Policies, procedures, standards and documentation

The purpose of this section of the guidelines is to describe what an organisation should have in place in terms of policies, procedures, standards and documentation for a digitisation program.

Introduction

It is essential that an organisation embarking on a digitisation program has policies and procedures that are documented, based on recognised standards and communicated to relevant staff.

Policies

Some policy decisions need to be made and documented as part of digitisation programs. For example, policies may be established on:

Policy decision	Further information
What records are to be within the scope of the program and why	See Planning for back-capture digitisation, Planning for business process digitisation, Selecting the right records for back capture
The retention or destruction of original paper records after digitisation	See Disposal of original paper records after digitisation
How long to retain original paper records after digitisation before any destruction takes place (where relevant)	See Disposal of original paper records after digitisation

Procedures

Procedures can ensure that employees involved in a digitisation program clearly understand what their roles and responsibilities are and how to perform them. Where original paper records are destroyed, documented procedures may also be required to demonstrate in court that a sound process for creating digital images to replace them was followed.

Procedures need to make it clear how digitisation is integrated into the business process. They should address the following:

when and where the records will be digitised and, if relevant, how they will be retrieved and transported
how to prepare the original paper records for digitisation - see Managing original paper records for more information
steps in creating digital images using hardware and software (including the creation of versions, masters and derivatives and acceptable enhancements that can be made)
capturing and checking metadata - see Metadata requirements for more information
quality assurance checks - see Benchmarks and quality assurance for more information
any security/access issues affecting the original paper records, the digital images and their delivery to stakeholders
capture and management of digital images, including storage methods, backup procedures etc. - see Managing digital images as records
handling and management of original paper records after digitisation - see Managing original paper records
disposal of original paper records (where relevant) - see Disposal of original paper records after digitisation
when disposal of digital images is appropriate (e.g. the disposal of poor quality images that have been rescanned, versions prior to enhancement etc.)

Standards

For any digitisation programs you will need to meet the minimum compliance requirement in Principle 6 of the Standard on the physical storage of State records that ‘records are handled carefully during conversion and converted according to recognised standards’.

Images will need to be full and accurate representations of the original records to meet the requirements in the Standard on records management.

In addition, you need to ensure that digital images captured into digital systems are described by at least minimum metadata and meet the minimum functionality requirements of the Standard on records management. The images should then be managed according to State Records’ standards and guidelines.

If you want to digitise in order to destroy original paper records, you will need to ensure your digitisation program is of suitable quality to meet your organisation’s requirements for evidence. You also need to meet the conditions in the General retention and disposal authority: original or source records that have been copied.

Note: If you do not plan to destroy original paper records you should, if possible, still try to ensure your program can meet the conditions for destruction in the General retention and disposal authority: original or source records that have been copied. These represent best practice and meeting them will ensure that your organisation can destroy the original records if destruction becomes an option for consideration in the future.

In cases where you are intending to digitise records that are required as State archives you must contact State Records for specialist advice before commencing your program.

For guidance on technical standards see Technical specifications.

You may also consider adherence to national and international standards. Key standards to consult include:

ISO23081-1:2006, Information and documentation – Records management processes – Metadata for records, Part 1 – Principles, Part 2 – Conceptual and implementation issues
ISO/TR 15801:2009, Electronic imaging – Information stored electronically – Recommendations for trustworthiness and reliability.
ISO/TR 13028:2010, Information and documentation – Implementation guidelines for digitization of records
ISO/TR 15489-2: 2001, Information and documentation – Records Management – Part 2: Guidelines.

Documentation

It is important that your organisation documents its digitisation program. These records are your evidence that you have applied rigour to the digitisation process.

If the digital images will replace original paper records, and therefore need to function as evidence, you will need to employ greater levels of documentation. This will be a safeguard if the authenticity of the digital images is challenged.

Levels of documentation required should be based on a proper assessment of risk. Depending on the risk, you may need to consider keeping the following documentation:

Keep copies of...	...to show
planning documentation including business cases, project plans and related correspondence, including approvals	the digitisation approach chosen project parameters including the benefits, costs and risks involved the basis for decisions regarding the selection of records authorisations for action
benchmarks agreed upon (including technical specifications, metadata and quality assurance) and supporting assessments (including identification of risk, levels of risk and assessments against standards)	that benchmarks and quality assurance standards suit the nature of the records, can capture their essential characteristics and are fit for purpose that risks have been identified and mitigated or managed that image enhancement techniques adopted do not substantially alter the records
assessments carried out of any business or legal requirements to retain records in their original format	that you have identified any special reasons why originals should be retained that you have identified and considered the risks of not keeping records in original format that you have met the conditions attached to destroying originals in General retention and disposal authority: original or source records that have been copied.
hardware and software requirements and documentation regarding their purchase and licensing	proof of purchase warranty and licence entitlements contractual obligations
organisational policies and procedures that apply to the making and keeping of digital images, including superseded versions of policies and procedures	which classes of records are routinely imaged, and which are authorised for destruction digital imaging processes adopted (including preparation, digitisation and post- digitisation) roles and responsibilities of staff the rules that apply to staff in making and keeping digital images the normal period of time for which the organisation keeps originals for quality control purposes what checking and verifying and other quality control processes are in place strategies for integrating the digital images into work processes
outcomes of quality assurance checks and remedial action recommended and taken	that quality assurance has been undertaken appropriately that remedial action has been undertaken
planning documents relating to ensuring the long term accessibility of digital images e.g. incorporation into records management framework, migration plans, preservation strategies	that you have considered the risks these digital records attract that measures are in place to ensure the long term accessibility of the images that digital records are managed in appropriate and trustworthy systems
disposal documentation (e.g. metadata in recordkeeping systems indicating the date and time of destruction and authorisation)	that you have disposed of records (both original records and digital images) in an authorised and accountable way
monitoring documentation and reviews of the project and documents outlining action taken resulting from these	that monitoring and review has been undertaken that action has been taken to improve processes

Note:
See General retention and disposal authority: administrative records for more information about retention periods for such metadata.
Under the Standard on records management disposal activities must be authorised, approved and supervised.

Checklist

Policies, procedures, standards and documentation	Yes	No
Are relevant, documented policies in place for the digitisation program, e.g. policies regarding the disposal of original paper records and policies regarding retention for quality assurance purposes?
Are documented procedures in place to guide staff regarding the performance of digitisation processes?
If so, do these procedures address: when and where the records will be digitised and, if relevant, how they will be retrieved and transported how to prepare the original paper records for digitisation steps in creating digital images using hardware and software capturing and checking metadata benchmarks and quality assurance checking security/access issues affecting the records and their delivery to stakeholders capture and management of digital images, e.g. storage methods, backup procedures etc. handling and management of original paper records after digitisation disposal of original paper records (where relevant) when disposal of digital images is appropriate?
Are the processes defined in procedures consistent with State Records’: Standard on the physical storage of State records Standard on records management General retention and disposal authority: original or source records that have been copied?
Are the processes defined in procedures consistent with other national or international standards e.g. on metadata, digitisation etc that your organisation has chosen to follow?
Are relevant staff trained in digitisation procedures?
Do procedures indicate how, when and by whom documentation needs to be kept of digitisation activities, including: the digital imaging process outcomes of quality assurance checks remedial action to be taken?
Has the organisation considered its risks and whether it needs to document: planning documentation, e.g. business cases, project plans and related correspondence, including approvals benchmarks agreed upon and supporting assessments assessments carried out of any requirements to retain records in their original format hardware and software requirements and documentation regarding their purchase and licensing organisational policies and procedures that apply to the making and keeping of digital images, including superseded versions of policies and procedures outcomes of quality assurance checks and remedial action recommended and taken planning documents relating to ensuring the long term accessibility of digital images disposal documentation documentation of monitoring and reviews, and action taken resulting from these?

Recordkeeping Advice

Digitisation