• Section 1 - Purpose
• Scope
• Section 2 - Glossary
• Section 3 - Policy
• Section 4 - Procedures
• Part A - Capture Requirements
• Part B - Responsibilities
• Manager, University Records
• Records Delegates
• All University Employees
• Part C - Sensitivity
• Security Controls
• "Read Only" Controls
• Part D - Quality
• Technical Considerations
• Standard Format
• Image Enhancement
• Disposal Authority
• Conditions for the Disposal of Imaged Records
• Quality Control/Imaging Process
• Accessibility
• Section 5 - Guidelines

March 2022 – This document is rescinded and has been replaced by the Records Management Procedure.

Section 1 - Purpose

(1) The purpose of this Procedure is to assist users to establish sound records management practices and a consistent approach with regard to the destruction of original paper records which have been successfully digitised through scanning and captured into an approved records management system.

Scope

(2) This Procedure applies to all members of the Charles Sturt University (the University) community who digitise paper records for capture into an electronic records/document management system.

Section 2 - Glossary

(3) For the purpose of this Procedure:

1. Records - means information created, received and maintained by the University and its employees in the transaction of official business or conduct of affairs, and kept as evidence of such activity.
2. Digital Records - means digital information, captured at a specific point in time, that is kept as evidence of business activity. Digital records refers to 'born' digital records such as emails, web pages, digital photographs, digital audio files, GIS files or database records, as well as scanned versions of paper records that have been digitised in business processes.
3. Metadata - means data describing data and data systems. In records management, recordkeeping metadata is data that describes the context, content and structure of records and their management through time. (AS ISO 15489 Part 1 Clause 3.12).
4. State Records - means records created by public offices in NSW (including universities) which are State records under the State Records Act 1998 No 17 and subject to the provisions of both the State Records Act 1998 No 17 and the State Records Regulation 2015.
5. State Archives - means a State record that State Records NSW has control of under the State Records Act 1998 No 17.
6. HPE Records Manager (HPE RM) - means the approved Electronic Document Records Management System (EDRMS) used to capture and manage corporate records of Charles Sturt University.

Section 3 - Policy

(4) Refer to the Records Management Policy.

Section 4 - Procedures

Part A - Capture Requirements

(5) Scanning of images/records must be done using Division of Information Technology (DIT) approved software and hardware as specified in the DIT Service Catalogue in order to capture technical metadata such as image resolutions, bit depths, compression and file formats. Without this associated metadata for imaged records, DIT will not be able to prove that the image is a true and exact copy of an original (after disposal of the physical record). Therefore, the original is required to be kept for a minimum of three months before being disposed of.

Part B - Responsibilities

Manager, University Records

(6) The Manager, University Records is responsible for:

1. development, monitoring and review of the University-wide records management policy, procedures, standards and guidelines for the creation, management, storage and disposal of University records; 
2. dissemination of information in relation to the activities outlined above, in consultation with the University Secretary, the University Ombudsman, the Manager, CSU Regional Archives and University Art Collection and the heads of University organisational units;
3. provision of advice to University employees regarding the creation and maintenance of University records and the systems in which they are maintained; and
4. provision of records management training to University employees.

Records Delegates

(7) Records Delegates are nominated staff within units/Divisions who have more extensive recordkeeping responsibilities for their operational area.

(8) Records Delegates are responsible for:

1. conducting regular documental validation checks on digitised records;
2. managing and maintaining the day to day records management processes and operations within their area; and
3. supporting staff within their area on records management matters such as the registration and creation of files, the conduct of the disposal process for files, etc.

All University Employees

(9) All employees of Charles Sturt University are responsible for ensuring that they create and maintain full and accurate records of official University business that they transact.

Part C - Sensitivity

Security Controls

(10) All staff are responsible for applying the appropriate security controls to scanned images to protect the sensitivity of corporate information. Access to records/images within HPE RM is directed by the security level afforded to particular files and through the use of Groups and Access rights.

(11) Staff are reminded that all original (physical) documents inherit the same security level as the imaged/scanned record. Access to confidential records shall be limited to staff with the appropriate access rights and shall be secured when unattended. In areas where many people have access to filing cabinets, and/or compactuses, controls shall exist or be established to limit access to authorised users.

"Read Only" Controls

(12) Staff are required to use only approved image formats.

(13) Approved image formats include Portable Document Format (PDF) and Tagged Image File Format (TIFF) for scanned /imaged records as these provide 'read only' controls ensuring data integrity and accessibility.

Part D - Quality

Technical Considerations

(14) University staff must observe the following recommended technical guidelines when scanning records/images into an electronic recordkeeping system.

Standard Format

(15) The standard format for University imaged records is PDF. PDF is a digital format that has become the standard for the exchange and storage of data. PDF files may be created natively in PDF form, converted from other electronic formats, or digitised from paper, microfilm or other hard copy formats. TIFF is a digital format that is widely supported. TIFF files are commonly used in desktop publishing, 3-D applications and medical imaging applications.

Image Enhancement

(16) Any image enhancement undertaken to imaged files must be noted and registered in the notes section of the document type. This includes enhancements such as:

1. despecking;
2. deskewing;
3. crop border;
4. invert images;
5. smoothing/sharpening; and
6. colour correction.

Disposal Authority

(17) Prior to destruction of imaged records, staff must ensure that records considered for destruction under GA45 - General Disposal Authority - Original or Source Records that have been copied, are covered by a current, approved General Disposal Authority.

Conditions for the Disposal of Imaged Records

(18) To comply with legal requirements when destroying imaged records, staff must ensure that the conditions for destruction are first met (refer to Scope). Original records authorised for disposal under GA45 must be scanned and captured into an approved electronic document records management system i.e. HPE RM. The original paper record must be placed in a Type 1 archival box for quality control/disaster recovery purposes for a period of three months after digitisation.

(19) Prior to the disposal of imaged records, staff must ensure that no special requirements exist to retain the record in its original format (refer to Scope).

(20) Disposal of any records under GA45 require:

1. completion of a Request for Authority to Destroy and forwarding to the Manager, University Records for approval; and
2. notifying the Manager, University Records how and when the records were destroyed.

Quality Control/Imaging Process

(21) When documents are being scanned/imaged, a register of events must be kept. The following information must be captured during the scanning registration process:

1. identity of the person who performed the scanning;
2. extract of post-scanning processes (e.g. deskewing, despecking, etc.) performed (captured by operator in the notes section); and
3. date and time of scanning (captured automatically).

Accessibility

(22) All imaged copies of records must be captured into a DIT approved electronic records management system. The Division of Information Technology will ensure that long term accessibility of images is documented according to organisational policy and procedures.

Section 5 - Guidelines

(23) Nil.