UW-Madison Records Management Program
2016
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/recordsmanagement-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 Schedules
http://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 charges 29¢ per box per month.
• Confidential disposal is zero cost, if box is in State Records Center inventory.
Considerations in Document
Imaging
A. Planning
B. Technical Recommendations
C. 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 Justifications and Cost Estimate
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 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.
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.
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.
From National Archives and Records Administration’s Technical Guidelines –
pp.32-36
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 DoIT
jstalnak@wisc.edu
608-263-8035
Campus units using:
 Accts. Payable
 Enrollment Management
 Payroll
 Graduate School
 Other campus departments
http://www.lexmark.com/en_us/solutions/highereducation.html
Thank you.
Contact: Peg Eusch, CRM for more information
recmgmt@library.wisc.edu
For more information
refer to:
University Employee
Guide to: Document Imaging &
Management of University Records
http://www.library.wisc.edu/archives/wpcontent/uploads/sites/23/2015/06/2014-Guidelines-for-Document-Imagingand-University-Records.pdf