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Module 4 Digital recordkeeping

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					                                 Digital recordkeeping


Explanation

This module assesses whether the framework is in place to facilitate recordkeeping in the
digital environment. The framework consists of requires defining what digital records are
to be created by the organisation, ensuring that adequate functionality is built into
recordkeeping systems, that recordkeeping metadata is created and managed over time,
and that the long term preservation of digital records is planned for and managed.
Establishing such a framework will enable the organisation to ensure that it is creating
‘full and accurate’ records in the digital business environment.

A digital record is digital information, captured at a specific point in time that is kept as
evidence of business activity. Digital records means ‘born digital’ records such as emails,
web pages, digital photographs, digital audio files, GIS files or database records, as well
as scanned versions of paper records that have been digitised in business processes.

A digital recordkeeping system may be either:
        a business system with recordkeeping functionality – that is a system that meets
         recordkeeping functionality and metadata requirements, or
        a business system linked with a dedicated records management / information
         asset management system, or
        a dedicated records management / information asset management system.

A records management / information asset management system will usually have at its
heart a software application such as an Electronic Record and Document Management
System (EDRMS), a Records Management Application (RMA) or an Enterprise Content
Management (ECM) system.

Public offices are gradually moving into digital recordkeeping. At this point in time, some
organisations will still be using paper filing systems and managing the location of these
files in an EDRMS. This is acceptable practice. However, such public offices will also
need to make rules for managing digital records such as email, electronic versions of
documents/spreadsheets etc, and business activity which occurs on the organisation’s
website and in business systems.


Authority

Section 14 (1) of the State Records Act 1998 requires that any record

    ‘in such a form that information can only be produced or made available from it by
    means of the use of particular equipment or information technology … [then] the
    public office responsible for the record must take such action as may be necessary
    to ensure that the information remains able to be produced or made available.’

To assist public offices with this obligation, State Records has issued the following
standard:
        Standard on digital recordkeeping (No. 10).

We recommend consulting this standard before commencing your assessment of digital
recordkeeping.


Making your assessment

This module assesses:


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      the maturity of conformity with requirements, and
      performance above minimum requirements.

You will need to assess the organisation against each criteria and determine whether
your organisation has met the criteria. We have provided information about the type of
evidence that you would require in order to demonstrate conformity.

Included in the module are performance criteria. These appear in the shaded boxes.
Performance criteria establish if the organisation has achieved a higher degree of
maturity and capability in the topic by working beyond the minimum compliance
requirements set in records management standards and the State Records Act 1998.

When undertaking the assessment, if your organisation cannot demonstrate evidence of
achievement of a performance criteria, this should not be considered a failure of
conformity with the State Records Act. However, your organisation should consider
implementing activities which will enable it to perform at the higher level and to achieve
the business benefits that accompany good performance.

Compliance rating

To assist you in determining how well your organisation is conforming with requirements,
we recommend that you rate your organisation’s compliance.

In each section you will need to rate your organisation according to the following scale:

                                Full / high compliance

                                Moderate compliance / minor issues

                                Low / insufficient compliance

                                Significant lack of compliance

Determining which of the above ratings you should use will be based upon the following:

Full / high compliance = you have ticked ‘Yes’ for all boxes for the section

Moderate compliance / minor issues = you have ticked ‘Yes’ to at least half the
boxes for the section

Low / insufficient compliance = you have ticked ‘Yes’ to less than half of the boxes
for the section

Significant lack of compliance = you haven’t ticked ‘Yes’ to any boxes in the section
or only ticked ‘Yes’ to one or two boxes for the section

If you rate your organisation as having Low / insufficient compliance or Significant lack of
compliance in any sections of the questionnaire, then this will indicate areas where your
organisation needs to, as a priority, put more effort into meeting the requirements of the
State Records Act and the associated standards.


What to do with your assessment?

Once you have completed your assessment using the questionnaire you should:
      evaluate the results



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       identify which areas need improvement
       examine resources (see list below) for suggestions on how to improve
       prioritise improvements and incorporate them into your organisation’s planning
        processes, and
       prepare a report for senior management on your findings.
Remember to keep a record your assessment!

You do not need to forward copies of your assessments to State Records.
However it is possible that State Records or other organisations interested in good
records management may ask in the future to see documentation of your monitoring
activities and any corrective actions undertaken as a result.


Resources for this module

State Records has produced a wide range of materials to assist public offices build their
records management framework. These resources are available from
www.records.nsw.gov.au/recordkeeping

Digital recordkeeping

Managing digital records (Guideline 22), 2009.

Strategies for documenting government business: The DIRKS Manual, 2007.

Short guide to implementing the Standard on digital recordkeeping, (Guideline 23),
2009.

IAMS/EDRMS software

Selecting records management software (Recordkeeping in Brief 2), 2008.

Business systems

Checklist for assessing business systems (Recordkeeping in Brief 42), 2010.

Considering digital recordkeeping as part of systems development or procurement
(Recordkeeping in Brief 52), 2009.

Imaging records

Digital imaging and recordkeeping (Recordkeeping in Brief 11), 2006

Metadata

Introducing recordkeeping metadata (Recordkeeping in Brief 18), 2003.

Email

Managing the message: Guidelines on managing formal and informal communications as
records (Guideline 7), 2004.

FAQs: email and recordkeeping (Recordkeeping in Brief 49), 2008



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Websites

Keeping web records (Guideline 20), 2008.

Records management and web 2.0 (Guideline 24), 2009.


Future Proof

State Records’ digital records strategy ‘Future Proof’ has its own blogsite, which is
regularly updated with case studies, news items, podcasts and other items relevant to
digital recordkeeping and the preservation of digital records. Go to:
http://futureproof.records.nsw.gov.au




State Records NSW
                                                                Digital recordkeeping
Creation and capture

              Criteria                                     Evidence                                   Your assessment   Comments & actions to
                                                                                                                             be taken

1      Has the                   a.    Decisions on the creation, capture and disposal of            Yes      No
       organisation                    digital records are based on an analysis of
       identified and                  administrative, legal social, and recordkeeping
       documented the                  contexts.
       requirements to
       make and keep
       digital records?
                                 b.    Decisions on whether records should be kept in a digital      Yes      No
                                       format are based on a risk assessment of the business
                                       documented by the record.
       Source: Digital
       recordkeeping standard,   c.    Decisions are documented and justified.
       compliance requirement                                                                        Yes      No
       1.1
                                 d.    Level of detail is adequate for implementation                Yes      No
                                       purposes.

                                 Note: In a business system environment, definitions might be
                                 recorded in:

                                     functional requirements/technical specifications for new
                                      or upgraded systems, or
                                     report of review of existing business system.
                                 In an EDRMS environment, definitions may be recorded in:
                                     policy and business rules, or
                                     specifications for systems which interface with the
                                      EDRMS (for example a web content management
                                      system) which provide for the automatic capture of
                                      records.
                                               [Documentary evidence required]
                                 a.    The organisation has identified and documented high
2      Has the
                                       risk business processes, the digital records required to
                                                                                                     Yes      No
       organisation
       identified and                  support these processes, and the systems involved in
       assessed the                    these business processes




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       recordkeeping             b.     These business systems have been assessed for their
       functionality of                 recordkeeping functionality and corrective action
                                                                                                         Yes      No
       business systems                 undertaken if required.
       involved in high risk
       business functions?                            [Documentary evidence]

       Source: Digital
       recordkeeping standard,
       compliance requirements
       1.1 – 1.3

       Program standard,
       compliance requirement
       4.1

                                 a.   Policy identifies the organisation’s designated digital
3      Are digital records
                                      recordkeeping system/s.
                                                                                                         Yes      In part
       captured into
       official digital
       recordkeeping                                                                                     No
       system/s?
                                 b.   Business rules and procedures require that staff save
       Source: Digital                digital records into the organisation’s digital recordkeeping
                                                                                                         Yes      No
       recordkeeping standard,        system/s.
       compliance requirements
       1.2 – 1.3                 c.   Systems used as official digital recordkeeping systems,            Yes      No
                                      whether dedicated information asset management/EDRMS
       Program standard,              systems or business systems that have been adapted for
       compliance requirement         recordkeeping, have the minimum required functionality.
       4.1
                                 Note: digital State records should not be stored in unofficial,
                                 information systems and repositories eg network drives, hard-
                                 drives, email inboxes, back up storage systems etc.
                                                      [Documentary evidence]
                                 a.     Once captured into an official recordkeeping system,
4      Does the digital
                                        digital records cannot be altered or deleted by users.
                                                                                                         Yes      No
       recordkeeping
       system capture
       read-only versions        b.     Digital recordkeeping systems should be able to                  Yes      No
       of digital records?              demonstrate that:
                                        o    records are captured and stored in a read-only
       Source: Digital                       format
       recordkeeping standard,
       compliance requirement           o    information security controls are in place to
       1.3                                   prevent records from being altered or deleted, and



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                                        o   an audit log of system is maintained to identify any
                                            breaches of security.

                                     [System demonstration and test individual transactions]

5      Are decryption and              Procedures are in place requiring that decryption and         Yes      No
       password                         password protections are removed from digital records
       protections                      before storing them in a recordkeeping system.
       removed from the          [Documentary evidence, system and recordkeeping processes
       digital record?                                demonstration]

       Source: State Records
       Act (s.14)

6      Can digital records             Recordkeeping systems can retrieve digital records in         Yes      No
       be retrieved from                formats which allows an individual to view and
       the digital                      understand the record.
       recordkeeping
                                     [System walkthrough/demonstration and test individual
       system and
                                                        transactions]
       presented in human
       readable form?

       Source: State Records
       Act (s.14)

       Source: Digital
       recordkeeping standard,
       compliance requirement
       1.3

7      Does the digital                Digital recordkeeping system should be able to                Yes      No
       recordkeeping                    demonstrate that:
       system manage
                                        o   access controls are implemented into the
       access to records?
                                            recordkeeping system, so only those with
                                            appropriate permissions can access records
       Source: Digital
       recordkeeping standard,              managed in the systems, and
       compliance requirement           o   information security and protection mechanisms
       1.3
                                            are in place.

                                              [System walkthrough/demonstration]




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                                 a.    Digital recordkeeping system should be able to
8      Are minimum
                                       demonstrate that all records are assigned minimum
                                                                                                     Yes      No
       metadata
       requirements                    point of capture metadata as specified in the Standard
       captured and                    on digital recordkeeping.
       managed in the            b.    Digital recordkeeping system should be able to
       digital                         demonstrate that all records are linked to minimum
                                                                                                     Yes      No
       recordkeeping                   process metadata as specified in the Standard on digital
       system?                         recordkeeping.
                                 See Metadata management section below for minimum point
       Source: Digital
       recordkeeping standard,   of capture and process metadata.
       compliance requirement                       [System demonstration]
       1.3

                                 a.    Procurement of all new business systems includes an
9      Does procurement
                                       assessment of recordkeeping requirements for the
                                                                                                     Yes      No
       of new business
       systems meet the                business supported by the new system.
       requirements of the
       Standard on digital       b.    Implementations of new systems met recordkeeping              Yes      No
       recordkeeping?                  requirements.
                                 NOTE: Recordkeeping requirements might be met by
       Source: Digital           technological or procedural measures, including the use of
       recordkeeping standard,   existing IAMS/EDRMS systems
       compliance requirements
       1.2 - 1.3                      [Documentary evidence and system demonstration]

10     Has the                   a.    The organisation has policy/business rules for the            Yes      No
       organisation set                management of email as records which is:
       rules for managing
                                       o    adopted at corporate level (endorsed by the Chief
       email?
                                            Executive)
       Source: State Records           o    identifies employees’ responsibilities for email
       Policy on electronic                 management
       messages as records
       (Premier’s Memorandum           o    identifies where and when emails should be
       98-16)                               captured
                                       o    identifies when emails can be deleted
                                       o    requires that emails be captured as a record
                                            promptly after sending or receipt
                                       o    establishes business rules for titling emails, and
                                            provides guidance/criteria to staff on identifying
                                            which emails are records of business activity.


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                                 b.   All staff are aware of their responsibilities under the       Yes      No
                                      email management policy.
                                          [Documentary evidence and interview staff]

11     Does the                  a.   There is regular monitoring of conformity with the email      Yes      No
       organisation                   management policy and/or rules for managing email
       undertake regular              [this could include documentation on monitoring the
       assessments of                 size of email accounts and random/selected audits of
       conformity with                email users to ensure conformity with requirements to
       rules for managing             capture email into the recordkeeping system].
       email?

       Source: State Records
                                 b.   The organisation includes results of monitoring into          Yes      No
                                      planning processes (for corrective action).
       Policy on electronic
       messages as records                         [Documentary evidence]
       (Premier’s Memorandum
       98-16)


12     Has the                   a.   The organisation has policy/business rules for the            Yes      No
       organisation set               management of web records:
       rules for web
                                      o    adopted at corporate level (endorsed by the Chief
       records?
                                           Executive)
       Source: Digital                o    identifies that records of web-based business
       recordkeeping standard,             activity are created, capture and managed
       compliance requirement              (including records of websites, virtual private
       1.1
                                           networks (VPNs), extranets, intranets, social
                                           networking tools, and collaborative environments)
                                      o    identifies that web records are to be kept for as
                                           long as required by retention and disposal
                                           authorities, and
                                      o    identifies that web records are to be kept in line
                                           with the requirements of the Standard on digital
                                           recordkeeping.

                                 b.   All relevant staff are aware of their responsibilities        Yes      No
                                      under the web records policy.
                                          [Documentary evidence and interview staff]

13     Has the                   a.   The organisation has a detailed risk assessment of the        Yes      No
       organisation                   recordkeeping risks associated with any cloud
       managed all risks              computing including assessing:

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       involved with cloud
       computing?
                                       o   the risk that the organisation may not be able to          Not applicable (no
                                           control the relevant State records adequately, and
                                                                                                   cloud applications/services
                                           may therefore fail to meet the requirement of
       Source: State Records
                                           s.11(1) of the State Records Act to ‘ensure the         used)
       Act (sections 11 and 14)
                                           ‘safe custody and proper preservation’ of State
                                           records
                                       o   the risk that a person in another State or country
                                           may claim ownership or otherwise take control of
                                           the records
                                       o   the risk that the records may not be returned upon
                                           request or at the conclusion of the contract
                                       o   the risk that the provider or owner of the business
                                           may go out of business, and
                                       o   all statutory or other limitations on taking or
                                           sending records out of NSW should be considered
                                           as part of the risk assessment.

                                  b.   All contracts for cloud computing arrangements include         Yes      No
                                       the following clauses:
                                       o   ownership of State records remains with the State          Not applicable (no
                                           of NSW
                                                                                                   cloud applications/services
                                       o   the public office has a continuing responsibility for   used)
                                           the proper management of those records
                                       o   record will be returned to the public office when
                                           requested in a format that is appropriate
                                       o   compliance with the State Records Act and
                                           standards on records management
                                       o   rights of and arrangements for access to records
                                       o   monitoring and inspection arrangements
                                       o   access to records under Government Information
                                           (Public Access) legislation and privacy and
                                           protection of personal information, and
                                       o   processes and penalties for failing to comply with
                                           records provisions in the contract.

                                                    [Documentary evidence]


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Using your responses to questions 1 - 13, how would you rate your organisation’s compliance for the creation and capture of
digital records?

        Full / high compliance

        Moderate compliance / minor issues

        Low / insufficient compliance

        Significant lack of compliance



Performance criteria
The following questions do not have compliance ratings as they are designed to assess whether your organisation has achieved a greater level
of maturity and capability with its creation and capture of digital records.

14     Does the organisation
       routinely monitor the
                                        Network drives, email accounts and inboxes, and hard disk
                                         drives are regularly monitored to ensure conformity with policy,
                                                                                                                Yes      No
       capture of digital                business rules and procedures.
       records into official
       digital recordkeeping
       systems?

       Source: Performance

15     Do imaging or
       digitisation systems
                                        The organisation has policy and procedures on imaging or
                                         digitising of records [may be part of broader records
                                                                                                                Yes      No
       and processes result in           management policy] that is adopted at corporate level
       authentic, complete               (endorsed by the Chief Executive or senior level)
       and accessible image
       copies of records?               All relevant staff are aware of their responsibilities under the
                                         policy or procedures on imaging records.
       Source: Performance              The imaging process has the following controls in place:
                                          o   Recordkeeping metadata is systematically applied to all
                                              images to facilitate their use and management
                                          o   technical specifications that are fit for purpose and ensure
                                              the capture of essential characteristics of the records
                                          o   images are stored securely with ‘read-only’ controls
                                          o   system documentation is maintained which includes
                                              descriptions of any image enhancement techniques


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                                          o   measures are in place for preservation of the media which
                                              stores the images and monitoring of the media to identify
                                              any deterioration
                                          o   security controls are in place (access passwords and audit
                                              trails) to prevent any alteration of the images or
                                              unauthorised access to the images
                                          o   quality control measures are implemented for the imaging
                                              process (eg checking a sample of image copies), and
                                          o   the disposal of scanned/imaged records is undertaken in
                                              accordance with General Retention and Disposal Authority
                                              – Imaged Records (GA36).

                                       [Documentary evidence, interview staff, system demonstration]
16     Has the organisation
       set rules for the capture
                                        The organisation has set rules for the usage and capture of
                                         records and corporate information temporarily stored on:
                                                                                                              Yes      No
       of records stored on
       portable media?                   o     laptops
                                         o     memory sticks, and
       Source: Performance
                                         o     other portable or mobile devices.
                                                          [Documentary evidence]

 17    Is the email policy
       reviewed and updated?
                                        There is a regular cycle of review of email policy, procedures
                                         and business rules to ensure that they incorporate any
                                                                                                              Yes      No
                                         changing business activities and priorities, and continue to be
       Source: Performance               relevant, reflect current procedures/practice/process and
                                         support business needs and the organisation’s records
                                         management.

                                                         [Documentary evidence]

 18    Is the web records
       policy reviewed and
                                        There is a regular cycle of review of the web-based
                                         recordkeeping policy, procedures and business rules to ensure
                                                                                                              Yes      No
       updated?                          that they incorporate any changing business activities and
                                         priorities, and continue to be relevant and reflect current
       Source: Performance               procedures/practices/processes and support business needs
                                         and the organisation’s records management.

                                                         [Documentary evidence]




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Metadata management

 19    Are all digital                   Metadata mapping for the capture of all digital records      Yes      No
       records assigned                   includes
       minimum point of
                                          o      unique identifier
       capture metadata?
                                          o      title
       Source: Digital
       recordkeeping standard,            o      date of creation
       compliance requirement
       2.1                                o      who/what created the record

       Full and accurate                  o      the business function/process it relates to
       standard, compliance
       requirement 3.2                    o      the creating application, and
                                          o      record type.
                                 OR
                                             If the digital recordkeeping system is a business
                                              system, then the system’s metadata capability has
                                              been assessed using the Checklist for assessing
                                              business systems.
                                                 [Documentary evidence of assessment]

 20    Are all digital                   Metadata mapping for process metadata needs to               Yes      No
       records linked to                  identify the date of the action, identify who/what
       minimum process                    undertook the action, and what action was undertaken
       metadata?                          for the following recordkeeping processes:

       Source: Digital                    o      registration into a recordkeeping system
       recordkeeping standard,
       compliance requirement
                                          o      apply or change access rules
       2.1                                o      transfer of control
       Full and accurate                  o      destruction, and
       standard, compliance
       requirement 3.2                    o      migration.
                                 OR
                                         If the digital recordkeeping system is a business
                                          system, then the system’s metadata capability has
                                          been assessed using the Checklist for assessing
                                          business systems.
                                                 [Documentary evidence of assessment]


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 21    Is metadata               a.      When records are transferred:                                Yes      No
       updated when
                                         o   process metadata is updated
       records are
       transferred or                    o   metadata includes reference to authority for
       destroyed?                            transfer (eg reference to retention and disposal
                                             authority and disposal class), and
       Source: Digital
       recordkeeping standard,           o   name of receiving organisation is added.
       compliance requirement
       2.3
                                 b.      When records are disposed of:                                Yes      No
       Full and accurate                 o   process metadata is updated, and
       standard, compliance
       requirement 3.2                   o   metadata includes reference to authority for
                                             destruction (eg reference to retention and disposal
                                             authority and disposal class).
                                      [System demonstration and test individual transactions]

 22    Is metadata linked               A migration plan identifies how metadata has been            Yes      No
       to digital records                migrated and persistently linked to records.
       when they are
                                 OR
       migrated?
                                        Documentation is maintained of past migrations
       Source: Digital                   showing that digital records and associated metadata
       recordkeeping standard,
       compliance requirement
                                         were transferred into the new system or new version of
       2.4                               the system.
                                 OR
       Full and accurate
       standard, compliance             Verification through viewing digital records in current
       requirement 3.2                   system and their associated metadata.
                                      [Documentary evidence or test individual transactions]

 23    Is the migration of       a.      Migration plan identifies how metadata has been              Yes      No
       records from one                  migrated and persistently linked to records.
       system to another
       controlled and
       documented?
                                 b.      Migration considers all essential components of a            Yes      No
                                         records and ensures that these are maintained post
                                         migration.
       Source: Digital
       recordkeeping standard,
       compliance requirements   c.      Records are made of any changes or manipulations to          Yes      No
       2.4 and 3.1                       records and their metadata that were necessary during
                                         the course of the migration.



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       Full and accurate
       standard, compliance
                                 d.      Migration plan is tested before its implementation.           Yes      No
       requirement 4.4
                                 e.      Records are migrated into systems that meet the               Yes      No
                                         requirements of the Standard on digital recordkeeping.

                                 f.      Migration is governed by procedure and conducted in           Yes      No
                                         accordance with that procedure.

                                 g.      Disposal of source records is undertaken according to         Yes      No
                                         General Retention and Disposal Authority – Source
                                         records that have been migrate (GA36)
                                      [Documentary evidence and test individual transactions]

 24    Is recordkeeping          a.      Records management policy and records management              Yes      No
       metadata disposed                 procedures identify disposal process for recordkeeping
       of in accordance                  metadata.
       with the State
       Records Act 1998?         b.      The disposal of metadata is documented.                       Yes      No
       Source: Digital
       recordkeeping standard,   c.      Information security protections are in place to prevent      Yes      No
       compliance requirement            the unauthorised deletion of recordkeeping metadata.
       3.1                              [Documentary evidence and system demonstration]

 25    Have metadata             a.      Mappings have been made between minimum point of              Yes      No
       mappings of digital               capture and process metadata and the organisation’s
       records and                       recordkeeping system.
       recordkeeping
       systems been made
       and maintained?
                                 b.      Mappings are updated as required.                             Yes      No
                                                     [Documentary evidence]
       Source: Digital
       recordkeeping standard,
       compliance requirement
       3.2


Using your responses to questions 19-25, how would you rate your organisation’s compliance for managing metadata?

         Full / high compliance

         Moderate compliance / minor issues

         Low / insufficient compliance

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         Significant lack of compliance



Performance criteria
The following questions do not have compliance ratings as they are designed to assess whether your organisation has achieved a greater level
of maturity and capability with the management of metadata.

 26    Are recordkeeping
       metadata schemas
                                  a.   Recordkeeping metadata schemas for individual systems and
                                       applications are documented and maintained.
                                                                                                             Yes      No
       created and managed?

       Source: Performance
                                  b.   Encoding schemes or ‘picklists’ for appropriate metadata
                                       elements are implemented.
                                                                                                             Yes      No

                                  c.   Encoding schemes required for use within metadata schema
                                       are managed, documented and version controlled.
                                                                                                             Yes      No
                                         [Documentary evidence and system demonstration]

 27    Has the organisation
       identified additional
                                      The organisation has assessed requirements for additional
                                       metadata elements for records of high risk functions.
                                                                                                             Yes      No
       metadata requirements                          [Documentary evidence]
       for high risk functions?

       Source: Performance

Long term preservation of digital records

Performance criteria

The following questions do not have compliance ratings as they are designed to assess whether your organisation has achieved a greater level
of maturity and capability with the long term preservation of digital records

                                  a.   Digital recordkeeping systems and business systems have been
 28    Can records in non-
       proprietary formats be          assessed to ensure that they have capability to export long term      Yes      No
       exported?                       digital records and State archives in non-proprietary formats.

       Source: Performance        b.   The organisation has consulted with State Records if digital
                                       State archives and long term digital records cannot be exported
                                                                                                             Yes      No
                                       in non-proprietary formats.

                                         [Documentary evidence and systems demonstration]



State Records NSW                                                                                                                          16
Module 4 Digital recordkeeping

                                 a.   The organisation has established a preservation plan for file
29     Is digital media
       managed and regularly          formats and classes of digital records identified as ‘at risk’.        Yes      No
       refreshed?
                                 b.   The organisation has allocated resources to manage and
                                      refresh digital media which contain records.                           Yes      No
       Source: Performance
                                 c.   The organisation regularly checks digital storage media for
                                      deterioration.                                                         Yes      No

                                 d.   The organisation ensures that all records maintained on digital
                                      media are registered in and controlled by recordkeeping                Yes      No
                                      system/s.
                                                      [Documentary evidence]

 30    Has the organisation
       limited the number of
                                 a.   The organisation has identified and determined which file
                                      formats it will use for digital records creation.
                                                                                                             Yes      No
       formats it uses?

       Source: Performance
                                 b.   The organisation is actively working to reduce the number of file
                                      formats for digital records.
                                                                                                             Yes      No
                                                       [Documentary evidence]

 31    Has the organisation
       established a
                                     The organisation has established a ‘technology watch’ to
                                      monitor for obsolescence across all digital records it creates
                                                                                                             Yes      No
       ‘technology watch’?            and manages and digital recordkeeping systems.
       Source: Performance                            [Documentary evidence]




State Records NSW                                                                                                            17

				
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