Why undertake back-capture digitisation?

Purpose

The purpose of this section of the guidelines is to:

examine common reasons why back-capture digitisation projects are undertaken (i.e. what benefits they can bring)
explore some considerations relevant to these reasons.

Introduction

The main reasons organisations embark on back-capture digitisation projects are to:

increase the accessibility and use of records
allow for integration of records with existing EDRMS and business systems or improve existing systems and processes
reduce physical storage, management and access costs for the original paper records, and/or
preserve original paper records by minimising use.

These reasons may not be mutually exclusive.

For example:
Digitisation undertaken for preservation reasons may mean that an organisation can then make the digital images widely available, increasing accessibility.

Digitisation may be undertaken to increase accessibility and use of the records, but have a secondary benefit of reducing storage and associated costs if original paper records are able to be destroyed or transferred to State Records as State archives.

When they are able to be realised, the reasons for undertaking back-capture digitisation are also benefits that can be described in business cases for funding.

Additional benefits of back-capture digitisation projects, depending on the nature of the projects, can include:

reducing the burden on existing organisational resources
increasing awareness of the records held by the organisation and ways in which they are used, sometimes by non-traditional stakeholders
generating support from clients and the community for the organisation
generating income for the organisation e.g. from selling copies of digitised photographs.[1]

The main reasons for undertaking back-capture digitisation projects are described below, along with important issues to consider before you start to digitise.

Reasons for digitisation

To increase accessibility and use

Being able to deliver records in digital form certainly increases opportunities for access. Location is no longer an impediment, and records can be viewed concurrently, copied, disseminated to, viewed and used by multiple stakeholders quickly and easily. Having records in digital form also increases the capacity for them to be re-used.

Before you digitise

For back-capture digitisation projects proposed for this purpose your organisation should consider:

Is there an identifiable demand? Are the records actually being asked for or needed regularly?
Who will be using the digital images? Will the digital images be available to selected staff? All staff? Other Government organisations? The community?
What are stakeholder needs for the digital images? How will they access the digital images e.g. email, online, in other ways? Will there be different types of access requiring different degrees of image quality and metadata? Will new access methods require additional ICT resources such as special software or computer upgrades?
What are the risks associated with increasing accessibility? Are the records subject to copyright? Are they sensitive or do they have privacy implications? Are there other impediments to access?[2]

The answers to these questions will affect a number of decisions regarding how your project is set up.

For example:
Whether your organisation's equipment and technical infrastructure is adequate to meet stakeholder needs

Requirements for metadata to both encourage accessibility and restrict access where required

Technical specifications needed for image quality that is ‘fit for purpose’

Whether both a master and derivatives are needed

Whether Optical Character Recognition (OCR) technology is needed etc.[3]

If delivering via the web, your organisation should meet the Web content accessibility guidelines (WCAG) 2.0 which have been adopted for use by the NSW State Government.

Example of a project to increase accessibility

An organisation digitised some very sensitive records with privacy implications for the purpose of increasing internal access for staff members. There was a recognised business need to access this information promptly from different locations around the State. The original paper records are not accessible beyond authorised staff, unless particular permission is granted for individual access. The digital images will be subject to the same access restrictions placed on the original paper records.

In 2004 the University of Western Sydney digitised its existing student files. One of the main reasons for this project was the need to make these files more accessible across different locations and to streamline the handling of requests for information and subpoenas. See Case study: University of Western Sydney – Internal digitisation programs and projects.

To integrate with existing systems or to improve existing systems and processes

Back-capture digitisation of some records may allow your organisation to integrate the digital images into current information and backup regimes.

For example:
You may be able to integrate digital images with business or recordkeeping systems, or distribute images in a structured workflow to assist work processing. Hybrid (both paper and electronic) systems may be able to be eliminated.

This can allow records to be more accessible and useable, available in better context with related records and protected more effectively from disaster. [4]

Before you digitise

For back-capture digitisation projects proposed for this purpose your organisation should consider:

Do your current business processes produce digital records that are equivalent to those being considered for digitisation? Do you want to create a seamless process between current and older records? Or is a separate process acceptable to retrieve the digital images?
Are you intending to redefine your current business processes? Are there opportunities for changing or upgrading processes if the records will be available digitally?
What metadata from or about the digital image will be needed to link the digital image to a business information system e.g. case file number, client name? Is it located in the same place on the original paper records (so can be picked up automatically during scanning)?
Do you need to manipulate the information or enhance search capacities with optical character recognition (OCR) processes?[5]

See Metadata requirements for further information.

To reduce storage, management and access costs

If you are able to destroy the original paper records after digitisation, a back-capture digitisation project may allow your organisation to save costs associated with the storage, management and access.

Before you digitise

For back-capture digitisation projects proposed for this purpose your organisation should consider:

Records that are required as State archives in current retention and disposal authorities	Records that are not required as State archives in current retention and disposal authorities
If your organisation no longer has a business need for them, can the original paper records be transferred to State Records as State archives now (rather than being digitised)? If you still want to digitise, have you contacted State Records prior to commencing the project? They can discuss their requirements for both the original paper records and digital images with you.	Have their retention periods expired and use ceased and can all requirements be met so that they can be destroyed without the need for digitisation? If not, are the correct disposal authorisations in place allowing them to be destroyed after digitisation? See Disposal of original paper records after digitisation Is your project going to be able to meet all the conditions outlined in the General retention and disposal authority: imaged records so that destruction can proceed after digitisation? Can the digital images be managed for the full retention periods specified for the originals in retention and disposal authorities? Will the costs of managing the digital images be less than the costs of managing the paper records? See Managing digital images as records for more information.

Records that are required as State archives in current retention and disposal authorities

Records that are not required as State archives in current retention and disposal authorities

If your organisation no longer has a business need for them, can the original paper records be transferred to State Records as State archives now (rather than being digitised)?
If you still want to digitise, have you contacted State Records prior to commencing the project? They can discuss their requirements for both the original paper records and digital images with you.

Have their retention periods expired and use ceased and can all requirements be met so that they can be destroyed without the need for digitisation?
If not, are the correct disposal authorisations in place allowing them to be destroyed after digitisation? See Disposal of original paper records after digitisation
Is your project going to be able to meet all the conditions outlined in the General retention and disposal authority: imaged records so that destruction can proceed after digitisation?
Can the digital images be managed for the full retention periods specified for the originals in retention and disposal authorities?
Will the costs of managing the digital images be less than the costs of managing the paper records? See Managing digital images as records for more information.

For example:
The impetus for Housing NSW (part of the Department of Family and Community Services) to establish a back-capture digitisation project for its client files was the need to reduce space. Offices were closing or being refurbished and there was no room for paper records. Digitisation brought with it other benefits including the ability to access records quickly and easily from multiple locations. See Case Study: Housing NSW – Outsourcing the digitisation of client files.

To preserve information assets

Some organisations hold non-digital records that have long-term business use. These may be deteriorating, particularly if they are frequently used. Digitisation may be undertaken to protect the records so that stakeholders can access the digital images rather than the original paper records thereby saving them from further damage.

Digitisation also mitigates the risk of having only one copy of records [6] although digital records have their own longevity risks.

Before you digitise

For back-capture digitisation projects proposed for this purpose your organisation should consider:

Are the original records too fragile? Will digitisation cause them to deteriorate further? Will the state of the records prevent them from digitising well? Will the format of the records make digitisation difficult and potentially damaging? Is conservation treatment required before digitisation?
Are the records required as State archives? If so, has State Records been consulted about their digitisation? Will the original paper records be transferred to State Records after digitisation?

For example:
An organisation chose to undertake a back-capture digitisation project to preserve maps and plans, all of which were required as State archives. The maps and plans were of varying sizes and physical conditions and many required conservation assessment and treatment prior to digitisation. This organisation has worked closely with State Records throughout the project to determine suitable conservation methods and other related requirements for the records being digitised.

Footnotes

[1] Stuart D. Lee, Digital imaging, a practical handbook, Library Association Publishing London, 2001, p.4 (not available online).

[2] National Archives of Australia, Digitising accumulated physical records: A guide to initiating and planning digitisation projects, 2011, p. 9

[3] Ibid., p.9

[4] Archives New Zealand, Digitisation standard, 2007, p.5

[5] National Archives of Australia, Op.cit., p.8

[6] Ibid., p.10

Recordkeeping Advice

Digitisation

Recordkeeping A-Z

Why undertake back-capture digitisation?

Purpose

Introduction

Reasons for digitisation

To increase accessibility and use

Before you digitise

To integrate with existing systems or to improve existing systems and processes

Before you digitise

To reduce storage, management and access costs

Before you digitise

To preserve information assets

Before you digitise

Footnotes

State Records NSW pays respect to the Traditional Custodians and First Peoples of NSW, and acknowledges their continued connection to country and culture.