Purpose
The purpose of this section of the guidelines is to examine how to:
- identify the official records within back-capture digitisation projects, and
- how to manage the digital images that will become the official record within a business process digitisation program.
Introduction
Digitisation involves copying: from the original paper records you may create one or more digital images.
For example:
Within the digitisation process itself you may create a raw file. You may also create an image that has been enhanced to maximise its resemblance to the original or an image to which quality assurance processes have been applied.[1]
In some cases you may create additional versions of an image to meet different needs e.g. you might use an identical or lower resolution image in a new business process.
Your organisation will need to make decisions about how to manage the different versions of a record and which are the official records.
In back-capture projects, to determine what is the official record, you need to consider:
- What version/s should be used for future business action?
- What version/s will provide evidence of the business?
- What version/s need to be retained for the required retention periods (in authorised retention and disposal authorities) to meet your organisation’s statutory and other obligations?
In business process digitisation the offices records will be those:
- required as evidence of the business that has occurred
- used for further business action, and/or
- retained for the required periods to meet your organisation’s statutory and other obligations.
Versions of a digital image created during digitisation
If you create several versions of a digital image while trying to achieve the best quality image possible, the digital image that is the final output of this process should be regarded as the record to be captured.[2]
When digital images, including lower resolution versions, are used in new business processes, new records are created. For example, a digital image may be attached to an email and sent to a client to initiate further action on a matter.
Your organisation should provide guidance to staff about the specific circumstances within your business processes in which these new records need to be captured into recordkeeping systems, and any rules relating to their capture
You can destroy digital images that do not meet your quality assurance benchmarks, or that are made but not used as part of any business transaction, using Normal Administrative Practice. Procedures for the disposal of surplus images can be defined in project procedures.
Back to topWhen original paper records are destroyed
In business process digitisation programs the original paper records, once digitised, will usually be destroyed. In this case there is no need to register the original paper records and they should not be attached to files.
In some back-capture digitisation projects the original paper records, once digitised, will eventually be destroyed. See Disposal of original paper records after digitisation for more information about conditions that need to be met before original paper records can be destroyed. The digital images will then become the ‘official records.’
Evidence of business action
Those digital images that are the final output of a digitisation process must be able to provide evidence of the business that has occurred. Therefore the digitisation process needs to create images that are full and accurate and:
| Authentic | The product of routine, authorised digitisation and registration processes |
| Complete | Accurate, legible reproduction of the original records, without substantive changes or deletions of content |
| Accessible | Available and readable to all with a right to access them for as long as required |
Retention
Your organisation is responsible for ensuring that digital images are kept and remain accessible for the entire retention period that the original records were required to be kept for under current retention and disposal authorities.
The digital images need to be managed as part of your organisation’s Records Management Program. Your organisation will need to consider strategies to maintain the integrity of the images and accessibility for as long as they are required.
See Managing digital images as records for more information.
Further business action
The original paper records will need to be kept for a pre-determined period of time for quality control purposes but should not be used for any further business action.
You will need to instruct staff not to add documents to original paper files after they have been digitised. If new paper documents are created or received they should be scanned and added to the relevant digital file.
If your organisation continues to use the original paper records for ongoing and future business, they remain the official records and cannot be destroyed after digitisation.[3]
Change management strategies should be employed to ensure that further business is conducted digitally, wherever possible, from a certain point in time onwards. This will reduce the future digitisation effort required. See Managing the ‘people factor’ for more information.
When digital images, including lower resolution versions, are used in new business processes, new records are created.
For example:
A digital image may be attached to an email and sent to a client to initiate further action on a matter.
Your organisation should provide guidance to staff about the specific circumstances within your business processes in which these new records need to be captured into recordkeeping systems, and any rules relating to their capture.
If copies of digital images are made but not used as part of any business transactions, they are the equivalent of photocopies of paper records and can be destroyed as duplicates under Normal Administrative Practice.
Back to topWhen original paper records are not destroyed
Evidence of business action
If the records that have been digitised need to be presented in court, legally either the original paper records or the digital images can be admissible as evidence of business action. If the credibility of digital images is questioned, the court may request to see the original paper records. See Legal admissibility of digital records for more information.
Retention
There may be a number of reasons for an the organisation to retain original records to meet its statutory and other obligations.
For example:
An organisation may not be able to meet the requirements of the General retention and disposal authority - original or source records that have been copied (e.g. records may be exempt, conditions may not be fulfilled, or records may be required as State archives or to be retained in agency and dated pre 2000), or digitisation projects may only involve digitising selected extracts from records.
Depending on the reasons for digitisation, your organisation may also choose to retain the digital images for considerable periods of time so that the benefits of digitisation can be realised.
If the digitisation project meets the requirements and conditions of the General retention and disposal authority for original or source records that have been copied (GA45), either version may be retained to meet statutory and other obligations. You will need to plan for the longer term management of the digital images.
With records that are required as State archives, your organisation may choose to transfer the original paper records to Museums of History NSW once the digitisation has been completed, and keep and maintain the digital images for business reference and action.
In some cases it may be appropriate to transfer both the paper records and digital images to State Records as State archives. If you wish to do this, contact State Records for further advice.
See Managing digital images as records for more information.
14.5.3 Future business action
If any future business action is to be taken on the records that have been digitised, it is essential that your organisation makes it clear which version of the records are to be added to.
If business action is taken on both the original paper record and the digital image neither would be a full and accurate record of the business that has occurred.
If future business action is required, this is likely to involve use of the digital images (either masters or derivatives) as they are easier to manipulate and distribute. In this case, your organisation will need to implement measures to ensure the original paper records are not used for further business.
For example:
You will need to instruct staff not to add documents to original paper files after they have been digitised. If new paper records are created and received, they should be digitised and added to the relevant digital file (where they need to be captured). Any action then needs to be taken on the digital copy.
It should be made clear to staff that the digital records provide complete evidence of business from a certain date, not the paper records.
If copies of digital images are made but not used as part of any business transactions, they are the equivalent of photocopies of paper records and can be destroyed as duplicates under Normal Administrative Practice.
Footnotes
[1] Archives New Zealand, Digitisation standard, 2007, p.16. Note: Any enhancements to make an image appear more like the original record should be authorised practice and documented in procedures. If enhancements are made that change the appearance of the original your organisation will need to keep a copy of the unenhanced image as well as the enhanced image.
[2] Loc.cit.
[3] Ibid, p.13.
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