Steps to a Smooth Backfile Conversion Project7

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Introduction

Write Your Recipe for Success

Selecting Perfect Vendor

The Fruits of Your Labors

Take Inventory: Assemble Your Ingredients

Scan and Convert

Make Your Images Picture Perfect

Staple it Together

The Important “I”: Indexing

Load ‘n Link

Redaction

TABLE OF CONTENTS

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Disorder is a recorder’s worst enemy. Our environment’s tendency to move toward disorder causes invaluable records to tear, discolor, and fade away. Peeking into any file cabinet at a county clerk’s office, for example, one finds a treasure trove of remnants of the past. There might be a piece of 1970 or a sliver of 1933. While documents outlive humans, they will still show signs of age. They don’t exactly have expiration dates, but they can be rendered useless.

Gradual document destruction isn’t the only challenge for recorders. They walk into rooms full of cabinet upon cabinet stuffed with old books and worn and torn files. These materials multiply over the years and storage space becomes scarce. It becomes increasingly difficult to organize the sheer bulk of documentation. Maybe your microphone reader printers have become worn out—and maybe it isn’t in the budget to procure a new one. Maybe important images need to be enhanced. Maybe local governments need another source of revenue.

Any one or combination of these factors point to one attractive answer: digital recordkeeping. A backfile project is born.

Storing hard-copy documents electronically is a worthwhile endeavor. Some municipalities or counties require service fees to access those documents in person. Depending on legislation and how counties set up their fees, funds, and collections, this could be a revenue resource. Most clerks crave the peace of mind of preserving their records on the system. They want original microfilm books to be tucked away and stored in cyberspace so they are in good shape when they’re hunted down again. Simply put, e-Record documents are more convenient, cost-effective, and quicker than handling hard-copy records.

Backfiling is not a quick and dirty process, however. Most recorders need their stock of materials to stretch back at least 40 years—as is often the requirement for a full title exam over the Internet. There are understandable concerns about the process: timeliness, data security, clarity of the papers, and scanning often delicate pieces successfully.

We understand any hesitation due to these challenges. It can be stressful and costly. However, the benefits of backfiling help combat the inevitable disorder of time’s toll. Fortunately we have compiled an easy-to-follow list of tips and considerations for this massive undertaking. If used, this can be a headache-free process, and you can rest easy knowing that it is a safe and organized experience.

INTRODUCTION

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In baking a cake, the first factor you consider is the delicious concoction you will extract from the oven. The recipe might feature a color photo of a strawberry glazed cake on a silver platter. This helps you first anticipate the delicious result. What comes after that? You read the list of ingredients and take stock. Is everything in the pantry? If not, you go grocery shopping for the necessary components: sugar, flour, butter, and so on. Then you return to your kitchen and line everything up to achieve the finished product.

You don’t mindlessly toss the contents of your pantry into a mixing bowl and see what will come out. Even if you’re a daring culinary whiz who loves to improvise, you at least have a vision of what you want (“I’m making pasta, but I might make some substitutions or add a few secret ingredients.”)

For this project, we want you to be a well-prepared and methodical chef who follows the recipe. Backfiling is like baking a cake in that you note what you have at the beginning and think, Where do I want to go? Factor in both the beginning and ending inventory. Know the ingredients ahead of time: the type of documents, the type of media, the document preparation requirements, security, and where you will conduct this project (onsite or offsite).

To define a successful backfile conversion project, you must envision your ultimate goal. Know when you can stick a fork in it and see that it is done. Know the point at which it’s undercooked. That way you can visualize where you stand in the project. If you plan to go back 50 years, at year 25 you’re aware that you’re halfway through the project. Additionally, think about the funds needed to do this project. Will it be a small, large, or piecemeal project? What is the record type: court documents, birth records, or land records?

Any good chef has practical tools to prepare a dinner. Likewise, you must think of the media you’ll use (like aperture cards). Also note document preparation—will you have to remove staples or crop the paper?

Finally, know how you want to utilize them. Continuing the cake metaphor, you would first consider: Is the cake going to be shared with your coworkers, or will I eat it alone after a bad day? Will I pair it with ice cream? For backfiling, employ a means of indexing these files once they are online. Have a plan for their accessibility and how to use them in the future. So they’re online—how do you utilize them in that medium?

The bottom line: Think through the project in the long term. Outline its scope and purpose. See yourself using these files electronically, and walk yourself through the process mentally.

WRITE YOUR RECIPE FOR SUCCESS

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The guiding question here is, what must I gather and how do I know what I should get back?

Gathering all your components—these “ingredients”—is essential to knowing the endpoint, which is vitally important prior to embarking on this project. To get to the end, you must have the correct resources aligned. Again, the guiding points are identifying what you should capture.

Tips: For example, note the box number and the necessary information you need from it if you’re working with film. If you have a tri-tech number, you can marry the film to the box number and understand where it goes. Think about the dates that the film covers too so you can group the records better. If you take something from this section, let it be this: whenever you go through inventory process, the one performing it as much info off that box as possible. You need to capture the box number and tri-tech number (and if you don’t have one, add it). Note the roll description, volumes, date info, and even film size (35 mm, 60 mm, etc.) Mark the date or date range that it was microfilmed.

If you’re working with images, number them. If you’re uploading images for rolls numbered 1 through 500, perhaps you’re expecting 50,000 images. When you know the numbers ahead of time, you will know exactly when the project is complete and successful: when you see those 50,000 beautiful images on the computer screen!

When you employ vendors to process a roll of film, it is your right to expect “too much”:

• Ask them to provide as much information as possible.

• Ask them to note if there are any retakes and document its polarity and image quality.

• Ask, “What’s the reduction ratio? Are there any film splices?” (They should not only be able to provide that, but they should be able to tell you if it’s acetate or polyester film. Constituents and archivists care about these details.)

TAKE INVENTORY: ASSEMBLE YOUR INGREDIENTS

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Besides having high expectations, the next best tip is to be a busybody. Know everything! Know where the books are located. Know if it’s in the micrographics department, if you have a floor copy, and if there’s an original stored offsite. That way inventory is up to date with the books and paper.

Also know how to keep proper inventory of the books by noting how many you have. Other considerations are: Is it bound or mechanical? What’s the size? Is it single page double sided? Are there any distortions in the book? Did someone spill something on it? Is it faded? (If so, let the vendor or proper government employees know so you can keep note of that.) That way you will know some of the cost drivers of this undertaking up front.

Ultimately, the goal behind the inventory is that you have a full record at the beginning. You can tell yourself, “This is what I start with, and this is what I expect to get out of it.”

TAKE INVENTORY: ASSEMBLE YOUR INGREDIENTS

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This is the step in which you actually do it: You scan and convert those hard-copy files to a digital medium. In other words, assemble these ingredients and know what you’re doing with them.

• Are you scanning books, and if so, are you ungluing the sewn and glued ones?

• Do you have another plan for the book’s curvature, which can affect the look of the digital copy?

• Do they have the ability to scan the document using camera or scanning tool that will capture both pages and not get the curvature of the book? For example, consider if you will use a mechanical or oversized scanner for your media type selection.

This is also where setting matters. During the project planning phase, you should have considered whether to use onsite or offsite scanning. Twenty-four-hour scanning will expedite the process. It’s a favorable option because no one has to be on site. Unfortunately, few vendors offer 24/7 scanning services. That’s why the next step is vital.

Security: Security is crucial. You’re handling important documents with personal information. Many are remnants of a faraway past. Encourage the office to leave the documents in the office if at all possible. If the documents must leave, make sure that the documents were being transferred in a secure manner. For example, watertight, airtight pelican cases should be used so documents can’t be damaged or opened. In addition, the records need to be padlocked. Only you and vendors should know lock combination. That should diminish concerns during record transportation.

Note: If you have books, use that for the best quality. The next best is silver microfilm. Always utilize the image that was safely hidden in a vault and mostly untouched.

SCAN AND CONVERT

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When cooking produce, sometimes there are unsightly bruises or blemishes that affect their quality. The best solution is to trim them. Think of image clean-up as removing the shell of an onion or taking the cap off of a bell pepper. If you crop a border off, it will improve the final product. One of the big perks is that it can save you file space.

Also think about the quality. Does the image need to be enhanced because it’s difficult to read? When in doubt, use the original document instead of a copy. It has probably been handled less over the years, which will lead to a spic-and-span electronic version.

Cost Considerations:

This is an example of two images from one piece of film. The final product is two digital images. You need to capture each image frame itself and block off the opposite page so you can actually create two separate images to increase the number of images that are being processed by the indexers.

When using images, of course you want them to look good—clear, clean, and easy to read. The microfilm quality isn’t always top-notch, however. As pictured, images can be skewed when they are scanned. Black borders appear on the side. If you want to save space and cut costs, remove the black border. The left image is sized at 150k. The right image—the trimmed, enhanced version—experienced an 82-percent size reduction and is 27k. You don’t want your labor to be in vain, and by doing this, the image will be utilized much more on servers.

MAKE YOUR IMAGES PICTURE PERFECT

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Pages-long records need to stick together. Once your records are electronically uploaded, identify the first and last page in the set. Make sure they are digitally linked together in the system. That way when someone looks them up, they won’t be missing any valuable information. Cyberspace is a huge, frightening place to be lost in.

STAPLE IT TOGETHER

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Inventory and indexing—the two “I”s—are crucial steps in backfiling. Indexing is how users retrieve info from the system. If you cannot access the files electronically, backfiling was an unsuccessful endeavor. Know which data you’d like to capture. Answer the associated questions: Do you want full indexing or minimal indexing?

When you do any indexing project, just like the backfiling project as a whole, you will want to define the indexing field and the scope. Some aspects to include in your indexing preparation include:

• Will I do all grantors and grantees? • Catch file date? • Instrument number? • Book and document type?

Pilot Run: Additionally, the vendor should create a set of rules for you and complete a pilot run. Try providing samples of a document type across a range of years. For example, if you want to index 50 years’ worth of documents, you might try a 10 percent subset and review the image quality and indexing accuracy. Then upload it to a test conversion site.

As you examine different document types, look at how you index over the years because you may find you might want to do an internal audit of your own system. Make sure your own rules have been adhered to so you can remedy it ahead of time. That way you can review the data and make sure it corresponds with the image. If you have deep records, look at book, page, and document dates to ensure they match with the right instrument number. (Look at mortgager/ee, file date, or another identifying character.)

Cost Considerations: Caution! Indexing has represented up to 70 percent of the backfile conversion project’s cost. This is also where the age factor can complicate the project. The older the record, the more difficult indexing can be due to illegible records and varying standards throughout the years.

THE IMPORTANT “I”: INDEXING

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If there were just pictures of each step for your cake-baking endeavor, it wouldn’t be as successful. They help clarify a concept but should not be used without the description. Likewise, images and data in the system must be conjoined in Aumentum software. The system user can then pull up both the data and the corresponding images in a search.

LOAD ‘N LINK

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Cover any personal information and know its role in the conversion project for the protection of the client. For example, does the statute require social security numbers or birthdays? Are drivers’ licenses involved?

REDACTION

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Though the saying goes, “If you want something done right, do it yourself,” that’s not always feasible when it comes to scanning your important documents. Here are a few pointers to consider when it comes to vendor selection, as well as red flags to remain aware of.

Their Track Record: Remember that a pilot run is a pivotal part of ensuring proper indexing. It’s also a useful test for selecting someone. Send a sample roll to prospective vendors and ask them to send back the best quality possible, requesting the images in a digital format so you can review them. Recommend any auto-enhancement they can do.

Do this for a few of your top options then line up the results to compare quality. Once that’s done, inquire about their process—whether they scan onsite, what tools they use, and so on. It never hurts to read reviews or contact others who have used their services in the past.

Cost: Be aware that if the vendor is too cheap, you might be getting what you pay for!

Turnaround Time: Can they do this within 30 days? Have they truly delivered outstanding service within that time?

Indexing: Send an excel spreadsheet with indexing data and capture all index fields. Ask them to do a pilot indexing for you and measure the accuracy. Also monitor the amount of time for them to accomplish your assigned tax.

SELECTING THE PERFECT VENDOR

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In this day and age documentation in general is increasingly and rapidly moving toward electronic storage. There’s a wide host of benefits to moving toward e-Records, such as cost savings, ease, and overall efficiency. Backfiling is a process to be carefully thought through, but that doesn’t mean it should be exceedingly difficult. Begin with the end in mind and embark on the seven-step process:

In following these steps, you should be able to confidently start your backfile project like the best of them. Finishing this project will give you peace of mind as the guardian of records. Disorder will no longer wreak havoc on your operations. Instead they will remain clear and accessible—timeless pieces of the past.

Take inventory so you know what you have and where you’re headed.

Scan your documents and convert the documents to a digital format.

Clean up the images. Trim and enhance them if needed. Make sure they’re crystal clear for optimum viewing.

Staple your files together so multi-page documents are linked.

Indexing: Capture the information for each file so it can easily be retrieved electronically

Link and load the documents into Aumentum software.

Redaction: Know the role of any personal information in the project and cover it, depending on the client.

THE FRUITS OF YOUR LABORS

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