Document digitalization IAEA Specification

system
Project: ARM9027 Dated: 07-06-2017

SPECIFICATION

Document Digitalization System

1. Scope
This specification describes the requirements for the document digitalization set of
equipment and software (hereinafter referred as “the System”) to be used by the
Armenian Nuclear Power Plant - (hereinafter referred as “the End-User”). The
requirements are part of the IAEA TC project ARM 9027 for configuration
management system improvement.
At the End-User the plant existing intranet consists of three subnets controlled by
ОS WinServer2003 which are domain controllers and DNS servers. They are
interconnected with routers. Also, there are servers controlled by FreeBSD, which
act as proxy server, mail server and web server. There are servers which are
operating on the platform without data base Oracle, MS-SQL, Access.
The End-User has no existing database licenses available, that is if there are any
database licenses required to satisfy the offered functionality, then it shall be
included in the offer as a perpetual license.

2. Applicable Documents
The following documents shall be applicable for this Specification to the extent
specified hereinafter:
 Application of Configuration Management in Nuclear Power Plants, IAEA SRS
65, 2010;
 Information Technology for Nuclear Power Plant Configuration Management,
IAEA TECDOC 1651, 2010;
 Configuration Management in Nuclear Power Plants, IAEA TECDOC 1335,
2003;
 Information Technology Impact on Nuclear Power Plant Documentation, IAEA
TECDOC 1284, 2002;
 Modifications to Nuclear Power Plants, IAEA NS-G-2.3;
 ISO 2709 Information and documentation – Format for information exchange;
and
 ISO 32000 Document management – Portable document format.
In the event of conflict between the documents listed above and the content of this
Specification, the content of this Specification shall take precedence to the extent of
the conflict.

3. Definitions, Acronyms, and Abbreviations

The following definitions, acronyms, and abbreviations shall apply throughout this
Specification unless defined otherwise hereinafter:
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AD: Microsoft’s active directory.

ADF: Automatic document feeder (for scanners).
B/W: Black-and-white (one bit per pixel image).
BSB: Berkeley Software Distribution
CCD: Charge-coupled device.
DDR: Double Data Rate
DIMM: Dual in-line memory module
dpi: Dot per inch.
DVDRW: Digital Versatile Disk Rewritable
FB: Flatbed (for scanners).
FC: Fibre channel (IT data transmission interface).
GBE: Gigabit Ethernet (network interface).
GUI: Graphical User Interface.
HW: Hardware.
ICR: Intelligent character recognition.
ISCSI: Internet Small Computer Systems Interface
LCD: Liquid-crystal display.
LED: Light-emitting diode
LF: Large Format (network-attach eng. drawing scanner).
LFF: Large-Form Factor
OCR: Optical character recognition.
OS: Operational system.
QC: Quality control.
RAM: Random-access memory
RAID: Redundant array of independent disks.
RGB: Red, Green, Blue.
RPM: Revolutions per minute
SAS: Serial Attached SCSI
SCSI: Small Computer System Interface
SQL: Structured Query Language
SSD: Solid State Drive
TIF: Tagged Image File Format
TB: Tera-byte
USB: Universal Serial Bus

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4. Requirements
4.1 Functional and Performance Requirements
The System shall meet the following functional and performance requirements:
4.1.1 The System shall be able to scan single and double sized documents in
formats from A5 to A3 and design drawing of extra sizes in high resolution;
4.1.2 The System shall be able to scan a minimum of three hundred tousand
(300,000) images annually. Considering the number of digitalized documents
the scanning shall be fast and reliable;
4.1.3 The LF scanner of the System shall be connected to the System server - with
the data file management system;
4.1.4 The System shall support automatic and manual QC measures for digitalized
documents. In case of poor quality or worn out documents the System shall be
able to restore content information and drawings, suppress noise and
background;
4.1.5 The System shall allow to save meta data together with the scanned
document images;
4.1.6 The System shall provide central storage for the document objects, accessible
and manageable from client desktops and laptops;
4.1.7 The System shall contain four (4) desktop workstations and two (2) laptops;
4.2 Technical Requirements
The System shall meet the following technical requirements:
4.2.1 The document processing software of the System shall include the following
functions:
4.2.1.1 Status management:
The Document Processing Software shall manage the process with
clear statuses. Users shall be able to identify the statuses of each
Document Code. A Document Code stores one or more document
objects or files. A navigation GUI where the users can get an overview
on the overall progress including process statuses shall be
incorporated;
4.2.1.2 Registration:
This function is requested to register documents in the Document
Processing Software before they are to be digitalized. Registration
shall allow defining document type, sub-type and document code.
Type and sub-type can be selected from a list, where items are pre-
configured. Registration shall check that there is no conflict with
existing documents stored in the System and there is no such
document code in active digitalization process. After successful
registration the document code is known to the System and its content
and status can be retrieved. At least one type and three sub-types for
Engineering Drawings shall be preconfigured;

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4.2.1.3 Digitalization:
Registered documents shall be passed to Imaging Sub-system. Ready
for digitalization is when the Document Processing Software creates
an empty container in the Imaging Sub-system;
4.2.1.4 Imaging Export Connector:
After the documents (images and meta-data) are created in the
Imaging Sub-system, they shall be exported to the Document
Processing System. The Document Processing Systems Imaging
Export connector shall allow checking meta-data format and
consistency. The Document Processing System shall accept only
known (registered) and valid document sets. Problematic images,
especially with various data format issues, unknown document class,
and invalid data range shall be rejected back to the Imaging Sub-
system;
4.2.1.5 Check:
Document processing system shall provide a user-friendly GUI for
checking the entire content of the Exported Document Code. The
function of the Check GUI shall allow to:
- Modify selected fields (change the meta data);
- Configure Fields as Edited, Dimmed (content protected) or Hidden;
- View and zoom Document images;
- In case of an image based problem, provide a function for
correction such as:
- Add missing content, document objects or;
- Replace existing ones (in case of a problem document);
- Problem Document Codes are not eligible for further process
before fixing;
4.2.1.6 Alphanumeric (Position) information extraction:
This is a special kind of meta-data. Some documents (especially
technical drawings) contain many detail information and shall be
indexed and precisely located on an engineering drawing. The item
name/code, classification, and a position (pixel coordinates) shall be
stored via extraction. Documents containing alphanumeric information
shall be retrieved via this information with the position shown on the
document;
The function of extraction shall provide also functions to help the users
easily manage (edit, shift, rotate) all these data sets;
The requested System shall be able to extract and maintain
alphanumeric data on engineering drawings;
4.2.1.7 Approve:
This is a similar functionality as the Check function to be used for
critical documents used by document owners but in addition the
Approve is run by different users, to approve the content to be

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released to the Document Processing System’s Store – a repository of

approved documents. Only checked documents can be approved;
4.2.1.8 Release:
The Release function shall store the content of the Document Code
into the Document Processing System’s Store for archiving. Released
document can be accessed by Document Processing System by all
users (including viewer). Only approved documents can be released;
4.2.1.9 Search & Retrieval:
Released documents shall be available for users looking for archived
content. The Document Processing System shall support extended
search capabilities for the entire content. All indexed fields and their
combinations shall be available for a search. Found items can be
viewed, retrieved;
For TIF format, a built-in viewer is required to support displaying
‘Alphanumeric content’, while for PDF format an external viewer (such
as Adobe) is required;
Users with editing rights shall be able to edit meta-data and change
the content, replacing existing, or adding new document objects;
The function shall be able to retrieve predecessors (earlier versions), if
any exist;
4.2.2 The Imaging sub-system feature of the System shall include the following
functions:
4.2.2.1 Scanning and processing
Scanning shall include the following functions:
- Scanning images with locally attached scanner devices (scanner
HW requirements are described below, paragraph 4.2.4.1);
- Collecting scanner setting into profiles for device easy set-up;
- Editing and changing scanner profiles - settings can be done by
restricted key user only, with appropriate rights;
- Importing images manually from any folder in a similar way as
scanning provides;
- Editing the content of the scanned and imported images with:
o Inserting;
o Deleting;
o Adding;
o Replacing;
o Rotating by 90° degrees;
- Creating a structure of images based on predefined document
classes:

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o Document classes for engineering drawings (support the

drawing and related documentation, including the physical
binder) shall be pre-set;
o Selecting images, and assigning them to a selected class;
o Changing the class;
o Allow adding, removal and move images within classes;
o Supporting automatic classification based on predefined
barcoded documents, control/separation sheets, in case the
scanned documents are structurally prepared;
4.2.2.2 Automatic Import:
Scanner devices without a local control support (including LF network
scanners) shall be supported via automatic importer. The importer
shall be equipped with image quality adjustment software, having
equal functionality like locally attached scanner devices;
4.2.2.3 Image Quality Adjustment:
The goal of the Image Quality Adjustment is to achieve productive
scanning and avoid re-scans of old, poor quality documents (used
worn-out documents, more than thirty years old documents). For both
local and LF network scanners the scanned images shall be processed
with automatic Image Quality Adjustment Software;
The following functions shall be included:
- drive the scanner in Grayscale mode and scale the images to B/W;
- keep all the visible content information if possible while scaling;
- automatic contrast, brightness adjustment;
- intelligent noise and background suppression;
- automatic crop, de-skew, edge clean-up functionality;
- punch hole removal;
- automatic deletion of blank images with punch hole removal based
on the information and content;
- manual intervention to scale and clean-up the image based on
predefined sensitivity settings for local scanner and also for the LF
network scanners connected via the Automatic Import;
- ability to automatically detect colour or colour areas and apply
output formats;
- utilize the scanner built-in features, especially the ultrasonic
double-feed detection;
- manual intervention, interactive scaling with the functions listed
above for critical documents;
4.2.2.4 QC:
In case of image quality problems or any other process problems the
documents with clear marking shall be directed to the QC module. QC
shall allow that images can be edited similar ways, like described at
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the scanning function. Image Quality Adjustment functions shall be

fully available for both local and networked LF scanners;
4.2.2.5 Recognition:
Documents from Scanning or Importing shall be passed to
Recognition. Recognition shall run as a service in background, to
prepare the index fields and possibly automate the entire digitization
process. It shall at least provide automated identification, indexing and
matching capabilities as described below:
- Ability to precisely identify document form, based on layout
o Set of normal forms shall be used for definition
- Ability to suppress background information for recognized forms
- Ability to precisely identify document class based on content
o Based on real samples, pre-defined keywords, rules
- Ability, to accept document class, if already defined in the
Scanning phase.
- Ability to learn document forms, classes based on Validation
results
- High level of tolerance for skew, distortion, noise
- Customizable via GUI to add fields, filed properties without
programming
- Built-in methods and functions to ease customization of basic
functions
- Ability to recognize index fields on Forms based on location and
anchors
o Anchors can be any text, graphical or structural elements on
the form
- Ability to recognize at least English and Russian text by OCR and
ICR
- Ability to find index field anywhere on an image, independent of
location
o Format of searched text can be defined
 Multiple valid formats shall be allowed
o Allow definition of anchors to position searched field
- Ability to integrate with external Database (DB) via Configuration
o Selected fields appear on the image to be matched to DB
- Ability of Customization
o Integrated programming language
 Allow access of special object located on the image
 Allow access to all Field content specified
 Allow using external routines
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 Allow to describe complex relation within Fields

 Allow connection, integration to external systems
4.2.2.6 Data Entry:
Some documents require manual intervention. After the Recognition,
uncertain or missing fields shall be manually corrected or entered,
discrepancy and problems, related to technical content, shall be
solved;
The Data Entry shall include the following functionality:
- Uncertain, missing fields shall be clearly marked;
- Support for normal and large-format (up to A0) documents;
- Clear navigation on the GUI:
o Fields be put into groups;
o Support for TAB-s, to better organize Field architecture;
o Dual-screen (two monitors) support (especially for large
drawings);
o Navigation can be programmatically controlled;
- Support for productive data entry:
o “point-and-click” data entry (aka “Rubber band OCR”);
o Type-ahead functionality;
o Clear marking of the image location for the active field
edited;
o Positon of the edited fields shall be available for later
learning;
o Field content and relation can be programmatically
controlled;
- GUI design can be configured, altered, without programming;
- Clear error messages about the cause of the problem to support
the operator;
- Possibility to re-direct the process into QC in case of image
problem found;
- Ability, to divide the fields for specific technical knowledge:
o Multiple steps with assigned user (group) access;
4.2.2.7 Conversion:
The system shall include different formats:
- TIFF and PDF images are required:
o Formats described later at the “imaging formats” section;
- Full-Text OCR format on selected document classes:
o Full-text shall be included in PDF and available separately;

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4.2.2.8 Consystency check and Error handling:

Functions are required to check for any error, problem occurred in the
process. Based on the detected problem, the order of the process shall
be capable to be changed, error batches shall be directed to QC.
Batches ready for Export shall be free of Error and related meta-data is
complete and formally correct;
4.2.2.9 Export:
Completed containers including the image object and related meta-
data expected to be exported to the Document Processing System;
4.2.3 The software architecture of the System shall include the following functions:
4.2.3.1 Database:
The solution shall be a client-server based one. The database layer
shall be separated from the server application;
4.2.3.2 User management:
The entire solution shall be able to utilize Microsoft Active Directory.
Users and user groups shall also be supported;
In case the AD services in not available the entire solution shall allow
defining users and their roles, access credentials and rights without the
AD by the internal functions;
The access level of a user shall be limited to a function/module or to a
process defined in the Imaging Sub-system. (Example: User “A” can
use the Register, Scan Index, Check and then View the engineering
drawings, but has no right to Approve or Release these documents
into the Store. User “B” has no access to the engineering drawings, but
HR documents only);
4.2.3.3 Imaging formats:
TIF and PDF formats shall be supported. For colour images JPEG200
format shall be supported;
For PDF the following versions shall be supported: PDF versions at
least 1.7) and PDF/A versions 1a, 1b, up to 3a, 3u. Creation of PDF
Image+Text capability is required (OCR content in the PDF file);
4.2.3.4 Logging requirements:
All user activities shall be logged. For Exported objects changes on
any meta-data shall also be logged (included, but not limited to
activities in the Check, Approve functions);
4.2.4 The hardware of the System shall meet the following requirements:
4.2.4.1 Include a Document Scanner:
Document scanner shall be capable to scan documents form A5 up to
A3 format. The scanner shall provide reliable long-term operation being
able to scan old, worn-out documents when gentle feeding is
neccessary and shall create images contain details as much as current
technology allows;

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The Scanner shall meet the following requirements:

- ADF and FB operation in one, integrated unit;
- Scanning speed (@300dpi, color or grayscale, A4 portrait):
o ADF min.: 55ppm max.: 75ppm;
o FB min.: 1.2 sec max.: not specified;
- Optical resolution at least 600dpi.;
- Two CCD cameras for the ADF with 10 bit RGB information;
- Integrated FB with dedicated CCD camera, 10 bit RGB
information;
- ADF capacity for up to 200 sheets (office document);
- Long document scanning support from ADF up to 120 inches;
- Ultrasonic Multi feed detection;
- Automatically switchable ADF white or black background;
- Black background option for FB (shall be delivered with scanner);
- USB interface;
- Ergonomic design with adjustable ADF;
4.2.4.2 Include a Large-Format scanner:
For documents which cannot be fit into the Document Scanner, a
dedicated large-format scanner is required with the below specification:
- Touch sensitive LCD display for set-up and operation;
- Pre-programmable for profiles collect scanner settings;
- Document width: 50 inches;
- Scan width: 48 inches;
- Pick-up and transport speed is adjustable to Document quality;
- Camera: four (4) pieces of Tri-color CCD cameras with at least
9.3µm pixel dimension;
- Scanner optical resolution at least 1200dpi * 600dpi with 48 bit
internal resolution;
- LED based illumination with optical diffusors to provide even and
stable colours;
- Accuracy: ±0.08% or better;
- Transport: roller based with high tolerance on document thickness;
- Maintenance free:
o Built-in stitching target required, no calibration expected;
o Encapsulated, dust-proof cameras;
- Interface:
o GBE, Network attach;

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o Authentication support for Active Directory;

o Support for Scan to Folder;
- Image formats:
o JPEG 24-bit color, 8-bit grayscale, JPEG & TIF1 bit BW;
- Scanner stand, external display and footswitch shall be included;
4.2.5 The server of the System shall fulfill the following requirements:
The server shall be sized to satisfy the End-User needs, but it shall
meet at least the following parameters:
- Processor: 2.20 GHz, 10-core;
- Operating memory: 64GB ECC Registered RAM;
- Net interface speed: 1 Gbit/s.;
- Interface for the Storage;
- Power supply unit: 800W Hot Plug;
- Hot-plug fans;
- Virtualization under VMmware;
4.2.6 The storage of the System shall fulfill the following requirements:
To store the documents and system, a dedicated, fully redundant,
storage device shall be supplied. The storage shall meet the following
minimum parameters:
- Net capacity of minimum 4.5 TB with shipped drives:
o expandable up to 10TB net with similar drives;
o consider RAID 6 level when sizing;
- RAID levels of 5, 6, 10 to be supported;
- High speed (FC or ISCSI) interface to Server;
- Minimum of eight (8) pieces of identical drives;
- Drive speed at least 7200 rpm, or higher;
- LFF SAS or newer type drives to be included;
- Power supply unit: 800W Hot Plug: two (2) pieces. Redundant;
- Hot-plug fans Dual, redundant RAID controller with battery backup;
4.2.7 Include four (4) desktop workstations and two (2) laptops. The client
workstations of the System shall meet the following requirements:

4.2.7.2. The desktop workstations of the System shall meet at least the
following parameters:
- Processor: 4 GHz, 8 MB cache, 4 cores;
- Graphic adapter with dual monitor support, 2GB RAM;
- Memory: 8GB DDR4-2133 DIMM (2x4GB);
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- Internal drive: 500 GB SSD;

- Optical drive: SuperMulti DVDRW;
- USB keyboard and mouse with Russian layout;
- 64 bit OS;
- Dual Monitor 2x24” size, min 1920*1200 each, high-quality
Flatscreen (LED);
4.2.7.3. The laptops shall meet at least the following parameters:
- Processor: 4 GHz, 8 MB cache, 4 cores);
- Memory: 4GB DDR4-2133 DIMM (1x4GB);
- Internal drive: 500 GB; and
- USB mouse.

5. Marking
The System shall have all safety markings in English language.

6. Packing
The System, for the shipment by air to the End-User, shall be packed in accordance
with international standards that are applicable for the shipment by air of this kind of
equipment.

7. Quality Requirements
The System shall be manufactured, shipped and installed in accordance with the
Contractor’s ISO quality assurance system or an equivalent quality assurance
system.
The Contractor shall document the compliance with this quality assurance system.

8. Testing and Acceptance

The System, prior to shipment, shall be tested for conformance of the System with
manufacturer’s performance specifications and the minimum requirements specified
herein.
The System shall be adapted to the End-User’s existing infrastructure and HW
availability.
The System, after installation, shall be tested by the Contractor together with the
End-User to demonstrate that the performance meets the manufacturer’s
performance specifications and the minimum requirements specified herein as
determined by the IAEA and the End-User.
The results of the testing of the System shall be documented by the Contractor in an
Acceptance Document that shall be signed and dated by the End-User, and be
submitted for final acceptance to the IAEA.

9. Installation and Training

The Contractor shall install the System at the End-User location.

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The Contractor shall provide two (2) weeks training, in the English language, for up
to ten (10) staff of the End-User in the operation and maintenance of the System at
the End-User location immediately after the installation and set-up of the System.

10. Deliverable Data Items

The Contractor shall provide two (2) complete sets of Operation and Servicing
Manuals and Technical Drawings in the English language. The user’s Manual shall
be supplied also in the Russian language.
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