Code of Maine Rules › 29 - DEPARTMENT OF THE SECRETARY OF STATE › 255 - MAINE STATE ARCHIVES › Chapter 3 - IMAGING STATE RECORDS › Section 255-3-9 - INDEXING AND METADATA

Current through 2024-29, July 17, 2024
Since digitized images do not have intelligence within them
				  indicating their contents, appropriate index information or metadata is
				  required to properly identify and later retrieve digitized images. For digital
				  images, indexing and file naming schema are essential for locating and
				  retrieving stored imaged records. Indexing typically consists of a structured
				  format and controlled vocabulary that allows more precise description of a
				  record's content.
The state agency must define and document specific indexing
				  requirements needed to access the records efficiently prior to the performance
				  of any imaging and indexing.
Indexing must comply with the specific requirements of the
				  state agency but at minimum it must include the following:
Unique Identifier for Documents
: Each document
				  (including each multi-page document) must have a unique filename or other
				  identifier, preferably sequential, which can be numeric, alphanumeric, or
				  alphabetic as required by the government entity. Each filename must be unique
				  across all records series and storage media, not merely within a single disc or
				  other piece of removable media. If required, images will be filed in
				  appropriate electronic folders on the designated storage media.
Indexing Fields/Descriptive Metadata
: The index
				  of documents must consist of a number of fields to ensure adequate access to
				  the records. Whenever possible, the field data must consist of objective
				  indexing terms (such as personal names, file numbers, and dates) or terms from
				  a controlled vocabulary (such as subjects or geographical information), rather
				  than subjective data. Index data often includes information such as record
				  type, creation date, record creator, disposition date, among other
				  information.
Indexing Structure
: Although the structure of an
				  electronic content management system (ECMS) database is outside the scope of
				  these guidelines, the state agency must have a methodology in place to transfer
				  all the images and corollary index data to the intended retrieval system. The
				  indexing data must be stored in a non-proprietary format to allow its transfer
				  to other systems and databases as needed through the conversion project and for
				  the entire retention period of the records. Each record within the database
				  must be associated with the respective digital image or document via its unique
				  filename.
Optical Character Recognition
: If required,
				  optical character recognition (OCR) or intelligent character recognition (ICR)
				  may be performed to convert digital images into electronic text. The government
				  or its chosen vendor must certify the conversion to be at least 95% accurate as
				  measured by character count, and the converted text must be associated with the
				  respective digital image or document. Due to this error rate, OCR will not be
				  used as the sole finding aid when retrieving digitized images. Some manual
				  indexing is always required.
a.
Correcting or Making Allowances for OCR Output
: Depending on the
				need for accuracy in the OCR'd text, the text may be reviewed and corrected or
				fuzzy searching may be used to retrieve character strings. Post-OCR correction
				consists of review of the OCR output against the original text and
				hand-correction of the OCR output. Fuzzy searching works by searching for
				character strings that match or predominately match the character string being
				searched.
Directory Structure
: Regardless of the image
				  filename, files will be organized in a file directory or folder system that
				  will link to metadata stored elsewhere in a database. Directories may have
				  their own organization independent of the image files, such as folders arranged
				  by date or records series number, or they may replicate the physical or logical
				  organization of the originals being digitized.
Technical Metadata
: During the imaging process,
				  production metadata will be maintained either within the individual images or
				  separate from but associated with each body of digitized images. For instance,
				  these metadata may be created as part of a digital file during actual imaging,
				  may be added to the file after imaging, may be associated with each file in an
				  ECMS, or may be retained entirely separate from the files but associated to
				  each file by their unique filenames. These metadata will include, at minimum,
				  the following:
Unique identifier
										Title of records series
										State Archives or other retention schedule name and
					 item number (from the State General Schedule, Agency Specific Schedule or
					 Records Disposition Authorization Number
										State agency name
										Name of the imaging vendor or government staff person
					 conducting the imaging
										Date of the imaging
										Pixels per inch (ppi)
										Equipment used to capture the images
										Software used to capture the images
The state agency will maintain these metadata for the life of
				  the records.