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Before you commence a project

Before you commence a project Yes No

Are the records covered by a current approved disposal authority?

 You can proceed to use GA45 The originals or source records cannot be destroyed after copying.
Were the records created prior to 1 January 1980 and are required as State archives or required to be retained in agency If yes, then the originals or source records cannot be destroyed after copying. Contact State Records for further advice.  
Were the records the original film negatives of audio-visual material required as State archives If yes, then the originals or source records cannot be destroyed after copying. Contact State Records for further advice.  
Are the records State archives that have been retrieved or are on loan If yes, then the originals or source records cannot be destroyed after copying. Contact State Records for further advice.  
Are the records subject to a legislative or Government policy requirement that the original record not be destroyed If yes, then the originals or source records cannot be destroyed after copying. Contact State Records for further advice.  

Are the records source records that have been used as the input or source records for migration?

 Use the General retention and disposal authority: source records that have been migrated   

Are the records being copied because they are damaged or deteriorating?

 You must contact State Records for advice.  

Has a risk and cost benefit analysis been conducted?

   If no, then this is recommended. See Benefits, costs and risks of business process digitisation and Costs and risks associated with back-capture digitisation in the guidance on Managing Digitisation Programs and Projects for more information.
Have required technical specifications and formats for the copies been identified and documented?   If no, see Technical specifications in the in the guidance on Managing Digitisation Programs and Projects for more information.

Have quality assurance benchmarks and processes been identified and documented?

   If no, see Benchmarks and quality assurance in the guidance on Managing Digitisation Programs and Projects for further information.
Have business or recordkeeping system requirements for ongoing management of the records that have been copied been identified and documented?   If no, see Managing digital images as records and Migrating records: managing source records after records.

Have you contacted us for advice?

We can provide advice about requirements, excluded records, what intrinsic value is, whether a conservation assessment may be required, etc.

   You must contact us if you are planning to copy and then destroy damaged or deteriorating records or if you are undertaking a back capture project that will involve the copying of records required as State archives.
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When a project has commenced

When a project has commenced Yes No
Have the originals or source records of any excluded categories of records  been separately identified and arrangements made for their ongoing retention by the organisation or transfer as State archives?   If no, contact State Records for further advice about options for transfer or ongoing management of these records.

Can the authenticity of the copies be supported?

For example, are the copies the product of established, authorised and monitored processes supported by:

  • policy and procedures
  • the use of standard formats and the highest technical specifications that can be supported
  • system documentation, including documentation of any image enhancement techniques
  • the use of ‘read-only’ and other security controls to prevent alteration of the copies.
   If the answer is no to any of these, then the originals or source records cannot be destroyed until processes are put in place.

Have quality assurance benchmarks and processes been implemented and monitored to establish that complete copies of the records have been made? Quality assurance processes should verify or establish to an appropriate degree of certainty:

  • the copies are legible at the required level of detail
  • all pages, annotations, attachments and enclosures are captured
  • colour is reproduced to the required extent.
   If the answer is no to any of these, then the originals or source records cannot be destroyed until these conditions have been satisfied.

Can the retention and accessibility of the copies be supported for as long as they are required to be retained? For example:

  • the copies and their related metadata are stored and managed in systems that have recordkeeping functionality
  • adequate, persistent and searchable descriptive metadata is present to retrieve the records
  • the copies are maintained within systems managed and operated by appropriately skilled staff
  • retention, access and security requirements for ongoing management of the records has been identified and documented.
  • the records can be migrated if required.
   If the answer is no to any of these, then the originals or source records cannot be destroyed until appropriate system management planning and controls are in place.
Have the source or original records been kept for an appropriate length of time after copying for quality control purposes?   If no, then the original or source records cannot be destroyed until appropriate quality assurance processes have been undertaken.
For records required as State archives, have procedures been put in place to transfer the records to the Museums of History NSW once they are no longer required for current business?   If no, contact Agency Services from Museums of History NSW at transfer@mhnsw.au about the transfer of digital records as State archives.
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Other considerations

Other considerations Yes No
Is there an expectation amongst stakeholders that the organisation will retain the original records? If there is, it may be prudent to advise that the organisation has a policy to copy records and destroy the originals.  
Has a conservation assessment been undertaken?   A conservation assessment may be appropriate in some circumstances, e.g. back-capture projects involving original records in a deteriorating condition or plans, audio-visual records or other non-standard formats that are required as State archives.

 

Published January 2015

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Original or source records that have been copied (GA45) FAQs (GA45)