1、ASSOCIATION FOR INFORMATION ANO IMAGE MANAGEMENT INTERNATIONAL 1100 Wayne Avenue Suite 1100 Silver Spring, Maryland 20910 AIIM 301-587-8202 October 12,7997 ANSVAIIM TR15-1997 O by the Association for Information and Image Management International 11 O0 Wayne Avenue, Suite 11 O0 Silver Spring, MD 209
2、10-5603 Tel: 301 -587-8202 Fax: 301 -587-271 1 E-mail: aiimaiim.org Web Site: http:/www.aiim.org ISBN 0-89258-336-3 Printed in the United States of America ANWAIIM TR15-1997 Technical Report for Information and Image Management - Planning Considerations Addressing Preparation of Documents for Image
3、Capture An ANSI Technical Report prepared by the Association for Information and Image Management International Abstract: This technical report serves as a guide for document preparation. This report identifies and describes the physical preparation of documents for systems that capture images. This
4、 report also addresses planning considerations and provides a set of generic procedures to prepare documents for image captu re. ANWAIIM TR15-1997 - Planning Considerations Addressing Preparation of Documents for Image Capture Contents Foreword . i 1 Scope and purpose . 1 2 References 1 3 Definition
5、s 2 4 Planning considerations . 3 5 Physical characteristics 4 6 Procedures to prepare documents for image capture. 1 O 7 Examples of document preparation steps . 12 8 Conclusion . 14 Table Table 1 Examples of paper and film volume 9 Foreword (This Foreword is not part of American National Standard
6、Technical Report for Information and Image Management - Planning Considerations Addressing Preparation of Documents for Image Capture This technical report - discusses image capture as a process for converting an existing document collection; - addresses the planning considerations needed to assure
7、accurate preparations for image capture; - discusses the impact of physical characteristics of paper and microform documents and image characteristics on the preparation of microform documents; - provides a generic set of procedures on document management and preparation. Suggestions for improving t
8、his standard are welcome. They should be sent to the Chair, AIIM Standards Board, Association for Information and Image Management International, 1100 Wayne Avenue, Suite 1100, Silver Spring, Maryland 20910-5603. - ANSUAIIM TR15-1997.) At the time it approved this standard, the AIIM Standards Board
9、had the following members: Name of Representative Organization Represented Marilyn Wright, Chair Association for Information and Image Management International Bell - paper to digital; - paper to microform and digital; - paper to microform to digital; - paper to digital and then to microform; - micr
10、oform to digital. In this report, “microforms” will include the common forms of microfilm, microfiche, and aperture cards. This report only addresses those efforts and considerations up to the actual filming or digitizing of the documents and the handling of the original documents thereafter. 1.2 Pu
11、rpose Today, many organizations are considering document image capture systems as a means of improving their records management and organizational effectiveness. Once the pages have been captured as either photographic or digital images, they are more accessible, are easier to find and manage, take
12、less time to retrieve, and require less space to store. However, before the documents can be converted using image capture systems, they must first go through a preparation process. The purpose of this technical report is to provide information to organizations Considering image capture as a means o
13、f converting an existing record collection. This technical report identifies possible issues that can be encountered when preparing documents for image capture. Moreover, the purpose of this report is to provide the insight necessary for quality document preparation. This report will strive to accom
14、plish its objective in three ways. First, it will discuss planning considerations that should be addressed and resolved before the actual preparation and capturing processes. Second, it will discuss the physical characteristics of paper and microform documents and the image characteristics regarding
15、 the preparation of microform documents. Third, it will present a general set of procedures for preparing documents for image capture. 2 References All standards are subject to revision. When the following documents are superseded by an approved revision, that revision may apply. 2.1 Related America
16、n national standards ANSUAIIM MS5: 1992, Information and image management - Micrographic microfiche. ANSUAIIM MS 11: 1987 (R1993), Information and image management - Microfilm jackets. ANSUAIIM MS14: 1988, Information and image management - Specifications for 15 mm and 35 mm roll microfilm. ANSUAIIM
17、 MS19: 1993, Information and image management - Recommended practice for identification of microforms. ANSUAIIM MS23: 1990, Information and image management - Operational proceduredinspection and qualio control of first-generation silver-gelatin microfilm of d5cmas. ANSUAIIM MS35: 1990, Information
18、and image management - Recommended practice for the requirements and characteristics of original black-and- white documents that may be microfilmed. ANSUAIIM MS39: 1987, Information and image management - Recommended practice for operational procedures, quality control and inspection of graphic comp
19、uter-output microforms. ANSUAIIM MS43: 1988 (A1991), Information and image management - Recommended practice for operational procedureshspection and quality control of duplicate microforms of documents and from COM. ANSIJAIIM MS44: 1988 (R1993), Information and image management - Recommended practic
20、e for quality control of image scanners. ANSUAIIM MS45: 1990, Information and image management - Recommended practice for inspection of stored silver-gelatin microforms for evidence of deterioration. ANSUAIIM MS48: 1990, Information and image management - Recommended practice for microfilming public
21、 records on silver-halide film. 1 Association for Information and Image Management International ANSIIAIIM TR15-1997 - Planning Considerations Addressing Preparation of Documents for Image Capture ANSIAIIM MS49: 1993, Information and image management - Recommended practice for monitoring quality rol
22、l microfilm and microfiche scanners. ANSIAIIM MS50: 1994, Information and image management - Standard recommended practice - monitoring image quality of aperture card film image scanners. ANSUAIIM MS52: 1991, Information and image management - Recommended practice for the requirements and characteri
23、stics of original documents intended for optical scanning. 2.2 Referenced publications ANSUAIIM TR2: 1992, Technical Report for the Association for Information and Image Management - Glossary of imaging technology. 2.3 Related publications Black, D. Document capture for document imaging systems. AII
24、M, 1992. 3 Definitions The following definitions apply to terms that appear in this standard. Other terms may be defined in ANSVAIIM TR2. 3.1 automated image improvement: Automated enhancement that materially raises the legibility or readability of an image. 3.2 current document: A document that is
25、currently authorized for filing in the record system. See also “obsolete document.” 3.3 document: Recorded information, regardless of physical form or characteristics. The term is often used interchangeably with “record.” A document may be composed of one or more pages and consist of one or more inf
26、ormation types, such as forms, letters, and certificates. The pages within a document may or may not have the same physical characteristics from page to page. Pages may be either single-sided, double-sided (printed head-to-head or head-to-toe), forms, straight text, landscape, or portrait style. Exa
27、mples of a document include a one-page form, a three-page form with a cover letter, and a six-page all-text letter. In some instances, a collection of documents is treated as a single document. 3.4 double-sided document: A document containing information on the front side of the page as well as the
28、back side of the page. 3.5 duplicate document: A document having information that is identical in all respects to that of another document. 3.6 file: A collection of documents bound together. A file can consist of one document or multiple documents. “File” is often used interchangeably with the term
29、 “record.” 3.7 form removal: The separation of that which constitutes the blank form from the information that was filled in on the form without the loss of any record information. 3.8 head-to-head Having information recorded from top to bottom on both sides of the page; that is, the heads of both s
30、ides of the page are back to back. This adjective is applied to double-sided pages. 3.9 head-to-toe or head-to-tail: Having information on the first side recorded top to bottom and information on the second side recorded bottom to top; that is, the head of the first side is backed to the tail of the
31、 second side. This adjective is applied to double-sided pages. 3.10 image: In electronic imaging, a digital representation of a document page. One side of a page is considered to be an image; a double-sided page would be two images. 3.11 obsolete document: A document that is no longer authorized for
32、 current use. Thus, existing stock of an obsolete form cannot be filled in and filed in the record after the form date was superseded. However, all versions of documents that have been completed before the documents becoming obsolete are valid documents within the record and will be treated as such.
33、 For example, it is possible to have several editions of the same document in a record. See also “current document.” 3.12 record: A collection of documents bound together. A record can consist of one document or multiple documents. “Record” is used interchangeably with the term “file.” 3.13 single-k
34、ind document: A document in which only one document type (form number) will be found within the batch. 3.14 single-sided document: A document containing infomation only on one side of the page, the other side being blank. 3.15 temporary records: Records created as management tools by a conversion co
35、ntractor that may contain information that must be protected against unauthorized release such as, name, social security number, or an address. All temporary records are returned to the owner of the records. Association for Information and Image Management International ANSVAIIM TR15-1997 - Planning
36、 Considerations Addressing Preparation of Documents for Image Capture 3.16 update document: A document that is meant for inclusion in a record and that was initiated after the original record was created. 4 Planning considerations 4.1 Current business practices Key to the creation and management of
37、document repositories is a set of business processes. This set of processes can demonstrate the integrity of the documents from the time they were received or created until their retrieval. These processes are required in order to meet legal requirements for the validity of documents. Once these pro
38、cesses have been defined and used, it does not matter what the form of the document - paper, microform, or electronic - is. The discipline of the process is what is important, rather than how the records are stored. The processes must cover - creation; use; - storage; - retrieval; - conversions amon
39、g media formats. - 4.1.1 Creation - Create internal and external records Documents are created either by internal processes or by receipt from an external source. Internal processes normally have business controls to assure the validity of the documents as they relate to the operation of the busines
40、s. Documents from external sources may be in paper form or electronic form. Their receipt into the business should be controlled for the very same reasons, such as proof of receipt and elimination of duplicate payments. 4.1.2 Storage - Keep or file records Records are integral to the operation of th
41、e organization; their storage must be controlled both to assure the ability to retrieve them and to assure that the records have not been changed. Document logs and file access logs can be used to establish an audit trail and to establish validity and integrity of the data. The fact that a document
42、is electronic or that it has been converted from paper to electronic form or to microform does not change its validity as long as the audit trail is accessible. 4.1.3 Management - Manage or update records Most records are not static; they actually go through changes associated with processing (thus,
43、 an invoice may be stamped when it is paid and marked with a check number). The records management process should 3 simplify and aid storage of both the original document and its subsequent versions. 4.1.4 Retrieval - Access or use records To enable the accessing of records is the true goal of the r
44、ecords management process. You must maintain indices and storage locations to allow users to retrieve documents on demand. If originais are removed from the stored files, audit trails must assure that the documents returned are the same ones that were removed. 4.1.5 Purging - Destroy records When re
45、cords are no longer needed, they will be purged from the active files (or archives) and destroyed. Explicit records of when they were destroyed and by whom are essential to the whole process, if onIy to establish that they are no longer available. 4.2 Conversion goals and objectives If the form of r
46、ecords is changed (either as part of the archiving process saving records on microfilm or as part of a conversion of the record management system from microform to electronic document managementl), the conversion process must be able to show that no records were lost in the conversion. During the co
47、nversion process, those converting the documents must also indicate if any of the original documents were damaged or missing. Accurate control processes can establish that all records have been converted. Physical handling processes are used to deal with the quality of the base documents as well as
48、the quality of the converted files. Included in these processes can be procedures for reconstructing missing records. 4.2.1 Managing (controlling) records during the preparation process Responsibility for records during the preparation process begins with custody and accountability of the records an
49、d ends with the transfer of accountability and custody to someone else. Having custodian responsibility for records is more of a formal responsibility for the management of those records than of a physical responsibility for the records. None the less, each individual is responsible for the records within his or her custody. Accountability is the physical responsibility part of custody. Accountability includes both inventory and management. Inventory is the beginning of the management process and starts when a record is received. Management is the control placed on the record while in
