1、 AIIM TR25 75 301238 0500673 474 ASSOCIATION FOR INFORMATION ANO IMAGE MANAGEMENT INTERNATIONAL 1100 Wayne Avenue Suite 11 O0 Silver Spring, Maryland 20910 AIIM 301 -587-8202 AIIM TR25 95 E LOL2398 0500692 320 E ANSI/AIIM TW5- 1995 O by Association for Information and Image Management International
2、1100 Wayne Avenue, Suite 1 100 Silver Spring, MD 209 10-5603 Tel: 301/587-8202 Fax: 3011587-271 1 ISBN 0-89258-214-6 Printed in the United States of America ANSVAIIM TR25-1995 Technical Report for Information and Image Management - The Use of Optical Disks for Public Records An ANSI Technical Report
3、 prepared by the Association for Information and Image Management International Abstract : This report provides guidelines for the planning, implementation, and operation of optical disk systems in applications involving long-term and permanent public records. AIIM TR25 95 H 1012348 0500694 1T3 = AN
4、SUAIIM TR25-1995 The Use of Optical disks for Public Records Contents Foreword . i 1 Purpose and scope . 1 2 References . 1 3 Definitions . 3 4 Technology and applications overview . 4 5 Issues and concerns 15 Figures Figure 1 States that have adopted the Uniform Photographic Copies Of Business and
5、Public Records as Evidence Act 35 of Evidence Act 35 Figure 2 States that have adopted the Uniform Rules Table Table 1 Approximate storage requirements (uncompressed) for documents of various sizes . 21 Foreword This technical report was funded by a grant from the National Historic Records and Publi
6、cations Commission. It is intended for federal, state, and local government agencies and related entities with records management responsibilities. In recent years, a number of government agencies have considered using electronic document imaging systems and optical disk technology for records manag
7、ement applications. This report provides guidelines for the planning, implementation, and operation of such systems in applications involving long-term and permanent public records. The report is divided into three sections: Section 1 (clauses 1 through 3) explains the scope of the report, defines e
8、ssential terms, and provides references for standards and technical reports cited in subsequent sections. Section 2 (clause 4) presents a tutorial overview of electronic document imaging technology and applications with emphasis on optical storage technology. It describes the major types of optical
9、storage media and reviews their use within electronic document imaging systems. It provides the conceptual and factual foundation required for an understanding of systems-design issues pertaining to optical disks for the storage of long-term and permanent public records. (Information presented in th
10、is clause is primarily intended for individuals who are unfamiliar with optical storage and document imaging technology; experienced readers may find it useful as a concise “refresher.”) Section 3 (clause 3, the most important part of the report, provides a detailed examination of critical issues an
11、d concerns pertinent to the use of optical disks for long- term and permanent public records. It presents guidelines for specific facets of system planning, implementation, and operation. Topics covered include the following: - indexing procedures - document scanning - quality assurance - backup and
12、 recovery procedures - retrieval operations - legal considerations - expungement This clause also contains more detailed technical discussions of certain topics introduced briefly in clause 4. Suggestions for improvement to this document, or requests for further information, should be sent to the Ch
13、air, AIIM Standards Board, 1100 Wayne Avenue, Suite 1100, Silver Spring, Maryland 20910. The AIIM Standards Board had the following members at the time it approved and processed this technical report: Name of Representative Judy Kilpatrick, Chair Jewel M. Drass John C. Gale Tom Heltzel Bruce A. Holr
14、oyd James Meyer Roy Pierce Charles A. Plesums Fernando L. Podio Shahzad S. Qazi Michael L. Thomas Stephen Urban Organization Represented Association of Information and Image Management International Bell Final Rules 36 Code of Federal Regulations (CFR) Part 1220. Uniform Photographic Copies of Busin
15、ess and Public Records as Evidence Act (Citation 28 USC 1732). US. Freedom of Information Acr (FOIA) (5 USC 552) . Federal Records Act (44 US. Code 3301). 3 Definitions The following definitions apply to terms that appear in this technical report. Other terms are defined in ANWAIIM TR2, Glossary of
16、imaging technology. 3.1 bit-map Bit-mapping is a method of representing images by assigning an individual memory location for each picture element (pixel). 3.2 bit-mapped display A bit-mapped display is a display screen on which a character or image is generatedhefreshed from a bit-map. 3.3 dots per
17、 inch (DPI) Dots per inch is the measure of output device resolution and quality, e.g., number of pixels per inch on a display device. It is a measurement of the number of dots horizontally and vertically. 3.4 electronic image management (EIM) EIM includes all the techniques associated with recordin
18、g, storing, retrieving, and transmitting documents by electronic means. 3.5 long-term public reconis Long-term public mords are those records determined by an appropriate public records authority to have sufficient value to warrant retention for a period of at least 100 years. 3.6 optical character
19、recognition (OCR) OCR includes the techniques by which characters can be machine- identified and then converted into computer-processable codes (e.g., ASCII, EBCDIC, etc.). 3.7 optical disks Optical disks are platter-shaped, computer-oriented storage media that permit the recording and/or retrieval
20、of information by optical processes, typically through the use of lasers. Optical disks are recorded and/or read by specially-designed drives that function as computer peripheral devices. Optical disks and their associated drives are available in both read/write and read-only configurations. This re
21、port will emphasize the use of readwrite optical disks in electronic image management applications involving the storage of long-term and permanent public records. However, electronic imaging applications that use read-only optical disks will also be discussed briefly. 3.8 optical disk cartridge An
22、optical disk cartridge is a plastic enclosure for read/write optical disks. Cartridges, which may be square or rectangular in shape, protect the disks from contaminants and physical damage. They also facilitate loading, unloading, and other handling of read/write optical disks. 3.9 pel Pel is an abb
23、reviation for picture element. (See “picture element” and “pixel.”) 3.10 permanent public records Permanent public records are those records determined by an appropriate public records authority to have sufficient value to warrant their retention and preservation for an indefinite and possibly unlim
24、ited period of time. Such records may be stored by the government agencies that created or received them or, alternatively, they may be transferred to an archival agency. 3.11 picture element A picture element is the smallest element of a display surface that can be independently assigned color or i
25、ntensity. Also called “Pixel” or “Pel.” 3.12 pixel Pixel is an abbreviation for picture element. (See “picture element” and “pel.”) 3.13 public records Broadly defined, the term “public records” denotes any recorded information, regardless of physical format or content, that is created, received, or
26、 maintained by a government entity in the execution of its specific responsibilities and as evidence of the entitys 3 Association for Information and Image Management International AIIM TR25 95 = LOL2348 0588699 385 ANSIAIIM TR25-1995 The Use of Optical disks for Public Records organization, functio
27、ns, policies, decisions, procedures, or operations. This definition conforms to the definition of public records presented in the Federal Records Act (44 U.S. Code 3301). Government entities that create, receive, or maintain public records include federal, state, and local government agencies of all
28、 types as well as governmental boards, commissions, authorities, public benefit corporations, and other quasi-public organizations. This intentionally broad definition of public records encompasses machine-readable data and text files. Such files typically contain textual or quantitative information
29、 in a character-coded form suitable for processing by computer programs. Since the 196Os, magnetic disks and tapes have been the dominant storage media for character- coded information. However, more recently optical disks have also been used for such purposes. Much of this report deals with the con
30、version of paper documents to digitized images suitable for storage on optical disks. Such capabilities, which constitute an important group of optical storage applications for public records, are implemented by electronic document imaging systems. 3.14 read-only optical disks Read-only optical disk
31、s contain prerecorded information that users can retrieve. Read-only optical disks are produced by a mastering process that results in the creation of a specified number of working copies to be distributed to end users; the working copies have no recordable properties. Although some read-only optica
32、l disk formats are intended for consumer applications involving audio and video information, certain formats - notably, Compact Disc- Read Only Memory (CD-ROM) - can be used and have been used to store public records. 3.15 readwrite optical disks Redwrite optical disks permit direct recording and su
33、bsequent reading of the users information. Such disks may be of either a write- once type or a rewritable type. The recorded information - which is typically, but not necessarily, digitally- encoded - may be generated by keyboards, scanners, or other input devices; transferred from magnetic media; o
34、r captured in other ways. Write-once optical disks are popularly described as WORM disks - the acronym can represent the terms “Write-Once Read Many” or “Write-Once Read Mostly.” Write-once optical disks are intended for information that will not be altered or erased. When information is recorded in
35、 a given area of a write-once optical disk, that area cannot be reused. Rewritable optical disks are erasable. Information recorded in a given area of a rewritable optical disk can be overwritten and the original information replaced with new information. 3.16 scanning Scanning is the conversion of
36、human- readable images from paper or microform into a stream of numeric values, called a bit-mapped image. 3.17 true copy A true copy is one that contains all significant details of the document or document image from which it was made. A true copy is an adequate substitute for that document for all
37、 purposes for which the original document was created or maintained. 4 Technology and applications overview This clause presents an overview of the principal procedures and components - including equipment and software characteristics - associated with electronic document imaging systems. Because op
38、tical disk subsystems are widely used as storage components in electronic imaging applications, this section also presents an overview of optical disk technology, devices, and media. This clause also discusses the data storage applications for optical disks. The discussion is tutorial in nature and
39、is intended for readers unfamiliar with electronic image management or optical storage technology, or both. It provides the conceptual and factual foundation required for an understanding of the systems design issues and concerns discussed in clause 5 of this report. Topics covered in this clause in
40、clude the following: - electronic document imaging systems - optical disk storage systems - data storage applications 4.1 Electronic document imaging systems Electronic document imaging systems can provide an alternative, complement, or supplement to paper documents and microfilm systems for the sto
41、rage of long- term and permanent public records. Broadly defined, an electronic document imaging system is a computer-based configuration of equipment and software that stores machine-readable, computer-processable document images - and their associated character-coded index data - for on-demand ret
42、rieval. Within such systems, scanners are used to convert paper documents or microfilm images to digitized, electronic images, i.e., digital images. A paper document or microfilm image is divided, for scanning purposes, into a grid of rows and columns. The resulting matrix consists of small scannabl
43、e units that are variously termed “picture elements,” “pixels,” “pels,” or - more colloquially - 4 Association for Information and Image Management International AIIM TR25 95 m 1012348 0500700 227 m ANSUAIIM TR25- 1995 The Use of Optical disks for Public Records “dots.” (Throughout this report, the
44、terms “pel(s)” and “dot(s)” will be used interchangeably.) To create a digital image, a scanner analyzes the tonal characteristics of paper documents or microfilm images by measuring the amount of light reflected by successively encountered pels. The resulting light-reflectance values are represente
45、d as digital codes. Although electronic images may be stored on any computer-compatible medium, they typically require substantial amounts of machine-readable storage space. Given their high storage capacities, optical disks are well suited to such applications. Following scanning, electronic docume
46、nt images are recorded on optical disks in locations that are controlled by software. Thus, electronic document imaging systems maintain a computer-processable database that serves as an on-line index to the recorded images. At retrieval time, a user searches the index to determine the existence and
47、 location of document images that satisfy specified search parameters. The following discussion (4.1.1 to 4.1.8) summarizes document recording and indexing procedures encountered in typical implementations of electronic document imaging technology. These document recording and indexing procedures in
48、clude: - defining indexing requirements - preparing documents for scanning - scanning documents - inspecting images - entering index data - recording images to media - storing the media - retrieving information 4.1.1 Defining indexing requirements The first step for all computer-based document index
49、ing and retrieval methodologies is to determine indexing parameters and establish indexing procedures. To determine indexing parameters, first analyze the retrieval requirements associated with the particular application. In this analysis, consider the retrieval requirements of both current and future users of the indexed records, including researchers as well as government agency personnel. (Special considerations pertinent to the indexing of long- term and permanent public records will be discussed in 5.2.) 4.1.2 Preparing documents for scanning Document preparation
