Guidelines Digital Reformatting Projects

Introduction

Who is this document for?

This document was written to assist members of the Harvard Law School Library (HLSL) in converting physical materials into digital form. While there is already an abundance of literature regarding digital reformatting projects, it was felt that a standardized set of guidelines would help make implementing future projects at HLSL easier. Since HLSL already has some experience with digital projects, this document assumes a basic understanding of digital projects and the resources available to HLSL.

What is a digital project?

For the purposes of this document, "digital project" refers to a conversion project, or a reformatting project; that is, taking physical materials (such as books or visual material) and creating digital versions of them.

Why undertake a digital project?

There are two primary reasons for implementing a digital project: to help preserve materials by providing surrogates for use by researchers; to provide broader and easier access to materials.

How is this document different from other similar documents? This document does not attempt to be a comprehensive manual for implementing digital projects such as the Northeast Document Conservation Center's Handbook for Digital Projects: a Management Tool for Preservation and Access (http://www.nedcc.org/digital/dighome.htm), and Cornell University's Moving Theory Into Practice (http://www.library.cornell.edu/preservation/tutorial/contents.html). Rather than repeat what these excellent guides have already stated, what is presented here is a summary of the steps that should be considered when planning and implementing a digital project.

Why is the first section so large?

Chapter 1 of these guidelines addresses planning for a digital project. Except for digitization, project planning could be the most important step since it is here where decisions are made that will affect how smoothly the implementation will go.

How is the document arranged?

This document is divided into six sections with each section representing one component in a digital reformatting project:

1. Selection and Project Planning
2. Access
3. Storage
4. Cataloging and Metadata
5. Digitization
6. Project Rollout and Evaluation

How to use this document

This is not a checklist that requires each and every point to be acted on. Rather, the guidelines presented below should act as reminders or jumping-off points for discussion to help ensure that all aspects of any particular project are being covered. Each section is divided into two parts, preparation and implementation.

Glossary: An effort has been made to write these guidelines in plain language. There are times, however, when terms are used that are becoming common in the context of digital librarianship but which may require explanation. Therefore a brief glossary has been included.

Appendices: Additional material helpful for planning and implementing digital projects can be found in the appendices.

Final note

Digital projects may be vastly different from one to the next making extremely detailed instructions difficult to write. However, each project will share the same basic components, and it is those components that are outlined and described here.

First of all...

• Determine where funding for the project will come from.
• Determine where funding for long-term maintenance of the project will come from.
• Begin a draft budget and continue to update it regularly.

1: Selection and Project Planning

Preparation (Materials)

• Select material to digitize.
• Determine goals and objectives for digitizing the selected material.
• Assess the material for different formats (i.e., text, pictures, audio, et cetera).
• Assess whether there is appropriate technology to accomplish the conversion and provide access to it.
• Decide on the scope of the digitization project. (For instance, will it include all of the material within a collection or just a subset?)
• Determine if associated materials, such as introductions, bibliographies, finding aids, etc. will be necessary and where such materials will come from.
• Determine if there are copyright restrictions on the material.
• Determine if there are user and/or access restrictions on the material.
• Determine if there are restrictions regarding whether the material can be copied, downloaded, or printed.
• If the materials were a gift, determine if there are restrictions or other special circumstances based on the wishes of the donor.
• Assess the physical characteristics (number of pages, images, etc.) and special production requirements such as size or special features.
• Assess the physical condition of the original source material to determine how the material will hold up to the digitization process.
• Note: Discussions regarding the physical condition of the material should include someone from the Harvard Law School Library Preservation Office and/or the Harvard University Library Preservation Office.

Preparation (Personnel)

• Determine staffing needs for the project (i.e., project manager, material analyst, technical manager, support staff, team members, sponsors, advisors, committees, et cetera).
• Determine what training needs there might be for staff members.
• Determine which current staff members will be involved in the project.
• Determine if the "curator" of the physical material will act in the same role for the digitized material. (That is, who will be responsible for the material in its digitized form, including answering questions and making future decisions about it?)
• Determine the time commitments necessary for each staff member, both in terms of their weekly schedule and how long they will participate in the project.
• Assess potential conflicts with each staff person's other responsibilities.
• Determine if there will be compensation issues to address for each staff person.
• Determine what outside help will be necessary for the project and how long their time-commitment will be.
• Determine who will write the job descriptions for any new personnel, and who will interview, hire, and supervise them.
• Determine who will handle long-term maintenance of the project, both technologically and in terms of updating content.
• Determine how to formalize the maintenance of the project. (Specifically, will it be added to a staff position's job description?)
• If it is necessary to hire new staff, determine how salaries will be funded.

Implementation

• Make staff assignments.
• Write and post job descriptions and hire any outside help needed.
• Determine how bills will be received and paid.
• Prepare a work plan describing how each step of the project will be accomplished.
• Prepare a timeline, including:
  • When the various tasks will take place and in what order;
  • How long each step of the project will take;
  • How long the entire project will take;
  • How to get started and when (i.e., what needs to happen first, second, et cetera).
• Contact vendors; send out RFIs (Requests for Information) and RFPs (Requests for Proposals) if necessary.
• If necessary, send a sample of the source material to potential vendors and evaluate results.
• Select vendors.
• Send a sample of the source material to the preservation and digitization vendor to work out digitization specifications and costs.
• Determine where the source material will be stored prior to, during, and after digitization.
• Develop a plan for delivering and retrieving the source material to and from the vendors.
• Develop a plan for preservation treatment of the source material (before digitizing), if necessary.
• Develop special digitizing instructions, if necessary.
• Draw up any training materials needed.
• Develop a plan for processing the source material (changing location codes, et cetera).

2: Access

Preparation

• Define the intended audiences of the digital material.
• Determine how different audiences might use the material.
• Determine how users will locate the material (i.e., through HOLLIS, VIA, local catalog, or Web site, et cetera).
• Determine if other finding aids will be necessary.
• Determine what functionality the digitized version of the material should offer (i.e., searchability; ability to print/download/save/e-mail; links to other resources; enhanced research capabilities; bringing together different formats in the digitized collection that cannot be brought together otherwise such as photos, audio clips, et cetera).
• Determine the level of user privileges. (For example, which users will have access to the material and from what machines?)
• If access to the material will be through a dedicated Web site:
  • Decide who will design, implement, and maintain the Web site;
  • Determine where the site will be hosted;
  • Determine any security measures the site will require;
  • Determine who will have access to the Web site (i.e., will it be open to the public or only to certain types of users?);
  • Determine if the site will require password access.
• Draft restriction notice to accompany online collection, if necessary.

Implementation

• Begin designing mock-ups of the user interface (incorporating functional components as determined earlier).
• Modify/create finding aids.
• Draft final user interface.
• Create an HTML mock-up.
• Invite select users to look at the site.
• Develop and insert any hypertext links (other than to the material itself).
• Insert search engine, if necessary.
• Add graphics to the HTML pages.
• Mount HTML pages on test server.
• Invite users to test the site.
• Add access restrictions if necessary (passwords).
• Add security scripting if necessary.
• Review interface for accuracy and completeness.
• Evaluate the test results and make modifications as necessary.

3: Storage

Preparation

• Estimate required storage space for digital collection.
• Determine where the digital files will be stored and how they will be deposited.
• If paying for storage, assess funding for long-term storage.
• Determine what data and metadata needs to be collected for storage and delivery.
• Determine if the material will be maintained in perpetuity or for a limited time.
• Decide who will be responsible for ongoing monitoring and preservation of the material.

Implementation

• If the material is stored centrally, contact DRS and register the project. An owner code, billing code, and name authority path will be assigned. OIS personnel will offer further guidance as necessary.
• If the material is stored locally:
• Determine naming conventions for the files;
• Develop a plan for regular backups and disaster recovery
• Work with HLSL System Administrator to establish further details.

4: Cataloging and Metadata

Preparation

• Determine what systems and services will be used for cataloging the material if it has yet to be cataloged.
• Determine who will perform the cataloging.
• Determine what systems will be used for the creation of the metadata.
• Determine who will create the metadata (if not the cataloger).
• Develop a cataloging standards plan:
  • Determine if item-level and/or group-level catalog records will be used;
  • Determine extent of catalog records;
  • Determine subject classification;
  • Decide on issues regarding name and subject authority;
  • Determine what data and metadata will be necessary for each item.

Implementation

• Prepare collection-level catalog record.
• Catalog individual items if not already cataloged (according to cataloging standards previously determined).
• Create script to compile metadata if necessary.
• Create method to be used for tracking material through the digitization process.

5: Digitization

Preparation

• Decide what capabilities should be supported in the final product. (For instance, to offer zooming [and if so, how much], navigation [page-forward, page-back, go-to-page, etc.], printing [page-at-a-time, selected section, entire project], searching, browsing, annotating, et cetera.)
• Assess whether the material is textual or graphic (prints, photographs, etc.) in nature.
• Determine what kinds of images are needed, (i.e., color, grayscale, black-and-white, accurate color, archival, delivery, enhancements, et cetera).
• Determine if text conversion is needed.
• Determine if searchability is a desired outcome for the digital version, or if a "digital photocopy" will suffice.
• Determine if XML mark-up is needed.
• Determine what systems and services will be used to digitize the material.
• Determine the method of digitization (i.e., scanning, keying, photography, et cetera).
• Determine whether digitization will be done in-house or outsourced.
• Determine if the source material has any special handling needs.
• Determine if the source material will be disposed of or rehoused, and what bibliographic maintenance will be necessary.
• Determine if the source material will need any preservation work after the digitization process.
• Prepare any scanning and/or keying and markup instructions, if necessary.
• Develop quality control standards for digitized images.

Implementation

• Process, transfer, and house material to be reformatted.
• Implement preservation plan, if necessary.
• If digitization is done in-house:
  • Assemble material to be digitized;
  • Prepare targets (to ensure accurate color, etc.);
  • Review scanning/photography instructions;
  • Digitize material;
  • Review images for quality using quality control standards;
  • Re-digitize inadequate images;
  • Process digitized images, including entering metadata;
  • Store files in directories according to previously determined naming conventions;
  • Archive images in repository;
  • Update catalog.
• If digitization is done by an outside vendor:
  • Assemble material to be digitized;
  • Deliver material according to work plan;
  • Retrieve material according to work plan;
  • Check image quality according to quality control standards;
  • Contact vendor for re-imaging, if necessary;
  • Update catalog record.

6: Project Rollout and Evaluation

Preparation (Rollout)

• Develop a publicity plan:
  • Determine what publicity materials will be prepared to advertise the project (i.e., newsletters, press releases, Web site, mailing list, etc.);
  • Determine to whom the materials will be targeted;
  • Determine how the materials will be distributed and for how long;
  • Decide who will be involved in developing and implementing the publicity plan.
• Review assembled collection for accuracy and completeness.
• Test all links.
• Invite test users to test the site again.
• Make any necessary changes.

Implementation (Rollout)

• Move HTML pages to production server.
• Update links from HOLLIS.
• Revise catalog records.
• Release collection to the public.
• Update links to the collection.
• Implement publicity plan.

Preparation (Evaluation)

• Develop an evaluation plan for the project:
  • Draft a survey;
  • Solicit feedback from users;
  • Solicit feedback from project staff;
  • Contract with consultants, if necessary;
  • Create focus groups, if necessary.
• Decide how long the evaluation will last (limited time or ongoing).

Implementation (Evaluation)

• Implement the evaluation plan.
• Compile results of the evaluation and distribute them.
• Decide what changes need to be made and what changes can be made.
• Develop a plan for implementing the changes.
• Develop a plan for further evaluations, if necessary.

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