Scottish Archive Network

Project Initiation Document

Agreed by

Heritage Lottery Fund

National Archives of Scotland

Scottish Archive Network

14/6/1999

Version 1.0

Ishbel Barnes

Contents__________________________________________________________________

1. BACKGROUND_________________________________________________________

2. PROJECT DEFINITIONS_________________________________________________

2.1 Project Objectives_____________________________________________________

2.2 Defined Method of Approach_____________________________________________

2.3 Project Deliverables and Desired Outcomes_______________________________

2.4 Project Scope________________________________________________________

2.5 Project Exclusions____________________________________________________

2.6 Project Interfaces_____________________________________________________

2.7 Date of start of project_________________________________________________

3. ASSUMPTIONS_________________________________________________________

4. INITIAL BUSINESS CASE_______________________________________________

5. PROJECT ORGANISATION STRUCTURE_________________________________

5.1 Project Board________________________________________________________

5.2 User Group__________________________________________________________

5.3 Participating Archive Group____________________________________________

5.4 Project Support_______________________________________________________

5.5 Four sub-projects:____________________________________________________

5.5.1 Sub-project 1. Top Level Finding Aids_____________________________________________

5.5.2 Sub-project 2. Special Archive Services_____________________________________________

5.5.3 Sub-project 3. Testaments_______________________________________________________

5.5.4 Sub-project 4. Information technology and communications_____________________________

6. PROJECT QUALITY PLAN______________________________________________

7. INITIAL PROJECT PLANS______________________________________________

8. PROJECT CONTROLS__________________________________________________

9. PROJECT CONSTRAINTS_______________________________________________

10. EXCEPTION PROCESS________________________________________________

11. RISK LOGS___________________________________________________________

12. COMMUNICATION STRATEGY_________________________________________

APPENDIX 1 LEGAL CONTRACTS_________________________________________

APPENDIX 2 TOP LEVEL PROJECT PLANS_________________________________

APPENDIX 3 INITIAL BUSINESS CASE_____________________________________

Business Case__________________________________________________________

Reasons________________________________________________________________________

Archive material is a Valuable but Hidden Resource_____________________________________

No Central Point of Access to What is held Where_____________________________________

Varied Standards of Automation in Scottish Archives___________________________________

Demand for extending availability__________________________________________________

Poor condition of Commissary Court Volumes_________________________________________

Benefits of the Project_____________________________________________________________

Widening the Use of Scottish Archives______________________________________________

Single/Common point of access____________________________________________________

Extending The “Opening Hours”___________________________________________________

Means of contact______________________________________________________________

More Queries Dealt With________________________________________________________

Digitisation to enhance preservation________________________________________________

Easier production______________________________________________________________

Security_____________________________________________________________________

Benefit Realisation________________________________________________________________

Service Availability_____________________________________________________________

Increased Use of Testaments_____________________________________________________

Increased Use of Archives_______________________________________________________

Prototype for other Developments__________________________________________________

Platform for Wider Availability of Scottish Archive Material______________________________

No Further Damage To Commissary Material__________________________________________

Cost & Timescale_________________________________________________________________

Appendix 3.1___________________________________________________________

Appendix 3.1.1 - SCAN Costs 2-7_____________________________________________________

Appendix 3.2 Descriptions and Summary_____________________________________

APPENDIX 4 JOB DESCRIPTIONS_________________________________________

Project Board___________________________________________________________

1. Project Manager Dr Ishbel Barnes Grade C1___________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

2. Head of IT NAS Mr Rob Mildren Grade B3 (50% of working time)___________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

3. NAS Liaison. Mr George MacKenzie Grade C1 ( 35 % of working time)_______________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Project support Grade B1 To be appointed______________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

APPENDIX 5 HEADINGS OF HERITAGE LOTTERY FUND MONTHLY REPORT

APPENDIX 6 TOP LEVEL FINDING AIDS___________________________________

1. Background__________________________________________________________

2. Sub-Project Definition__________________________________________________

2.1 Sub-Project Objectives__________________________________________________________

2.2 Defined Method of Approach_____________________________________________________

2.3 Sub-Project Deliverables and Desired Outcome________________________________________

2.4 Sub-Project Scope______________________________________________________________

2.5 Sub-Project Exclusions__________________________________________________________

2.6 Sub-Project Interfaces___________________________________________________________

2.7 Date of start of main project_______________________________________________________

3. Assumptions__________________________________________________________

4. Initial Business Case___________________________________________________

5. Sub-Project Organisation Structure________________________________________

6. Sub-Project Quality Plan________________________________________________

7. Initial Sub-Project Plans_________________________________________________

8. Sub-Project Controls___________________________________________________

9. Main Project Constraints________________________________________________

10. Exception Process____________________________________________________

11. Risk Logs___________________________________________________________

12. Communication Strategy_______________________________________________

APPENDIX 6.1 Detailed Project Plan (GANTT Chart)__________________________

Year 1__________________________________________________________________________

Year 2__________________________________________________________________________

Year 3__________________________________________________________________________

APPENDIX 6.2 Job Descriptions___________________________________________

TLFA Team Leader Grade B3________________________________________________________

Main responsibility_____________________________________________________________

Specific responsibilities__________________________________________________________

TLFA Project general staff Grade B1/2_________________________________________________

Main responsibility_____________________________________________________________

Specific responsibilities__________________________________________________________

APPENDIX 6.3 Quality Assurance Plans_____________________________________

APPENDIX 6.4 Risk Log__________________________________________________

APPENDIX 7 TESTAMENTS_______________________________________________

1. Background__________________________________________________________

2. Project Definition_____________________________________________________

2.1 Sub-Project Objectives__________________________________________________________

2.2 Defined Method of Approach_____________________________________________________

2.3 Testaments Sub-Project Deliverables and Desired Outcome_______________________________

2.4 Sub-Project Scope______________________________________________________________

2.5 Sub-Project Exclusions__________________________________________________________

2.6 Sub-Project Interfaces___________________________________________________________

2.7 Date of start of Project___________________________________________________________

3. Assumptions__________________________________________________________

4. Initial Business Case___________________________________________________

5. Project Organisation Structure___________________________________________

6. Project Quality Plan____________________________________________________

7. Initial Project Plan_____________________________________________________

8. Project Controls_______________________________________________________

9. Project Constraints____________________________________________________

10. Exception Process____________________________________________________

11. Risk Log____________________________________________________________

12. Communication Strategy And Plan_______________________________________

Appendix 7.1 Detailed Project Plan__________________________________________

Appendix 7.2 Job Descriptions_____________________________________________

Team Leader. Mrs Hazel Anderson (Grade B3)___________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Curator. Grade B1/2 (to be appointed)_________________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Conservator. Mr Peter Dickson (Grade B2)______________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Conservators. 2 at Grade B1/2 (to be appointed)__________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Digitising supervisor. GSU__________________________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Quality controllers. 2, GSU__________________________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Digitisers. 8, GSU_________________________________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Appendix 7.3 Quality Assurance Plans_______________________________________

Appendix 7.4 Risk Logs__________________________________________________

APPENDIX 8 SPECIAL ARCHIVE SERVICES________________________________

1. Special Archive Services Sub-Project - Background__________________________

2. Sub-Project Definition__________________________________________________

2.1 Sub-Project Objectives__________________________________________________________

2.2 Defined Method of Approach_____________________________________________________

2.3 SAS Sub-Project Deliverables and Desired Outcome____________________________________

2.4 Sub-Project Scope______________________________________________________________

2.5 Sub-Project Exclusions__________________________________________________________

2.6 Sub-Project Interfaces___________________________________________________________

2.7 Date of start of Sub-Project_______________________________________________________

3. Assumptions__________________________________________________________

4. Initial Business Case___________________________________________________

5. Project Organisation Structure___________________________________________

6. Sub-Project Quality Plan________________________________________________

7. Initial Sub-Project Plan__________________________________________________

8. Sub-Project Controls___________________________________________________

9. Project Constraints____________________________________________________

10. Exception Process____________________________________________________

11. Risk Log____________________________________________________________

12. Communication Strategy And Plan_______________________________________

Appendix 8.1 Detailed Project Plan__________________________________________

Appendix 8.2 Special Archive Services Job Descriptions________________________

Team Leader Ms Joanna Baird Grade B3________________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Curatorial (1) Band B Range 1/2 (to be appointed)_________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Imaging Technician (2) Grade B1 (to be appointed)________________________________________

Main responsibilities____________________________________________________________

Specific responsibilities__________________________________________________________

Appendix 8.3 Quality Assurance Plans_______________________________________

Appendix 8.4 Risk Logs_________________________________________________

APPENDIX 9 INFORMATION AND COMMUNICATIONS TECHNOLOGY______

1. Background_________________________________________________________

1.1. Introduction_________________________________________________________________

1.2. Related Documents____________________________________________________________

1.3. Related Internet Links__________________________________________________________

2. Sub-Project Definitions________________________________________________

2.1. Objectives__________________________________________________________________

2.1.1. Business Objectives_______________________________________________________

2.1.2. Functional Objectives______________________________________________________

2.1.3. Management Objectives____________________________________________________

2.2. Defined Methods of Approach___________________________________________________

2.3. Deliverables_________________________________________________________________

2.4. Project Scope________________________________________________________________

2.4.1. Definition_______________________________________________________________

2.4.2. In Scope________________________________________________________________

2.5. Exclusions__________________________________________________________________

2.6. Interfaces___________________________________________________________________

2.6.1. Main Interfaces__________________________________________________________

2.6.2. Integration and Project Consulting Services_____________________________________

2.7. Date of Start Of Project_________________________________________________________

2.7.1. Completion______________________________________________________________

3. Assumptions_________________________________________________________

4. Initial Business Case__________________________________________________

5. Project Organisation Structure__________________________________________

6. Project Quality Plan___________________________________________________

7. Initial Project Plan____________________________________________________

8. Project Controls______________________________________________________

9. Constraints__________________________________________________________

9.1. Strategic____________________________________________________________________

9.2. Operational__________________________________________________________________

10. Exception Process___________________________________________________

11. Risk Log___________________________________________________________

12. Communication Plan__________________________________________________

Appendix 9.1 Detailed Sub-Project Plan (Gantt Chart)__________________________

Appendix 9.2 Job Descriptions____________________________________________

IT Manager - B3_________________________________________________________________

IT Development - B2______________________________________________________________

IT Support - B1__________________________________________________________________

Appendix 9.3 Functional Requirements_____________________________________

Integration and Project Consulting Services____________________________________________

Network Components and Services___________________________________________________

Network Operating System and Office Applications______________________________________

Services Requiring Servers and Applications Software____________________________________

Services that must be hosted on NT_______________________________________________

Services that can be hosted on NT or UNIX__________________________________________

Office Workstations______________________________________________________________

Digitising Stations_______________________________________________________________

Internet Service Provider___________________________________________________________

ICT Training____________________________________________________________________

Uninterruptible Power Supply_______________________________________________________

2. PROJECT DEFINITIONS

2.1 Project Objectives

· to create an electronic search room for the 45 participating Scottish archives.

· to collect the top level finding aids of the participating archives as they exist in the year 2,000; to convert them to the International Standard for Archival Description (ISAD(G)) and into electronic form; to provide electronic links to more detailed electronic catalogues, if they exist, or to state that more detailed catalogues exist only on paper; and to make this information available and searchable electronically over the Internet.

· to construct a knowledge data base of 1000 key themes of Scottish history from sources in participating archives and make it searchable electronically over the Internet.

· to develop a range of other services to enhance the electronic search room, including exhibitions, a bookshop, “coffee machine” (themed discussion groups), yellow pages and noticeboard for Scottish archives, all searchable electronically over the Internet.

· to develop the existing electronic catalogues of the National Archives of Scotland and make the top level finding aids of 1000 major fonds available over the Internet.

· to convert the various indexes to Scottish testaments, 1500-1875, to electronic form and link them electronically to digital images of the testaments.

· to improve the preservation conditions of the original testaments.

· to provide a report on the technical, financial and preservation implications of large-scale digitisation of archive material, in the light of the project experience.

The above are the objectives of the project. At the end of the project the Scottish Archive Network infrastructure and capability will be in place, this will allow further expansion and enhancement of the system but these further expansions are not part of this project.

2.2 Defined Method of Approach

The project will use Prince 2 project management methodology and Microsoft Project.

The implementation of the project will be split between four sub-projects comprising: top level finding aids; special archive services; testaments digitisation; and information technology and communications.

The three year project is split intellectually and practically into two separate parts:

a) the production of the products needed to create the infrastructure of the Scottish Archive Network and

b) the subsequent exploitation and expansion of these initial products.

Top level project plans are available at Appendix 2

Detailed sub-project plans are available at Appendices 6-9.

These comprise for each sub-project: sub-project initiation documents, detailed sub-project plans (Gantt Charts), job descriptions, quality assurance plans and risk logs.

These will be monitored by the Project Board ( see below 5.1 Project Board).

2.3 Project Deliverables and Desired Outcomes

· the top level finding aids ( i.e. the fonds level finding aids) of all 45 participating archives, as they exist in the year 2,000, converted to ISAD(G) and into electronic form, electronic links provided to more detailed catalogues, if they exist in electronic form, or statements that more detailed catalogues exist only on paper, and this information made available and searchable electronically over the Internet without financial charge by the Scottish Archive Network.

· a knowledge data base of 1000 key themes in Scottish history, covering 450 subjects, 250 places, 250 people and 50 ‘how tos’ searchable electronically over the Internet; these will be made available without financial charge by the Scottish Archive Network.

· an electronic bookshop, coffee machine, yellow pages and noticeboard for Scottish archives made available and searchable electronically over the Internet without financial charge by the Scottish Archive Network.

· 20 archival exhibitions made available on the Internet without financial charge by the Scottish Archive Network.

· the existing electronic catalogues of the National Archives of Scotland at file/bundle/item level made available over the Internet without financial charge by the Scottish Archive Network.

· the 475,000 index entries to Scottish testaments, 1500-1875, converted to electronic form and linked to digital images of the testaments; the indexes made available over the Internet without financial charge by the Scottish Archive Network.

· the Scottish Archive Network site on the Internet will aim to be available 24 hours a day, 365 days a year. In practice the target to be met will be 99% of that time.

· the original paper testaments placed in phase boxes and withdrawn from public consultation.

· a report published on the technical, financial and preservation implications of large-scale digitisation of archive material, in the light of the project experience.

2.4 Project Scope

The scope of the project is limited to the deliverables and outcomes listed above.

The definition of participant archive is an institution which provides public access to its holdings and which is professionally managed, normally by an archivist, on a full-time basis.

2.5 Project Exclusions

The project will not normally catalogue or re-catalogue documents.

It will only convert top level finding aids, it will not compile them.

Our intention is to create a transparent network accessible throughout the UK and to harmonise with future English and Welsh developments; nevertheless throughout the first three years of the project there will be no obligation for further harmonisation.

2.6 Project Interfaces

The Scottish Archive Network will co-operate with the National Archives of Scotland

· with the Historical Search Room in withdrawing the testaments from public use and providing surrogate copies

· with all record cataloguing branches in compiling the new NAS top level finding aid to replace the existing Summary Catalogue

· with Publications and Education Branch in providing facilities for electronic exhibitions and publications

· with Preservation Services Branch in all matters concerning the conservation and preservation of documents in the NAS.

It will use the agreed definitions, terminology and standards of the International Council on Archives, and the name authority standards of the National Council on Archives as far as is practicable. The project will co-operate with the prototype European Union Archive Network.

2.7 Date of start of project

The project will begin on the date when the contract is signed between the Trustees of the National Heritage Memorial Fund and Scottish Archive Network Ltd. Before this can be done contracts will have been signed between the National Archives of Scotland and the Scottish Archive Network Ltd and between the Genealogical Society of Utah and the Scottish Archive Network Ltd. At that time a specimen contract between the Scottish Archive Network Ltd and a participating archive will also be exhibited.

All these contracts are shown in Appendix 1.

5. PROJECT ORGANISATION STRUCTURE

The Project will use the project management methodology PRINCE 2 amended to suit the particular requirements of the Scottish Archive Network.

Detailed job descriptions of all the posts described below are given in Appendices 6-9 and Appendix 4

5.1 Project Board

The Board members are the decision makers responsible for the commitment of resources to the project. They will also ensure that the aims of the project continue to be aligned with evolving archival and information technology needs world-wide.

The Project Board is accountable for the success of the project. It will approve all major plans and authorise any major deviation from agreed project plans. It will ensure that required resources are committed and will arbitrate on any conflicts within the project and negotiate a solution to any problem between the project and external bodies.

Project Manager, Dr Ishbel Barnes (Grade C1).

Senior User,[1] Mr George MacKenzie (Grade C1) 35% of his time.

Senior Supplier, Mr Rob Mildren (Grade B3) 50% of his time.

The following will be sent copies of the agendas and minutes of the board and have the right to attend any of its meetings:

Mr Patrick Cadell, the Keeper of the Records of Scotland

Mr Dick Sargent, Royal Commission on Historical Manuscripts

HLF monitors, Dr Michael Smethurst and Dr Seamus Ross

The chairmen of the User and Participating Archives Groups may request to attend a meeting of the board to raise a specific concern.

5.2 User Group

This group will be responsible for insuring that users’ needs are incorporated into the Scottish Archive Network. It will also work with the individual project teams as the projects are developed. The chairman of the group has the right to attend the Project Board if he/she feels that the User Group’s needs are not being incorporated in the Network. The Users will decide how often the Group is to meet.

The administration of their meetings will be undertaken by the Scottish Archive Network and their meetings will be attended by the Project Manager. Chairman Dr Alex Murdoch, Department of Scottish History, Edinburgh University.

5.3 Participating Archive Group

This group will be responsible for insuring that the needs of participating archives are incorporated into the Scottish Archive Network. The chairman of the group has the right to attend the Project Board if he/she feels that the Participating Archive Group’s needs are not being incorporated in the Network. The members will decide how often the Group is to meet.

The administration of their meetings will be undertaken by the Scottish Archive Network and their meetings will be attended by the Project Manager. Chairman still to be appointed.

5.4 Project Support

Grade B1. to be appointed. Provides administrative services and support to the project.

5.5 Four sub-projects:

1. Top Level Finding Aids

2. Special Archive Services

3. Testaments

4. Information and Communications Technology

The project is split into four parts. In order to reflect the differing natures of these four parts, three will be treated as formal sub-projects and one will report directly to the project manager. These four sub-projects are all split intellectually and practically into two parts -

a) the production of the products needed to create the infrastructure of the Scottish Archive Network

b) the subsequent exploitation and expansion of these products.

For example, sub-project 1. top level finding aids, will

a) create the template for the top level finding aids and then

b) convert all the top level finding aids into the template.

Full details of each of these 4 sub-projects are given in Appendices 6-9.

5.5.1 Sub-project 1. Top Level Finding Aids

The Project Manager will delegate authority and responsibility for this product to this team of specialists.

Team Leader, Dr Alan Borthwick (Grade B3)

3 Grade B1s to be appointed.

This part of the project will be regarded as a formal sub-project with its own sub-project board. This sub-project board will comprise Dr Borthwick, sub-project manager, Dr Barnes and Mr Arnott Wilson, Archivist, Edinburgh University.

See Appendices 6 for details of this sub-project.

5.5.2 Sub-project 2. Special Archive Services

The Project manager will delegate authority and responsibility for this product to this team of specialists.

Team Leader, Ms Joanna Baird (Grade B3)

1 Grade B1 to be appointed

2 digital imagers to be appointed

This part of the project will not be regarded as a formal sub-project. Ms Baird will report directly to the Project Manager.

See Appendix 8 for details of this sub-project.

5.5.3 Sub-project 3. Testaments

The Project manager will delegate authority and responsibility for this product to this team of specialists.

Team Leader, Mrs Hazel Anderson (Grade B3)

1 Grade B1 to be appointed

1 Conservator Grade B2 Mr Peter Dickson

2 Conservators Grade B1 to be appointed

1 Digitising supervisor (GSU)

2 quality controllers (GSU volunteers)

8 digitisers (GSU volunteers)

This part of the project will be regarded as a formal sub-project with its own sub-project board. This sub-project board will comprise Mrs Anderson, sub-project manager, Dr Barnes and Dr John Shaw, National Archives of Scotland.

See Appendix 7 for details of this sub-project.

5.5.4 Sub-project 4. Information technology and communications

The IT specialists working on the project will report to Mr Mildren.

IT Development Grade B2 to be appointed

IT Support Grade B1 to be appointed

This part of the project will be regarded as a formal sub-project with its own sub-project board. This sub-project board will comprise Mr Mildren, sub-project manager, Dr Barnes and Mr David Brownlee, General Register Office (Scotland).

See Appendix 9 for details of this sub-project.

Business Case

Reasons

Archive material is a Valuable but Hidden Resource

Scottish archives are not merely the dusty papers so often portrayed by journalists. They are central to the culture and history of our country, they are the written guarantee of our democracy.

When Edward I in 1291 and Oliver Cromwell in 1651 removed the records of Scotland from their proper home, they deprived Scotland of something essential to its character and personality. When the framers of the Act of Union declared in Article 24 that the records of Scotland shall "continue to be keeped as they are within that part of the United Kingdom now called Scotland, and that they shall so remain in all time coming", they recognised both their distinctive character and their symbolic significance.

Scotland has been lucky in the last 250 years to live through times of internal peace. Some of our continental neighbours have been less fortunate; and for them their records are the symbol of their freedom, the token of their democratic rights, and of their national individuality. In 20th century Scotland we have perhaps had less cause, but we certainly have no less reason, to look upon our records in the same way. It is right then that we should both preserve these records to the highest professional standards and also that we should make them known to the people of Scotland in whose name they are preserved.

No Central Point of Access to What is held Where

For various historical reasons archives in Scotland are far more centralised than in England; it is therefore simplest when describing the current archival situation in Scotland to split Scottish archives into two parts, archives outside the NAS, and archives within the NAS.

Archives outside the NAS

Archives outside the NAS comprise

· Local authority archives, there are currently 24 local authority archives including the archives of the four major cities, Edinburgh, Glasgow, Aberdeen and Dundee

· University archives, Aberdeen, Dundee, Edinburgh, Glasgow, Heriot-Watt, Strathclyde and St Andrews

· Health board archives

· The manuscript department of the National Library of Scotland

· Private archives, either of commercial undertakings such as banks or of private families and individuals.

There is at present no simple way of finding out which archive holds what papers, there is no simple way of finding out to what level or degree of detail the papers have been catalogued and there is no simple way of finding out which papers no longer exist.

Archives in the NAS

The holdings of the NAS

· Records of the central government institutions of the pre-Union Kingdom of Scotland, parliament, privy council and the great offices of state such as chancery and exchequer;

· Some of the records of the post Union government of Scotland including

¨ Records of all the Scottish Office departments as well as UK departments which have a separate body of Scottish records;

¨ Records of the Scottish divisions of nationalised industries and their earlier predecessors - rail, coal, gas, steel etc.;

· Records of the central courts, both criminal and civil, the High Court and the Court of Session;

· Records of local courts, the sheriff courts, commissary courts etc.;

· The two great registers of private rights and property in Scotland, the Register of Deeds and the Register of Sasines;

· Local authority records, the community charge and valuation rolls;

· Records of the Church of Scotland and the Free Churches;

· Special collections, very large collections of shipbuilding records, of maps and plans and of seals;

· Over 500 collections of private papers, these include large collections of papers of both families and businesses.

The National Register of Archives (Scotland) has attempted to answer part of this problem by providing lists of papers in private hands but has always restricted itself only to private papers. The National Register of Archives (Scotland) is a part of the NAS.

The catalogues of these papers are available in the NAS, but again without visiting the search rooms in central Edinburgh it is difficult to find out what the NAS holds and it is again difficult to find out the very different levels of detail which have been used to catalogue the very varying collections.

Summary

There is no one central point where a researcher can find out

· where the archives are in Scotland

· what these archives hold

· what catalogues they hold

· how detailed these catalogues are

Varied Standards of Automation in Scottish Archives

Attempts have been made by various archives in Scotland to harness the new technologies in order to make their holdings more widely known, but at present the effort is patchy and piecemeal. Automation may in fact make the situation more confused in that an archive which has automated, by that very fact, makes its holdings more widely known than an archive with holdings of as great, or greater, importance which has not automated.

Demand for extending availability

A survey of readers carried out in 1993 highlighted a demand for increasing these opening hours. The research was carried out by the Scottish Office Central Research Unit. Users were asked to indicate, from a range of specified alternatives, three additional services or facilities they would like to see in the NAS (for simplicity no elaboration on the nature of these preferences was allowed in the questionnaire).

Services or Facilities Requested By The Users

Number of Endorsements (rank)

Service or Facility	Historical Search Room	West Search Room
Opening one or more weekday evening	145 (2)	101 (2)
Longer daytime opening hours	129 (3)	71 (4)
Opening Saturday mornings	117 (4)	74 (3)

The report concluded that

Longer opening hours were also strongly favoured by users, particularly opening on one or more weekday evenings. Presumably this reflects the wish, amongst the long-stay users, and perhaps those who have travelled some distance to visit the NAS, to avoid breaking off work and having to return to complete the job on another day. Also, it would permit users to visit the NAS at a time which doesn’t conflict with their daytime routines. The existing opening hours must severely constrain those users, and potential users, who have daytime obligations (e.g. those in employment or looking after children). It is likely that an increase in opening hours would not only be more convenient for existing users but would also encourage greater use of the NAS by potential users.

Poor condition of Commissary Court Volumes

A preliminary detailed survey of a representative sample of the Commissary Court volumes comprising approximately 40 volumes was carried out by a senior member of NAS conservation staff and a brief visual examination of the location, environment, handling and current levels of usage investigated and assessed in conjunction with appropriate curatorial staff. At present these volumes are heavily used by researchers, frequently copied despite the existence of microfilm and continued recourse to the original material is necessary largely due to the poor quality of the microfilm.

Benefits of the Project

Widening the Use of Scottish Archives

As part of the research for this proposal we have looked at a number of the Internet sites currently available for archives on the World Wide Web. Their archivists all report that usage normally exceeds expectations.

One of the best examples of an archive Internet site, complete with an Electronic Search Room, is the British Columbia Archives in Canada. They have an average of 3,000 hits per day. The amount of Scottish material which will be available through SCAN, together with the interest in Scottish history and genealogy throughout the world, makes us certain that we will exceed this figure very considerably.

SCAN is not aimed at any one particular group of users. It will be of use to anyone interested in Scotland, its culture and its history.

SCAN will have, we believe, an impact on many parts of the Scottish educational system. It will be of use to many types of academic researchers, not just to academic historians. However academic historians have already shown great interest in the proposal and indeed one Scottish University History Department has already offered to participate in any future developments. It will also be of great interest to schools and ties in very well with the current trends to increase the awareness and teaching of Scottish history in Scottish schools. Schools are already increasingly using the Internet for various educational purposes, Scottish children will be able to use SCAN to learn about their own history and about the sources for that history.

SCAN will be used by genealogists and by local historians and indeed by every type of historian whether amateur or professional.

Single/Common point of access

One of the most important points of SCAN is that it will provide a starting point for people interested in Scottish Archives. There are no prescriptive standards for the institutions taking part as to how they organise themselves outwith SCAN. Each institution’s own electronic search rooms are purely their own concern and it will only be experience and public comment that will be likely to shape them into something more coherent and consistent, but that is not the concern of this project application. The more immediate and achievable issue we are addressing is providing a common point of access through a single point to the whole area of Scottish Archives.

Through SCAN this will be possible. All contributing archives will submit information, formatted to a common standard, at a consistent hierarchical level of description. This will give users of SCAN a more accurate and consistent picture where in Scotland they will be likely to find source material.

Importantly, the approach is looking for Scottish archive sources and not simply institutions. Through time we would expect the Frequently Asked Questions to address this by referring to relevant source material wherever in the world it may be, and if there are electronic links to those institutions then these too will be embedded in the answers. The Top Level Finding Aids would include those from institutions such as NARA, Canadian Archives, Vatican archives and so on where they refer to significant Scottish material.

Extending The “Opening Hours”

The service outlined above does not need to be staffed 24 hours a day in order to be available for, at least, reference use. The staff involved directly with the project would be working the current normal opening hours of NAS which is open from Monday to Friday 7.45 to 18.15. The search rooms themselves are currently open to the public from 9.00 until 16.30 Monday to Thursday and 9.00 to 16.00 on Friday.

Through the availability of SCAN and an NAS electronic search room, this demand can, at least in part, be met. The service would be expected to operate with an availability of 99%. To all intents and purposes this would mean that the facility would be available around the clock and throughout the year. There will, inevitably, be occasions when there will be interruptions for routine maintenance, upgrades and the like but these will be scheduled, wherever possible, during the quietest periods of use of SCAN.

In addition, those users of NAS who are able to visit can make better use of their time when visiting the buildings. Information regarding range of holdings, opening hours, ordering information, as well as correspondence with staff and researching the catalogues themselves can all be consulted well in advance of an actual visit. The possibility of ordering and receiving copies of documents in advance would also help people make even greater use of the times that the buildings themselves are already open.

We would anticipate that a significant proportion of the use of SCAN will be from outwith Scotland. There are large numbers of people of Scots descent in Canada, USA, Australia and New Zealand. Because of the time differences, even telephone contact with the NAS can be inconvenient for them currently. The availability of the search tools and frequently asked questions will be an invaluable tool for readers throughout the world to help themselves without NAS having to prove additional staff resources. The use of the Chat Forum would also be a useful additional facility for people anywhere in the world to post and discuss issues relating to Scottish Archives, again without a requirement on NAS to provide staff resource to manage and answer the queries raised.

Electronic mail access to staff in NAS would provide another widely available means of contact between staff and users of the service. This too would remove some of the time constraints imposed by the opening hours.

Means of contact

SCAN will offer all participating archives a means of publicising themselves but also a means of allowing readers throughout the world to make contact with them.

Part of SCAN will be to publicise the traditional means of contacting (visiting hours, telephone numbers, addresses etc.), but in addition SCAN will provide e-mail contacts. Small archives not currently on Internet will have an Internet account, including e-mail, made available for them. Larger institutions will be able to publicise their existing e-mail addresses.

SCAN will also cater for archive interest groups which are not based in a single institution and allow them to publicise their own information and means of contacting them.

The Coffee Machine too will provide a means of contact with all aspects of Scottish Archives and, indeed, will create a new forum for people to discuss with each other areas of mutual archive interest.

More Queries Dealt With

Statistics from the Keepers Annual report indicate that 3,443 (2,710 in Historical Search room and 733 in West Search Room) postal enquiries were dealt with in the year 1993-1994. It could reasonably be expected that opening up an alternatives means of communicating with the NAS would increase this figure dramatically.

There are no recorded figures available for the number of telephone enquiries dealt with by the search room staff but indications are that these currently exceed the number of postal enquiries. In addition, the fact that SCAN will be available throughout the world and for longer periods of time than telephone access would also mean that the number of enquiries received through SCAN would be significantly increased.

The implication of this is that greatly increased numbers of curatorial staff would be required in order to deal with the correspondence generated through SCAN.

However, there are a number of reasons for believing that, with the same or reduced number of curatorial staff working in this area, NAS could cope with these demands.

· A large number of the letters and telephone enquiries are routine or along broadly similar lines. Many relate to which source documents are held in which organisation, how to go about researching genealogy using the material available in the NAS, common topics and so on. Dealing with such enquiries is precisely the point of SCAN and in particular the use of a Frequently Asked Questions list and such enquiries coming directly to NAS staff would be pointed towards the Frequently Asked Questions as their initial course of action. It is anticipated that this source of information will deal with a significant proportion of all enquiries.

· One of the most time consuming elements for staff in the Historical Search Room is repeatedly explaining the complexities of researching the wills and also in assisting new readers in this task One estimate suggests that 70% of staff time in the Historical Search room can be spent dealing with such enquiries. The production of a single computer index to the wills and the availability of the images of the wills would simplify this procedure. It could subsequently be the responsibility of a non-specialist non-curatorial grade staff to deal with this area. In addition, curatorial staff involved in this function would be free to do other tasks.

· The provision of the chat facility referred to elsewhere in this document is also intended to help users help themselves. It cannot be anticipated precisely how this will evolve but it is the intention that the chat forum helps all institutions involved in SCAN with addressing the increased demand that will follow.

Our conclusion therefore is that it is precisely the provision of SCAN and the facilities it will offer and an electronic search room for the NAS that will allow us to deal with a greatly increased number of ‘enquiries’ of all sorts, and it can be seen in our plans for the running costs of SCAN beyond the lifetime of the project that it is direct savings in this area that will help fund the future operation of SCAN.

Digitisation to enhance preservation

We do not, at present, believe that digitisation of images does away with the preservation requirements of the original documents. However there can be no doubt that increased usage of a document means increased wear on the document and the resulting conservation and preservation problems.

NAS policy will be to provide the digital image within the NAS as a surrogate for the original. As stated in the conservation report, the pages will probably have to be disbound from their current (often quite worn) bindings and can subsequently be stored in conservationally sound boxes in a storeroom with strict temperature and humidity control. Access to the originals after the digitisation process will seldom be needed or allowed.

Easier production

As orders for wills and testaments make up more than 20% of orders in the Historical Search Room, currently, clearly any means of dealing with this demand need to be addressed.

It is anticipated that the availability of a computerised index to the wills could produce a significant increase in orders.

1. Readers would need much less time searching the indexes, producing cross reference and so on to determine the correct volume to order. A large number of the orders would be for index entries where the details may match in part but not in whole and the reader will want to order the document ‘just in case’ it is relevant. Currently, this is less likely to happen as there is so much effort in tracing ‘probable’ entries that the ‘possible’ entries are often omitted.

2. The nature of the index will also make it so much easier to trace wills of relevance to social, local or economic history that there will be a far greater use of the wills for this sort of research and far more entries which may meet a reader’s search criteria.

3. In making the index available outwith NAS, access will be open to hundreds of thousands of people with an interest in Scottish archives rather than the thousands who are able to travel to the city centre in Edinburgh. This too could be expected to double or treble the number of requests for printouts or copies.

Evidently such a manifold increase in the usage, orders and copying of wills and testaments would present a significant problem in terms both of preservation and access for the wills and testaments series. In such a context therefore it is absolutely essential to look at other means of allowing access to the wills and the digitisation solution addresses these issues.

Security

In every archive the security of the document is of paramount importance. Documents, unlike printed books, are normally literally unique and cannot therefore be replaced if lost or stolen.

Various differing aspects of document security are addressed by these proposals. The NAS, along with many other archives, has a programme of security microfilming, that is a programme to provide microfilms as secure surrogates for the records.

The proposals to digitise the images of the wills addresses the security issues more satisfactorily

· The image can, quite easily, be made available outwith the NAS

· Images from the same volume can be accessed by more than one person at the same time

· The production process is greatly simplified and misplacement of the originals can be eliminated

· The colour content of the original can be reproduced with a fair degree of accuracy

· Quality copies can be produced from the digital image, time after time without degrading the quality of the original

· The original volumes can be stored securely and remote from the point of production

· A quality image will provide a surrogate for the original. The NAS policy on access to the original will be that access will only be allowed where the research directly concerns the physical nature of the original material

· A quality image will provide secure evidence of original ownership

Benefit Realisation

Service Availability

The service will be available for users for 24 hours a day 7 days a week for 99% of the time

Increased Use of Testaments

20,000 copies of the testaments will be ordered annually. 150,000 testamentary images will be viewed in the buildings of the NAS. 150,000 searches of the index will be made.

Increased Use of Archives

Number of visitors to SCAN will be a factor of 20 higher than the number of visitors to the buildings of the NAS.

Prototype for other Developments

SCAN will act as a prototype and a service to other archives considering making information available on the Internet.

Platform for Wider Availability of Scottish Archive Material

The use of top level material through SCAN will raise the profile of the archives involved and encourage them to contribute more information at a more detailed level.

No Further Damage To Commissary Material

Access to the Commissary material will, in all but the most exceptional cases, be through the digital surrogate.

Cost & Timescale

The project will completed over approximately a three year timespan. The overall cost of the project is estimated at £3.9 million with 2.9 million in funding from the Heritage Lottery Fund, £.7 million in staff resources contributed by the Genealogical Society of Utah and £.3 million from the National Archives of Scotland in the form of staff, building alteration and a grant.

· SCAN Costs 2-7 is provided as Appendix 3.1

· For a detailed description of each expenditure item see Appendix 3.2 - Descriptions and Explanation

Ref	Description	Cross Reference
1	Summary of Costs
1.1	Preparation Summary of bid preparation costs including bid preparation, preparation of accommodation and digitising cameras	7.1 to 7.9
1.2	All Staff Costs All staff costs for the project, now including GSU staff. Summary figure includes VAT where applicable	2.1 to 2.12 and 7.12 to 7.14
1.3	Internet Server and Storage As in original submission	3.1 to 3.11
1.4	Communications As in original submission. Figures based on usage estimates (see notes on anticipated usage elsewhere)	4.1 to 4.8
1.5	Digitisation of Testaments As requested, this now comprises only equipment costs and maintenance. Staff costs previously included here have been transferred to 1.2 above.	5.1 to 5.8
1.6	Other Costs As requested, costs of fund raising have been removed as these are disallowed and PCs now include cost of maintenance for 3 years of project.	6.1 to 6.20
1.7	Contingency This is set at 5% of total project costs
1.8	Totals This figure gives the total of 1.1 to 1.7 above
1.9	Partnership Funding This is made up of bid preparation, SRO/NAS contribution and GSU contribution. For further details, see SCAN costs 7	7.1 to 7.14
1.9.1	NAS Contribution This is derived from 1.9, specifically highlighting the contribution by SRO/NAS in cash, to comply with HLF rules
1.10	Lottery Funding Required This is the difference between project total costs in 1.8, and partnership funding in 1.9

Ref	Description	Cross Reference
2	All Staff Costs
2.1	Project Manager Dr Ishbel Barnes will take up her duties as Project Manager immediately there is a favourable decision by the HLF Trustees, and her post as head of Private Records Branch will be backfilled immediately thereafter at C1 level (formerly Curatorial C).	7.10
2.2	Team Leaders The grades are now known as B3 (formerly Curatorial D). These staff will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.3	IT Developer This grade is now known as B2 (formerly HEO IT). This person will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.4	IT Support This grade is now known as B1 (formerly EO IT). This person will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.5	Curatorial TLFAs This grade is now known as B2 (formerly Curatorial E). These staff will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.6	Wills E This grade is now known as B2 (formerly Curatorial E). This person will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.7	FAQ E This grade is now known as B2 (formerly Curatorial E). This person will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.8	Conservation F This grade is now known as B1 (formerly Conservation F). These staff will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.9	Reprographic Staff These staff will be graded as B1 (formerly Conservation F). They staff will be on secondment from SRO/NAS and the terms and conditions will be as described in document to be attached
2.10	Digitisation Supervisor This post is graded at B2. This person will be provided by GSU.	7.12
2.11	Digitisation Staff These posts are graded at B1. These staff will be provided by GSU	7.13
2.12	Project Administrator This post is graded at B1 (formerly EO) This person will be on secondment from SRO/NAS. For outline job description, see separate document

Ref	Description	Cross Reference
3	Internet Server and Storage
3.1	Web Server As in original submission. This is the main unit communicating information across the World Wide Web (Internet). Modular range based on UltraSPARC processor
3.2	SPARC storage array As in original submission. This is a series of on line hard disks
3.3	HSM (hierarchical Storage Management) As in original submission. This is software that controls retrieval, back up and recovery of data and applications on the network.
3.4	HP Sure Store As in original submission. These are the units that hold the optical disks containing the data.
3.5	Optical Media As in original submission. These are the data media for the storage devices in 3.4
3.6	Server Software As in original submission. This is the software that provides access to the Internet
3.7	Browser Software As in original submission. This software will allow participating archives to search and retrieve information from the World Wide Web.
3.8	SUN Enterprise 1 As in original submission. This is the computer protecting the network data from outside interference
3.9	Solstice Firewall 1 As in original submission. This is the software for the computer in 3.8
3.10	UPS (Uninteruptible Power Supply) As in original submission. This device protects the network equipment against power surges or cuts.
3.11	Maintenance As in original submission. This is assumed at 10% of the capital costs for the above equipment, and applies in years 2 and 3.

Ref	Description	Cross Reference
4	Communications
4.1	Internet Router As in original submission. This device manages communications between the Internet and the SCAN web server.
4.2	Dial Up Access As in original submission. This allows participating archives to access the Internet through the SCAN network.
4.3	Simple Configuration As in original submission. This applies to setting up the equipment in 4.1 and 4.2 for secure access
4.4	Leased Line Installation As in original submission. This is the line between the network equipment and the Internet Service Provider
4.5	Rental of Internet Bandwidth As in original submission. This is the user charge for the line referred to in 4.4. the bandwith will be sufficient for the anticipated usage

Ref	Description	Cross Reference
5	Digitisation of Testaments
5.1	Modification to Ventilation and Electricals This is work to provide suitable conditions in which to scan original archival documents	7.6
5.2	Professional Design Fees for Above These cover mechanical and electrical engineering, space planning and workstation ergonomics	7.7
5.3	Provision of Workstations and Screens These are specialist pieces of equipment for housing digitising equipment and lighting	7.8
5.4	Data Capture for Finding Aids As in original submission. This is electronic capture of indexes to the wills
5.5	Digital Cameras Standard This will be the most commonly used model of camera, for the majority of sizes and conditions of volumes of wills
5.6	Digital Cameras Large Format This will be used for outsize volumes and others requiring special attention, handling etc.
5.7	Maintenance of Digitising Equipment Essential maintenance of critical pieces of equipment
5.8	PCs and Associated Equipment These are high-specification PCs, optimised for handling digital images

Ref	Description	Cross Reference
6	Other Costs
6.1	PCs for SCAN Staff As in original submission. This covers the provision of PC, software and peripheral devices for 12 SCAN staff, but not for GSU digitising staff, whose equipment is described at 5.8
6.2	Workstations for Wills As in original submission. These are high-specification PCs, optimised for handling digital images, to be used for public access in the search rooms of the SRO/NAS
6.3	Large Screens for Wills These are computer screens for the public access machines in 6.2 above
6.4	Additional Network Equipment As in original submission. These are to allow SCAN staff access to SRO/NAS networks and facilities
6.5	Furniture for SCAN staff As in original submission. This covers additional equipment where appropriate
6.6	Consultancy Budget As in original submission. This covers the provision of specialist advice and assistance in the areas of digitising, computer performance, security and communications
6.7	Web Design for SCAN As in original submission. This covers the purchase of outside expertise for high quality design of the SCAN public interface
6.8	Staff and Archivists Training As in original submission. This covers training courses for staff of SCAN and participating archives in professional and technical aspects of the project
6.9	Travel As in original submission. This covers the costs of SCAN staff visiting participating archives.
6.10	Software As in original submission. This covers the provision of software for handling images and associated index information
6.11	PCs for Archives As in original submission. This covers the provision of PCs, software, peripherals, Internet access and training where necessary. For detailed breakdown, see paper tabled at meeting on 3 September.
6.12	Printer for Quality Colour Output As in original submission. This is a high specification printer, capable of producing very high quality images from the wills.
6.13	Other Digitisation Equipment As in original submission. This equipment will carry out ad hoc digitisation (not the wills) in connection with the special archive services to be provided by the SCAN network
6.14	Conservation Material As in original submission. This covers consumables to be used for conservation and storage of original documents that are to be digitised.
6.15	Postage and Packing As in original submission. This covers incidental postage expenses for the project
6.16	Legal Fees This covers fees for advising on contractual obligations of SCAN with SRO/NAS, HLF, participating archives and suppliers
6.17	Accountancy Fees This covers fees for advising on the tax and business planning aspects of the project (any reductions in VAT liability will reduce the net costs of the project)
6.18	Marketing and Development This covers consultancy in connection with the promotion of the project, and dissemination of its products. The fund-raising element in the original submission has now been excluded
6.19	Data Capture for Finding Aids This covers electronic capture of information in finding aids including those in other participating archives. It does not cover indexes to wills (which are covered in 5.4 above)
6.20	Insurance This covers essential equipment belonging to the project only. It does not cover any buildings or other items covered by government indemnity
6.21	Office Equipment This covers the provision of fax, photocopy and other essential equipment for the project

Ref	Description	Cross Reference
7	Partnership Funding
7.1	Tods Murray This covers legal fees incurred in setting up the company to run the project. Invoice supplied for part of work completed to date; further work expected as part of Bid Preparation to be paid by SRO/NAS
7.2	Lorien As discussed on 3 September 1998, the fund raising element in the original submission has now been excluded
7.3	McCabe Partnership This covers fees for initial tax and business planning advice in connection with the project. Invoice supplied for part of work completed to date; further work expected as part of Bid Preparation to be paid by SRO/NAS
7.4	Paul Griew This consultant provided advice on the IT and management aspects of the project
7.5	Travel This coves two study visits by Rob Mildren to: 1. the British Columbia Archives and the National Archives of Canada, to study electronic search rooms and digital imaging; and 2. to Salt Lake City, Utah, to discuss technical aspects of their participation in a large scale digitisation project. Both were at normal civil service rates
7.6	Modification to Ventilation and Electricals This is work to provide suitable conditions for scanning original archival documents	5.1
7.7	Professional Design Fees These cover mechanical and electrical engineering, space planning and workstation ergonomics	5.2
7.8	Provision of Workstations These are specialist pieces of equipment for housing digitising equipment and lighting	5.3
7.9	Digitising Camera This is the Kontron ProgRes 3012 digital camera, complete with high level PC and colour printer, supplied by Imaging Associates
7.10	Project Manager Dr Ishbel Barnes will take up her duties as Project Manager immediately there is a favourable decision by the HLF Trustees, and her post as head of Private Records Branch will be backfilled immediately thereafter at C1 level (formerly Curatorial grade C).	2.1
7.11	SRO/NAS Grant The Keeper of the Records of Scotland has agreed to make a cash transfer to the project in order to provide the balance of the partnership funding required under HLF rules
7.12	GSU Supervisor This post is graded at B2 (formerly Conservation E). Appointment of this individual will be by agreement between SCAN and GSU	2.10
7.13	GSU Staff These posts are graded at B1 (formerly Conservation F).	2.11
7.14	Digitising Camera and Set-up This covers a digital camera to be supplied by the GSU. It has a lower value than the camera in 7.9, as it does not include a PC or planetary camera stand.

APPENDIX 6 TOP LEVEL FINDING AIDS

Top Level Finding Aids

Sub-Project Initiation Document:

Alan Borthwick

Team Leader, Top Level Finding Aids

Scottish Archive Network

June 1999

1. Background

Access to Scottish archives is hampered because users and potential users find it difficult or impossible to find out what information is available and which archives hold what information. Furthermore, much of the information is available only in central Edinburgh; and even when these difficulties are overcome old paper catalogues may be very difficult to use because of their complexity or size. There is no central point of reference in Scotland for detailed information about the holdings of Scottish archives. This often means that archive users may spend a considerable amount of time being passed from archive to archive and archive staff waste valuable time answering similar questions over and over again.

This sub-project will alleviate these difficulties by assisting in the creation of an electronic search room for Scottish archives. This will hold electronic copies of the top level finding aids of every participating archive, with links to more detailed catalogues also in electronic form maintained by the participating archives (where they exist). All will be searchable electronically over the Internet. Initially 45 Scottish archives will participate in the Network, the largest participating archive being the National Archives of Scotland.

2. Sub-Project Definition

2.1 Sub-Project Objectives

· to collect the top level finding aids of the participating archives as they exist in the year 2000

· to convert them to the International Standard for Archival Description (ISAD(G)) and into electronic form

· to provide electronic links to more detailed electronic catalogues, if they exist, or to state that more detailed catalogues exist only on paper

· to make this information available and searchable electronically over the Internet.

· to develop the existing electronic catalogues of the National Archives of Scotland and make the top level finding aids of 1000 major fonds available over the Internet.

2.2 Defined Method of Approach

The implementation of the Top Level Finding Aids sub-project will be carried out by the sub-project team. This sub-project will use Prince 2 project management methodology and Microsoft Project.

The detailed sub-project plan for Top Level Finding Aids is available at Appendix 6.1. This will be monitored by the main Project Board (see below Project Organisation Structure), and in the first instance will the particular responsibility of the sub-project board.

2.3 Sub-Project Deliverables and Desired Outcome

· the top level finding aids (i.e. the fonds level finding aids) of all 45 participating archives, as they exist in the year 2000, converted to ISAD(G) and into electronic form, with electronic links provided to more detailed catalogues, if they exist in electronic form, or statements that more detailed catalogues exist only on paper, and this information made available and searchable electronically over the Internet without financial charge by the Scottish Archive Network.

· the existing electronic catalogues of the National Archives of Scotland at file/bundle/item level made available over the Internet without financial charge by the Scottish Archive Network.

· the Scottish Archive Network site on the Internet will aim to be available 24 hours a day, 365 days a year. In practice the target to be met will be 98% of that time.

2.4 Sub-Project Scope

The scope of the sub-project is limited to the deliverables and outcomes listed above.

The definition of participating archive is an institution which provides public access to its holdings and which is professionally managed, normally by an archivist, on a full-time basis.

2.5 Sub-Project Exclusions

The sub-project will not normally catalogue or re-catalogue documents. It will only convert top level finding aids, it will not provide them.

This is part of the main project intention to create a transparent network accessible throughout the UK and to harmonise with future English and Welsh developments; nevertheless throughout the first three years of the project there will be no obligation for further harmonisation.

2.6 Sub-Project Interfaces

The sub-project will co-operate with

· all record cataloguing branches of the National Archives of Scotland in compiling the new NAS top level finding aid to replace the existing Summary Catalogue

· all other participating archives in compilation of their top level finding aids

At all times the TLFA work will be carried out with a minimum of disruption to normal work patterns of the host institution whose TLFA is in the course of conversion.

It will use the agreed definitions, terminology and standards of the International Council on Archives, and the name authority standards of the National Council on Archives as far as is practicable. The main project will co-operate with the prototype European Union Archive Network.

2.7 Date of start of main project

See main PID for full details.

3. Assumptions

See main PID for full details.

4. Initial Business Case

See main PID (Appendix 3) for full details.

5. Sub-Project Organisation Structure

The main project is split into four parts. In order to reflect the differing natures of these four parts, two will be treated as formal sub-projects and two will report directly to the project manager. These four sub-projects are all split intellectually and practically into two parts -

a. the production of the products needed to create the infrastructure of the Scottish Archive Network

b. the subsequent exploitation and expansion of these products.

The Project Manager will delegate authority and responsibility for this product to this team of specialists.

Top Level Finding Aid sub-project

Staffing

Team Leader, Dr Alan Borthwick (Grade B3)

3 Grade B1 curatorial staff to be appointed.

Detailed job descriptions of the posts mentioned are given in Appendix 6.2.

This part of the main project will be regarded as a formal sub-project with its own sub-project board. This sub-project board will comprise Dr Borthwick, sub-project manager, Dr Barnes and Mr Arnott Wilson, Archivist, Edinburgh University. The views of the individual participating archives about their own Top Level Finding Aids will be taken fully into account by the sub-project board when the TLFAs are finally agreed.

For further details about the main project board, Users Group and Participating Archive Group, all of whom will have input to the work of this sub-project, see the main PID.

6. Sub-Project Quality Plan

For details of how the main project intends to deliver products which

a) meet the users’ quality expectations, recognising that these in many cases will be subjective, and

b) conform with recognised archival, IT and financial quality standards

see the main PID.

The archival standards to be met are the International Standard for Archival Description (ISAD(G)), the rules for the (UK) National Name Authority File and the definitions of the International Council of Archives Dictionary of Archival Terminology.

A model project plan for the integration of the individual participating archive will be developed. This will ensure that the participating archive is fully aware of the timing, timescale, scope and resources required for the individual needs of the archive. This "project plan" will form the basis for the quality control of the process of taking on an archive.

Quality assurance of the completed top level finding aids will be carried out by individual review boards, to comprise the sub-project Team Leader, the head of the appropriate participating archive, and either the Project Manager or Mr Wilson.

The project management standards are those of PRINCE 2.

7. Initial Sub-Project Plans

See Appendix 6.1.

8. Sub-Project Controls

The Heritage Lottery Fund will receive a monthly report, contained within the relevant sections of the main SCAN report referred to in Section 8 of the main PID.

Sub-Project Board meetings will be held at appropriate intervals. It is expected that the first meeting will occur after training workshops/seminars have been held with the participating archives and the standards to be applied within the sub-project have been discussed. Thereafter a meeting will occur once the first Top Level Finding Aid for a participating archive has been completed, to ensure that all standards have been applied and quality assurance adhered to; and similar meetings will occur once each subsequent Top Level Finding Aid has been completed.

Sub-Project team meetings will be held weekly. They will produce highlight reports every two weeks.

It will be the responsibility of Project Support to collect the information from the team leader to update their detailed team plans and to feed this into the top level plan of the Project Board. Microsoft Project will be used for this purpose.

9. Main Project Constraints

See main PID for full details.

10. Exception Process

See main PID for full details.

11. Risk Logs

Initial risk logs are given in Appendix 6.4.

12. Communication Strategy

The Team leader will ensure that each week the sub-project contributes to the weekly newsletter described in the main PID.

Regular meetings will be arranged with the Participating Archives Group and with the Users Group. Feedback from these two groups will be fully borne in mind. Sub-project staff will also frequently encounter participating archive staff when undertaking compilation of top level finding aids, and seek comments on progress of their work.

APPENDIX 6.1 Detailed Project Plan (GANTT Chart)

The first of the attached GANTT charts shows how the sub-project is broken down into essential elements as the work begins (including staff training, decisions about standards, seminars/workshops for the participating archives) which must occur before the formal assessment of the TLFA requirements of the participating archives can occur. Thereafter, the work comprises the assessment visits, the subsequent data capture for the TLFAs, their approval, insertion onto the SCAN web-site and normal maintenance of the TLFAs as months pass (to take into account omissions or errors, for example).

The second chart shows a detailed break-down of the steps involved once the arrangements are made to assess any one participating archive up to the point that its TLFA has been compiled and is on a care and maintenance basis. This model would be replicated throughout the existence of the sub-project.

At the start of 1999 each of the participating archives was asked when it would prefer to have its TLFA compiled. The likely schedule for data take-on is as follows (alphabetical order only). There will be some apparent duplication of names: some archives did not mind which year they were included in. Some archives have not decided as yet which year they wish to be in. Some re-scheduling of the take-on will have to be undertaken, as there are too many archives at present who expressed a preference to be in Year 1.

Year 1

Aberdeen University Library Special Collections and Archives

Angus Archives

Dundee University Archives

Falkirk Museums History Research Centre

Glasgow University Library Special Collections

Greater Glasgow Health Board

Highland Council Archive

Jordanhill Archives, University of Strathclyde

Orkney Archive

Perth & Kinross Council Archive

Royal College of Physicians and Surgeons of Glasgow

Scottish Theatre Archive

South Lanarkshire Council Archives

The University of St Andrews

West Lothian Council

Year 2

Aberdeen City Archives

Aberdeenshire Archives

Ayrshire Archives

Clan Donald Centre

Dumfries & Galloway Libraries, Information and Archives

Dundee City Archives

Glasgow City Archives

Glasgow School of Art

Heriot-Watt University Archive

Midlothian Council

National Library of Scotland

North Lanarkshire Council Archives

Northern Health Services Archive

Scottish Borders Archive

Stirling Council Archives

The University of St Andrews

Year 3

Clan Donald Centre

Glasgow City Archives

Glasgow School of Art

Midlothian Council

Royal College of Nursing Archives

Scottish Film and Television Archive

The Mount Stuart Trust Archive

The National Trust for Scotland

APPENDIX 6.2 Job Descriptions

TOP LEVEL FINDING AID SUB-PROJECT

TLFA Team Leader Grade B3

Main responsibility

To ensure that the top level finding aids of the participating archives have been converted to ISAD(G) to agreed standards and into electronic form; that they are available on the SCAN web site; that links are provided from the web site to more detailed catalogues, where they exist in electronic form; and that if no more detailed catalogue exists in electronic form then statements about availability of catalogues in paper form are made.

Specific responsibilities

· to establish the standard for creation of a typical TLFA entry by agreement with participating archives

· to direct preliminary assessment of participating archives to establish work required for each TLFA creation

· to manage the production of the TLFAs

· to direct the work of the TLFA sub-project staff, including provision of appropriate training to equip staff for their roles

· to assist in the creation of TLFAs

· to liaise with the participating archives on this aspect of the overall scheme, including provision of appropriate training seminars or workshops

· to act as the SCAN quality controller for the completed TLFA for each participating archive

· to ensure that suitable links from SCAN TLFAs exist to participating archives’ sites, where they exist, especially to more detailed catalogues in electronic form

· to keep abreast of developments in creation and implementation of descriptive standards

· to report to the Project Manager on current progress

TLFA Project general staff Grade B1/2

Main responsibility

To undertake to agreed standards the creation of top level finding aids for the participating archives under the direction of the TLFA Project Team Leader.

Specific responsibilities

· to assist in the preliminary assessment of participating archives to establish work required for each TLFA creation and thereafter keep Team Leader up to date with current state of play within their areas of responsibility

· to undertake the creation of TLFAs as directed by the Team Leader

· to undertake initial check on TLFAs presented by participating archives as complete for subsequent signing-off

· to liaise with the participating archives on this aspect of the overall scheme, including participation in appropriate training seminars or workshops

APPENDIX 6.3 Quality Assurance Plans

TOP LEVEL FINDING AID SUB-PROJECT: QUALITY ASSURANCE

Quality Criteria	Quality Review Method
Has each entry in a TLFA got all the essential elements as agreed with participants as the adopted standard?	Once agreed standard adopted ensure that all SCAN TLFA staff understand what is required, and monitor their work. Same would apply to TLFA work undertaken independently of SCAN staff.
Are the TLFA entries produced accurate and easy to understand?	Undertake regular reviews of entries produced. Consult participants and User Group for views, especially when commencing TLFA creation for participant with widely divergent fonds from those encountered so far. Assess comments received from users of web site.
Once the TLFA for a participant has been completed, does it provide a fair view of fonds held by that participant?	Establish means of final quality control check with participants, whereby TLFA is signed off as agreed between participant’s representative and TLFA project Team Leader. Once TLFA established on web site, ensure that feedback from users is assessed, and have review with participant of TLFA after 3 months.
Is each participant’s TLFA up to date as participants catalogue new accessions?	Establish regular system for contacting participants to learn of new catalogued accessions, and encourage them to provide TLFA entries to allow their TLFAs to be updated.

Do the TLFAs provide better access to archives held by the participants than what was available before?	Ensure that for each participant SCAN is clear what the current state of play is in each participant as regards basic finding aids/summary catalogues before TLFA creation commences. Seek views of User Group, and users at large (including comments received via SCAN ‘Coffee Machine’), of how particular TLFAs have improved access to archives.
Has introduction of TLFAs increased usage of archives held by participants?	Seek views of participants about level of usage, including comments in their published reports. For NAS, check on level of demand for digitised documents or other copies where copy requests fed through SCAN.
Are the links from SCAN TLFA entries to more detailed on-line catalogues clear, unambiguous and easy to follow?	Liaise closely with SCAN IT staff; test links regularly; check with User Group and users at large for their comments.
Are TLFA staff generally content with their lot?	Ensure staff motivation maintained by offering range of duties wherever possible. Poor work likely to reflect lack of motivation, excess of work or other dissatisfaction with working practices, and will harm output.
Are tasks expected of TLFA staff stretching or impossible?	TLFA Team Leader must monitor production of entries carefully: poor work may imply staff over-stretched or lack understanding of what is required.
Is it clear to participants which member of TLFA staff is responsible for what part of the project?	To ensure participants are aware of individual range of responsibilities, ensure participants introduced to TLFA staff and that they in turn have regular chances to meet participants.

APPENDIX 6.4 Risk Log

TOP LEVEL FINDING AID SUB-PROJECT: RISK ASSESSMENT

Risk	Probability	Impact and Potential result	How the risk will be minimised
Inability to agree standards for TLFA entries with participating archives	low/medium	medium/high - could cause participants to withdraw	Ensure TLFA staff are well-trained in standards proposed to be adopted, and in alternative methods currently in use elsewhere. Maintain good contacts with participants, and review feedback regularly
Withdrawal of participating archives, perhaps through unhappiness with SCAN or wish to pursue own projects	low/medium	medium - could cause rescheduling of work-flow; possible negative publicity	Maintain good links with participants throughout project. Have fall-back options available to meet possible withdrawals.
Inability to agree with participating archives on schedule for their take-on of data	low	medium - could cause rescheduling of work-flow; possible negative publicity	Have fall-back options available to meet possible re-scheduling
Inability of TLFA staff to deal timeously with data capture for participating archives	low/medium	medium/high - could require major rescheduling of work-flow; possible negative publicity	Maintain regular reviews of work in progress throughout project. Consider temporary deployment of additional staff if problem areas are short-term

Inability to agree TLFA produced for any one participating archive

low

low/medium - could require significant revision of work already done

Establish quality control checks to monitor work in progress, including liaison with participants; encourage feedback from them about practical aspects of standards applied

Significant slippage of whole TLFA project, perhaps because of inability to capture timeously necessary information to agreed standards

medium

medium/high - if slippage cannot be rectified then expected results of whole project could be jeopardised

Constant consideration of state of play; could lead to further discussion about overall standards to be applied to TLFA format

Appearance of any one participating archive’s TLFA on web-site causes significant volume of reader requests to that archive

medium

medium/high - some participants unlikely to be able to cope with flood of requests because of lack of staff

Liaise closely with each participant as launch of their TLFA nears; monitor results of previous launches; if participant unable to cope with possible avalanche of requests consider delaying launch date of their TLFA

APPENDIX 7 TESTAMENTS

Testaments

Sub-Project Initiation Document

Hazel Anderson

Team Leader Testaments Project

Scottish Archive Network

10/6/1999

1. Background

This sub-project will greatly improve access to a major primary source of Scottish history by creating a single index to all registered Scottish testaments (wills) and inventories before 1876 and then linking each entry to a digital image of the actual documents which make up these records. This union index of persons, places, occupations and dates will be searchable via the SCAN website on the Internet. It will be possible to search in the electronic search room for,

for example

all the wills of the residents of Falkland from 1600 to 1700

all the wills of Glasgow bakers between 1800 and 1850

as well as the wills of specific people, famous or not.

The digital images, which will be available on computer screens in the NAS historical search room, will have tools for enlarging, sharpening and improving faint or unclear text.

The sub-project will also ensure the long-term preservation of this material. After digital capture the testaments will be placed in environmentally controlled storage and all subsequent consultation will be via the digital image.

2. Project Definition

2.1 Sub-Project Objectives

· to convert the various indexes to Scottish testaments, 1500-1875, to electronic form and link them electronically to digital images of the testaments.

· to make the indexes available to searchers on the SCAN website

· to make the electronic images linked to the relevant index entries available to readers in the NAS historical search room (HSR) in place of the original documents.

· to improve the preservation conditions of the original testaments.

· to provide a report on the technical, financial and preservation implications of large-scale digitisation of archive material, in the light of the project experience.

2.2 Defined Method of Approach

The implementation of the Testaments sub-project will be carried out by the sub-project team.

The Testaments sub-project will use Prince 2 project management methodology and Microsoft Project.

The detailed sub-project plan for Testaments is available at Appendix 7.1. This will be monitored by the Sub-Project Board (see below Project Organisation Structure).

2.3 Testaments Sub-Project Deliverables and Desired Outcome

· the Scottish Archive Network site on the Internet will aim to be available 24 hours a day, 365 days a year. In practice the target to be met will be 95% of that time.

· the original paper testaments placed in phase boxes and withdrawn from public consultation.

· microfilm or hard copy surrogates in the historical search room, in place of original documents, until the digital images are available.

· a report published on the technical, financial and preservation implications of large-scale digitisation of archive material, in the light of the project experience.

2.4 Sub-Project Scope

The scope of the sub-project is limited to the deliverables and outcomes listed above.

2.5 Sub-Project Exclusions

The Testaments sub-project will not include any wills after 1875.

It will not provide electronic images of documents on the SCAN web-site.

It will not provide access to any original documents after they are withdrawn for digital capture.

2.6 Sub-Project Interfaces

The Testaments sub-project will cooperate with the National Archives of Scotland

· with Preservation Services - Reprographics in ensuring advance notice of requirements for copy microfilms to be used as surrogates in the search room;

· with Preservation Services - Conservation and Bindery to ensure close liaison between SCAN and NAS conservators over assessment and procedures;

· with Preservation Services - Location System to ensure storage space for conserved documents;

· with Court and Legal Records to facilitate electronic capture of Sheriff Court indexes;

· with Reader Services in ensuring advance notice of all withdrawals of original documents, provision of surrogate copies and access by staff to the linked digital images and index entries before general public access.

2.7 Date of start of Project

See main PID

3. Assumptions

See main PID

4. Initial Business Case

See main PID

5. Project Organisation Structure

See main PID for Project Organisation Structure

Detailed job descriptions of the posts described below are given in Appendix 7.2.

Testaments sub-project

The main project is split into four parts. As a sub-project, Testaments will have its own sub-project board initially comprising Dr Ishbel Barnes, Dr John Shaw and Mrs Hazel Anderson, team leader. Like the other three sub-projects, Testaments is split intellectually and practically into two parts - a. the production of the products needed to create the infrastructure of the Scottish Archive Network and b. the subsequent exploitation and expansion of these products.

Testaments Sub-Project Team

Team Leader Grade B3 Mrs Hazel Anderson

Curator Grade B1/2 To be Appointed

Conservator Grade B2 Mr Peter Dickson

Conservators (2) Grade B1/2 To be appointed

Digitising supervisor GSU appointee

Digitising quality controllers (2) GSU volunteers

Digitisers (8) GSU volunteers

6. Project Quality Plan

The quality review method is detailed in Appendix 7.3.

Quality assurance of index/digital image linking will be delivered by the team leader, who will personally check 10% of all links.

Quality assurance of digital images will be delivered by the two quality controllers, who will monitor 10% of all images captured, reporting to the digitising supervisor.

A User Group will be established to insure that the Special Archive Services project is aware of general user needs and views.

7. Initial Project Plan

See Appendix 7.1

8. Project Controls

Sub-Project team meetings will be held weekly. The sub-project team will produce highlight reports every two weeks.

Project Board members will hold regular progress meetings with team leaders.

Project Board meetings will be held at least every month.

It will be the responsibility of Project Support to collect the information from the Testaments team leader to update the detailed team plan and to feed this into the top level plan of the Project Board. Microsoft Project will be used for this purpose.

9. Project Constraints

See main PID

10. Exception Process

If the monthly plan for the Testaments is not fulfilled the Sub-Project Board will report this to the Project Board along with proposals for returning the project to the agreed plans.

11. Risk Log

The initial risk log is included in appendix 7.4

This sub-project risk log will be submitted regularly to the Project Board.

12. Communication Strategy And Plan

See main PID

Appendix 7.1 Detailed Project Plan

Appendix 7.2 Job Descriptions

Project 3 Testaments

Team Leader. Mrs Hazel Anderson (Grade B3)

Main responsibilities

the automation of the commissary catalogues, the digital imaging of the testaments, the linking of these two elements and their final inclusion in the SCAN electronic search room

Specific responsibilities

· to produce a detailed implementation plan for the project in collaboration with staff of the NAS Historical Search Room and Preservation Services Branch

· to establish a quality circle in association with the NAS search room, the GSU supervisor and conservation with agreed production targets

· to establish and implement digital imaging standards and quality controls and liaise with SCAN IT staff on digitising strategies

· to establish and monitor a programme of electronic capture of the commissary catalogues

· to establish and implement with the Curatorial B1 a system to ensure that each digital image is linked to an index entry

· to establish and implement in association with the digitising supervisor standards of document handling and equipment operation

· to organise induction training for the GSU volunteer digitisers

· to line manage SCAN Testaments staff

· to establish and monitor realistic targets and report on progress to the project manager

· to act as central point of liaison between SCAN Testaments staff and Historical Search Room staff

Curator. Grade B1/2 (to be appointed)

Main responsibilities

to assist the team leader in organising the automation of the commissary catalogues and linking the images with the index entries

Specific responsibilities

· to implement system of linking of index entries to digital images

· to assist team leader in ensuring that electronic capture of the indexes proceeds according to planned targets

· to ensure accuracy of index entries and legibility of digital images

· to supply missing entries where indexes are incomplete

· to assist team leader in liaison with staff of the Historical Search Room

Conservator. Mr Peter Dickson (Grade B2)

Main responsibilities

to advise the team leader on all aspects of conservation, as well as providing conservation support for Special Archive Services

to prepare the testaments for digital capture and subsequently preserve them for permanent storage

Specific responsibilities

· to assess conservation needs of all material to be digitally captured

· to select appropriate conservation techniques, treatments and materials

· to ensure necessary preservation and storage of material after digital capture

· to oversee out-of-house binding of hard copy surrogates

· to maintain accurate records of work undertaken and materials used

· to line manage the two conservators (Grade B1)

· to liaise with NAS conservation staff and ensure agreement on treatments and procedures

· to implement document handling training for SCAN digitising and other staff as required

· to advise SCAN staff on preservation issues as appropriate

· to report on progress to the team leader

Conservators. 2 at Grade B1/2 (to be appointed)

Main responsibilities

to assist the chief conservator in all aspects of preparation and preservation of digitally captured material

Specific responsibilities

· to carry out a full range of conservation techniques as directed by the chief conservator

· to assist in the maintenance of accurate records of work undertaken

· to assist the chief conservator in liaison with NAS conservation staff and in implementation of document handling training for SCAN staff

Digitising supervisor. GSU

Main responsibilities

to maintain the work flow through the digitisation process and manage the team of GSU volunteers

Specific responsibilities

· to maintain the workflow according to agreed performance targets and quality control

· to maintain statistics for performance measures

· to allocate tasks for digitising and quality control among the team of volunteers

· to ensure and monitor agreed standards of document handling and equipment operation in the team

· to log failure and faults in equipment and arrange repair and maintenance

· to report to the team leader and keep her informed of any difficulties arising within the volunteer team

Quality controllers. 2, GSU

Main responsibilities

to check a selected quantity of images for accuracy, clarity, contrast and legibility to agreed standards

Specific responsibilities

· to check numbering and references for accuracy

· to record quality check information

· where quality falls below agreed standards to highlight batch and arrange with the supervisor for re-digitisation

· to undertake straightforward indexing work if required

Digitisers. 8, GSU

Main responsibilities

to capture digital images and accurate associated metadata to standards laid down by the team leader and monitored by the digitising supervisor

Specific responsibilities

· to inspect captured images for quality

· to maintain statistics of individual output

· to report any failure or faults in equipment to digitising supervisor

· to handle material to be digitised in accordance with induction training

Appendix 7.4 Risk Logs

Risk	Probability	Impact and Potential result	How the risk will be minimised
1 General
1.1 Failure to achieve deadlines	low/medium	medium - delay, increased costs	Set reasonable goals, train staff adequately, continually monitor output and assess/readjust project plans if necessary. Ensure adequate equipment specifications and maintenance contracts. Insurance?
2 Equipment
2.1 Digitising equipment failure	low/medium	high - could cause significant delays in implementation of project.	Ensure all equipment conforms to tender brief and product description; suppliers’ contracts to allow for trial period of use, regular servicing and provision of substitute equipment in event of failure (or emergency call-out for repairs). Provide adequate staff training and supervision to ensure correct use of equipment.
2.2 Loss of captured images	low/medium	high - could cause significant disruption to project workflow	Download uncompressed images from each volume/bundle to tape after capture. Upload compressed images to server after capture. Store them in separate locations and monitor them regularly. Delay post-capture conservation and storage to facilitate re-capture if necessary.
3 Staff
3.1 Liaison difficulties within Conservation Services (CS) between NAS and SCAN staff	medium	medium - could cause disagreement over assessment and treatment procedures and delay project workflow.	Define and agree SCAN conservation duties with CS manager, allocate working area and clarify equipment/materials procurement procedures for SCAN. Encourage exchange of ideas and suggestions at regular meetings of senior CS and SCAN Testaments staff. Provide management training for SCAN chief conservator.
3.2 Failure by GSU to provide sufficient volunteers for digital capture	low	high - could cause significant delay to implementation of Testaments project	Ensure that agreement with GSU guarantees 11 volunteers for the duration of the project. Any shortfall to be made up by non-GSU digitisers (at GSU expense ?). Agree minimum attendance levels for volunteers per week/month/year.
3.3 Conservation or digitising staff incapacitated	low/medium	low/medium - could cause significant disruption to workflow	Make contingency plans for adjusting workflow timetable for conservation and digital capture if staffing temporarily reduced; plans to include temporary re-allocation of simpler procedures to other staff, if possible.

Risk	Probability	Impact and Potential result	How the risk will be minimised
3 Staff (continued)
3.4 Index entries automated with high rate of error	low/medium	low/medium - could greatly increase workload for curatorial staff and delay implementation of retrieval system for SCAN electronic searchroom	Ensure clarity of instructions to typing agency and determine maximum difficulty levels of work for which staff are capable. Liaise with GSU to assess ability of digitisers to assist in preparation of MS indexes for automation. Adjust work plans accordingly.
3.5 High rate of digital re-capture	low (decreasing during project)	medium - could cause significant disruption to project workflow	Ensure correct technical definition for digital capture of each volume/bundle. Ensure proper training and supervision of all digitising staff. Set realistic work rates and provide intensive quality control at start of project.
3.6 Mismatching of index entries and digital images	low	high - could cause delay in implementation of retrieval system for SCAN electronic search room	Ensure curatorial staff have good palaeography skills. Plan and implement double-check for matching up procedures; ensure sufficient resources for correction of index entries or creation of new ones. Liaise with Historical Search Room to ensure speedy reporting of errors by staff and readers to Testaments curatorial team
3.7 Liaison difficulties between Testaments project and Historical Search Room staff and readers	medium	high - could cause resistance to Testaments project, particularly to denial of access to original records	Agree timetable for withdrawal of records and provision of surrogates. Post notices in search room to inform readers in good time of withdrawal of original records. Maintain regular contact with search room staff and User’s Group and produce regular information on project progress. Implement staff access to audit trail database, so that progress of individual volumes/bundles can be monitored.
4. Users
4.1 Resistance by readers to Testaments package in Historical Search Room.	low	low - could cause additional work for search room staff and create bad publicity for SCAN	Ensure good background information on web-site, to include ‘help’ facility. Ensure search room staff are familiar with testaments retrieval procedures. No reader access allowed to original testaments.
4.2 Misuse or ‘piracy’ of digital images on intranet/(Internet)	low	low/medium - could cause contractual difficulties and high legal fees	Ensure clear agreement with GSU on their use of the images. Index entries only on Internet. Images to incorporate logo or wording to indicate provenance.
4.3 Overwhelming volume of orders for copies by internet and personal users	medium	medium - could disrupt ordering procedures of copies for other categories of records	Monitor demand for microfilm and photocopies over next 2 1/2 years and allow for initial 5x increase in orders. Ensure purchase of sufficient printers to meet expected demand. Ensure procedures for processing orders are fully worked out with Historical Search Room and Reprographics staff before Testaments available on line.

APPENDIX 8 SPECIAL ARCHIVE SERVICES

Special Archive Services

Sub-Project Initiation Document

Joanna Baird

Team Leader Archive Services

Scottish Archive Network

June 1999

1. Special Archive Services Sub-Project - Background

Access to Scottish archives is hampered because users and potential users find it difficult or impossible to find out what information is available and which archives hold that information. There are further difficulties added, in that much of the information is available only in central Edinburgh and even when these difficulties are overcome old paper catalogues may be very difficult to use because of their complexity or size. Though some Scottish Archives already have their own web-sites, many do not and this means that, generally speaking, there is no central point of reference in Scotland for information about the holdings of Scottish Archives. This often means that archive users may spend a considerable amount of time being passed from archive to archive and archive staff waste valuable time answering similar questions over and over again.

The Special Archive Services Project will alleviate these difficulties by providing a Scottish Archive Network web-site which will act as the central point of reference for information about Scottish Archives. The content of this web-site will eventually prove vital to both users and archive staff alike. Scottish Archive Network users will be able to find out the answers to questions such as ‘How do I trace my family history’ and ‘What are the opening hours of this archive?’ as well as being able to purchase publications and view exhibitions centrally. A knowledge data base of Scottish history will be created which will be searchable electronically over the Internet. This project will also provide the forum for accessing the 2 major products of the Scottish Archive Network - namely the Top Level Finding Aids and the Scottish testaments to 1875. Initially 45 Scottish archives will participate in the Network. The National Archives of Scotland is the major participant in this project.

2. Sub-Project Definition

2.1 Sub-Project Objectives

· To provide a forum for users to have access to the other principal products of the Scottish Archive Network - namely an electronic searchable facility for the 45 participating Scottish archives, the top level finding aids of the participating archives in electronic form and the various indexes to Scottish testaments, 1500-1875 in electronic form linked electronically to digital images of the documents.

· to construct a knowledge data base of 1000 key themes of Scottish history from sources in participating archives and make it searchable electronically over the Internet.

· to develop a range of other services to enhance the electronic search room, including exhibitions, a bookshop, “coffee machine” (themed discussion groups), yellow pages and Noticeboard for Scottish archives, all searchable electronically over the Internet.

· to advise the National Archives of Scotland on their web-site content

2.2 Defined Method of Approach

The implementation of the Special Archive Services sub-project will be carried out by the sub-project team.

The SAS sub-project will use Prince 2 project management methodology and Microsoft Project.

The detailed sub-project plan for Special Archive Services is available at Appendix 8.1. This will be monitored by the Project Board (see below Project Organisation Structure).

2.3 SAS Sub-Project Deliverables and Desired Outcome

· a family history service made available over the Internet without financial charge by the Scottish Archive Network.

· 20 archival exhibitions made available over the Internet without financial charge by the Scottish Archive Network.

· a medium for accessing the TLFA of the participant archives

· a medium for accessing the 475,000 index entries to Scottish testaments, 1500-1875, linked to digital images of the documents.

· the Scottish Archive Network site on the Internet will aim to be available 24 hours a day, 365 days a year.

2.4 Sub-Project Scope

The scope of the sub-project is limited to the deliverables and outcomes listed above. The definition of participant archive is an institution with a full or near full-time archivist.

2.5 Sub-Project Exclusions

The Special Archive Services sub-project will not provide web-sites to those participating archives who do not already have them (with the exception of the National Archives of Scotland).

Its work will be made available to other UK networks but in the initial three years there is no obligation to further harmonisation.

2.6 Sub-Project Interfaces

The Special Archive Services sub-project will cooperate with the National Archives of Scotland

· with Publications and Education Branch in providing facilities for electronic exhibitions and publications

· with Reader Services in ensuring agreement on the content of the NAS web-site

The Special Archive Services sub-project will liaise with the participating archives regarding the content of the Scottish Archive Network web-site.

2.7 Date of start of Sub-Project

See main PID

3. Assumptions

See main PID

4. Initial Business Case

See main PID

5. Project Organisation Structure

SAS sub-project:

Special Archive Services

The main project is split into four parts (refer to main PID for further details). As a sub-project, Special Archive Services will report directly to the project manager. Like the other three sub-projects, SAS is split intellectually and practically into two parts - a. the production of the products needed to create the infrastructure of the Scottish Archive Network and b. the subsequent exploitation and expansion of these products.

Special Archive Services Sub-Project

Sub- Project Team

Team Leader Grade B3 Ms Joanna Baird

Curator Grade B1/2 To be Appointed

Imaging Technicians (2) Grade B1 To be appointed

This part of the project will not be regarded as a formal sub-project. Ms Baird will report directly to the Project Manager. Detailed job descriptions of all the posts described above are given in Appendix 8.2.

6. Sub-Project Quality Plan

The quality review method is detailed in Appendix 8.3.

Quality assurance of knowledge base entries will be assured by the team leader and the submitting institution. The NAS web-site will be quality-assured by NAS staff. The SCAN web-site content will be assured by the Project Board and the participating archives where relevant.

A User Group will be established to insure that the Special Archive Services project is aware of general user needs and views.

7. Initial Sub-Project Plan

See Appendix 8.1

8. Sub-Project Controls

Sub-Project team meetings will be held weekly. The sub-project team will produce highlight reports ever two weeks.

Project Board members will hold weekly progress meetings with team leaders.

Project Board meetings will be held at least every month.

It will be the responsibility of Project Support to collect the information from the Special Archive Services team leader to update the detailed team plan and to feed this into the top level plan of the Project Board. Microsoft Project will be used for this purpose.

9. Project Constraints

See main PID

10. Exception Process

If the monthly sub-project plan for Special Archive Services is not fulfilled the Project Board will report this to the Project Board along with proposals for returning the project to the agreed plans.

11. Risk Log

The initial risk log is included in appendix 8.4

This sub-project risk log will be submitted regularly to the Project Board.

12. Communication Strategy And Plan

There will be regular contact with NAS staff and the participating archives. See main PID for further details about overall communication strategy and plan.

Appendix 8.1 Detailed Project Plan

Appendix 8.4 Risk Logs

Risk	Probability	Impact and Potential result	How the risk will be minimised
1 General
1.1 Failure to achieve deadlines	low/medium	medium - delay, increased costs	Set reasonable goals, train staff adequately, continually monitor output and assess/readjust project plans if necessary.
2 Equipment and Staff
2.1 IT equipment failure	low/medium	high - could cause significant delays in initial stages of project and loss of information.	Ensure continual liaison with IT staff, proper maintenance of equipment and provision of back-up for data. Provide adequate staff training in use of IT equipment. Ensure that alternatives will be available in event of equipment failure.
2.2 Problems in recruitment/staff retention	low/medium	high - could cause significant delays to project, divergent standards and lack of continuity	Give project staffing a high priority within SCAN. Once posts are filled, ensure that postholders have a high level of job satisfaction, motivation, interest and variety and that staff have input to project. Comprehensive induction and training will assist with retention.
3 Organisation and content of web-site
3.1 Delay in launch of NAS web-site	medium	medium - high could cause poor PR for NAS and resultant poor relations between SCAN and NAS	Make realistic goals. Give NAS web-site a high priority in the time schedule and ensure that the preparation stages are carefully managed and that enough staff time is devoted to the web-site so that the results are of a high quality. Also ensure that NAS staff are given a say in the web-site content throughout as a means of quality control.
3.2 Delay in launch of SCAN web-site	low	medium could cause poor PR for SCAN and resultant poor relations between SCAN and participating archives	Plan realistically and using experience gained during formation of prototypes and NAS web-site. If necessary re-adjust time scales to ensure that completed product is of an acceptably high standard. Ensure that participating archives and users group are involved in the ongoing work of creating the final product.
3.3 Lack of time between starting project and projected launch of web-site	high	medium - may create negative publicity and mean that standards have to be lowered and priorities re-evaluated to fit in with new timescale	Decide in advance on essential elements[2] which will need to be in place for launch of web-site and concentrate on these aspects in available time period. Consider implications of re-adjusting time-scales and/or changing date of official launch.

Risk	Probability	Impact and Potential result	How the risk will be minimised
3 Organisation and content of web-site (continued)
3.4 Massive volume of response to launch of web-site	medium	medium - may result in necessary diversion/redistribution of staff priorities - and lead to delays in other areas	Prior to launch of web-site carefully consider how enquiries should be handled, create enquiries form and ensure that vague and genealogical enquiries can be filtered out at web-site level. Try to anticipate needs of users and user profiles as far as possible. Liaise with NAS search rooms to ensure that they are in agreement with this approach.
3.5 Poor response to web-site	low	low - may need to result in re-evaluation of contents and layout	Study approach and success rate of other archival web-sites. Create marketing strategy for web-site to ensure effective links - leading to widespread dissemination and distribution of information. Monitor public responses to trial version of SCAN web-site contents prior to launch of web-site. Be prepared to respond to criticism and react pro-actively to all feedback. Monitor web-site usage, comments, coffee room and current news to ensure that web-site is responsive and topical at all times.
3.6 Massive volume of requests for copies of specific documents	medium - high	medium - may overload staff resources and disrupt staff priorities causing delays	Liaise with search rooms and reprographic department to assess impact of sudden influx of reprographic requests. Negotiate plan for dealing with photocopying requests. Find some way of documents or channelling requests for specific documents in an organised manner. ‘Build in’ warning about delays in processing orders at the request stage so that users do not have unrealistic expectations. Consider implications of providing a ‘digitise on demand’ service
3.7 E-commerce system fails	medium	medium - may cause delays in other aspects of the project and give a poor image of SCAN	Ensure that any e-commerce system is tested thoroughly to ensure that it is capable of handling projected volume of requests.
3.8 Information not updated regularly/out of date links	low	low - may give poor image of SCAN	Ensure that a curator is responsible for updating information on a regular and systematic basis. Ensure that correct software is in place for updating any URL links.
3.9 Lack of information about usage (stats)	low	low - may result in inability to respond to usage/demand	Ensure that correct software is in place to monitor usage statistics.
3.10 Inconsistent quality of entries in knowledge data base	low	medium - may cause negative feedback and delays in relaying relevant information	Introduce system of quality control whereby nature, style, content and length of individual entries is standardised wherever possible in advance. Ensure that SCAN Users group endorse style and sample content. Circulate sample entries to relevant parties on a regular basis for comment. This should include NAS staff, SCAN user group and participating archives. Monitor any feedback and react accordingly.

Risk		Probability		Impact and Potential result	How the risk will be minimised
	4 Relationships/partnerships (continued)
	4.1 Lack of information from and contact with participating archives		low	medium - may have detrimental effect on content of SCAN web-site and links	Maintain regular mutual relationship from outset ensuring that participating archives are kept well-informed. Carry out systematic program of visits and surveys to ensure that SCAN intentions, timetables and staff are well known to partner archives. Introduce regular programs of regional meetings so that participating archives have the opportunity to meet up with fellow participating archives to exchange information and experiences.
4.2 Poor relationship between SCAN and NAS		low		medium - may have detrimental effect on current and future projects which rely on sources provided by the NAS	Maintain regular contact with the NAS from the outset ensuring that there are continual points of liaison throughout the various stages of the project. Ensure that the NAS are consulted on any issues that directly effect staff and public of the NAS. Stress the benefits of a good partnership between SCAN and NAS.

APPENDIX 9 INFORMATION AND COMMUNICATIONS TECHNOLOGY

Information and Communications Technology Sub-Project PID

Version 1.0

10 June, 1999

1. Background

This document describes the initial Information and Communications Technology (ICT) project of the Scottish Archive Network.

1.1. Introduction

Scotland has a magnificent archival heritage and Scots of every age want access to it wherever they reside. Every year more and more people visit archives and the two fastest growing areas are genealogy and local history. However, access to the information available in archives is hampered for the following reasons

· Searchers do not know what information is available

· Searchers do not know which archives hold what information

· Much of the information is only available in central Edinburgh during working hours

· Even if searchers know where to look, old paper catalogues may be almost impossible to search because of their complexity and size.

The Scottish Archive Network (SCAN) has been created in response to these challenges. SCAN is an independent limited company, has charitable status, and has a mission

To advance, promote, maintain, improve and encourage the education of the public in the appreciation of Scotland’s history and in particular its documentary heritage by means of providing public access to Scotland’s archives

SCAN will accomplish its mission by creating a browsable search room with catalogues linked to digital images of the documents. A knowledge database of Scottish history will be created which will be searchable remotely over the Internet. Initially, 45 Scottish archives will participate in the network, the largest of which is the National Archives of Scotland. The first digitisation project will be the testaments from 1500 to 1875, a major primary source of Scottish history comprising some 3,000,000 document pages. Funding for the first three years of SCAN has been agreed with the Heritage Lottery Fund donating £2.9 million, and the National Archives of Scotland and the Genealogical Society of Utah donating £1 million between them.

SCAN start-up activities are being run in four parallel streams or projects.

	Name	Description	Available at Launch ?
Project 1	Top Level Finding Aids	This will consolidate the top-level catalogues of the participating archives into one super catalogue and provide intelligent search facilities for interrogating it. It will also incorporate the NAS catalogue at all levels.	Yes
Project 2	Special Archive Services	This will provide a browsable knowledge base of archival activities, a discussion forum, exhibition content, and directories of related information. A facility to purchase items on-line will also be available.	Yes
Project 3	Digitisation of Wills	Wills from 1500 to 1875 will be digitised and linked to a searchable index. Access to the images will be available as a chargeable service.	No
Project 4	ICT Infrastructure	Provision of all hardware, software, networks, and associated services to support SCAN activities. A significant element is the co-ordination with the NAS infrastructure upgrade which is required to accommodate SCAN.	Yes

It is likely that other projects will be initiated during the life cycle of the first four projects as the scope and reach of SCAN grows.

The National Archives of Scotland [3](NAS) is a key sponsor of the SCAN initiative. All of the staff employed by SCAN are seconded from NAS. Any staff employed on the project from outwith NAS will be recruited to NAS on a fixed term contract and seconded to SCAN for the duration. All of the SCAN facilities will be co-located within the NAS Thomas Thomson building at Sighthill on the outskirts of Edinburgh.

1.2. Related Documents

· The Scottish Archive Network – A Proposal for the Heritage Lottery Fund, November 1997

· SCAN Project Initiation Document, Version 1.0, June 1999

· SCAN ICT Work Breakdown Structure, Version 1.0, March 1999

· SCAN ICT Project Plan, Version 1.0, March 1999, Microsoft Project 95 Object

· NAS Infrastructure Upgrade Specification, March 1999

1.3. Related Internet Links

A web-site has been created for holding information that is relevant to all parties interested in transacting with SCAN. The site is not linked to the SCAN home page and the full URL (web address) must be explicitly used which is

http://www.scan.org.uk/detail

This URL must not be passed on or appear as a link on any web-site without the express permission of SCAN

2. Sub-Project Definitions

2.1. Objectives

2.1.1. Business Objectives

The primary business goal of this project is -

To give SCAN an ICT infrastructure which will accommodate the needs of the business, is scaleable, year 2000 compliant, and able to support data format transitions over many years

Accommodating the needs of the business	Defined in the functional objectives below
Scaleable	The nature of Internet access means that it is not possible to predict demand with any degree of accuracy. The infrastructure must cope with rapid growth without the need for fundamental redesign
Year 2000 compliant	Self-evident
Able to support data format transitions over many years	SCAN is an archive in which digital data will be held indefinitely. Current data storage formats and media must be chosen such that they can be migrated to new forms when appropriate

2.1.2. Functional Objectives

The SCAN Information and Communications Technology Infrastructure must -

meet all of the specified application access and hard-copy requirements

meet all of the digitisation and storage longevity requirements

be resilient and deliver consistently high levels of service availability

operate to the desired levels of performance

provide a secure service for internal users and administrators

provide a secure link to the Internet

integrate with the NAS ICT infrastructure but be logically and administratively separate

be able to accommodate business growth (assume 100% web serving growth in one year) without redesign

be able to accommodate application additions and deletions without redesign

ensure that all participating archive data and user data is stored on servers

allow roaming users to access their applications and data from any browser-enabled desktop

provide a test and change control environment for web-content and applications

Functional requirements appear in Appendix 9.3 of this document.

2.1 .3. Management Objectives

2.1.3.1 Cost

The project shall be cost-effective without compromising the performance and schedule deliverables and it shall meet its budget targets. The ICT infrastructure shall require no increase in support headcount from the two posts planned.

2.1.3.2 Performance

The service availability periods, maximum planned and unplanned downtime (cumulative and single instance), and other performance metrics are stated within the related PID. In summary –

· The service is planned to be available 24 hours a day, 7 days a week

· The total maximum planned downtime per quarter is 24 hours

· The total maximum unplanned downtime per quarter is 24 hours

· The longest service outage, planned or unplanned, shall be 12 hours

2.1.3.3 Schedule

The ICT infrastructure project should be completed as soon as possible and no later than six months after contract sign-off with the main funding body, the Heritage Lottery Fund.

2.2. Defined Methods of Approach

The implementation of the Information and Communications Technology sub-project will be carried out by the sub-project team.

The ICT sub-project will use Prince 2 project management methodology and Microsoft Project.

2.3. Deliverables

The deliverables of the ICT project are

1. Production and development web services for SCAN

2. Office Application services for SCAN

3. TLFA and Archive Services Application Platform

4. Large scale document digitisation and retrieval system

5. Trained ICT support staff and internal users/developers

6. Year 2000 compliance assurance documentation and test results

7. Project Work Breakdown Structure

8. Project Requirements Definition (this document) and Microsoft Project98 plan

9. Project Budget Spreadsheet

10. Procurement plan with ITT schedules

2.4. Project Scope

2.4.1. Definition

The SCAN Information and Communications Technology Infrastructure encompasses all hardware, software, and services to support SCAN with the exception of the existing network cabling in Thomas Thomson House.

2.4.2. In Scope

· Acquisition and support of the ICT infrastructure for all SCAN activities

· Co-ordination with the upgrade of the NAS infrastructure to support SCAN activities

· Provision of network elements (hubs, switches, and similar devices) which, together with the existing cabling, will form the SCAN network

· Acquisition of any ICT-related elements for associated projects 1-3 including all components of the digitising stations

· Acquisition of a permanent link to the Internet

· Staff and user training for ICT-related activities

2.5. Exclusions

· Work to maintain or develop the NAS infrastructure

2.6. Interfaces

2.6.1. Main Interfaces

SCAN is dependent on the continued co-operation of its sponsors; the Heritage Lottery Fund, the National Archives of Scotland, and the Genealogical Society of Utah.

The design of the SCAN infrastructure could generate a significant increase in network traffic between the three main NAS sites. Satisfactory performance of the SCAN network could depend on sufficient bandwidth being available within NAS.

2.6.2. Integration and Project Consulting Services

There is a requirement to integrate all of the technology components and provide project consulting services to manage its implementation according to specification and schedule.

2.7. Date of Start Of Project

See main PID. It is essential for the smooth implementation of all the related projects that this ICT project establish the essential infrastructure required for them to develop within 6 months of the date of the start of the project.

2.7.1. Completion

The provision and support of an ICT infrastructure for SCAN is a continuous process. However, the specific ICT project in support of the three main implementation projects at SCAN will be deemed to have completed when the public web site is launched or the large-scale digitisation process has been commissioned, whichever is the later.

3. Assumptions

1. Co-operation regarding resource availability and agreed commitment to schedules from the primary sponsors, the NAS and the Genealogical Society of Utah.

2. External co-operation and commitment of suppliers to product and service delivery schedules

4. Initial Business Case

See main PID

5. Project Organisation Structure

ICT sub-project:

The main project is split into four parts (refer to main PID for further details). The project is designed to establish the main infrastructure elements required to develop the remaining sub projects and will therefore need to be in place quickly.

ICT Sub-Project

Sub-Project Team

Team Leader	Grade B3	Mr Rob Mildren
IT Development	Grade B2	To be Appointed
IT Support	Grade B1	To be appointed

This part of the project will be regarded as a formal sub-project.

Senior Supplier	Mr Rob Mildren
Senior Supplier	Mr David Brownlee (nb this may be filled by the main supplier for the ICT procurement)
Executive	Dr Ishbel Barnes

6. Project Quality Plan

Within 3 months of public access availability, SCAN will be achieving -

· Ten times more database searches per week than the NAS Status/IQ system

· Ten times the rate of public enquiries via email than the current rate (in April 99) of conventional mail enquiries to NAS

· Three times the rate of public enquiries via email than the rate of conventional mail enquiries to the 45 participating archives

In addition, the SCAN web site shall not timeout due to the rate of incoming requests. There shall be no service downtime attributable to Y2K issues caused by project oversights.

7. Initial Project Plan

A project plan created using Microsoft Project95 is available. Version 1.1 of the plan is associated with Version 1.1 of this document.

8. Project Controls

Sub-Project team meetings will be held weekly. The sub-project team will produce highlight reports ever two weeks.

Project Board members will hold weekly progress meetings with team leaders.

Project Board meetings will be held at the key stages indicated on the project plans.

9. Constraints

9.1. Strategic

1. Where possible, SCAN will operate an IT strategy similar to NAS which follows Scottish Office guidelines

2. SCAN does not wish to use products at the leading edge of technology preferring those with a track record in a production environment. This is particularly relevant to storage media where proven longevity is a primary requirement.

9.2. Operational

1. All elements of the SCAN ICT platform must be compatible with the NAS ICT infrastructure

2. The implementation of the SCAN ICT platform must not disrupt the activities of the NAS

3. The procurement of products and services is based on Scottish Office guidelines

10. Exception Process

If the monthly sub-project plan for ICT is not fulfilled the sub-Project Board will report this to the Project Board along with proposals for returning the project to the agreed plans.

11. Risk Log

Type of Risk	Description of Risk	Probability (High/Low)	Impact (High/Low)			Risk Reduction Strategy [4]	Risk Reduction Tactics	Risk Owner
			Perf	Cost	Time
Resource	Key project team members become unavailable	Low	High	Low	High	Mitigate	Ensure knowledge transfer and availability of alternates	Project Manager

12. Communication Plan

See main PID for further details about overall communication strategy and plan.

Appendix 9.1 Detailed Sub-Project Plan (Gantt Chart)

Appendix 9.2 Job Descriptions

IT Manager - B3

Rob Mildren NAS (50% of working time)

Overall responsibility for all IT matters for SCAN in particular

· SCAN IS Strategy

· ICT Infrastructure - specification, procurement, performance and maintenance

· IT Security Issues - develop policy for security of access to SCAN IT facilities and the integrity and preservation of data

· IT development and support work for SCAN

· IT staffing issues and line manager for SCAN IT staff

· Keeping all the above integrated with requirements of the NAS

IT Development - B2

· Assist in procurement of digital cameras

· Assist in procurement of Internet Server, data storage and Communications

· Develop systems to capture images and metadata

· Security of SCAN IT - implementing and monitoring all appropriate security measures throughout the SCAN project

· Implementation of TLFA and other Internet projects

· Web design and implementation

· Keep abreast of, and advise on the application in SCAN, of new technologies

IT Support - B1

· Maintenance of SCAN IT

· Support for SCAN staff IT

· Assist in development of facilities for data capture of SCAN material

· Develop integrated Wills index and images

· Develop facilities for Special Archive Services

Appendix 9.3 Functional Requirements

Integration and Project Consulting Services

There is a requirement to integrate all of the technology components and provide project consulting services to manage its implementation according to specification and schedule.

Network Components and Services

The network will be based on Category 5 cabling, Fast Ethernet media access and the TCP/IP protocol. There is a requirement to install network hubs/switches specifically for SCAN.

Network Operating System and Office Applications

Microsoft Windows NT4 will be used to provide file and print services for office applications. Microsoft Office97, Exchange 5, and Internet Explorer 4 will form the core of the office applications. Backup and restore services will be provided by software that is capable of centralised management.

Services Requiring Servers and Applications Software

The precise number and type of servers are not known at this stage; it is expected that several servers will host more than one service. In all cases, any application software to provide the service forms part of the requirement. The number of services required is as follows -

Services that must be hosted on NT

1. File and print services for MS Office97 applications. The number of users will initially be 20 with a requirement to accommodate 40.

2. Primary domain controller (PDC) service

3. Backup domain controller (BDC) service

4. MS Exchange services. The number of users will initially be 20 with a requirement to accommodate 40. It must have a link to the NAS MS Mail system and a link to Internet mail.

Services that can be hosted on NT or UNIX

1. Web serving application – scalability is the main requirement. The system should initially be sized for 10,000 web hits per hour peak (say 3 per second), and three simultaneous file downloads

2. TLFA (search) application – performance is the main requirement. One search per second is the target throughput with an average search time of 3 seconds. The initial database size including the top-level catalogues of the 45 participating institutions is expected to be around 2GB

3. Image storage and presentation service – scalability is the main requirement. The overall size of the image store will be >1.3 TB when all 3,000,000 images are stored. However, over the period of the digitisation project, which could last up to 3 years, there is certain to be significant reductions in the cost of on-line storage. The initial requirement is for 200GB of protected on-line storage (the type of protection chosen can assume a predominantly read-only environment). This data storage requirement must be considered as the initial component of a scaleable storage infrastructure for SCAN which will eventually include binary, audio, and video objects. If the requirement is fulfilled by a mixture of on-line, near-line, and off-line storage sub-systems, then Hierarchical Storage Management (HSM) software also forms part of the requirement

4. Image print service – performance is the main requirement. It must be possible to produce paper prints of images as fast as the images can be made. There are at least two obvious solutions; a printer per digitising station, or a centralised high-performance, networked printer

5. Firewall service – scalability is the main requirement. The system should initially be sized to match the load of the web server and must be able to accommodate its’ level of scalability. The Firewall service should be suitable to allow NAS the option of accessing the GSI (Government Secure Intranet) in the future

6. Ecommerce service – flexibility is the main requirement. SCAN must be able to run all elements of it’s merchandising operations either internally or externally or, more likely, a mixture of the two. For example, fulfilment of digitised images is likely to be provided directly from the SCAN system whereas fulfilment of books or leaflets is likely to be performed by a third-party.

7. Development and Test services. It must be possible to develop and test SCAN services in a change controlled environment. The requirement for web-authoring tools should be included in this component

8. Management services. To include web server resource management and management information, SNMP management, event management, and software distribution to the desktop

9. Backup/Recovery service. The requirement is to centrally manage the backup and recovery of all services using one backup application for all server types. The backup medium writing device can be remote or local depending on the amount of data, the LAN bandwidth, and the time available for backup.

If UNIX systems are to be considered, there is an additional requirement for the proposed operating system to interoperate with NT, particularly with regard to file sharing and user directory maintenance.

The availability of the customer-facing services is defined in section 2.3. In the cases where more than one design option is available, preference shall be given to options which provide a degree of redundancy and increased availability.

Office Workstations

For reasons of security, ease-of-administration, and in order to provide roaming profiles, Microsoft Windows NT4 shall be used as the desktop operating system. The specification of the desktops shall be optimised for 2D graphics performance. The minimum screen size shall be 17”.

Digitising Stations

There is a requirement to scan 3,000,000 archive-quality images within 3 years. This project will pay very high regard to the preservation of these original, unique documents. Good handling guidelines for the documents must be observed. All aspects of the digitisation process, especially lighting and book handling, should be based on techniques that have the lowest possible impact on the original documents.

Based on an average scan time of 45 seconds including document handling and a seven-hour day this equates to 5358 days of effort. Assuming a 48-week working year and a 5-day working week, 720 days of time are available. Therefore 7.4 (5358/720) digitising stations are required, effectively eight with some contingency. In summary, the requirement is -

1. Eight scanning cameras mounted on reprographic stands with lights, associated peripherals, interface cards and cables

2. Image capture software

3. Eight workstations (meaning reprographic/microfilming bed, lights, book cradles) to a specification approved by SCAN

4. Implementation services including customisation of image capture software and the requirement for automatic print facsimile output.

The digitising stations will be capable of capturing and storing an image in less than 45 seconds including document movement from an adjacent ‘in-tray’ to an adjacent ‘out-tray’. The process steps are –

1. On a regular (to be advised) basis the equipment should be calibrated

2. Move document from ‘in-tray’ and position on book cradle on scanning table

3. Check camera focus and adjust if necessary

4. Capture image and start image store

5. Check image quality and filename while image is being stored

6. Move document from book cradle to ‘out-tray’.

It is assumed that filename generation for a set of images (a multi-page document) will be automated. It is also assumed that the need to re-focus for several images in a series will be minimal and that in many circumstances, turning a page will take the place of document movement saving a considerable amount of time. It is preferable that the camera settings be software controlled, recordable and capable of being uploaded to, or downloaded from, the camera

Each digitising workstation must be capable of working normally either stand alone or as part of a network.

Each digitising station should have it's own data storage capacity suitable for at least 1.5 full day's imaging. This means that it should be capable of storing 1000 TIFF files which will average 20 Mb each. Each digitising station should also comprise a fast, high capacity backup device capable of offloading these uncompressed images in a batch or unattended fashion to a suitable media with a guaranteed life of at least 25 years.

There is a requirement for a proof-of-concept stage where a single digitising station will be bought, tested and commissioned in advance of the remaining seven.

Internet Service Provider

There is a requirement for a permanent, reliable Internet link in which the bandwidth can be increased at short notice. The link must support Internet mail, ftp and high-bandwidth http.

ICT Training

There is a requirement to provide

1. IT Support Staff Training

2. Office Application User Training

The training requirements of the SCAN IT support staff will be dependant on their experience and the nature of the systems bought by SCAN. The nature of user training will be covered by –

1. Support Staff Training: OS Training, management and backup application training

2.    Customised introductory internal user course to include -
       WindowsNT navigation
       Using Office97 applications
       Using the Outlook email application

Uninterruptible Power Supply

There is a requirement for a UPS which will provide a minimum of 10 minutes protection (for services outlined in above) against power outages and graceful closedown of systems where this period is exceeded.

[1] The terms “user”, “supplier” etc. are those used in the PRINCE terminology

[2] Ideally, essential elements should include a good, broad mixture of the visual and the factual with an emphasis on basic helpful facts, user-friendliness and ‘What’s New’ so that users are aware of work in progress

[3] Formerly the Scottish Record Office, the name was changed in January 1999

[4] There are five risk reduction strategies – avoid, mitigate, plan contingency, transfer liability/ownership (only applicable to cost), and control (accept and manage residual)

Quality Criteria	Quality Review Method
Are all the document references and page numbers accurate?	Introduce checking system devised by curatorial and conservation staff.
Are the volumes and individual documents in a fit state to be digitally captured?	All volumes and documents to be assessed and treated by conservation staff to ensure ease of handling and legibility of extant text.
Are the digital images of a uniform standard of legibility?	Digital imaging standards to be agreed with the digitising supervisor and maintained by all GSU staff, with particular responsibility for monitoring by quality control staff and the supervisor.
Are the hard copy surrogates legible for readers, with bindings of suitable quality to withstand reasonable handling?	Hard copies to be quality controlled by same procedures as digital images. Bindings to be carried out to the specification of the chief conservator and monitored by him.
Are the index entries automated to a very high degree of accuracy?	Clear instructions and guidelines, as agreed by contract, to accompany all out-of-house typing.
Are index entries and digital images matched to a very high level of accuracy?	Counter-checking system to be included in curatorial editing procedure.
Are readers satisfied with access to the testaments in the electronic search room?	Monitor results of preliminary staff access to images in search room and consult User Group. Ensure maximum delay of 1 minute between selection of image and its appearance on the screen.
Are there fewer elementary enquiries from users about Scottish wills?	Monitor search room enquiries and consult User Group with a view to improving background information on testaments on the SCAN web-site.