Archiving Standards

This section of the OII Standards and Specifications List provides information on the following standards and specifications related to the archiving and management of information:

• Archiving Interchange Formats (AIF)
• Data Documentation Initiative (DDI) 
• Electronic Imaging
• Encoded Archival Description (EAD)
• Information Retrieval
• International Standard Archival Authority Record for Corporate Bodies, Persons, and Families (ISAAR)
• International Standard Archival Description (ISAD)
• Micrographics

Standards for archiving and management of information are prepared by both private and public organizations. The following public bodies are active in this area:

• International Council on Archives (ICA)
• ISO/IEC JTC1/SC23 -- JTC1 is the first (and only) Joint Technical Committee of ISO and IEC, and deals with Information Technology. SC23 is the subcommittee of JTC1 that deals with Optical disk cartridges for information interchange
• ISO/IEC JTC1/SC33 -- SC33 is the subcommittee of JTC1 that deals with Distributed application services
• ISO/IEC TC171 -- TC 171 is the technical committee of ISO that deals with Document imaging applications
• ANSI/AIIM; the Association for Information and Image Management - affiliate of American National Standards Institute (ANSI)
• Library of Congress, Network Development and MARC Standards Office.

Please refer to other sections of the OII Standards and Specifications List for information on additional areas of particular interest to archiving:

• Application Program Interface Standards
• Audio Interchange Standards
• Document Interchange Standards
• Raster Graphic Interchange Standards
• Vector Graphic Interchange Standards
• Video Interchange Standards.

The Library Information Interchange Standards section of the OII Standards and Specifications List is also relevant.

AIF

Area covered
Recording format of information stored on optical disk

Sponsoring body and standard details

• ISO/IEC JTC1/SC23 and ANSI
• ISO/IEC 9171-2:1990 Information Technology -- 130mm (5.25-inch) Optical Disk Cartridge, Write Once, for Information Interchange -- Part 2: Recording Format
• ISO/IEC 11560:1992 Information Technology -- Information Interchange on 130mm (5.25 inch) Optical Disk Cartridges Using the Magneto-Optical Effect, For Write Once, Read Multiple Functionality
• ANSI X3.191-1991 Recorded Optical Media Unit for Digital Information Interchange -- 130mm Write Once Sampled-Servo RZ Selectable-Pitch Optical Disk Cartridge
• ANSI/AIIM MS59-1996 Media Error Monitoring and Reporting Techniques for Verification of Stored Data on Optical Digital Data Disks
• ANSI/AIIM TR25-1995 The Use of Optical Disks for Public Records.

Characteristics/description
ISO/IEC 9171-2: 1990 defines the recording format used on 130mm (5.25 inch) write-once-read-many (WORM) optical disks.

ISO/IEC 11560-1992 addresses data interchange characteristics and requirements for 130mm WORM optical disks that are recorded using magneto-optical recording techniques.

ANSI X3.191-1991 addresses media and recording characteristics for 130mm WORM optical disks that are used for disk interchange between unlike systems.

ANSI/AIIM MS59-1996 provides compliance for optical disk-based information systems.

ANSI/AIIM TR25-1995 is a report on the use of electronic image management technologies and methodologies for the storage of long-term and permanent public records on optical disks. Non-imaging applications and read-only optical disk technology are also discussed.

Note: Standards and specifications concerning the archiving hardware (e.g. drives), the functionality expected from the software, and the format of the media itself (e.g. magnetic properties) are outside the scope of OII Standards and Specifications List.

Usage (Market segment and penetration)
Unknown

Further details available from:
ISO and national standards bodies

AIIM International, 1100 Wayne Avenue, Suite 1100, Silver Spring, Maryland 20910, U.S.A. (URL: http://www.aiim.org) or AIIM International, P.O. Box 165, Winchester, Hants SO22 5XE, United Kingdom (Phone: +44 1962 868333 Fax: +44 1962 868111 E-mail:intorg.aiim@ibm.net)

DDI

Area covered
Machine readable descriptions of data resources used for a research study

Sponsoring body and standard details

• The DDI Committee
• Codebook Document Type Definition (DTD), Version 2.03

Characteristics/description
XML-compatible SGML document type definition (DTD) for the description of data resources used in the course of a research study. It includes and extends the Dublin Core metadata information set used for describing Internet resources.

Usage (Market segment and penetration)
Unknown

Further details available from:
The Data Documentation Initiative

EAD

Area covered
Encoding of archival finding aids using Standard Generalized Markup Language (SGML)

Sponsoring body and standard details

• Maintained in the Network Development and MARC Standards Office of the Library of Congress (LC) in partnership with the Society of American Archivists.
• Encoded Archival Description (EAD) DTD
• EAD Application Guidelines and Tag Library
• The Encoded Archival Description Retrospective Conversion Guidelines

Characteristics/description
These standards define principles and criteria for designing, developing, and maintaining an encoding scheme for archive and library finding aids. The standard accommodates registers and inventories of any length describing the full range of archival holdings, including textual and electronic documents, visual materials, and sound recordings.

The encoding scheme is based on Standard Generalized Markup Language (SGML: ISO 8879) in the form of a document type definition (DTD), referred to as the "Encoded Archival Description" or "EAD" DTD. The encoding standard consists of two parts: an SGML-compliant DTD and detailed application guidelines containing extensive examples of encoded finding aids.

SGML was chosen over other possible solutions because of certain characteristics it possesses. SGML is a set of rules for defining and expressing the logical structure of documents which enables software products to control the searching, retrieval, and structured display of those documents.

Although the term "finding aid" traditionally encompasses a wide variety of tools to describe, control, and provide access to archives and manuscript collections, this encoding standard is primarily for inventories and registers. Its design, however, does not preclude further development to accommodate other types of finding aids, such as repository guides.

Usage (Market segment and penetration)
Development of the EAD DTD can be traced to a project initiated by the University of California, Berkeley, Library in 1993. Recognizing that successful development of the DTD would require the participation of a broad community of archivists and archives users, the 1995 annual meeting of the Society of American Archivists (SAA) Committee on Archival Information Exchange (CAIE) agreed to assume some responsibility for involving interested archivists. The SAA Council then agreed to formally request that the US Library of Congress, Network Development and US MARC Standards Office serve as the maintenance agency for the EAD DTD. With this recognition, this DTD has been widely adopted in the retrieval community, e.g. the UK Public Records Office.

Further details available from:
Library of Congress, Network Development and MARC Standards Office, Washington, D.C. 20540-4102, U.S.A. (Phone: +1 202 707 6237 Fax: +1 202 707 0115 Email: ndmso@loc.gov)

Electronic Imaging

Area covered
Standards and specifications associated with electronic imaging in the context of the related areas of document management and archiving

Sponsoring body and standard details

• ISO/IEC JTC1/SC33 and ANSI
• ANSI/AIIM MS44-1988 (R1993) Recommended Practice for Quality Control of Image Scanners (adopted as a Federal Information Processing Standard (FIPS))
• ANSI/AIIM MS52-1991 Recommended Practice for the Requirements and Characteristics of Original Documents Intended for Optical Scanning
• ANSI/AIIM MS53-1993 Recommended Practice; File Format for Storage and Exchange of Image; Bi-Level Image File Format
• ANSI/AIIM MS55-1994 Recommended Practice for the Identification and Indexing of Page Components (Zones) for Automated Processing in an Electronic Image Management (EIM) Environment
• ANSI/AIIM MS60-1996 Electronic Folder Interchange Datastream
• ISO 9660:1988 Information Processing -- Volume and File Structure of CD-ROM for Information Interchange
• ISO/IEC 10166-1:1991 Information Technology -- Text and Office Systems -- Document Filing and Retrieval (DFR), Part 1: Abstract Service Definition and Procedures
• ANSI/AIIM TR26-1993 Resolution as it Relates to Photographic and Electronic Imaging
• ANSI/AIIM TR40-1995 Suggested Index Fields for Documents in Electronic Image (EIM) Environments
• ANSI/NISO Z39.59-1988/ISO 12083:1996 Electronic Manuscript Preparation and Markup

Other imaging standards which are heavily used by the archiving community, but which are also more generally applicable include JPEG andCGM.

Characteristics/description
Electronic imaging covers much more that just pictures and graphics; imaging should be seen as the representation and processing of information in electronic format. For example, it includes aspects such as Information Processing-Volume and File Structure of CD-ROM (ISO 9660) and electronic preparation and markup specific to the archiving community.

ANSI/AIIM MS44-1988 (R1993) provides procedures for the ongoing control of quality within an electronic image management (EIM) system from input to output.

ANSI/AIIM MS52-1991 describes the physical characteristics of original documents that will facilitate scanning of the documents. It also identifies those characteristics that will make scanning difficult or impossible. Furthermore, this standard provides general recommendations for the design of documents in order to make those documents easier to scan.

ANSI/AIIM MS53-1993 specifies a file format for the exchange of bi-level electronic images coded using CCITT Recommendations T.4 and T.6, (Group 3) plus bit-mapped images (having no compression).

ANSI/AIIM MS55-1994 covers all classes of imagery that can be logically stored or visualized in a regular 2-dimensional lattice of pixels (raster). The scope includes an exact description of the data elements (their representation and their organization) to be used to implement a zone definition record as a Standard Recommended Practice.

ANSI/AIIM MS60-1996 describes how to transit objects, attributes, and hierarchical relationships between EIM Systems. The standard format is independent of storage media or of EIM systems.

ISO 9660:1988 describes the structure and functions to be performed by volume and file structures.

ISO/IEC 10166-1:1991 - Part 1 specifies the Document Filing and Retrieval Abstract Service that enables users to communicate with a remote Document Filing and Retrieval Server (DFR-Server) to access a remote document store.

ANSI/AIIM TR26-1993 describes what the term "resolution" means to various photographic and electronic imaging systems and gives a definition for resolution and applies it to the evaluation of photographic and electronic systems.

ANSI/AIIM TR40-1995 is a reference for establishing index fields in an EIM system. Sample index fields are provided for processing and retrieving information captured for use with EIM systems. Uses for the indexing fields include: search, retrieval, query, processing, routing, queuing (workflow), and maintenance (backup and purging).

ANSI/NISO Z39.59-1988 (ISO 12083) describes the ways in which authors, publishers, typesetters, and library personnel can keyboard and mark up books, articles, and serials on the computer. Initiated by the Association of American Publishers, it is the first industry-wide application of SGML.

Note: This section is intended to cover imaging specifications specific to archiving and document management. For specifications that relate to the general interchange of images, please refer to the Raster Graphic and Vector Graphic sections of the OII Standards and Specifications list.

Usage (Market segment and penetration)
Unknown

Further details available from:
ISO or local national standards bodies

AIIM International, 1100 Wayne Avenue, Suite 1100, Silver Spring, Maryland 20910, U.S.A. (URL: http://www.aiim.org) or AIIM International, P.O. Box 165, Winchester, Hants SO22 5XE, United Kingdom (Phone: +44 1962 868333 Fax: +44 1962 868111 E-mail:intorg.aiim@ibm.net)

Information Retrieval

Area covered
Automated retrieval of information from archives and other document management resources through electronic mechanisms

Sponsoring body and standard details

• ANSI
• ANSI/NISO Z39.58-1992 Common Command Language for On-Line Interactive Information Retrieval

Characteristics/description
This standard specifies the vocabulary, syntax, and operational meaning of 19 basic command terms for use with on-line interactive information retrieval systems. It is intended to simplify the use of on-line information retrieval systems by presenting a single, uniform command language.

Usage (Market segment and penetration)
Unknown

Further details available from:
AIIM International, 1100 Wayne Avenue, Suite 1100, Silver Spring, Maryland 20910, U.S.A. (URL: http://www.aiim.org) or AIIM International, P.O. Box 165, Winchester, Hants SO22 5XE, United Kingdom (Phone: +44 1962 868333 Fax: +44 1962 868111 E-mail:intorg.aiim@ibm.net)

ISAAR

Area covered
Capturing and maintaining contextual information used to describe archival documents

Sponsoring body and standard details

• International Council on Archives (ICA)
• ISAAR(CPF): International Standard Archival Authority Record for Corporate Bodies, Persons and Families

Characteristics/description
Where a number of repositories hold archival documents from a given source, they can more easily share or link contextual information about this source if it has been maintained in a standardized manner. Such standardization is of international concern when the sharing or linking of contextual information is likely to cross national boundaries. The multinational character of past and present record keeping in the course of such activities as colonization, immigration, and trade creates the incentive for international standardization in support of exchange of contextual information.

The primary purpose of this document is to give general rules for the establishment of archival authority records that describe the corporate bodies, persons, and families that may be named as creators in descriptions of archival documents. It is expected that records that result from the implementation of the rules can serve both to standardize the form of the name of a records creator and to describe fully the attributes of the creator needed to appreciate the context of creation of a body of archival documents.

A standardized description of the creator of archival documents may be considered to be a kind of authority record, consisting of an authority entry (the name) combined with other information elements that describe the entity thus named or that point to other authority entries.

Usage (Market segment and penetration)
Formally published on 1996 following circulation to the international archival community for comment. The work was sponsored by UNESCO.

Further details available from:
http://www.archives.ca/ica/cds/isaar_e.html and pcarpentier@archives.ca

ISAD

Area covered
General rules for archival description

Sponsoring body and standard details

• International Council on Archives (ICA)
• ISAD(G): General International Standard Archival Description

Characteristics/description
A set of general rules for archival description intended to:

• Ensure the creation of consistent, appropriate, and self explanatory descriptions
• Facilitate the retrieval and exchange of information about archival material
• Enable the sharing of authority data
• Make possible the integration of descriptions from different repositories into a unified information system

As general rules, they are intended to be broadly applicable to descriptions of archives regardless of the nature or extent of the unit of description. The rules guide the formulation of information in each of twenty-six (26) elements that may be combined to constitute the description of an archival entity.

Each rule consists of:

• The name of the element of description governed by the rule
• A statement of the purpose of incorporating the element in a description
• A statement of the general rule (or rules) applicable to the element
• Where applicable, examples illustrating implementation of the rule(s)

Usage (Market segment and penetration)
The initial document was drafted in 1991 and the current document in 1993. A five-year review cycle is envisaged. The work was sponsored by UNESCO.

Further details available from:
http://www.archives.ca/ica/cds/isad(g)e.html and pcarpentier@archives.ca

Micrographics

Area covered
Facilitation of an electronic interface for the preparation and retrieval of micrographic information or for the procedures and practices for operating these interfaces

Sponsoring body and standard details

• ISO TC171 and ANSI
• ANSI/AIIM MS01-1988 Recommended Practice for Alphanumeric Computer-Output Microforms -- Operational Practices for Inspection and Quality Control (adopted as a US Federal Information Processing Standard (FIPS))
• ANSI/AIIM MS39-1987 Recommended Practice for Operational Procedures, Quality Control and Inspection of Graphic Computer-Output Microforms
• ANSI/AIIM MS40-1987 (R1992) Microfilm Computer Assisted Retrieval (CAR) Interface Commands
• ANSI/AIIM MS50-1994 Recommended Practice for Monitoring Image Quality of Aperture Card Film Image Scanners
• ISO 6196-7:1992 Micrographics -- Vocabulary -- Part 07: Computer micrographics

Characteristics/description
These standards and specifications deal with the ANSI/AIIM MS01-1988 Recommended Practice for Alphanumeric Computer-Output Microforms -- Operational Practices for Inspection and Quality Control. Adopted as a US Federal Information Processing Standard (FIPS), this standard assists to assure the quality of alphanumeric COM-generated images (up to 48:1 reduction) by using the test (legibility) and requirements.

ANSI/AIIM MS39-1987 provides operational and quality-control guidelines for graphic computer-output microfilm (COM) recorders and microforms using black-and-white film. It covers graphic COM recorders, which are capable of producing alphanumeric images and graphic images such as those used for the output of engineering drawings and cartography output.

ANSI/AIIM MS40-1987 (R1992) provides command interchange guidelines for suppliers of computer-assisted retrieval (CAR) systems and software. Two levels of CAR commands are discussed.

ANSI/AIIM MS50-1994 provides procedures for the ongoing control of image quality within a digital aperture card image management system. The objective is to provide a means of monitoring output image quality. The procedures covered in this standard have two purposes; to provide information needed to set up criteria for monitoring image quality and to list the capabilities of what the scanner can and cannot do.

Note: This section does not deal with micrographics directly as it is not an electronic format and is therefore outside the scope of theOII Standards and Specifications List.

Usage (Market segment and penetration)
Micrographics are, and have been, heavily utilised within the document management community. Whilst previously the focal point was primarily on an efficient and cheap storage mechanism, increasingly the focus is being placed on the interface of micrographic mechanisms into electronic systems to combine the power of electronic retrieval and use with the economics of film based storage.

Further details available from:
ISO or local national standards bodies

This information set on OII standards is maintained by Martin Bryan of The SGML Centre and Man-Sze Li of IC Focus on behalf of European Commission DGXIII/E.

File last updated: March 1999

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