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1. Purpose

This purpose of this guidance is to outline common considerations for digitisation programs. For detailed information, download the Digitisation Primer.

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2. Introduction

Digitisation involves the conversion of analogue records such as paper, microform, photographic and/or audio-visual material, into digital format for the purpose of preservation or processing. 

Digitisation programs are typically initiated to:

  • integrate hardcopy records into business systems and processes so that future actions can occur digitally, improving business and/or service delivery 
  • preserve and/or enhance accessibility of retrospective records sets  
  • capture mail or paper generated through non-digital business processes (forms, receipts, etc.) into records or business systems.
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3. Why digitise?

Digitisation programs can provide substantial benefits for public offices, including:

  • Increased access, information sharing and re-use and the ability for staff to work with records remotely.
  • Improved business efficiency and service delivery as records can be integrated into business systems, applications, workflows, and processes.
  • Preservation of physical information assets as staff can access digital images in place of original paper records – thereby prolonging their life span. 
  • Better planning for business continuity as digital records/systems are much easier to duplicate and back-up for safe keeping and business continuity.

As digitisation programs can be costly or resource intensive, public offices should perform a cost-benefit analysis before embarking on any digitisation program. This includes assessing options based on costs, risks, benefits, and the long-term management of records. 

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4. Getting started

Well considered plans and business rules are essential to the success of your digitisation program. Before initiating a program:

4.1. Consider the high-level outcome(s) that your program aims to achieve.

4.2. Scope record selection to support your program’s goals. 

Selection may involve identifying records relevant to a particular business process or that otherwise relate to the digitisation program’s core outcomes. 

As a general rule:

  • avoid selecting time expired records that are eligible for destruction or can be disposed of under Normal Administrative Practice (NAP)
  • be cautious about selecting records with shorter retention periods or records that are rarely requested for access 
  • prioritise records which are high risk/high value, frequently accessed or have long-term accountability or retention requirements.

Sentence records or evaluate retention requirements to avoid unnecessary digitisation efforts. Known retention periods can also help inform your organisation’s return on investment, business case, and requirements for digitisation.

IMPORTANT: Original or source records must be covered by an approved retention and disposal authority. In order to satisfy the conditions for the destruction of source records, see Original or source records that have been copied (GA45).

4.3. Determine requirements and business rules for:

Preparation of hardcopy source records

This may involve:

  • confirming listings
  • undertaking data entry activities
  • physical preparation (e.g. removal of bindings and staples, unfolding, cleaning)
  • conservation treatment
  • identifying specific equipment based on the format and condition of source records.
Technical specifications

See Digitisation specifications for paper records in public offices.

If the records are pre-1980 and are required as State archives, please contact State Records NSW for advice.
File titling and metadata capture

Consider:

  • file titling/naming conventions
  • descriptive metadata elements
  • technical metadata elements
  • if automated metadata collection is feasible
  • use of text/optical character recognition (OCR).
Quality assurance

Consider processes such as:

  • determining the pass/fail criteria and levels of tolerance and its implementation
  • identifying which elements can be checked via technical metadata and which need manual inspection
  • determining if all records will be checked or only a sample/percentage
  • how failures will be addressed
  • determining the verification process of the quality of digital images.
Managing the digitised files

This may involve:

  • ingestion or upload into a records system
  • version control, derivatives and redacted versions, etc.
  • inclusion of digitised records in the organisation's Information Asset register.

Note: Under GA45, digitised records become the official record of business once original or source records are destroyed after digitisation. The digitised records must be kept in accordance with the State Records Act 1998 and relevant retention and disposal authorities.
Managing source records post digitisation

If source records will be retained, consider:

  • re-collation requirements (i.e. if documents will be put back together, if tube clips, plastic pockets, staples, pins, etc. will be returned)
  • rehousing options, and
  • transfer requirements (if records are required as State archives).

If source records will be destroyed, consider:

  • when they can be destroyed (i.e. at what point quality assurance is considered complete)
  • how destruction will be documented, and
  • how internal authorisation to destroy the records will be granted.
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5. Initiate the program

Initiate your digitisation program in accordance with policies, plans, business rules and procedures. 

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6. Monitor and review

As digitisation progresses, monitor and review activities for effectiveness. Adjust plans, business rules and procedures if and as needed.

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7. Destroying original/source records

IMPORTANT: If you intend to destroy records after digitisation, you must ensure that your public office is adequately covered by an approved retention and disposal authority. Original or source records that are not covered by relevant disposal classes are not permitted to be destroyed after digitisation. See Managing original paper records and Original or source records that have been copied (GA45) for more information.

Further information

For detailed information, download the Digitisation Primer.

Contact State Records NSW at govrec@staterecords.nsw.gov.au when:

  • records are not covered by an authorised retention and disposal authority
  • records are designated as “retain in agency” (in an authorised retention and disposal authority)   
  • scope of records for digitisation includes records required as State archives
  • records are required as State archives and were created prior to 1980 
  • records required as State archives are in poor condition and/or require conservation treatment.

Contact Museums of History NSW at transfer@records.nsw.gov.au for all matters relating to the transfer of State archives to the State Archives Collection.

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Downloads

Recordkeeping Advice
Digitisation
Recordkeeping A-Z
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