Managing digital versions as records and original records

Requirements for managing digitised files relate back to the outcomes originally defined for the project. They will need to be stored, backed up and managed effectively for as long as they are required.

Managing digitised files may involve: 

• inclusion of digitised records into the organisation’s information asset register
• ingestion or upload into a recordkeeping system
• version control, derivatives and redacted versions, etc.   

Digital storage must be considered before commencing the digitisation project. This will ensure that ICT infrastructure and system architecture is able to support (and back-up) content generated from the program and digitised files are stored using methods that guarantee their security and accessibility throughout the digitisation process.

Have your ICT team on board early to support your program’s storage and security needs.

For business as usual (BAU) scanning of incoming records, business rules should ensure that ingestion into your EDRMS or other recordkeeping systems result in official records being aligned to your Business Classification Scheme or retention rules.

Where source records are destroyed after digitisation, the digitised records become the official record of business and must be kept in accordance with the State Records Act 1998 and authorised retention requirements. It is imperative to store masters in a manner that ensures their security and longevity.

If the records are required as State archives, requirements and schedules for the transfer of digitised records (as well as the physical records) should be discussed and pre-determined with the Museums of History NSW.

Official records

In most cases there is no barrier to organisations tendering digital files of records as evidence. They can be considered suitable to submit in legal proceedings in response to Government Information (Public Access) Act 2009 (GIPA Act) applications and for other evidentiary purposes.

However, the value or credibility of the digital files as evidence can still be questioned. The authenticity of a presented record may be challenged or a judge may be given some other reason to doubt the reliability of a digital file.

In these cases, your documentation regarding how the digitisation was conducted and the digital files created and kept may help to demonstrate that the digital file is an authentic and credible representation of the original.

• 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 
• If copies of digital files 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.
• 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 as the official record.

Disposal and management of source records

How source records should be managed, and if they will be retained or disposed of, will depend on the records themselves and the intended outcomes of the digitisation program.

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 the original/source records have long-term accountability requirements or are required as State archives, post-digitisation may be the perfect time to rehouse the records into archival standard containers.

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. 

For the scanning of incoming records, documentation and authorisation should be built into business rules and procedures. For retrospective programs, this may involve seeking authorisation at a batch level following quality assurance. 

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.

Disposal of original source records

Original paper records can only be destroyed after digitisation, once they meet the requirements of the General retention and disposal authority: Original or source records that have been copied (GA51). It outlines the need for quality control and proper documentation. 

Certain records are excluded from GA51 and cannot be destroyed after digitisation. These include:

• State archives created prior to 1980.
• Records of high personal value to individuals, such as care leavers’ records.
• Records subject to legal or policy requirements, like letters patent signed by the Governor of New South Wales.
• Records with intrinsic physical value, such as those with cultural, iconic, heritage, or aesthetic importance.

You should check the documentation related to the digitisation process and quality control measures to also ensure the digital records are authentic, complete, and accessible. If adequate documentation is not available, you may not destroy any original records.

Day boxing, a practice in business process digitisation, involves scanning records as they are received and placing the originals in a 'day box' or batch. You may destroy these records if they are covered by the retention and disposal authorities.

However, day boxing should not be used if the originals are to be retained. After digitisation, original records should be kept for a period of time for quality control before they can be destroyed. This period should be chosen and applied consistently across the organisation.

Retention of original source records

There may be a number of reasons for the organisation to retain original records to meet its statutory and other obligations including:

• Original records that do not meet the criteria for approved destruction under GA51 (e.g. State archives that are created before 1980) and may be required to be retained while the digital copy is used for reference purposes.
• 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 files for business reference and action.