numérisation à la demande
Le traitement par lot consiste à collecter des documents sources en séquences avant la numérisation jusqu’à
ce que leur nombre soit suffisant pour réaliser des économies d’échelle lors de la mise en œuvre du processus
de numérisation.
Les alternatives à cette stratégie consistent à scanner ou à numériser des documents individuels à la demande,
au fur et à mesure de leur arrivée dans le dispositif de numérisation.
6.2.2.4 Numérisation centralisée ou décentralisée
La numérisation centralisée consiste à établir un seul site de numérisation dans lequel tous les documents
d’activité à traiter sont collectés avant d’être numérisés.
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L’alternative à ce procédé est la numérisation décentralisée qui consiste à placer plusieurs postes de
numérisation dans différents lieux de l’organisme.
6.2.3 Sélection de spécifications techniques
Il convient de choisir, de documenter et de mettre en œuvre des spécifications techniques s’alignant sur les
lignes directrices des meilleures pratiques de numérisation. Il existe un grand nombre de normes techniques
associées à la numérisation. Ces normes comprennent des recommandations sur
— les formats de fichier,
— la résolution,
— la résolution de couleur ou la profondeur binaire,
— la compression, et
— la gestion des couleurs.
Ces normes évoluent rapidement, particulièrement en ce qui concerne la capacité technique des équipements
à s’y conformer. L’objectif principal de l’adoption de spécifications techniques consiste à garantir la lisibilité ou
la facilité d’utilisation de l’image numérisée. Lors du choix des normes techniques, il convient de respecter les
critères de base suivants:
a) il convient d’incorporer dans le processus de numérisation les spécifications techniques les plus
perfectionnées qui peuvent être concrètement mises en œuvre;
b) il convient que les formats soient libres (à savoir, non propriétaires) ou utilisent des normes ouvertes et
que les spécifications techniques publiées soient disponibles dans le domaine public ou qu’elles soient
largement déployées au sein du secteur concerné;
c) il convient que les f
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