SRC Standard Two Principle 4 – Preservation Government organizations ensure that records are protected and preserved. Compare the information provided in the approved Recordkeeping Plan against current recordkeeping practices. No Section Compliance Requirement Yes No Maturity Rating 4.1 Records Disaster Recovery Plan (RDRP) Is a RDRP, or similar, approved and implemented throughout the organization for hard copy AND electronic information? 4.2 Assessment of Risks to Records Have onsite records storage areas at all locations/offices been assessed for risks? 4.3 Have all offsite records storage areas been assessed for risks? (N/A for commercial offsite storage providers engaged under CUAREC2015) 4.4 Have the mechanisms for security of, and access to, records been assessed for risks? 4.5 Have third party data centre/cloud arrangements been assessed for risks? 4.6 Have all storage areas used for archival records been assessed against the ? 4.7 Is the stated storage location for backup tapes (or equivalent) still current? 4.8 Is an accurate measurement of the quantity of hard copy archival records held by the organization (in linear metres)? 4.8.1 If yes to 4.8, what is the measurement? 4.9 Strategies for prevention of disasters and loss of records Have vital records been identified and listed in a register? 4.10 Are strategies in place to protect vital records? 4.11 Are backup procedures documented and still effective? 4.12 Are there strategies in place for preservation of electronic information/records? 4.13 Are there strategies in place for recovery of electronic information/records? 4.14 Are there strategies in place for recovery of hard copy information/records? If you have answered ‘NO’ to any of the above, please briefly explain in the table below: <Add more rows as necessary or Delete table if no changes are required> Section Explanatory Notes Planned Actions
Section Planned Improvement Progress Achieved SRC Standard Two Principle 6 – Compliance Government organizations ensure their employees comply with the record keeping plan. Compare the information provided in the approved RKP against current recordkeeping practices. No Section Compliance Requirement Yes No Maturity Rating 6.1 Staff Training and Awareness Is in-house records management training conducted by the organization? 6.2 Is external records management training offered to staff? 6.3 Are staff updated about recordkeeping matters? 6.4 Are recordkeeping responsibilities included in induction programs for all new staff? 6.5 Do records management training and/or induction programs include temporary staff, contractors, casual staff etc? 6.6 Performance Indicators Have performance indicators to measure the efficiency and effectiveness of recordkeeping programs and systems been developed? 6.7 Evaluation of Recordkeeping Programs/Systems Has the efficiency and effectiveness of recordkeeping programs and systems been evaluated in the last five (5) years? 6.8 Have results of the evaluation been reported to the CEO/Executive? 6.9 Annual Report Are statements addressing recordkeeping compliance requirements included in the organization’s annual report each year? 6.10 Do annual report compliance statements cover all aspects of SRC Standard Two, Principle 6? If you have answered ‘NO’ to any of the above, please briefly explain in the table below: <Add more table rows as necessary or Delete table if no changes are required> Section Explanatory Notes Planned Actions If the RKP identified any for improvement, report on the progress of the planned actions in the table below: <Add more table rows as necessary or Delete table if there are no matters to report>
Section Planned Improvement Progress Achieved SRC Standard Six: Outsourcing The purpose of this Standard, established under Section 61(1)(b) of the State Records Act 2000, is to define principles and standards governing contracts or arrangements entered into by State organizations with persons to perform any aspect of record keeping for the organization. State organizations may enter into contracts or other arrangements whereby an individual or an organization is to perform a function or service for the State organization, or act as the State organization’s agent to deliver services to clients, or for the State organization’s own use. The general term ‘outsourcing’ is used for such arrangements. Contractual arrangements should provide that the contractor create and maintain records that meet the State organization’s legislative, business and accountability requirements. Compare the information provided in the approved RKP against current recordkeeping practices. No Section Compliance Requirement Yes No Maturity Rating 7.1 Outsourced Functions Does your organization outsource any functions? Eg, Computing Services; Project Management; Road Building; Waste Management; Legal Services; Environmental Management etc. 7.2 Recordkeeping Issues Included in Contracts (if applicable) Are recordkeeping requirements included in all contracts for outsourced functions? 7.3 Are recordkeeping requirements included in new contracts when the organization is planning to outsource a function? 7.4 Do contract clauses address ownership and use of State records created and received by the contractor? 7.5 Do contract clauses require the contractor to create and control records, regardless of format, in accordance with the organization’s RKP? 7.6 Do contract clauses require the contractor to retain and dispose of State records in accordance with an approved disposal authority? 7.7 Do contract clauses address the organization’s requirements to access State records held by the contractor? 7.8 Do contract clauses address custody arrangements, including provision of adequate storage and security for State records stored on and offsite by the contractor? 7.9 Do contract clauses address arrangements for custody, ownership, disposal and transfer of State records on contract completion? If you have answered ‘NO’ to any of the above, please briefly explain in the table below: