Tool 3. Assessment of Organizational Capacity to Manage Records: A Top Level Checklist

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1 Tool 3 Assessment of Organizational Capacity to Manage Records: A Top Level Checklist This checklist enables an evaluation of institutional capacity for managing records. If there are even a few negative replies to the questions listed below, there is a real likelihood that well managed records will not be available to support development aims. Moreover, it is essential to recognize that records management at the organizational level goes on within the national context. Therefore, this checklist should be used in conjunction with Tool 2: Assessment of National Capacity to Manage Records: A Top Level Checklist. The assessment comprises reviews of: A B C D E Organizational Infrastructure. This aspect of the checklist explores the management arrangements in place to govern the care and control of the records. Staff Capacity. This is a review of the capacity of the staff to deliver sound programs for the management of the records. Control Systems. This item deals with the systems needed to identify and organize records so that they can easily be accessed, stored, maintained, and retrieved for use. Quality of Records. This is a general review of whether the records meet user requirements. Tool 4 permits a more detailed review. Accommodation and Storage. This aspect of the checklist evaluates the quality of accommodation and storage available to house the records required and the staff who handle them. 1

2 F G Legal Compliance. This is an assessment of the organization s ability to provide the documentary evidence required by laws which affect its functions. General Risk Assessment. Finally, it is important to identify the underlying causes for weak performance as a basis for defining strategies to strengthen the capacity of the organization to manage its records. 2

3 A Organizational Infrastructure 1 Does the organization have a records manager? 2 If there is an organizational records manager, is the post of a sufficiently high level to carry status within the organization? 3 Do the records staff receive regular guidance and support from an appropriate records authority? 4 Does the organization have written policies and procedures for records management that are regularly implemented and updated? 3

4 B Staff Capacity 1 Are the records management staff knowledgeable about existing records management policies and procedures? 2 Are the numbers of skilled staff adequate to meet the organization s records management requirements? 3 Are job descriptions available for all records management posts within the organization? 4 Are performance measures used? 5 Are records staff capable of articulating the importance of records management to other organizational staff? 6 Do records staff have the knowledge necessary to assist accounting staff in managing financial records? 7 Do the staff have the skills needed to link paper and electronic records systems? 4

5 B Staff Capacity (continued) 8 Do the records management staff feel at ease in managing electronic records? 9 Is there a training program on records management? 5

6 C Control Systems 1 Is there documentation that shows what records have been created or received? 2 Is there a consistent file classification system in place throughout the organization? 3 Is there an index to facilitate the retrieval of records? 4 Is there a system to track the movement of records? 5 Are agreed retention periods and disposal schedules being employed regularly? 6 Are records which are no longer in current use transferred to secure intermediate or permanent storage or legitimately destroyed on a regular and systematic basis? 7 Is there a system for authorizing transfer or destruction of records? 8 Are there comprehensive lists of the organization s records? 6

7 C Control Systems (continued) 9 Are measures in place to restrict unauthorized access to records in both paper and electronic form? 10 Are all control systems clearly documented? 7

8 D Quality of Records 1 Do the records reflect the core functions of the organization? 2 Are file titles appropriate? 3 Do files contain complete information about their subject or the transaction they document? 4 Do employees follow clear guidelines on the types of records they should produce and when? 5 Is the accuracy of information contained in the records verified according to agreed procedures? 6 Can the author of a record be clearly determined? 7 Can it be demonstrated that the record could not have been altered? 8 Have linkages been created between paper and electronic systems? 8

9 D Quality of Records (continued) 9 Are migration strategies for electronic records clearly documented and designed to maintain functional and evidentiary qualities? 9

10 E Accommodation and Storage 1 Are the records housed close to the officers who require them? 2 Is there a well equipped working area for records staff? 3 Are there adequate storage containers for records, such as file folders, boxes, or diskette boxes? 4 Is there environmentally controlled storage available to protect electronic records? 5 Is there off-site storage for back-ups of electronic records? 6 Are there measures in place to protect electronic records from unauthorized alteration? 7 Are copies of records vital to the functioning of the organization stored in a secure location away from the organization? 10

11 F Legal Compliance 1 Is there clear guidance on the types of records required to meet the organization s legal, regulatory, evidentiary and accountability needs? (eg policies and procedures on the creation of financial, personnel, policy and client interaction records) 2 Are the records retained for as long as they are required to meet all legal purposes relevant to the organization s function? 3 Does the organization maintain all the records required to demonstrate compliance with legal obligations (eg records on claims and dispute resolutions, bidding documents, signed contracts) 4 Can the records be easily audited? 11

12 G General Risk Assessment 1 Do officials use records in their daily work? 2 Do officials view information as a corporate resource? 3 Are the users aware of their statutory obligations with respect to the creation, maintenance, use, and protection of official records? 4 Is the organization s records manager given sufficient authority and resources to implement and sustain a records management program? 5 Are records staff accorded respect as valued members of the organization? 6 Is the management of records, paper and electronic, taken into account in planning information technology strategies? 7 Are electronic and paper systems coordinated across the organization? 12

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