Recordkeeping maturity assessment tool - qgcio.qld.gov.au · Web viewMost of the time record creation is systematically integrated into new and existing business processes. The

Queensland Government Enterprise ArchitectureOFFICIAL

Recordkeeping maturity assessment tool

Draft

December 2018

V0.0.2

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QGEA Recordkeeping maturity assessment tool

Document details

Security classification OFFICIAL

Date of review of security classification

December 2018

Authority Queensland Government Chief Information Officer

Author Queensland State Archives

Documentation status Working draft Consultation release Final version

Contact for enquiries and proposed changesAll enquiries regarding this document should be directed in the first instance to:

Queensland State [email protected]

AcknowledgementsThis version of the Recordkeeping maturity assessment tool was developed and updated by Queensland State Archives].

Feedback was also received from a number of agencies, which was greatly appreciated.

CopyrightRecordkeeping maturity assessment tool© The State of Queensland (Queensland Government Chief Information Office) 2018

LicenceCreative Commons Licence to be added to document prior to approval.

Information securityThis document has been security classified using the Queensland Government Information Security Classification Framework (QGISCF) as OFFICIAL and will be managed according to the requirements of the QGISCF.

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Contents1 Introduction.............................................................................................................................

1.1 Purpose...........................................................................................................................

1.2 Audience..........................................................................................................................

2 Maturity levels.........................................................................................................................

2.1 Undeveloped agencies....................................................................................................

2.2 Developing agencies.......................................................................................................

2.3 Acceptable agencies.......................................................................................................

2.4 Managed agencies..........................................................................................................

2.5 Embedded agencies........................................................................................................

3 The Assessment Tool.............................................................................................................

4 Other resources......................................................................................................................

5 Authority..................................................................................................................................

6 Maturity tool............................................................................................................................


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1 Introduction The Recordkeeping Maturity Assessment Tool provides an easy-to-use tool for agencies to monitor and improve their recordkeeping maturity. Building on the Records Governance Policy and Queensland’s digital strategy, DIGITAL1ST, the Assessment Tool is part of Queensland State Archive’s Recordkeeping Transformation Program and will enable agencies to take full advantage of records and information and achieve their strategic goals more effectively and efficiently. The Assessment Tool describes five levels of maturity along with performance indicators for each level. Agencies may use the Assessment Tool to both determine their current level of maturity and to guide their progression to improved maturity.

Digital technology has changed how we work - and changed the responsibilities that go along with that work. Along with the Public Records Act 2002, Right to Information and privacy legislation, and increasing regulation generally, agencies must also be responsive to changes in community expectations. The community expects an open, accountable and trusted government.

Records and information management is key to meeting this expectation. Complete and reliable records allow both communities and agencies to have confidence in the decisions that are being made and the actions that are being taken. Recordkeeping maturity also gives an agency access to the information it needs – not only to operate now but to plan for the future using hindsight, insight and foresight to make evidence-based strategic decisions.

As part of QSA's Recordkeeping Transformation Program, the Recordkeeping Maturity Assessment Tool aims to improve the standard of records and information management across government. The Assessment Tool provides both a guide for advancing maturity and a self-assessment tool. It recognises that strong records management is a responsive process centred on continuous improvement.

1.1 PurposeThe purpose of this Assessment Tool is to support a phased approach to improving recordkeeping maturity within agencies. By outlining clear performance goals that align with the Records Governance Policy and Queensland’s digital strategy, Digital1st, the Assessment Tool provides an easy-to-use tool for agencies to monitor and improve their recordkeeping maturity.

1.2 Audience This Assessment Tool is intended to provide guidance for agencies who wish to improve recordkeeping maturity.

It may also be used as a self-assessment tool to allow agencies to measure their progress in achieving recordkeeping maturity.

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The intended audience includes records and information managers, agency executives and management, and any other parties interested in the improvement or evaluation of their agency’s recordkeeping maturity.

2 Maturity levelsThe Recordkeeping Maturity Assessment Tool provides a five-level maturity model for agencies to gauge and progress their recordkeeping maturity.

Each level of maturity is described below. These descriptions are intended to provide a snapshot of each level of maturity only. Further examples of performance indicators for each level are provided in the table below.

2.1 Undeveloped agenciesAn ‘undeveloped’ agency is an agency that is struggling with its records management.

This agency does not understand its recordkeeping obligations in depth and has difficulty meeting them. It handles its records inconsistently and often does not have the time or resources to do more. It doesn’t have a plan or strategy about how to address its records management issues or isn’t aware of what the issues are.

The goal for this agency is to take stock of what it is currently doing across all parts of the agency and to build its understanding of records management.

2.2 Developing agenciesA ‘developing’ agency is an agency that is aware of the gaps in its records management.

This agency is working to improve consistency in recordkeeping processes and outcomes with a focus on compliance. It is developing its understanding of records management and starting to think about how records management intersects with all aspects of its work. It is beginning to understand what is possible in terms of records and information management and the agency benefits that can result.

The goal for a developing agency is to have a plan to address the gaps in its records management.

2.3 Acceptable agenciesAn ‘acceptable’ agency is an agency that is meeting the policy requirements from the Records Governance Policy.

This agency has a clear, tailored plan to improve records management that is implementing. It is carefully and methodically developing and improving its records management to meet its needs. This agency is beginning to reap the benefits of its recordkeeping maturity. It is focused on present needs but increasingly considers future needs and goals.

The goal for an acceptable agency is systematic alignment – ensuring that processes and systems support and reinforce one another.


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2.4 Managed agenciesA ‘managed’ agency is an agency that has achieved systematic records management.

Its records management runs smoothly. Records management is aligning across the agency and integrating into all aspects of the agency’s activities. It is beginning to explore strategic recordkeeping – using the full value of records and information to achieve and shape the agency’s strategic goals.

The goal for a managed agency is to turn systematic records management into strategic records management.

2.5 Embedded agenciesAn ‘embedded’ agency is an agency that has embedded strategic aligned records management into the organisation at every level.

Every part of its records management contributes to and supports the achievement of the agency’s strategic goals. It understands and takes advantage of the full value of records and information to make evidence-based decisions. This agency embraces digital ways of working and has clear short and long-term goals.

The goal of an embedded agency is continuous improvement.

3 The Assessment ToolThe Assessment Tool includes: the six policy requirements of the Records Governance Policy (as performance

indicators for an acceptable level of recordkeeping) highlighted in bold performance indicators for the other four levels of maturity highlighted in italics examples of performance indicators for each level of maturity. The examples

provided do not represent the only way an agency may engage with or demonstrate a particular level of maturity.

To use the Assessment Tool, review each table and note which activities correspond most closely to your agency’s activities. The column with the most corresponding activities indicate your agency’s level of maturity for that policy requirement.

A mix of corresponding indicators across two or more columns suggests transition between the levels of maturity. It should be noted that the weighting of each activity will depend on an individual agency’s strategic priorities.

Activities marked in bold set a minimum acceptable level of recordkeeping using the Records Governance Policy.

4 Other resourcesOther resources that agencies may find relevant to their consideration or development of recordkeeping maturity include the policies and standards issued by the Queensland Government Chief Information Office (QGCIO).




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While the QGCIO’s Enterprise Architecture is only mandatory for Government Departments, many of the policies and standards represent best practice and other agencies may also benefit from referring to these policies and standards.

Relevant policies and standards include: Information Standard 18: Information security Information Standard 34: Metadata Information Standard 44: Information asset custodianship Queensland Government Information Security Classification Framework Queensland Government Information Security Controls Standard

5 AuthorityThis is issued under section 25 of the Public Records Act 2002 which enables the State Archivist to make policy, standards and guidelines about the making, keeping, preserving, managing and disposing of public records.


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6 Maturity toolMy agency supports records management at every level (Policy requirement 1)

Undeveloped Developing Acceptable Managed Embedded

My agency does not support records management.

My agency is beginning to support records management.

My agency supports records management.

My agency supports records management systematically.

My agency strongly supports records management at every level.

No key role/s have formal responsibility for records management.

Key roles do not know and are not interested in the value of records and information.

Some non-key roles have formal records management responsibilities.

Management is aware of records management issues, but other issues have priority.

Key roles have formal records management responsibilities and advocate for recordkeeping maturity (PR1.1).

There is executive level support for and understanding of records management.

Executive level support for and understanding of the benefits of working digitally is growing.

Key roles with formal records management responsibilities are beginning to gain traction in improving strategic recordkeeping maturity.

Agency leadership is committed to improving records management, especially for digital records.

Key roles with formal records management responsibilities strongly advocate for and achieve change in favour of strategic recordkeeping maturity.

Agency leadership champion and drive continuous improvement of records management with a focus on digital records.

Staff do not know the value of records and information.

Staff sometimes understand the value of records and

Staff usually understand the value of records and

Staff understand the value of records and how this

Staff always understand the value of records and how


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Records management responsibilities are not well known or understood.

Staff cannot access or don’t know how to access records management advice and guidance.

Records management responsibilities are not defined or communicated.

My agency does not have access to specialist recordkeeping knowledge.

Training in records management and related responsibilities is provided on an informal, ad hoc basis or not at all.

Training, when it occurs, has an inconsistent focus.

information.

Staff occasionally understand and meet their records management responsibilities.

My agency has minimal access to advice and guidance on records management and related responsibilities.

Records management responsibilities are defined and communicated inconsistently.

My agency is developing a plan to increase understanding of the value of records and information and how this relates to the obligations and responsibilities of employees.

My agency has limited access to specialist recordkeeping knowledge.

Training is provided on induction or when a specific issue arises. Limited resources are available to

how it relates to their obligations and responsibilities as an employee (PR1.2).

Staff usually understand and meet their records management responsibilities.

Staff have access to advice and guidance on records management and their responsibilities e.g. helpdesk, online guides, etc.

Records management responsibilities are defined and communicated consistently across my agency.

My agency is implementing its plan to increase understanding of the value of records and information and how this relates to the obligations and responsibilities of employees.

Specialist recordkeeping advice and guidance is sometimes sought and used

relates to their obligations and responsibilities as an employee most of the time.

Staff meet their records management responsibilities most of the time.

Staff increasingly understand the link between recordkeeping activities and the achievement of strategic goals.

Specialist recordkeeping advice is systematically sought across a range of business initiatives.

Training is responsive to staff needs and feedback.

Training is based on the value of records and staff’s specific roles and responsibilities.

this relates to their obligations and responsibilities as an employee.

Staff always meet their records management responsibilities.

All levels in my agency understand the link between records management, their responsibilities and the achievement of strategic goals.

Specialist recordkeeping advice and guidance is considered as part of all strategic decision-making.

My agency continuously reviews records training and related resources to ensure accuracy and effectiveness.

Training is based on the value of records, staff’s specific roles and responsibilities, and integrated with training in other key areas (e.g. IT, finance, etc).


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support this afterwards.

Training has a compliance focus.

by other areas of the business (e.g. IT, finance, etc).

Training in records management and related responsibilities is provided on induction and repeated at regular intervals.

There are few or no attempts to foster a positive, innovative or collaborative recordkeeping culture.

Records management is not viewed as crucial or a priority.

Poor recordkeeping practices are common.

Staff are not engaged with our agency’s records management.

Recordkeeping is resourced in an ad hoc manner.

My agency is reluctant to consider new ideas about records and information.

Collaboration on records and information matters

My agency is developing a plan to foster a positive, innovative and collaborative recordkeeping culture.

Records management is viewed as a compliance issue.

Staff have limited engagement with our agency’s records management.

Records management resourcing is limited.

Parts of my agency are open to new ideas about records and information.

There is interest in collaborating on records and information matters.

A positive, innovative and collaborative recordkeeping culture is actively fostered by my agency (PR1.3).

Records management is increasingly viewed as one of my agency’s tools to achieve strategic goals.

Staff are increasingly engaged with our agency’s records management.

Sufficient resources are available to support occasional strategic recordkeeping projects although there tends to be a focus on business-as-usual operations.

Efforts to foster a positive, innovative and collaborative recordkeeping culture are regularly reviewed for effectiveness and consistency with our strategic goals.

Records management, especially digital records management, is viewed as one of my agency’s important tools to achieve strategic goals.

Staff are consistently engaged with our agency’s records management.

Records management resourcing is increasingly focused on strategic projects.

Efforts to foster a positive, innovative and collaborative recordkeeping culture are continuously reviewed for effectiveness and consistency with our strategic goals.

Records management, especially digital records management, is at the heart of my agency’s strategic goals.

Staff are actively engaged with our agency’s records management and contribute to its continuous improvement.

Records management is well-resourced and anticipates future needs


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doesn’t occur or occurs sporadically.

New ideas about records and information are increasingly appreciated and encouraged.

Different parts of my agency are beginning to collaborate on records and information matters.

Deliberate efforts are made to encourage new ideas about records and information.

Record and information projects are increasingly organised by project rather than functional divisions.

based on our strategic goals.

My agency is always coming up with and embracing new ideas about records and information.

Internal and external collaboration on records and information matters is the ordinary method of working.

My agency’s maturity level:

My agency systematically manages records using governance practices that are integrated and consistent with broader agency frameworks (Policy requirement 2)


My agency manages records using governance practices that are irreconcilable or inconsistent with broader agency frameworks.

My agency is beginning to systematically manage records using governance practices that are integrated and consistent with broader agency frameworks.

My agency systematically manages records using governance practices that are generally integrated and consistent with broader agency frameworks.

My agency is beginning to strategically manage records using governance practices that are increasingly inseparable and indistinguishable from broader agency frameworks.

My agency strategically manages records using governance practices that are inseparable and indistinguishable from broader agency frameworks.

Our records management is disconnected from or

My agency deals with records management at the

My agency’s records management is usually

My agency’s records management is

My agency’s records management is integrated


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clashes with broader agency frameworks.

My agency’s strategic and business plans rarely or never address records management.

business unit or project level with no overarching strategy.

Some strategic and business plans incorporate records management.

My agency is taking stock of its records management to identify opportunities for integration and alignment with broader agency frameworks.

aligned with broader agency frameworks (PR2.1).

My agency’s strategic and business plans usually incorporate records management (PR2.1).

My agency’s records governance framework has been endorsed by our executive.

systematically aligned with broader agency frameworks.

My agency’s strategic and business plans incorporate records management systemically and comprehensively.

with, and cannot be distinguished from, broader governance frameworks and strategic goals.

Records management is integrated with, and cannot be distinguished from, broader strategic and business plans.

My agency does not understand how records management affects the achievement of business imperatives or strategic goals.

My agency deals with records management issues reactively and in an inconsistent manner.

My agency’s business continuity plan doesn’t or rarely includes records considerations.

My agency’s records governance is not based on

My agency is developing appropriate and fit-for-purpose documentation that details how active records management will strengthen business imperatives and strategic goals.

My agency’s business continuity plan somewhat includes records considerations.

My agency’s records management is based on compliance.

My agency has developed and is implementing appropriate and fit-for-purpose documentation that details how active records management will strengthen agency business imperatives and strategic goals (PR2.2).

My agency’s business continuity plan includes records considerations.

My agency’s records management is based on cost reduction and identifying inefficiencies.

Active records management is integrating into and consistent with the implementation of agency business imperatives and strategic goals.

My agency regularly reviews how its records management strengthens business imperatives and strategic goals.

My agency’s records management is based on improving customer experience and decision making.

Active records management is integrated with and cannot be distinguished from the implementation of agency business imperatives and strategic goals.

My agency continuously reviews how its records management strengthens business imperatives and strategic goals.

My agency’s records management is based on digital transformation and continuous improvement.


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a unifying goal or purpose. My agency is developing its records management to align with broader, whole-of-government digital initiatives.

My agency’s records management is aligned with whole-of-government digital initiatives.

My agency does not or rarely comply with relevant legislation that governs recordkeeping responsibilities.

My agency rarely or does not monitor legislative, environmental or internal changes to ensure that we comply with relevant legislation that governs recordkeeping responsibilities.

My agency sometimes complies with relevant legislation that governs recordkeeping responsibilities.

My agency inconsistently monitors legislative, environmental and internal changes to comply with relevant legislation that governs recordkeeping responsibilities.

My agency usually complies with relevant legislation that governs recordkeeping responsibilities (PR2.3).

My agency occasionally monitors legislative, environmental and internal changes to ensure that we comply with relevant legislation that governs recordkeeping responsibilities.

My agency complies with relevant legislation that governs recordkeeping responsibilities most of the time.

My agency regularly monitors legislative, environmental and internal changes to ensure that we comply with relevant legislation that governs recordkeeping responsibilities.

My agency always complies with relevant legislation that governs recordkeeping responsibilities.

My agency continuously monitors legislative, environmental and internal changes to ensure that we comply with relevant legislation that governs recordkeeping responsibilities.

My agency does not know how well its records management supports business imperatives and strategic goals.

My agency never/rarely reviews how well records management supports agency business

My agency is beginning to understand how well its records management supports business imperatives and strategic goals.

My agency inconsistently reviews how well records management supports

My agency usually knows how well records management supports agency business imperatives and strategic goals (PR2.4).

My agency occasionally reviews how well records management supports

My agency knows how well records management supports agency business imperatives and strategic goals most of the time.

My agency regularly reviews how well records management supports agency business

My agency always knows how well records management supports agency business imperatives and strategic goals.

My agency continuously reviews how well records management supports


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imperatives and strategic goals.

Records management metrics are rarely or never reported to senior executives.

agency business imperatives and strategic goals.

Records management metrics are sometimes reported to senior executives, usually on a reactive basis.


Some records management metrics are regularly reported to senior executives.

imperatives and strategic goals.

Records management metrics are regularly reported to senior executives.

Metrics are focussed on short-term records management issues.


Records management metrics that provide strategic insights are continuously reported to senior executives.

Metrics cover both short and long-term records management issues.


My agency’s records are complete and reliable (Policy requirement 3)


Few of my agency’s records are complete and reliable.

Some of my agency’s records are complete and reliable.

My agency’s records are usually complete and reliable.

Most of my agency’s records are complete and reliable.

All of my agency’s records are complete and reliable.

The records my agency needs to operate and meet its recordkeeping

The records my agency needs to operate and meets its recordkeeping



My records my agency needs to operate and meets its recordkeeping


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requirements are never or rarely identified.

My agency rarely or does not review the records it needs to operate or meet its recordkeeping requirements.

requirements are sometimes identified.

My agency reviews the records it needs to operate and meet its recordkeeping responsibilities inconsistently.

requirement are usually identified (PR 3.1).

My agency occasionally reviews the records it needs to operate and meet its recordkeeping requirements.

requirements are identified most of the time.

My agency regularly reviews the records it needs to operate and meet its recordkeeping requirements.

requirements are always identified.

My agency continually reviews the records it needs to operate and meet its recordkeeping requirements.

Processes and policies to support the creation and management of complete and reliable records are developed and implemented on an ad hoc, reactive basis or not at all.

Business processes contain inefficiencies and involves duplication of work when it comes to records management.

Processes and policies are being developed and implemented to support the creation and management of complete and reliable records.

Areas of my agency are identifying where their business processes can be modified to improve records management efficiencies and avoid duplication of work.

My agency has developed and implemented processes and policies that support the creation and management of complete and reliable records (PR3.2).

Multiple areas of my agency are working together to identify and eliminate duplicate processes and inefficiencies related to records management.

My agency regularly reviews and updates the processes and implementation that supports the creation and management of complete and reliable records.

The processes that support the creation and management of records are being aligned across my agency.

My agency continuously reviews and updates the processes that support the creation and management of complete and reliable records.

The processes that support the creation and management of records are aligned across my agency.

Record creation is rarely integrated into existing business processes.

My agency never/rarely reviews the integration of records creation into business processes.

Record creation is sometimes integrated into existing business processes.

My agency inconsistently reviews the integration of records creation into

Record creation is usually integrated into existing business processes (PR3.3).

My agency occasionally reviews the integration of records creation into

Most of the time record creation is systematically integrated into new and existing business processes.

The integration of records creation into business

Records creation is always integrated into business processes.

The integration of record creation into business processes is continuously reviewed to identify


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My agency has few digital business processes.

business processes.

My agency has some digital business processes.

business processes.

My agency is actively working to transition to digital processes.

processes is regularly reviewed to identify opportunities for improvement with a focus on transitioning to digital processes.

opportunities for improvement.

Business processes are digital wherever possible.

Records management is rarely or never considered when decisions are made about business systems.

My agency does not work digitally or works digitally in an ad hoc fashion.

Records management is sometimes considered when decisions are made about business systems.

When it is considered, records management is an afterthought when decisions are made about business systems.

My agency is reviewing all key business processes, systems and technologies in order to transition to working digitally.

Records management is usually considered when decisions are made about business systems (PR3.4).

Records management is one of many considerations when decisions are made about business systems.

My agency is developing a plan to transition to working digitally by default.

Records management is considered most of the time when decisions are made about business systems.

Recordkeeping needs shape key decisions about business systems.

New projects accommodate records management implications as well as identifying opportunities for collaboration and synergies.

My agency is transforming to support working digitally by default.

Records management is always considered when decisions are made about business systems.

Recordkeeping needs determine strategic decisions made around business systems.

My agency is digital by default with paper records only created as an exception.


Permanent, high-value and high-risk records and information are actively managed as a priority (Policy requirement 4)


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My agency does not manage our permanent, high-value and high-risk records.

My agency somewhat manages our permanent, high-value and high-risk records.

My agency actively manages our permanent, high-value and high-risk records as a priority.

My agency actively manages our permanent, high-value and high-risk records in a systematic way.

My agency actively manages our permanent, high-value and high-risk records in accordance with our strategic goals.

My agency has not defined the criteria and processes for identifying permanent, high-value and high-risk records or has done so on an ad hoc basis.

My agency is unsure which of our records are permanent, high-value or high-risk.

My agency is developing its criteria and processes for identifying permanent, high-value or high-risk records.

My agency sometimes knows which of our records are permanent, high-value or high-risk.

My agency has defined the criteria and processes for identifying permanent, high-value and high-risk records including transfer of permanent records to QSA PR4.1).

My agency usually knows which of our records are permanent, high-value or high-risk.

My agency regularly reviews the criteria and processes for the identification of permanent, high-value and high-risk records.

My agency knows which of our records are permanent, high-value or high-risk most of the time.

My agency continuously reviews the criteria and processes for the identification of permanent, high-value and high-risk records.

My agency always knows which of our records are permanent, high-value or high-risk.

My agency has not formally documented the details of permanent, high-value and high-risk records or has done so in an ad hoc fashion.

My agency never/rarely reviews how it documents the details of permanent,

My agency sometimes documents the details of permanent, high-value and high-risk records.

My agency inconsistently reviews how it documents the details of permanent, high-value and high-risk records.

My agency usually documents the details of permanent, high-value and high-risk records (PR 4.2).

My agency occasionally reviews how it documents the details of permanent, high-value and high-risk records.

My agency documents the details of permanent, high-value and high-risk records most of the time.

My agency regularly reviews how it documents the details of permanent, high-value and high-risk records.

My agency always documents the details of permanent, high-value and high-risk records.

My agency continuously reviews how it documents the details of permanent, high-value and high-risk records.


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high-value and high-risk records.

My agency does not have or has limited visibility of its permanent, high-value and high-risk records.

My agency never/rarely reviews the ways it actively maintains visibility of permanent, high-value and high-risk records.

My agency has inconsistent visibility of its permanent, high-value or high-risk records.

My agency inconsistently reviews the ways it actively maintains visibility of permanent, high-value and high-risk records.

Areas of my agency identify, document and maintain visibility of permanent, high-value and high-risk records in different ways.

My agency usually actively maintains visibility of permanent, high-value and high-risk records (PR 4.3).

My agency occasionally reviews the ways it actively maintains visibility of permanent, high-value and high-risk records.

Areas of my agency sometimes identify, document and maintain visibility of permanent, high-value and high-risk records in the same ways but rarely because of planning to do so.

My agency actively maintains visibility of permanent, high-value and high-risk records most of the time.

My agency regularly reviews the ways it actively maintains visibility of permanent, high-value and high-risk records.

My agency is consolidating how it identifies, documents and maintains visibility of permanent, high-value and high-risk records across the agency.

My agency always actively maintains visibility of permanent, high-value and high-risk records.

My agency continuously reviews the ways it actively maintains visibility of permanent, high-value and high-risk records.

My agency’s ways of identifying, documenting and maintaining visibility of permanent, high-value and high-risk records are aligned across the agency.



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Records are discoverable and accessible for use and reuse (Policy requirement 5)


My agency’s records are rarely discoverable or accessible for use and re-use.

My agency’s records are sometimes discoverable and accessible for use and re-use.

My agency’s records are largely discoverable and accessible for use and re-use.

My agency’s records are systematically discoverable and accessible for use and re-use and this is aligned across the agency.

My agency’s records are discoverable and accessible for use and re-use that supports the efficient and effective achievement of our strategic goals.

My agency does not monitor or control which business systems and applications create and keep records.

My agency does not have an approved list of business systems and applications that create and keep records.

My agency is determining what business systems and applications will be approved to create and keep records.

The same business systems and applications are not used to keep the same records across different areas of my agency.

Records are usually kept in approved business systems and applications in my agency(PR5.1).

My agency has an approved list of business systems and applications.

Some areas of my agency use the same business systems and applications to keep records in the same way but rarely because of planning.

Most records in my agency are kept in of approved business systems and applications.

The business systems and applications that create and keep records are being aligned across parts of my agency, depending on business needs.

All records are kept in approved business systems and applications in my agency

The business systems and applications that create and keep records are aligned across parts of my agency, depending on business needs.

Records are being consolidated across business systems to create a single source of truth where possible.

Staff in my agency regularly Staff in my agency regularly Staff in my agency usually Staff in my agency can Staff in my agency can


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lose significant amounts of productive time searching for records or recreating work or information that cannot be located.

Staff often or always have trouble accessing records promptly when needed.

My agency does not have or has limited policies and processes to support the discoverability and accessibility of records.

My agency never/rarely reviews the policies and processes that support the discoverability and accessibility of records.

lose productive time searching for records or recreating work or information that cannot be located.

Staff regularly have trouble accessing records promptly when needed.

My agency is developing policies and processes to support the discoverability and accessibility of records.

My agency inconsistently reviews the policies and processes that support the discoverability and accessibility of records.

can discover and appropriately access records with confidence in sufficiency of search (PR5.2).

My agency has policies and processes in place to support the discoverability and accessibility of records.

My agency occasionally reviews the policies and processes that support the discoverability and accessibility of records.

discover and appropriately access records with confidence in sufficiency of search most of the time.

My agency regularly reviews the policies and processes that support the discoverability and accessibility of records, including digital continuity, using a risk-based approach.

always discover and appropriately access records with confidence in sufficiency of search.

My agency continuously reviews the policies and processes that support the discoverability and accessibility of records, including digital continuity, and actively seeks opportunities for improvement.

My agency does not monitor the health of its records or monitors them in an ad hoc fashion.

My agency sometimes monitors the health of its records.

Areas of my agency actively monitor the health of the records in different ways.

My agency usually actively monitors the health of records (PR5.3).

Areas of my agency sometimes actively monitor the health of records in the same way but rarely because of planning to do

My agency actively monitors the health of records most of the time.

My agency is aligning how it actively monitors the health of its records across the agency.

My agency always actively monitors the health of records.

My agency actively monitors the health of its records systematically and consistently across the agency.


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so.


Records are disposed of in a planned and authorised way (Policy requirement 6)


In my agency, records are not disposed of in a planned and authorised way.

In my agency, records are sometimes disposed of in a planned and authorised way.

In my agency, records are usually disposed of in a planned and authorised way.

In my agency records are disposed of in a planned and authorised way most of the time.

In my agency records are always disposed of in a planned and authorised way.

My agency decides what records to dispose of without reference to the disposal authorities issued by the State Archivist.

My agency does not know if it has records that are not covered by a disposal authority.

My agency does not dispose of records or disposes of records in an ad hoc manner.

My agency sometimes uses the disposal authorities issued by the State Archivist.

My agency is reviewing its records to determine which ones are covered by disposal authorities.

My agency uses the disposal authorities issued by the State Archivist and is actively addressing gaps in coverage (PR6.1).

My agency occasionally disposes of records, often in response to storage or cost issues.

My agency regularly monitors disposal authorities issued by the State Archivist and the environment to ensure proper coverage.

My agency regularly disposes of records based on risk-value assessments.

My agency continuously monitors disposal authorities issued by the State Archivist and the environment to ensure proper coverage.

My agency continuously disposes of records in line with our strategic goals.

My agency does not have a My agency is developing a My agency has a disposal My agency regularly reviews My agency continuously


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disposal plan or the plan it has does not cover all agency records.

disposal plan with full coverage of all agency records.

Some agency areas have an appropriate disposal plan and/or document their disposal of records.

plan covering endorsement, methods and frequency (PR6.2).

Different parts of the agency have different disposal plans and processes.

its disposal plan.

My agency is consolidating and aligning disposal plans and processes across the agency.

reviews its disposal plan in line with broader strategic goals.

My agency’s disposal plan/s and processes are aligned agency-wide wherever possible.

My agency does not document records disposal or documents disposal in an ad hoc fashion.

My agency never/rarely reviews how it documents disposal of records.

My agency sometimes documents records disposal but there are significant gaps.

Areas of my agency document disposal of records in different ways.

My agency inconsistently reviews how it documents disposal of records.

My agency usually documents the disposal of records (PR6.3).

Areas of my agency sometimes document disposal of records in the same way but rarely because of planning to do so.

My agency occasionally reviews how it documents disposal of records.

My agency documents the disposal of records most of the time.

My agency is aligning how it documents the disposal of records across the agency.

My agency regularly reviews how it documents disposal of records.

My agency always documents the disposal of records.

My agency’s documentation of records disposal is aligned across the agency.

My agency continuously reviews how it documents disposal of records.



OFFICIAL


My agency’s overall maturity level

E.g. Undeveloped, developing, acceptable, managed or embedded.

My agency’s maturity level in

Ensuring records management is supported at all levels

Is

Systematically managing records using governance practices that are integrated and consistent with broader agency frameworks

Creating complete and reliable records

Actively managing permanent, high-value and high-risk records and information as a priority

Making records discoverable and accessible for use and re-use

Disposing of records in a planned and authorised way

Overall level:

Choose the level that appears most appropriate for each Policy requirement given the examples provided. Once in place in the above table, determine the overall level of maturity by averaging the Policy requirement maturities.


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For example:

E.g. Undeveloped, developing, acceptable, managed or embedded.

My agency’s maturity level in

Ensuring records management is supported at all levels

Is Developing

Systematically managing records using governance practices that are integrated and consistent with broader agency frameworks

Acceptable

Creating complete and reliable records Developing

Actively managing permanent, high-value and high-risk records and information as a priority

Managed

Making records discoverable and accessible for use and re-use

Undeveloped

Disposing of records in a planned and authorised way

Managed

Overall level: Developing/Acceptable


OFFICIAL


Document history

Version

Date Author Key changes made

0.0.1 December 2018 QSA QGCIO convert to QGEA template


Documents

Recordkeeping maturity assessment tool - qgcio.qld.gov.au · Web viewMost of the time record creation is systematically integrated into new and existing business processes. The