Digitise physical records

Your public authority can digitise physical public records so they can be accessed, managed and maintained digitally. Digitisation can improve access to information, reduce physical storage requirements and support more efficient business processes.

What records to digitise

Consider what records need to be digitised based on your business requirements and the record format.

Some records may be digitised to improve access, support business processes or reduce handling of the physical source record. Other records may be digitised with the intention of replacing the physical source record.

Where a physical source record is to be destroyed after digitisation, your public authority must first ensure that all disposal conditions in the Source Records retention and disposal schedule have been met.  The digitised copy must also meet the required technical specifications and quality assurance requirements (PDF, 607.2 KB) before the source record can be disposed of.

Some physical source records are not eligible for disposal after digitisation and must be retained in their original format.   These include fragile records, records with intrinsic value and permanent records created before 1 January 1980. A complete list of exclusions is provided in the Source Records retention and disposal schedule.

Contact Queensland State Archives (QSA) before digitising fragile records, records with intrinsic value or permanent records created before 1 January 1980.

Carefully consider the need to digitise records that may be difficult to scan or require specialist equipment, including:

• records with intrinsic value
• large format records
• bound volumes
• maps and plans
• av material
• records with reflective surfaces
• fragile records and material that require specialised scanning equipment and techniques
• vital records if there is a risk of damage or loss of information.

Records may need preparation before digitisation to ensure they can be captured clearly and safely. This may include addressing creases, tape, staples, lamination, bindings or other features that affect scanning. Preparation must not damage the record or remove information from the physical source record.

Scanners that automatically feed documents are not appropriate for historical or fragile records, as they may snag tear or otherwise damage the physical source record.

Planning your digitisation activity

You will need to have a plan and processes in place when digitising physical records. The level of planning, technical specifications and quality assurance required will depend on the value of the records, how long they need to be kept, their condition and whether the physical source records may be destroyed after digitisation.

Records that have short retention periods or are digitised for routine business use may only require routine quality assurance checks and a documented digitisation process. Permanent value records eligible for disposal after digitisation require higher technical specifications, more rigorous quality assurance and additional documentation to support the disposal of physical source records.

Technical guidance for digitisation of source records (PDF, 607.2 KB) includes advice on developing your defensible process, what technical specifications QSA recommends and what outcomes you should achieve.

This will help you ensure:

• your digitisation processes are defensible
• the digitised versions remain clear, complete and accurate records and fit-for-purpose
• you can store and manage the digitised versions as digital records for their full minimum retention period
• physical source records are only destroyed where disposal is authorised
• you capture and maintain metadata about the records and the digitisation
• you can continue to meet your business, records management and compliance requirements.

Look at:

• whether the records have temporary or permanent value under a current retention and disposal schedule
• how long the records need to be retained
• whether the physical source records are eligible for disposal after digitisation
• the type, volume and condition of records to be digitised
• whether records are fragile, have intrinsic value or may require specialist handling
• whether records should be digitised as part of a project or on demand
• the level of risk to the records
• when and where the records will be scanned (e.g. will your public authority or a third-party supplier carry out the scanning)
• how records with additional information will be scanned, such as post-it notes, attachments, enclosures or forms with physical photographs attached
• how you will document any alterations and edits
• how you will retrieve, transport and protect the physical source records during digitisation.

Developing a defensible process

Developing and documenting a defensible digitisation process helps your public authority confirm that digitisation decisions were considered, appropriate and authorised. It is also a required step before any disposal of the physical source records can be implemented.

Not all digitisation activities will require the same level of documentation. For short-term or low-risk business scanning, your process may only need to demonstrate that digitised records are clear, complete and accurate. For records with longer retention periods, permanent value records or records being digitised to support disposal of the physical source record, your public authority will need to maintain a more comprehensive defensible process that documents the technical specifications, quality assurance activities and approvals associated with the digitisation.

Your defensible process should cover both in-house and outsourced digitisation activities. Evidence of your process may be requested if public records are lost due to negligence or improper process, or in response to RTI requests, court proceedings or an audit.

If your public authority intends to destroy physical source records after digitisation, the defensible process must be approved by the Chief Executive or authorised delegate before disposal occurs.

A Defensible Process template is available to help public authorities document key decisions, risks, approvals and quality assurance activities associated with digitisation projects.

A defensible process needs to be suitable for your public authority and may include:

• why the digitisation activity is being undertaken
• evidence that records chosen for digitisation are appropriate
• whether the records have been assessed for archival, enduring or intrinsic value
• the technical specifications used, including resolution, file format and colour profile
• evidence that equipment has been tested and is fit for purpose
• quality assurance processes and confirmation that checks have been completed
• strategies to manage, store and preserve the digitised records for the full minimum retention period
• recordkeeping and event history metadata captured and maintained
• any risks identified and how they were managed
• processes for identifying, protecting or excluding fragile records
• clearly defined roles and responsibilities
• authorisation for disposal of physical source records, where applicable
• identified timeframes to review digitisation outcomes and seek endorsement for disposal.

Technical specifications

The technical specifications used for digitisation should be appropriate to the value of the records, their retention period and whether the physical source records will be retained or disposed of after digitisation.

For short-term or low-risk business scanning, technical settings may only need to support business use. For records requiring higher quality digitisation outcomes, technical specifications should ensure that digitised records remain accurate, legible and accessible for as long as they are required.

When selecting technical specifications, consider:

• the type of record (e.g. handwritten letter, typed document, photograph, map or plan)
• the appropriate file format for the digitised record
• resolution and colour capture
• compression settings
• the capability of the equipment being used
• how the digitised records will be stored, managed and preserved.

When digitising records, ensure that any image enhancement, optimisation or automated correction processes do not remove information from the physical source record or affect the accuracy of the digitised version.

See the technical guidance for digitising physical source records for recommended outcomes, file formats and minimum specifications.

Quality assurance process and checks

Quality assurance checks should be built into all digitisation activities to ensure digitised records are clear, complete, accurate and fit for purpose. Quality assurance is a critical part of digitisation, especially when determining if your public authority can dispose of the physical source records afterwards.

Before digitising

Before digitising records:

• determine the level of quality required
• identify any information or characteristics that must be captured
• determine any technical specifications to be applied
• test equipment to ensure it meets requirements
• establish acceptable and unacceptable quality characteristics
• develop a process for checking quality throughout the digitisation activity.

After digitisation checks

When checking digitised records, consider whether:

• all documents have been digitised
• all pages have been digitised and are in the correct order
• the smallest details have been captured clearly and are legible
• all information has been captured completely, including attachments, annotations and information near page edges
• OCR has accurately captured the text, where used
• colours and tonal information accurately reflect the physical source record, where relevant.

If quality checks identify problems, procedures should be in place to re-scan or correct records before physical source records are returned to storage or destroyed.

Where quality checks are completed manually, staff should be trained to ensure checks are applied consistently.

Recordkeeping and event history metadata

The metadata attached to the original paper record needs to be captured as part of the digitised records. Metadata helps ensure digitised records remain identifiable, accessible and manageable for their full minimum retention period.

You also need to capture event history metadata about digitisation activities.

Some digitisation processing and management software can add information to a digitised record, such as the date or organisation name (e.g. through watermarking or fingerprinting). This information should be captured as event history metadata, not as part of the digitised image. The digitised record needs to be an unmodified representation of the original paper record.

Outsourcing digitisation

Your public authority may consider outsourcing the digitisation of certain record types, particularly if specialist equipment or skills are needed. Outsourcing digitisation activities has benefits and risks, so a considered approach weighing up all options is recommended.

Consider what types of records can be digitised by a service provider, including the privacy and security of information required while records are in their custody. Confidentiality agreements may be required to protect the contents of the records.

Your public authority remains legally responsible for the records while they are in the service provider's custody, and for ensuring the provider complies with all requirements specified in the contract or agreement. General requirements for managing and caring for public records, especially for those that are fragile must be included.

As with any inhouse digitisation project, those completed by third party providers must be approved by your public authority’s Chief Executive or authorised delegate.

Find out more about outsourcing and developing an outsourcing agreement.

Managing records after digitisation

Once digitisation is complete, your public authority must consider how both the digitised records and any remaining physical source records will be managed.

Managing digitised records

All digitised records must be managed as complete and reliable digital records for their full minimum retention period.

Consider how and where the digitised records will be stored and managed, including:

• appropriate storage solutions (e.g. an eDRMS or other business system)
• security and access controls
• metadata requirements
• digital preservation requirements
• ongoing access to the records for their full minimum retention period.

For physical source records that are eligible for disposal after digitisation, disposal must be carried out in accordance with the relevant disposal authorisation and any associated conditions.

Where physical source records are not eligible for disposal after digitisation, they must continue to be properly managed and retained for their full minimum retention period.

Mailroom processing

Mailroom processing, sometimes called day-batching, involves digitising incoming correspondence, forms and other physical records as they are received, with the digitised version becoming the record used for business activities.

This approach may be suitable where:

• physical source records are eligible for disposal after digitisation
• quality assurance processes are in place
• physical source records are retained until quality assurance checks have been completed
• individual physical source records can be retrieved if re-scanning is required.

Before implementing mailroom processing, consider:

• the value and retention period of the records being digitised
• whether physical source records are eligible for disposal after digitisation
• the technical specifications and quality assurance requirements that will apply
• how permanent value, fragile or otherwise excluded records will be identified and managed
• how physical source records will be stored, retrieved and disposed of where required.

Mailroom processing should form part of your public authority's documented digitisation process.