Business process digitisation: overview and checklist

• Have cost comparisons been made between in-house digitisation and out-sourcing?
• Has the organisation planned for and costed the long-term viability of maintaining digital images in place of the original paper records?

For more information, see costs and risk associated with back-capture digitisation.

Staffing and space issues

• Has clear ownership of the digitisation program within the organisation been identified?
• Have roles and responsibilities for managers and staff been defined, communicated and documented?
• Have managers and staff been provided with suitable training to meet their roles and responsibilities?
• Have health and safety issues concerning digitisation been identified and addressed?
• Has adequate space been allocated for digitisation equipment and processes?

For more information, see staffing digitisation programs.

Change management issues

• Have change management strategies been introduced to help all staff with the transition to digitisation?

For more information, see managing the 'people factor'.

Policies, procedures and processes

• Are relevant, documented policies in place for the digitisation program?
• Are there documented procedures to guide staff regarding the performance of digitisation processes, including the quality checking and storage of digital images?
• Do procedures address how to manage original paper records before, during and after digitisation so they are protected until their authorised disposal?
• Are the processes defined in procedures consistent with recognised standards including State Records NSW’s:
  • 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
• Do procedures clearly outline where and how processes and actions must be documented?

For more information, see policies, procedures, standards and documentation and managing original paper records.

Benchmarks and quality assurance

• Have quality benchmarks been:
  • developed in liaison with stakeholders
  • documented
  • approved by senior management
  • communicated to relevant stakeholders?
• Has the organisation established, documented and implemented quality assurance measures to ensure that benchmarks can be met?
• Do benchmarks make it clear what and when image enhancement techniques can be used?
• Is quality checking completed before the digital images are used as part of business processes?
• Is quality checking completed before any original paper records are disposed of?
• Are the results of quality checks documented?
• Are reviews of benchmarks and quality assurance measures conducted regularly to ensure processes continue to meet business requirements?

For more information, see benchmarks and quality assurance.

Technical specifications

• Are there documented and communicated technical specifications for the program?
• Are the technical specifications aligned to business and digitisation requirements?
• That is, are they fit for purpose, do they enable the capture of the essential characteristics of the records and are they suitable for how long the digital images need to be retained?

For more information, see technical specifications. 

Metadata requirements

• Are there documented and communicated technical and recordkeeping metadata requirements for the program?
• Does the metadata captured meet the requirements of the Standard on records management?
• Has additional metadata required by the organisation been identified?
• Is metadata managed as a record and retained for as long as it is required?

For more information, see metadata requirements.

Equipment for digitisation

• Have requirements for digitisation equipment been aligned to digitisation requirements?

For more information, see equipment for digitisation. 

Management of digital images as records

• Has the organisation identified the official records to be used in the transaction of business?
• If the digital images replace the original paper records as the official records can they be retained for as long as the originals are required under current retention and disposal authorities?
• Are storage systems and backup procedures for digital images and their metadata documented and implemented?
• Can systems ensure digital images are:
  • secure from unauthorised access or tampering
  • accessible to those with authorisation to access them
  • in context with related records
  • able to be maintained for as long as required?
• Are system failures documented?
• If back-up copies are used for restoration of the images, are they accompanied by verification testing to ensure the integrity of the restored records?
• Is the disposal of any digital images authorised and documented? Are digital images included in organisational strategies, for example migration and preservation strategies, for managing digital records so they can be retained for as long as required?
• Have migration strategies identified which records and their metadata are required to enable the organisation to continue to access authentic digital records?

For more information, see managing digital images as records.

Management of original paper records

• Has the organisation determined whether it intends to destroy the original paper records after digitisation? If yes, see disposal of original paper records after digitisation for more information.
• Is the handling and transportation of records carried out in accordance with the organisation’s records management policy, procedures and handling guidelines?
• Do procedures address the management of original paper records before, during and after digitisation?
• Is there adequate security and access control for original paper records before, during and after digitisation?

For more information, see managing original paper records. 

Disposal of original paper records

• The following questions are relevant if you are intending to destroy original paper records. 
• Do the digitised records have disposal coverage in current retention and disposal authorities?
• Can the organisation meet all the requirements of the general retention and disposal authority: original or source records that have been copied?
• Is the disposal of the original paper records authorised and documented in accordance with the organisation’s Records Management Program?
• Has the organisation determined, documented and communicated to staff a standard period of time to retain the original paper records after digitisation for quality control purposes?
• Are disposal actions documented in the metadata associated with the records?

For more information, see disposal of original paper records after digitisation. 

Monitoring and evaluation

• Are the digitisation approach and processes regularly reviewed for continuing relevance and cost effectiveness?