Are originals necessary or is a scan sufficient? Examples of the most frequently requested document types

Many people wonder which documents they need to keep as originals and whether a scan is sufficient. Here you will find information on the most frequently requested document categories.

Example: official letters:

To understand the difference and relevance of original documents compared to scans, it is first essential to explain the difference between written form and text form. Under Section 126(1) of the German Civil Code (BGB), written form means that the document must be signed personally by hand on paper beneath the text. Furthermore, regarding the BGB definition of written form, Section 3 states: The written form may be replaced by the electronic form, unless the law provides otherwise.

Text form merely requires that content in a document can be permanently accessed and that the person making the declaration is identifiable. A PDF file or a scan would therefore be a solution that covers the requirements of text form. Printing on paper is not necessary when referring to text form. This makes it much easier to transition to a paperless office.

Furthermore, numerous official letters or notices that have been machine-generated without a signature can simply be stored digitally. Here, Section 37 (5) of the Administrative Procedure Act exceptionally allows for the omission of the signature and name for machine-generated notices, meaning the administrative act remains valid. Below, we list further examples regarding the necessity of originals.

Example: residential tenancy agreement: original or copy 🏘️📝

Which documents can I submit as a scan? For a residential tenancy agreement, the law does not strictly require the written form. It does not, therefore, have to be printed out and signed. Only if an agreement is concluded for a fixed term exceeding one year must it be signed by hand. If it is not, it remains valid under Section 550 of the German Civil Code (BGB), but is treated as being for an indefinite period.

Even so, most people will have a written tenancy agreement. The reason is that it makes it easier to prove the terms of the lease in the event of a dispute. It is permissible to scan a tenancy agreement and submit this scan as a document. Nor does this constitute forgery or tampering with documents that could give rise to criminal liability (Sections 267 et seq. of the German Criminal Code), provided you are not altering a genuine document and do not intend to use it for deception in legal transactions.

If, for example, you are involved in a court case regarding a tenancy (such as the admissibility of a rent increase), you can submit a digital copy as an attachment to a legal brief. Only if the landlord disputes in court that it is the correct tenancy agreement or that it contains something else would you have to retrieve the original document (your signed copy) and bring it to court so that the judge and the landlord can inspect it. If doubts still persist, a handwriting analysis of the signatures would be required.

Example: birth certificate original or copy

Another presumably very rare example is the handling of birth certificates. These are typically always kept as originals at the registry office, and you only need an officially certified copy of the birth certificate yourself, for example, for marriage registration. You will receive the certified copy of the original document by post or have to collect it. You may also scan this, for example, to have a copy for yourself. However, you must present the certified copy in its original form. However, relevant cases, such as registering for a marriage, occur quite rarely.

Example: diplomas and certificates

Diplomas or certificates can also simply be scanned and initially attached as a file for job applications. Only when concluding an employment contract might some employers want to inspect the originals. However, this is becoming increasingly rare. Digital application documents are usually sufficient, as they simplify administration for the HR department in digital application processes and rarely need to be questioned regarding their authenticity.

Example: business receipts or documents 🧾

Business receipts and records are treated differently from certificates or diplomas. If you are an entrepreneur and receive an invoice by post, you must retain the original for up to ten years. However, you can also provide this as a scan for the tax office. Original documents can only be requested during a tax audit. Since such an audit is scheduled with several weeks' notice, you would have time to retrieve all required records.

What does replacement scanning mean? ☑️

Substitute scanning refers to the digital capture of paper documents in document management systems for the further processing and storage of the resulting electronic image (e.g. scan / PDF) — including the subsequent destruction of the original paper record. Substitute scanning allows documents to be archived in electronic form rather than on paper. Three steps define substitute scanning: capturing, archiving, and destroying. They form the foundation of the document management process.

First and foremost, an electronic document archive saves space. Digitised documents can also frequently be searched using full-text search or labelled with tags. This is what makes faster retrieval of information and location-independent access to documents possible in the first place. Caya Document Cockpit also offers you these capabilities for your digitised documents.

Furthermore, the digitisation of receipts is subject to specific regulations that must be observed. These are governed by the 'Principles for the proper management and storage of books, records and documents in electronic form and for data access', known as GoBD. This administrative directive from the Federal Ministry of Finance (BMF) specifies how tax-relevant receipts and invoices should be recorded, processed and stored.

In principle, GoBD certification requires that the completeness, accuracy, order and immutability of documents are guaranteed. In professional terms, document management that meets GoBD criteria is also referred to as audit-proof filing. By the way, Caya is GoBD certified. Working in a GoBD-compliant manner and using GoBD-compliant tools makes it much easier to prove proper bookkeeping during audits.

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Source:
https://www.kanzlei-vellante.de/blog/ersetzendes-scannen-so-geht-es-richtig.html