Comprehensive Assessment Planning Information Record

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					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
                                                                                                                 18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                                                                 18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                            18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                           18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                              18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                             18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                             18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                           18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                            18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                           18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                            18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                             18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                            18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                           18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                              18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                           18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                                                              18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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                                                                                                                                                                            18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.xls
                 18fa95d1-848f-4a75-9bdc-c2f5b5a2f4b9.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




                 1/11/2011                                                                                                                                                                                                                                                                       11

				
DOCUMENT INFO
Description: Comprehensive Assessment Planning Information Record document sample