Digital Continuity Principles

The Australian Government has declared its commitment to 'open government based on a culture of engagement, built on better access to and use of government held information, and sustained by the innovative use of technology.' ¹ The government promotes the use of technologies that enable access to public sector information and easy search and discovery of information, and support information use.

Digital continuity is an approach to keeping and managing digital information to ensure that it can be used in the way that is required, for as long as required and no longer. ²

Digital continuity ensures information is complete, available and useable by those with a need for it. It also ensures the information is not kept for longer than needed. Information is useable when you can:

• find it when you need it
• open it when you need it
• work with it in the way you need to
• understand what it is and what it is about, and
• trust that it is what it says it is.' ³

The Digital Continuity Principles outline critical features of effective digital continuity. They recognise that the Australian Government is very diverse and that there is no simple or 'one-size-fits-all' solution for information management – what works in one agency, department or section may not work in another. The principles can be applied flexibly to suit the business needs of individual agencies.

The principles were developed by the National Archives in consultation with a number of Australian Government agencies and draw upon other Government frameworks and principles-based documents. ⁴

Adopting the Digital Continuity Principles will lead to digital continuity outcomes that achieve benefits for agency business; align people, processes and technology; and ensure information is fit-for-purpose.

The Digital Continuity Plan identifies key actions that agencies can undertake to move towards effective and efficient management of digital information over time and achieve the Digital Continuity Outcomes. The plan provides more specific advice and links to a range of practical guidelines.

The principles specifically relate to maintaining digital information over time. They do not address the transition of business processes and information management practices from paper-based or other physical processes or practices to fully digital processes and practices.

The principles

1. The value of digital information as a business, evidentiary and community resource is understood and the information is managed accordingly.
2. The governance of digital information is integrated with agency governance, with roles and responsibilities clearly defined and allocated.
3. Digital information is authentic and reliable.
4. Digital information is discoverable, accessible and usable.
5. Digital information is managed digitally.
6. Digital information is managed, protected and preserved for as long as required and then disposed of appropriately.

Digital continuity outcomes

By adopting the principles set out above, the following outcomes should be realised:

• Benefits of information to agency business, the government and the community are optimised.
• People, processes and technology are aligned to support effective information management.
• Information is fit-for-purpose over its life.

The key actions in the Digital Continuity Plan are aimed at achieving these outcomes.

Principle 1: The value of digital information as a business, evidentiary and community resource is understood and the information is managed accordingly

Digital information should be managed as an asset according to its value. The value of the information, business risks, and legal and community obligations must be assessed so that digital information can be managed to meet these purposes. Those who are responsible for digital information are best placed to understand the purpose and use of their digital holdings. The value of information can change over time depending on relevance and context. Additionally, not all information is equally valuable.

Implications

• An information review or audit will help to identify what information is held, where it is held, how it is used and who uses it.
• Results of an information review can be used to create an ongoing information asset register (as outlined in the Open Public Sector Information Principles).
• Information management priorities need to reflect the value of digital information and possible consequences of poor digital information management.

Principle 2: The governance of digital information is integrated with agency governance, with roles and responsibilities clearly defined and allocated

Digital information is central to the conduct of agency business. It must be managed effectively to meet the needs of government and the community. Digital information governance needs to be integrated with agency governance. Clear accountabilities for digital information are required with roles and responsibilities assigned and resourced at strategic and operational levels.

Implications

• The requirements of good governance apply to digital information.
• Effective digital information management needs to be addressed in corporate governance mechanisms.
• Information management roles, including accountability at a senior level, need to be defined, assigned and resourced.
• A multi-disciplinary approach involving information or records managers, business areas and ICT specialists is essential. Other specialists such as security advisers, risk managers, auditors, legal advisers, intelligence analysts and compliance or governance officers may also need to be involved.
• Training and support for digital information responsibilities needs to be provided.

Principle 3: Digital information is authentic and reliable

Sound business decisions depend on trustworthy information. Accountability requires that evidence of decision-making and actions can withstand scrutiny. To achieve this, digital information needs to be complete and, in context, and able to be shown to be authentic, reliable and secure from unauthorised tampering or alteration.

Implications

• Appropriate controls over the creation, security, availability, use and retention of digital information are required, and should be incorporated into software solutions.
• Digital information must be protected so that it cannot be accessed, altered or destroyed without authorisation. Authorised access, alterations and destruction must be recorded.

Principle 4: Digital information is discoverable, accessible and usable

To achieve business benefits and meet the expectations of the government and community, digital information must be appropriately discoverable, accessible and usable. Digital information is discoverable when it can be easily found. It is accessible when it can be easily retrieved and read in context and it is usable when it can be easily evaluated or understood, edited, updated, shared, and reused as appropriate by those who need it.

Implications

• Appropriate tools to aid discovery and use of digital information need to be provided.
• Users should be able to search, retrieve and use digital information without being hindered by siloed management approaches, unnecessarily restrictive security models or incompatible technical solutions.
• Digital information must be made available in a form that facilitates reuse and value-adding.

Principle 5: Digital information is managed digitally

If information in digital formats is printed to paper, it loses valuable context, it is less easily re-used and it is inefficient. Digital information should be kept and managed digitally in business systems with the necessary functionality.

Implications

• Change work practices to reduce reliance on paper-based information and emphasise the use of digital information.
• Abolish 'print to paper' information management practices.

Principle 6: Digital information is managed, protected and preserved for as long as required and then disposed of appropriately

Digital information needs to be managed for as long as it is needed to meet agency, government and community requirements. In some instances this will extend beyond the life of the system in which it was created, captured or managed.

Digital information needs to be actively managed throughout its life, including through any changes in the systems used to manage it or the format in which it is held.

In addition, requirements for the retention or disposal of information need to be understood and managed.

Implications

• Plan and prepare for change over the life of the digital information.
• Base retention and disposal practices on current records authorities issued by the National Archives, the normal administrative practice provision of the Archives Act 1983 or as required by other legislation.