The National Archives has developed an automated support tool to help public authorities to evaluate and assess the conformance of their record management systems. Performance is assessed against Part 1 of the current Records Management Code, as revised and reissued in July 2009.

This tool replaces the previous self-assessment tool and accompanying compliance workbook.

Guidance on records management

Part 1 of the Records Management Code provides guidance to all relevant authorities on the practice which the Lord Chancellor recommends they follow in keeping, managing and destroying records.

The Code identifies nine elements required to support good practice:

  • Organisational arrangements to support records management
  • Records management policy
  • Keeping records to meet corporate requirements
  • Records systems
  • Storage and maintenance of records
  • Security and access
  • Disposal of records
  • Records created in the course of collaborative working or through out-sourcing
  • Monitoring and reporting on records management

View the Records Management Code of Practice.

Self-assessment tool

The self assessment tool is divided into nine modules in the form of questionnaires to allow organisations to analyse their practice against the nine elements listed above. The tool includes guidance on how to complete the modules and provides a risk assessment diagram, which is generated as the modules are completed.

Benefits of self-assessment

Completing the self-assessment in full gives an authority a clear statement of the extent that its records management practices conform to the Records Management Code.

Where partial or non-compliance is identified, the authority could be at risk of not meeting its obligations under the Freedom of Information Act or fulfilling its corporate functions. If this is the case, the self-assessment can be used to demonstrate to senior managers the level of risk the authority is at so appropriate strategies to eliminate the risks can be put in place.

Records Management Code automated support tool  (XLS, 4.15Mb)

This page contains XLS files. See plug-ins and file formats for help in accessing these file types.