§ 1236.46 Quality management requirements. ( a ) *Quality assurance (QA) requirements.* The agency must meet the image quality performance parameters specified in § 1236.50 by verifying how well the equipment meets the aim points and tolerances of the parameters. The agency cannot rely solely on equipment specifications, such as scanner ppi settings or camera sensor megapixels, to ensure digital image quality. ( 1 ) The agency must use QA processes to: ( i ) Quantify scanner or camera performance before selecting the equipment by scanning a reference target and measuring the results with analytical software to determine if the equipment meets the technical parameters.
( ii ) Evaluate internal or external vendor imaging systems against image quality performance parameters;
( iii ) Monitor equipment performance by quantifying scanner or camera performance during digitization; and
( iv ) Verify that resulting digital files meet project specifications.
( b ) *Quality Control (QC) requirements.* The agency must implement QC inspection and monitoring processes to ensure that images meet the digitization image quality parameters in § 1236.50. ( 1 ) The Federal Agencies Digital Guidelines Initiative (FADGI) Digital Image Conformance Evaluation program (DICE) is a QC inspection and monitoring process that uses image targets and analysis software to verify compliance. Applied properly, this methodology will ensure agencies meet the requirements in § 1236.50.
( 2 ) If the agency does not adopt the FADGI Conformance Evaluation program, it must document both the procedures used and how it verified conformance to the quality parameters.
( c ) *Quality Control (QC) testing and analysis.* During the digitization process, the agency must perform QC testing and analysis to identify malfunctioning or improperly configured digitization equipment, improper software application settings, incorrect metadata capture, or human error, and take corrective actions. It must: ( 1 ) Implement an image quality analysis process and use reference targets to verify that digitization devices conform to imaging parameters in this subpart;
( 2 ) Replace reference targets as they fade or accumulate dirt, scratches, and other surface marks that reduce their usability;
( 3 ) Regularly test equipment to ensure scanners and digital cameras/copy systems are performing optimally. It must: ( i ) Scan a reference target containing a grayscale, color chart, and accurate dimensional scale at the beginning of each workday;
( ii ) Use image quality analysis software to verify that the performance evaluation specifications are being met; and
( iii ) Perform additional tests when problems are detected.
( 4 ) Test equipment with the specific software/device driver combination(s), and re-test after any changes to the workflow; and
( 5 ) Ensure that equipment operation, settings, and image processing actions are the same as those used to evaluate the test target. Turn off auto correction settings in the capture equipment such as “auto exposure” that may cause non-conformance of the target evaluation or the resulting image files.
( d ) *Quality control inspection.* ( 1 ) The agency must perform QC inspections of the digital records for compliance with the technical parameters and criteria specified in this subpart. The inspection must ensure 100% of the image files: ( i ) Can open and be displayed;
( ii ) Are encoded with a compression type and in a format specified in § 1236.48; and
( iii ) Have the resolution, color mode, bit depth, and color profile specified in § 1236.50.
( 2 ) The agency must perform a visual inspection using a statistically valid technique: ( i ) The agency may visually inspect a random sample of a minimum of ten digital records or 10% of each batch of digital records, whichever is larger; or
( ii ) The agency may employ a statistically valid sampling plan to verify that the image quality, file quality, metadata quality, and completeness requirements have been met. Agencies that employ their own sampling technique must include documentation of the method used, as specified in § 1236.44(d)(3)(i).
( 3 ) Visual inspection must be conducted using a calibrated graphics workstation and using a monitor set to 100% magnification to check the following image quality characteristics: ( i ) Image tone, brightness, contrast, and color accuracy match the specifications in § 1236.50;
( ii ) Images are free from clipping (missing detail lost in highlights or shadows);
( iii ) Images are free from color channel misregistration, or quantization errors;
( iv ) Images are free of any image artifacts that compromise the informational content of the record, such as dust, Newton's rings, missing pixels, scan lines, drop-outs, flare, or over-sharpening; and
( v ) Images are not improperly cropped, have the expected dimensions and orientation (landscape/horizontal or portrait/vertical), and images are not flipped, inverted, or skewed.
( e ) *Corrective measures.* If the inspection reveals errors, perform the following steps until there is a 100% success rate for the sample set: ( 1 ) If 1% or more of examined records fail to meet any of the criteria in § 1236.50, determine the source and scope of any errors, correct or re-digitize affected records, and reinspect the images by following the requirements in paragraph (d) of this section;
( 2 ) If less than 1% of examined records fail to meet any of the criteria in § 1236.50, determine the source and scope of any errors and correct or re-digitize the affected records.
( f ) *Inspection for other quality aspects.* The agency must inspect the resulting files to verify that they meet the metadata and records completeness requirements: ( 1 ) *Metadata quality.* The agency must evaluate the accuracy of metadata. This may be done using automated techniques if appropriate. Otherwise, the QC inspections must be done manually. These inspections must ensure that: ( i ) Files are named according to project specifications; and
( ii ) Correct administrative, descriptive, and technical metadata are captured in a recordkeeping system and in image files.
( 2 ) *Records completeness.* The agency must employ automated and visual inspection processes to verify the completeness and accuracy of digitization: ( i ) Verify that all records have been accounted for by referring to box lists, folder title lists, or other inventories;
( ii ) Compare source records with their digitized versions to verify that 100% of the informational content has been captured;
( iii ) Compare source records with their digitized versions to verify the digitized records are in the same order;
( iv ) Examine records for related envelopes, notes, or other forms of media to verify that all sources of record information have been digitized;
( v ) Verify that any mixed-media records that cannot be digitized are associated with the digitized records using the “Relation” metadata elements in § 1236.54(c); and
( vi ) Confirm that missing pages or images have been noted in the project documentation.