601 ELECTRONIC RECORDS MANAGEMENT POLICY

Introduction

1. As a general principle, information created on, or maintained and processed in, the University's information technology (IT) based systems or personal computers (PCs) is to be managed by observing the same practices and standards as for conventional paper-based records. Disposal and transfer of this information is regulated by the Archives Act 1983.

2. For the purpose of maintaining a document or record in electronic systems, a document is defined to be any 'information' input, processed, stored and accessed via a computer system (see Section 103 for definitions of an electronic record and document).

3. Information created or processed in electronic or machine-readable formats, which may need to be retained for statutory administrative, legal or financial reasons, or because it may be useful for future ANU business or public research, must be identifiable and accessible. This information should be either copied regularly to a quality disk, such as CD ROM, or migrated to another format or medium, for example, system generated microform or paper. Most of these documents should be printed out and placed on the relevant (paper) files or at least cross-referenced to the files.

4. After information is transferred from an electronic system to paper, microform or other medium, it is then possible to delete the electronic original under the 'Normal Administrative Practice' ('NAP') provisions of the Archives Act, providing there is no further use for the data in electronic form (see Section 402)

5. Information falling into the category of 'What Not to Put on File' (as detailed in Section 402) may be deleted or amended on the system without formal authorisation, utilising the NAP provisions of the Archives Act.

6. The value of information should be identified as soon as possible. Strategies are to be developed to ensure that valuable information is retained and other information is deleted as soon as it is no longer needed. This will ensure more effective use of the system or PC. The Manager, University Records, should be contacted for further advice regarding retention or authorised destruction of electronic records.

7. Where staff or Systems Administrators identify information which is of a permanent value and that information is to be maintained electronically within the University, they should take steps to ensure that the information remains accessible and that it is effectively migrated with each IT system upgrade. The relevant supporting documentation and software must also be maintained.

8. Information held in electronic format must be appraised and sentenced in the same manner as for paper records. Appraisal takes account of the administrative, legal, fiscal, evidentiary or potential historical value of the information (see Section 405 regarding appraisal).

Electronic Mail (E-mail)

9. Only those e-mail messages that are deemed to be significant, as distinct from ephemeral records, should be retained by the University. E-mail messages which convey relatively unimportant information or information of short-term value (see Section 201) should not be retained or migrated to the formal ANU filing system. All staff should adhere to the Monitoring and Privacy of Electronic Information Policy endorsed by the IT Strategy Committee.

10. An e-mail message relevant to information gathering, policy formulation or decision-making processes supporting the University's business objectives should be printed in hardcopy. This copy should then be placed on the relevant file (see Section 103). 11. Failure to place a copy on an appropriate University file may give rise to:

a. poor audit trail of events or decisions;

b. incomplete record of transactions;

c. loss of important evidentiary information; and

d. information not being available to other ANU staff as required as part of the decision making or review processes.

Information Technology (IT) Security

12. Information management security policy and guidelines are promulgated separately to this manual. These detail obligations to be observed by management, staff and IT Systems Administrators concerning the security, access to, and use of information contained in computer-based information management systems.

13. The ANU IT Security, Corporate Information Services or Local IT Support (LITS) staff in Schools, Faculties and Centres can provide more specific guidance to management and staff on IT security policy.

Privately Owned Computers or Software

14. Official University information should not be on privately owned computers or software applications, as the appropriate security and integrity of the information cannot be ensured.

15. Information Infrastructure Services, Corporate Information Services or Local IT Support staff in Schools, Faculties and Centres can advise on IT security arrangements for staff to undertake home-based computing activities. (See IIS web site indicated under point 13 above.)

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