TNA
Self Assessment Questionnaire for compliance with the revised Records Management
Code of Practice
Guidance on using this tool
This Excel workbook is the latest automated support tool to assist public authorities assess their conformance of
their record management systems to the revised Records Management Code. SKIP to
Questionnaire
To perform the self-assessment, the public body should complete each of the nine modules in the assessment
questionnaire.
The questionnaire prompts for answers using either drop down lists or a simple cell for open ended responses.
The drop-down lists show "Please select" as the default entry.
The workbook will use your responses to determine an assessment of risk, and display the results in the "Result
SKIP to Results
charts" worksheet of this workbook.
For your own use, you can use the column to the right of responses (Column E) to enter references and evidence
associated with your assessment responses.
The light blue arrow shapes and coloured boxes provide links to modules of the questionnaire, TNA website,
Results sheet and links back to this guide.
After completing the Questionnaire, you may use the "Results charts" to focus attention on your Record
Management functions when consulting with senior managers responsible for governance in your organisation,
and with TNA and other parties interested in the revised Section 46 Code of Practice for Records Management.
SKIP to Email
Where this completed questionnaire is to be returned to TNA, then name your file and email back to TNA (you
can use the email hyperlink on the right).
The best settings for viewing the questionnaire on most monitors may be 75% Zoom, and a resolution of 1280 x
800. It has been necessary to use a small font for text in questions and tips, so you may need to increase
magnification to make text more legible.
Support contacts:
SKIP to
Email for
If you need further guidance and advice on using this assessment tool, or have found a problem, please contact: HELP or
problems
rmadvisory@nationalarchives.gsi.gov.uk
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 2
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the Freedom of Information Act 2000. It is intended for the use of all SKIP to TNA
TNA public authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience
of their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter contact details, then questionnaire.
compliance with the revised Records answer questions in Module
Management Code of Practice 1
3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Contact Details (your responses below) SKIP to SKIP to
Guidance Results
(Please enter) Job title:
Questionnaire Completed By (name) LINKS TO CONTACT
MODULES details
(Please enter) Phone number:
Your email address Module 1: Organisational
arrangements to support records
(Please enter)
Organisation name Module 2: Record Management
policy
(Please enter)
What is your division of the organisation called? Module 3: Keeping records to meet
corporate requirements
1
Does this self-assessment cover the whole of yor -----PLEASE SELECT------>
organisation? Module 4: Records systems
(Enter date)
Date of this assessment Module 5: Storage and maintenance
of records
1 Other:
-----PLEASE SELECT------>
Type of Public Body
Module 6: Security and access
Contact details
1 Other:
-----PLEASE SELECT------>
If a Local Authority, please state the type of Council
Module 7: Disposal of records
1
-----PLEASE SELECT------>
Country and Region For any queries or help with Module 8: Records created in the
completing the self-assessment course of collaborative working or
(Please enter) please contact us at this e-mail
Name of the Records Manager in your organisation address Module 9: Monitoring and reporting
on records and information
(Please enter as a number)
No. of staff (FTE) employed in the organisation
covered by this questionnaire response
rmadvisory@nationalarchives.gsi.gov.uk
Page 2 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 3
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records answer to questions in
Management Code of Practice Module 2
3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Page 3 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 4
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records answer to questions in
Management Code of Practice Module 3
3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Questionnaire
Page 4 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 5
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records
answer to questions in
Management Code of Practice
Module 4 3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Page 5 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 6
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records answer to questions in
Management Code of Practice Module 5 3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Page 6 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 7
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records answer to questions in
Management Code of Practice
3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Page 7 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 8
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records
answer to questions in
Management Code of Practice
3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Page 8 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 9
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA
TNA
authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records answer to questions in
Management Code of Practice
3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Page 9 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Page 10
1. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the revised Records
Management Code issued under section 46 of the freedom of Information Act 2000. It is intended for the use of all public SKIP to TNA
TNA authorities subject to the Act but can also be used by any organisation or body to assess the quality and resilience of
their record management policies and processes.
2. Answers should be entered into the cells in the column D of this worksheet. Most questions require you to simply
website page
SKIP to
Guidance
choose from the pull-down lists below. Other cells are locked to avoid inadvertent changes to the structure of the
Self Assessment Questionnaire for Enter responses below in questionnaire.
compliance with the revised Records answer to questions in
Management Code of Practice Module 9
3. Your answers and responses are used to calculate a risk assessment score that can be viewed in the Results Chart
worksheet in this workbook. SKIP to
Results
Page 10 8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls
8805b55f-1bcc-4a82-acc6-b59dd8d58b03.xls Result chart
TNA
LINKS CONTACT
Self Assessment Questionnaire for compliance with the revised Records Management Code of Practice
details
Result charts (Organisation/Division/Date are derived from your entries in the Contacts section of the Questionnaire)
Module 1: Organisational
Organisation: (Please enter) arrangements to support records
Division/branch: (Please enter) Date: (Enter date) Module 2: Record Management
policy
Module 3: Keeping records to meet
MeanScores by Records Management corporate requirements
module Section 46 - revised Code - full self-assessment scores
Module 4: Records systems
HIGHER RISK
HIGHER RISK
5
Module 5: Storage and maintenance
4 of records
3 Module 6: Security and access
2
lower risk
lower risk
Module 7: Disposal of records
1 Module 8: Records created in the
0 Module 1: Module 2: Record Module 3: Keeping Module 4: Records Module 5: Storage Module 6: Security Module 7: Disposal Module 8: Records Module 9: Mean overall score
course of collaborative working or
through out-sourcing
Organisational Management policy records to meet systems and maintenance and access of records created in the Monitoring and Module 9: Monitoring and reporting
arrangements to corporate of records course of reporting on on records and information
support records requirements collaborative records and management
management working or through information
out-sourcing management
SKIP to Guidance
Results (weighted)
Thresholds for colour formatting (mean scores per module)
Workbook section name Average score per Module colour coded risk Red Amber Green
Module 1: Organisational arrangements to support records COLOUR
management 5.00 3.5 1.25 2.25
CODED RISKS 1
Module 2: Record Management policy 5.00 3.5 1.25 2.25 1
Module 3: Keeping records to meet corporate requirements 5.00 3.5 1.25 2.25 1
Module 4: Records systems 5.00 3.5 RED for 2.25
1.25 AMBER1for
Module 5: Storage and maintenance of records 5.00 3.5 HIGHER RISK
1.25 2.25 Risk
Medium 1
Module 6: Security and access 5.00 3.5 1.25 2.25 1
Module 7: Disposal of records 5.00 3.5 1.25 2.25 1
Module 8: Records created in the course of collaborative GREEN for low
working or through out-sourcing 5.00 3.5 1.25 2.25 risk 1
Module 9: Monitoring and reporting on records and
information management 5.00 3.5 1.25 2.25 1
Mean overall score 5.00 3.5 1.25 2.25 1
Unanswered Questions/Module Progress No. of questions/module
Module 1: Organisational arrangements to support records
management 38 0% 38
Module 2: Record Management policy 48 0% 48
Module 3: Keeping records to meet corporate requirements 33 0% 33
Module 4: Records systems 33 0% 33
Module 5: Storage and maintenance of records 48 0% 48
Module 6: Security and access 24 0% 24
Module 7: Disposal of records 28 0% 28
Module 8: Records created in the course of collaborative
working or through out-sourcing 14 0% 14
Module 9: Monitoring and reporting on records and
information management 40 0% 40
End question 307 1 0% 1
Questions not answered (displaying "Please select") = 307 0% 307 questions
11/22/2011 11