Planning for digitisation

Requirements for digitisation programs should be determined and documented before the program begins. They should also be reviewed and amended over time if/when requirements change. Requirements can be documented in business rules, procedures, project plans, contractual agreements, etc. as appropriate.

Key considerations for a digitisation project:

• ensure digital files are authentic, reliable, and legally admissible
• make sure digital files are accessible for as long as needed
• have a strategy in place to maintain digital files for long-term retention
• properly manage original paper records.

Creating a business case

A business case enables you to communicate the parameters of a business process digitisation program, substantiate its viability and justify why resources should be invested. The focus should be on how it will assist your organisation in carrying out its functions.

The following table shows standard inclusions you will need to define.

Outsourcing or internal programs

You will need to decide whether to run the project internally or outsource it.

Benefits of running it internally:

• you gain equipment and staff expertise for future projects
• you can closely supervise the movement and handling of recordings
• you avoid the cost of procurement and tendering processes
• some overheads, like staff time, are absorbed within your organisation.

Benefits of outsourcing:

• you avoid the cost of buying equipment and training staff
• the work can be completed to strict deadlines with less impact on staff time
• contractors can provide space and resources your organisation may lack.

You can also outsource parts of the project while managing others internally, such as content selection or metadata creation. You should meet NSW Government requirements for procurement using the NSW Government Contract SCM0020 ICT Services Scheme.

Managing outsourced arrangements

Public offices are responsible for meeting the requirements of the State Records Act 1998 and the standards released under the Act. If your organisation outsources the digitisation of records, it remains responsible for the management of both the source records and the digital files throughout the entire process. Therefore, you must ensure that all relevant requirements are specified in contracts with service providers.

Ensure that the following points are clearly articulated in service agreements:

• the range and type of records to be digitised
• timeframes and costs
• expectation that records are not to be altered or omitted in any way
• security and handling requirements for sensitive or personal records or for urgent requests
• roles and responsibilities of the organisation and the service provider(s)
• benchmarks for technical requirements and metadata
• quality assurance measures (including remediation required if benchmarks are not met)
• an agreed monitoring/reporting framework 
• insurance requirements for rare or valuable materials
• ownership, copyright, privacy, and digital rights management issues
• rules surrounding the return of records to the organisation
• rules surrounding the destruction of records only with approval by the organisation

Service providers must be made aware of relevant standards, including:

• Standard on the physical storage of State records – which contains requirements for the protection and handling of hardcopy records, appropriate storage and environmental conditions, and the documentation of digitisation processes. 
• Standard on records management – which contains requirements for metadata and the protection of digital records from unauthorised access.
• Original or source records that have been copied (GA51) – which specifies the conditions for destroying original or source records after digitisation.

The monitoring framework that forms part of the contract must ensure that all recordkeeping requirements are met throughout the term of the agreement.

Program planning

What to take into account in program planning

When planning a digitisation program, address the following:

• staffing and space requirements
• training for staff for records handling and using software or hardware programs
• change management initiatives, possibly requiring a separate training plan
• applicable standards to be followed
• size of project, including if it should be broken down into smaller components to allow for any adjustments of lessons learned as the project progresses
• policies and procedures for distribution
• program documentation for accountability
• legal requirements including copyright and how they will be addressed
• disposal requirements for both original paper records and digital files
• benchmarks and quality assurance measures
• technical specifications needed for the program including masters or derivatives
• metadata requirements and methods of collection (automatic or manual)
• necessary equipment and its specifications
• storage and management, including security and access requirements, to retain digital files for as long as needed
• health and safety risks and assessments 

Understanding these areas beforehand will inform costs and implementation plans in your business case.

For example:

• If you aim to save storage costs by digitising records and destroying originals, you must ensure your organisation has a current retention and disposal authority. If not, include the costs of creating one in your business case.
• To estimate equipment costs, determine your technical and metadata needs to make informed decisions about suitable equipment.

Once your business case is approved, more detailed planning for these issues will be required.

Policies, procedures and processes

Requirements for all aspects of your digitisation program should be outlined in documented business rules, procedures, project plans or contractual agreements as appropriate. Requirements include:

• technical specifications
• managing digitised records (e.g. file titling conventions and where to save the records)
• what to do with the source records.

Business rules and procedures ensure that: 

• the digitisation program or process is standardised and will consistently produce an acceptable quality of digitised records 
• records, both hardcopy and digitised, will be managed appropriately and securely
• digitised records will be actioned appropriately and in a timely manner.

Note: An adequate level of security for records should always be maintained. This may include measures such as controlled access for authorised personnel, audit trails, and returning boxes to secure storage immediately after digitisation.

Business process definition and reengineering

Introducing business process digitisation can streamline operations, improve record quality, and promote consistent management. To achieve these benefits, examine the processes that generate records for digitisation and those that access and use these records.

Consider if current business processes already generate digital records comparable to those proposed for digitisation, and determine whether a seamless workflow between existing and legacy records is required or whether a separate retrieval process for digital files is acceptable. 

If the current business processes will be redefined as part of the digitisation initiative, including identifying opportunities to improve, streamline, or upgrade processes once records become digitally accessible.

Defining and reengineering business processes should involve relevant staff and managers. Collaboration ensures processes are well understood and fosters ownership of changes, increasing acceptance.

• Strategies for documenting government business – The DIRKS Manual, Steps A and C
• AS 5090-2003 Work process analysis for recordkeeping

Determine requirements, documentation and business rules for digitisation

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.

Staffing and change management

Digitisation programs often fail when organisations overlook the people factor. Because digitisation changes how staff work, it can disrupt routines, shift duties, and temporarily limit access to records. These short‑term challenges are necessary for long‑term efficiency, but they require careful change management to gain staff acceptance. For example, older or rarely used records may be unavailable for short periods and staff duties may shift temporarily during the digitisation process.

Harnessing People Power

Successful digitisation relies on engaging the right people:

• Implementation team: Must combine technical expertise with strong project and people skills, adapting solutions to each business unit’s needs.
• Senior management: Their visible support and advocacy help legitimise the program and build organisation‑wide confidence.
• Business unit managers: Their buy‑in is essential because they oversee daily operations and can influence staff attitudes.
• Staff champions: Enthusiastic, skilled staff can support colleagues, troubleshoot issues, and model positive engagement.

Effective Change Management Strategies

To build acceptance and minimise resistance:

• Use pilots or staged rollouts: Test approaches in smaller settings before scaling up, allowing refinement and early problem‑solving.
• Communicate regularly: Tailor messages to staff and managers, highlighting benefits such as efficiency, accessibility, security, and improved processes.
• Involve staff early: Staff who understand the processes best can provide valuable insights and are more likely to support changes they helped shape.
• Address issues quickly: Promptly resolving technical or workflow problems prevents frustration and backsliding into old habits.
• Provide training and support: Role‑specific training and ongoing help desk support ensure staff feel confident using new systems.
• Maintain momentum: Monitor behaviours like unnecessary printing and reinforce trust in digital systems to prevent regression.

The below table provides questions that should be considered at different stages when undertaking a digitisation program.

Questions to ask in a digitisation program

The below table provides questions that should be considered at different stages when undertaking a digitisation program.