disasters and loss of records 4.10 Are there strategies in place to protect vital records? 4.11 Are backup procedures documented and still effective? 4.12 Are 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 please briefly explain in the table below: <Add more table rows as necessary or Delete table if no changes are required> Section Explanatory Planned Actions SRC Standard Two Principle 5 – Retention and Disposal Government organizations ensure that records are retained and disposed of in accordance with an approved disposal authority. Compare the information provided in the approved RKP against current recordkeeping practices. No Section Compliance Requirement Yes No Maturity Rating 5.1 Retention and Disposal Schedules (State government only, except where an SDA applies) Provide the RD number/s of the organization’s approved Retention and Disposal Schedule/s (R&D/s) for functional records. <Insert RD Number/s here> 5.1.1 Evaluation of the R&D Note: if the R&D review has not been completed no response is required for items 5.1.4 to 5.1.6. Has the R&D been reviewed? 5.1.2 Has the organization relinquished any functions? 5.1.3 Has the organization gained any functions? 5.1.4 Does the R&D cover all categories of records created by the organization (where not covered by the GDA)? 5.1.5 Are the disposal decisions in the R&D still appropriate for all record categories? *5.1.6 Did the review identify that: the organization’s business functions or practices have changed; and/or some disposal decisions have been re-considered and require change; and therefore, the R&D requires amendment?
5.2 Sector Disposal Authority (State government only, if applicable) Is the Sector Disposal Authority (SDA) relevant to the organization’s business sector used to dispose of functional records within the organization? 5.3 General Disposal Authority (GDA) for State Government Information (State government only) Is the GDA for State Government Information used to dispose of records within the organization? 5.4 GDA for Government Records (local government only) Is the GDA for Local Government Records used to dispose of records within the organization? 5.5 General Disposal Authority for Source Records (GDASR) Is the GDASR used to dispose of source records within the organization? (if No, move to question 5.9) 5.6 Was the implemented after the RKP was approved? (if applicable) 5.7 Has a compliance and risk assessment been completed? (if applicable) 5.8 Are policy and procedures in place which meet all requirements of the GDASR? (if applicable) 5.9 Disposal Program Are time-expired records destroyed in a secure manner? 5.10 Has a regular records disposal program been implemented? *NB: No amendments/revisions should be made to the R&D without prior consultation with the State Records Office. If you answered ‘Yes’ to questions 5.1.2, or 5.1.3, please briefly explain in the table below; AND/OR If you answered ‘NO’ to any other question, 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 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