Digital Preservation: Digitisation dilemmas

Digitisation dilemmas

[caption id="" align="alignright" width="201"] Operating a digital camera via the laptop[/caption]



There are substantial benefits to be gained by digitising paper records. As a result, the number of organisations undertaking digitisation has increased dramatically in recent years.



However, if you want to introduce digitisation projects or programs you need to be aware that there are also a variety of risks. Being aware of these risks can help your organisation to built mitigation measures into program/project planning and management.



Types of digitisation



Organisations usually conduct either (1) business process digitisation programs, where they scan incoming correspondence as it is received (2) back-capture digitisation projects, where accumulated paper records are digitised.



Benefits of digitisation



When programs and projects are planned and managed well and in line with best practice, digitisation can bring many benefits. Depending on the program or project, digitisation may allow you to:

• improve the accessibility of records within the organisation



• publish records online and/or facilitate information sharing more widely



• integrate records with existing EDRMS and business systems



• Improve efficiency by reducing reliance on hybrid systems



• Automate workflow



• Enable and encourage data reuse



• Promote the preservation of original paper records by using digital images instead



• Reduce physical storage costs by destroying paper records after digitisation.

Risks of digitisation



Below are some examples of risks that may apply, depending on the nature of the program or project, and how risks can be mitigated:



1. Risk: That money will be wasted by poor selection of records for digitisation



Some organisations get so excited about digitisation that they want to digitise everything! Digitisation is an expensive undertaking and should only be done when substantial and realistic benefits can be made.



It is also worth noting that some records do not digitise well e.g. fragile records, records with faint inks etc. Others, such as large maps and plans, will require specialist (and often more expensive) digitisation techniques and equipment.



Risk mitigation: Selection decisions for digitisation programs or projects should be carefully defined in planning.



2. Risk: That the complexities of digitisation will be underestimated



Digitisation is inherently complex. It is not enough just to buy the software and hardware and start scanning, or sign a contract with a service provider and send them paper records. If care is not taken the results could be disastrous, the digital images unusable and public money wasted.



Risk mitigation: All digitisation activity needs to be carefully planned and managed. Research needs to be conducted and decisions need to be made and documented about a variety of matters including:

• what records should be digitised and why



• what benchmarks are needed



• what technical standards to use



• what metadata is required, and



• what quality assurance measure to apply.

Staff members need to be trained and supported to perform their allocated roles.



If contracting-out digitisation, organisations need to ensure that controls are communicated to service providers and built into contracts. The performance of the contractor must be monitored and the paper and digital records protected at all times. For more information about responsibilities when contracting-out see Accountable outsourcing: Recordkeeping considerations of outsourcing NSW Government business (Guideline 16).



3. Risk: That costs will be underestimated



Digitisation involves a range of upfront and ongoing costs:

• Upfront costs can include the purchase of hardware and software, training and support of staff, staff time to define benchmarks, contract set-up etc. In some cases costs might include conservation treatment for fragile paper records prior to digitisation.



• Ongoing costs include staff time to digitise and perform quality assurance, the cost of maintaining digital images (and possibly original paper records as well) over time, managing variables and the maintenance and update of systems.

In particular, the ongoing costs (and complexity) of preserving digital images in place of original paper records over long periods of time should not be underestimated. This will require a significant investment of funds over a long period of time which could make some projects unviable.



If outsourcing, some upfront costs can be reduced, but the organisation will incur other costs from the service provider.



Risk mitigation: As part of planning, organisations need to clearly define both upfront and ongoing costs, including costs for maintaining some digital images in the long term, and ensure that they have adequate resources over the lifetime of the program or project. If they cannot guarantee resources, project aims and selection decisions may have to be reviewed.



4. Risk: That original paper records, including State archives, will be destroyed without authorisation



Any organisations undertaking digitisation in order to destroy original paper records need to be aware that not all records are authorised for destruction after digitisation. If a reduction in storage costs is one of the promised benefits in their business case, this may not always be deliverable.



Where original paper records can be destroyed, the digital images will become the primary records and need to be managed accordingly and kept for the full retention periods specified in retention and disposal authorities.



For more information on disposal see the General retention and disposal authority – Imaged records.



Risk mitigation: Organisations should clearly understand disposal requirements for the original paper records selected for digitisation before embarking on a digitisation program or project. They should also build in staff training and quality assurance measures to ensure that no unauthorised disposal takes place. Any authorised destruction should be secure and in line with organisational records policy.



5. Risk: That original paper records will be damaged during the digitisation process



Back-capture digitisation projects require that original paper records be retrieved from storage, handled and sometimes unbound. On occasions pages may need to be removed (e.g. in order to apply different scanner settings). In the case of outsourcing, original paper records will need to be transported to and from service providers.



There is a risk that the paper records will be damaged in this process or returned to storage in the incorrect order.  This may create problems and compromise their ability to function as evidence, especially for records of high risk or high value that are being retained after digitisation.



Risk mitigation: Organisations need to ensure that original paper records are handled carefully and put back in their original order. Staff members need to be trained in handling and supervised where necessary and quality assurance measures built in to ensure records are not damaged.



Important note: If records are required as State archives, advice from State Records should be sought before digitisation commences.



6. Risk: That digitisation will not produce a full and accurate representation of the original paper records



The aim of digitisation is to create digital images of the original paper records. The quality of these images need to be fit for purpose. In some cases it may be appropriate to settle for smaller files of lesser quality e.g. for the delivery of images online.



However, there are occasions where the quality of the digital images cannot be compromised, for example, where the original paper records are to be destroyed and the digital records are to replace them as evidence of the business activity (and could potentially be required in court).



Risk mitigation: Organisations need to identify what the essential characteristics of the records are that must be retained, and create quality benchmarks to ensure that these remain intact. The definition of technical and metadata standards, along with staff training and quality assurance checks (either of images or samples of images) should help to ensure that image quality is fit for purpose. Procedures and standards need to be developed and documented as these will help to demonstrate that digital images are trusted copies of the originals.



For more information see the General retention and disposal authority – Imaged records and Digital imaging and recordkeeping (RIB 11).



7. Risk: That digital images are not stored or protected appropriately



If the original paper records are destroyed the digital images become the official records. Digital images must be stored securely, remain tamper-proof and unaltered, and be kept for the retention period defined for the original paper records. Poor storage or protection of the digital images may result in the loss of essential evidence, which can have far-reaching consequences for the organisation.



Even if the original paper records are retained, there are risks to the organisation if digital images are not subject to the same controls as the original paper records. For example, access and security regimes for paper records with sensitive content should equally be applied to the digital images.



Risk mitigation: Organisations should confer with their records management staff to ensure that digital images are stored and controlled appropriately.



Ideally, digital images should be captured into a recordkeeping system, where they can be accessed only by authorised users, secured from unauthorised alteration or deletion, in context with related records, protected from disaster and kept for their required retention periods.



If the organisation does not have a recordkeeping system, digital images need to be kept on a secure drive with stringent security, access controls and backup until the organisation can move them into a recordkeeping system.



Note: Master digital images should not be stored on removable media due to their inherent risks. For more information see Managing removable media in the Managing digital records guidelines.



8. Risk: That duplicates are not managed appropriately



When original paper records are retained, the digital (master) image is already a duplicate. Organisations may also potentially require multiple digital copies at different levels of quality, depending on their purpose.



If these are inefficiently managed, it will be difficult to ascertain which version is the ‘official’ record and to ensure that it survives for as long as it is needed.  The existence of many derivative images may also add to storage and management costs and cause problems in relation to access and security.



Risk mitigation: Organisations should confer with their records management staff to ensure that digital images are managed appropriately. They will also need to adopt a well defined metadata schema with relationships between records to ensure that it is very clear whether the original paper record exists, which is the ‘master’ image and which are derivatives and for what purpose they are to be used.



9. Risk: That digital images will not survive and remain accessible for as long as they are required



Digital images are inherently unstable. Technological obsolescence and media degradation can render them unreadable in relatively short time frames. If digital images are replacing original paper records, and are required as evidence for long periods of time, the organisation will need to consider how to ensure  they survive for as long as they are required.



Risk mitigation: Organisations should confer with their records management staff to ensure that digital records are managed as part of a records management program and that their longevity is planned for. For example, the organisation may be required to plan for, test and implement data and systems migration on an average of 5-7 years in order to maintain information accessibility and integrity. Funds for ongoing management should be defined in business cases and made available when required. Technological and storage decisions will impact on the longevity of images and should be made with care.



The above risks, and any other risks identified, should be considered as part of the planning and management of digitisation programs or projects. If mitigation strategies are built in, organisations can enjoy the benefits digitisation can offer, while avoiding the pitfalls.



 Guidelines



State Records NSW intends to develop detailed guidelines, both for business process digitisation programs and back-capture digitisation projects, which will address how to manage projects, optimise benefits and reduce risks. These will be released in 2012.



In the meantime, please feel free to provide us with feedback through the blog or by email at govrec@records.nsw.gov.au if:

• you want to discuss any particular digitisation problems you are encountering



• you believe you have established a best practice digitisation program or project



• you have found innovative solutions to common digitisation problems



• you would to share your business case for digitisation.

Such information will help us to ensure that the guidelines are beneficial for all NSW organisations undertaking digitisation.

Also of interest:

• Digitisation does not equal digital preservation!



• Exposure draft of digitisation guidance now available

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Conservation: Digitisation

Create a custom-made book cradle to minimise risk during the digitisation process

Introduction

When in 2009, as part of the long-term digitisation strategy, the British Library digitised 250 early Greek manuscripts as the first phase of an ongoing externally-funded project to digitise the entire Greek manuscript collection. The manuscripts chosen for digitisation ranged in condition from fair to good. Of course all those in poor condition were excluded from digitisation and sent to be treated or put aside for later conservation.



But one very important piece of equipment that became essential to the project was a humble book cradle designed for the handling of manuscript during the digitisation process and here we provide instructions for its assembly.



The need for a book support for the digitisation process was highlighted during the making of a risk assessment that was made at the beginning of the project, the framework of which will form part of a possible further article. This collection care risk assessment was aimed at identifying possible causes of harm to the manuscripts and to help mitigate such risks, whilst enabling the ease of project workflow. To manage these collection care requirements, the project included the work of a full-time book conservator to evaluate the risks attached to the digitisation of this collection.



It was established quite early that the main risk factors were around the handling processes, particularly during

1. Transport



2. Digitisation in studios



3. Storage

The main focus of this assessment was to evaluate the risks to manuscripts through the process of mechanical handling during the whole project and some aspects of storage.



As handling presented the highest risk overall, it was imperative that all those involved in the process of handling should first observe some of the basic preservation handling rules, such as clean hands, ensuring the correct handling mechanisms were in place such as trolleys, cradles and establishing safer access routes before moving items from one place to another.



Handling during the actual digitisation process was identified as presenting the highest risk of all. It was important to consider the worst-case scenario for digitisation handling, as handling during this process is not always in the presence of the collection care staff.



In order to mitigate those risks and as a result of the primary risks identified during the risk assessment phase of the Greek Manuscripts Digitisation Project, it was decided to design and develop an easy-to-use and adaptable book cradle the cradle was intended to support manuscripts whilst they were being digitised.



The book cradle was designed to be used only where one page at a time was being photographed or digitised. It was used with a common photographic stand with the camera placed perpendicular to the page to be digitised. The book support is also adjustable depending from the type of the spine the book to be digitised has.



The resulting cradle enabled a safe and faster digitisation of many of the manuscripts so far and has also been used recently for other digitisation projects.

Book support: construction and use

The following instructions are intended to explain and show clearly and easily the construction of the book cradle. They are offered to anyone wishing to make a cost-effective cradle for use in their institution.

Book supports for digitisation.

Fig 1 Book support with holding strips



The book support is made of three components,

1. A base formed of two boards covered with Buckram (Fig 1)



2. Two Plastazote^® supports covered with the same archival cloth (Fig 2)



3. Strips of Velcro placed on the edges of the support (Fig 3)

Fig 2 The components of the support



1. The base is formed by two 3mm identical boards. The boards are covered with buckram or any suitable archival material that join them together creating a central hinge of approximately 10mm.







Fig 3 The base (component 1 above)



2. The Plastazote^® supports are made from a piece of Plastazote^® and a 3 mm board of the same dimensions. They are covered in such a way as to create a slit at the back of each Plastazote^® support into which the base board is inserted. To create this slit place the piece of Plastazote^® on the cover material to the left and the same dimension piece of board on the right leaving between them a gap equal to the thickness of the Plastazote^® plus the thickness of the covered base board (5mm).







Fig 4 Diagram of template for the covering material for the Plastazote® bases



Next, secure the Plastazote^® and the board bases to the cover material. Place the Plastazote^® on A without gluing it but securing it with a weight. Glue the board on B aligning it with the Plastazote^®.







Fig 5 Diagram of folding sequence or the Plastazote® support covering material



Glue verso 1 to the Plastazote^®, do the same with 2 (head and tail) to the board and finish attaching 3.



Close B onto A placing a compensatory thickness equal to the thickness of the covered base board (the base board itself can be easily used for this) to create the slit. Place the glue on 4 and fold it over the verso of B at both sides.







Fig 6 Diagram (tail view) of the book support



Now place the strips of self adhesive Velcro (hook side of the Velcro) onto the Plastazote^® supports at head and tail (short sides) of the Plastazote^® bases and onto their thickness (see following diagram).







Fig 7 Diagram of strips of self adhesive Velcro (hook side)



To adjust the groove.



To adjust the groove to accommodate different sizes of the raised spine of the book it is necessary to secure the left side of the Plastazote^® support at different heights.



This is achieved by placing 3 strips of self adhesive Velcro (loop side) on the verso of the left part of the base board. These strips need to be placed at 1 or 2 cm interval parallel to the groove.



Cut a strip of board of the length of the base board or slightly shorter and 40 mm wide.



Adhere to the strip a new strip of self adhesive Velcro (hook side) and use the strip to support the Plastazote^® base at the desired height (see following diagram and images).







Fig 8 Diagram of holding strip







Fig 9 Adjustable groove for housing different size spines







Fig 10 Pronounced spine properly housed ready for digitisation



 



Book supports with book in place.



3. The book is held in place by strips that can be made of linen tape, or conservation paper or even Melinex^® or Mylar ^® or Tyvek^®. These strips are secured to the base with Velcro (loop side of Velcro) at each end to secure the books to the book support during digitisation. These strips both gently hold the left part of the book block out of the camera range and also provide an easy and fast way to change the page. These strips, placed behind the page to be photographed can also help to secure the right side of the book block (as shown in the following illustration) in place during the photographic process. To hide the strips, a sheet of archival paper can be placed behind the page being photographed as a blending background.







Fig 11 The book support is now ready to be used







Fig 12 The book in use







Fig 13 Book support with book in place with different opening angles



The opening angle of the book support can be changed as necessary. Different thicknesses of foam wedges can be used behind the book support to achieve a different opening angle. The opening of the book should not to be more than 120 degrees and the book should never be forced to open further than it will naturally.



Refinements can be made to the design when you have made the basic cradle; for instance, the Plastazote^®bases can be bevelled at the edge close to the groove where the book spine will be placed to follow the shape of rounded book spines. Also, where natural hollow or tight back spines need support a rolled linen cloth can be used to fill the groove to support the book block from behind, as illustrated in the image below.







Fig 14 Natural hollow spine supported with rolled linen cloth



 

List of materials

BOOK SUPPORT

• Board



• Buckram cloth



• Plastazote^®



• Strips of linen tape or Tyvek^®, the length depending on the dimensions of the book support plus the space for the book block.



• Self adhesive Velcro strips.



• Foam wedges

Conclusion

The book support cradle was designed to reduce the handling of the books during the digitisation process. The book is secured on a non abrasive surface that keeps a suitable constant opening angle and allows the book to be positioned on the photographic table without further direct handling as the book rest itself can be moved with the book already in place.



The dimensions of the supports can be varied depending on the dimensions of the books to be digitised, more than one dimension should be available to the photographer/imager and the book support needs to be bigger then the book to be digitised.



The strips made of conservation-grade material (Tyvek^® and linen tapes were the more suitable choices due to their properties of strength and non-abrasive surface) keep the books open and reduce the risk of damage to delicate paper or parchment surfaces. The use of Velcro to secure the strips to the book support means they can be secured with a slight tension to prevent the angled opposing pages from slipping. The Velcro also means that the page turning operation is quicker and safer.



The adjustable space in the centre of the book support between the covered Plastazote^® bases enables the safe positioning of the spine of the books placed on the support. Different book sewing structures open in different ways during use, for example: hollow back books need space to accommodate the spine which is detached from the text block. Positioning books properly on the support enables the pages to be turned more easily and the adjustable cradle enables the dimensions of the gap to be increased or decreased to accommodate books of different thicknesses safely.



The increase of book digitisation projects has meant that the involvement of conservation/preservation departments is an essential part of successful project planning. Never before has so much emphasis been placed solely on the books as mere textual carriers. Much of the funding for these projects is awarded towards the accessibility of this textual information alone. For this reason, book conservators have a vital responsibility to contribute to these projects by supervising the safety of the physical items through the stressful process of digitisation.



Books now, more than in any other period, need to be preserved for future generations as artefacts and museum objects too. Important features of the artefacts can be lost, simply because they are presently undervalued due to pressing work schedules and other agenda, but it must be remembered that they are carriers of information on many levels, not just intellectual content.



Experience at the British Library has demonstrated that the involvement of the conservation/preservation element in digitisation projects must be factored-in at the beginning of the planning process. The early assessment of condition and risks is vital for the future conservation and safety of our irreplaceable heritage.

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Promoting digital preservation of cultural heritage in the Caribbean

Promoting digital preservation of cultural heritage in the Caribbean

UNESCO, within the framework of its Information for All Programme, has organized a series of capacity development activities to promote digital preservation of cultural heritage in the Caribbean.



The first Regional Workshop on Digitization of Cultural Heritage in the Caribbean and Training in UNESCO’s Ibero-American Digital Library Software, was organized by UNESCO in collaboration with the ICT4D Jamaica, Human Education Art and Resource Training/National Training Agency (HEART/NTA), International Institute for Communication Development (IICD), and Institute for Connectivity of the Americas (ICA); held 18 – 22 July, 2005 in Jamaica. Over 40 participants from the region participated.



The workshop was designed for Caribbean countries with a view to offering theoretical and practical sessions on topics related to the process of digital preservation and was a follow-up to the Inaugural Caribbean Audio Visual Information Conference (CAVIC), organized by the National Library of Jamaica in collaboration with the International Federation of Television Archives (FIAT/IFTA), the International Association of Sound and Audiovisual Archives (IASA), the Caribbean Media Corporation, (CMC), Barbados and UNESCO. Recommendations from CAVIC reflected the need for capacity building in this field in Jamaica and the Caribbean; a Steering Committee to spearhead a formal audiovisual archiving body for CARICOM, the Caribbean Audiovisual Information Network (CAVIN) was also established.

Libraries and Digital Preservation

UNESCO contributes to the protection of the world’s documentary heritage by fostering awareness and measures at the policy level for long-term preservation and digitization. The organization attempts to improve the quality of and access to culturally diverse content through the development of info-structures and principles to guide digitization. It also continues to reinforce libraries and archives as centres of education and learning, and as repositories for knowledge and key resources for development.



“From the Abeng to the Cellular Phone…” were the words used by Sydney Bartley, the Director of Culture Jamaica, to create an image of the tremendous advances in technology and its cultural impact, during the opening ceremony of the workshop.



A second Regional workshop on Digital Preservation as Means to Protect Caribbean Cultural Heritage held in Antigua, 7-10 November, has contributed to the enhanced capacity of specialists from the region who operate within public, private and NGO entities such as libraries, museums, archives, national cultural commissions, and producers of cultural content, to deal with aspects of the digital preservation and documentation of cultural heritage.



The four-day workshop was organized in collaboration with the University of the West Indies and was attended by 27 representatives from 10 countries within the Caribbean Cluster. These included Jamaica, Belize, Antigua, Cayman, St. Vincent and the Grenadines, Dominica and Grenada. Bertrand Josephs and  Eleston Adams, Ministers of Education and Culture respectively, attended the opening ceremony. Minister Adams launched the workshop and was present for several days during working sessions.



During the Antigua Workshop, a panel discussion was held to discuss the CARICOM Regional Cultural Policy, developed under the aegis of UNESCO - particularly the section on preservation of cultural heritage. Panelist included, Dr. Josephs Palacio and Mr. Dorbrene O’marde (both were instrumental in the development of the Regional Cultural Policy), Professor John Dean, Preservation and Conservation Librarian, Cornell University, and Dr. Ermina Osoba, University of the West Indies Resident Tutor.



These regional workshops on digitization of cultural heritage in the Caribbean, and other planned interventions, have provided a platform for not only capacity development in the field of digital preservation of cultural heritage but also debate on the development of a Regional Action Plan to promote and implement concrete activities in the field of digital preservation of culture in the region. A draft charter on the preservation of the digital heritage has been developed and being refined for submission to the Ministers and Directors of Culture in the region. The Minister of Culture, Antigua has given his commitment to champion the Draft Action Plan developed.

Further Information

• Essential skills for digital preservation



• Positioning Libraries in the Digital Preservation Landscape



• National Library of New Zealand, Digital Preservation



• Digital Preservation: the need for an open source digital archival and preservation system



• Open Source Software for Digital Preservation and Data



• One Year of Efforts for Digital Preservation at FAO



• UNESCO Charter on the Preservation of the Digital Heritage



• Setting the Digital Agenda for the Memory of the World



• Bias and Balance in the Preservation of Digital Heritage



• Lessons learned from large scale digital preservation



• Digital preservation in Europe: Strategic plans, research



• Building the Business Case for Digital Preservation



• Digital Preservation



• Workshop Practical Digital Preservation



• Digitization and Preservation



• A Preservation Infrastructure Built to Last



• Collaboration and digital collections



• Open Source Archival Repositories



• Preserving Digital Heritage



• Digital Heritage Preservation -‐ Economic Realities



• Metadata and formats for digitization and digital preservation



• Digital Preservation costs



• The plenary sessions of the Conference are webcast live: http://www.ustream.tv/channel/unesco-digitalage



• More about the Conference: http://www.unesco.org/new/en/communication-and-information/events/calendar-of-events/events-websites/the-memory-of-the-world-in-the-digital-age-digitization-and-preservation/

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