103 RECORDS MANAGEMENT POLICIES

Definition of Record

1. In view of the proliferating use of electronic records, the National Archives of Australia now defines a 'record' as:

'that which is created and kept as evidence of agency or individual functions, activities and transactions. To be considered evidence, a record must possess content, structure and context and be part of a record-keeping system'

NB: This is a departure from the Archives Act 1983 which defines records in terms of physical objects such as paper files, tapes, disks, etc.

2. Within the ANU, a record may be created or held in various media and formats including paper files, maps, drawings, photographs, computer disks, audio tapes or multi-media. To be regarded as records they must be held and maintained as evidence of the University's business transactions.

Definition of Document

3. A 'document', as distinct from a record, is a structured unit of recorded information in paper or electronic form which is managed as a discrete unit in an information system. An electronic record is distinguished from an electronic document by its transactional context and evidential purpose. Electronic documents are managed through data and document management techniques and tools, including electronic document management software.

4. An electronic document becomes an electronic record when it takes part in a business transaction and is kept to provide evidence of that transaction, eg. a report prepared on a word processor remains a document until it is submitted, after which it becomes a record. To be recognised as a record, it must be captured in a recordkeeping system and must incorporate relevant structural and contextual information, as well as content.

Record Keeping

5. A recordkeeping system is distinguished by the fact that the information it contains is linked to the activities that it documents. Recordkeeping systems capture, maintain and provide access to evidence over time as required by the jurisdiction in which they are implemented and in accordance with common business practices.

6. An electronic mail message constitutes a transaction and therefore constitutes a record. Apart from the content of an electronic mail message, its contextual data, such as the name and position of the sender and recipient, date and time of sending, whether and when it has been read, copied to other staff, and links to replies and enclosed documents, should also be captured and maintained.

7. Electronic records are subject to the same legislative provisions as traditional paper records (see section 101). All reference in this Manual to 'documents' and 'records' should therefore be read to include electronic as well as hard copy (paper-based) material.

Managing Commonwealth Records

8. All ANU staff have a responsibility to ensure that information generated within and received by the ANU is managed in an efficient, uniform and accountable manner. By observing the standards and procedures detailed in this manual, staff may be confident of discharging their obligations to maintain Commonwealth records in good order.

9. School and Faculty Secretaries and Business Managers are responsible for effective management of records in their Schools, Faculties and Centres. This includes responsibility for the proper creation, maintenance, storage and disposal of their records (see section 102 for the administrative responsibilities regarding records management).

Quality and Vital Records

10. Quality Records are transactional records kept to demonstrate conformance to specified requirements and the effective operation of a quality system. Vital Records include instruments made under provisions of legislation appropriate to the University's functions. They include documents which establish:

a. processes, schemes or plans under which delegates powers or authority may be delegated;

b. levels of fees or charges;

c. levels of entitlements or rights;

d. policies, directives or procedures which may impact decision-making;

e. procedures or codes of practices; or

f. terms and conditions for employment in key positions.

11. Responsibility for the co-ordination and control of the University's vital records has yet to be assigned. A vital records program will be developed by the Manager, University Records and this Manual updated to include reference to the program.

Archives Management

12. Archives management is an essential part of the records management process. The principal aim is to ensure efficient and economical management of University records by:

a. the prompt destruction of records no longer needed for legal, fiscal, administrative or other reasons; and

b. identification and preservation of those records which must be retained permanently or for a designated period.

13. The function of identifying the University's archived records is managed by University Records which is responsible for developing and implementing archival programs which fulfil the statutory obligations of the Archives Act. A secondary aim is to minimise records storage costs. (See section 401 for details on managing inactive and archival records).

14. Inactive records which are worthy of permanent retention are transferred to the University arrchives managed by the University Archivist.