Compliance Test

Yes No
1. Compliance with regard to the National Archives and Records Service Act (Act No.43 of 1996 as amended)
1.1 Records Manager
1.1.1 Does your organisation have a filled position for a records manager on senior level?

1.1.2 Is the records manager properly qualified to do his/her job?

1.2 Records Management Programme/Function
1.2.1 Has the records management programme/function in your organisation been allocated the appropriate resources (facilities, finance, staff, equipment, etc.) to enable it to be maintained?

1.3 Records Management Policy
1.3.1 Does your organisation have a records management policy?

1.3.2 If yes, is the policy endorsed by the head of the governmental body and his/her senior managers?

1.3.3 Is the records management policy known to all employees?

1.4 Employees
1.4.1 Are record keeping responsibilities of individual employees documented and communicated to employees?

1.4.2 Do all employees know how to identify, keep and use records?

1.4.3 Are employees in you organisation able to retrieve the right information at the right time for the purpose of decision making?

1.5 Classification System/ File plan
1.5.1 Does your organisation have a National Archives approved classification system (file plan)?

1.5.2 Are revisions and additions to the approved file plan regularly reported to the National Archivist for approval?

1.5.3 Has the National Archives approved file plan been implemented for all records of the organisation?

1.5.4 Do the employees of your organisation use the file plan to allocate reference numbers to all records created or received by the organisation?

1.6 Disposal
1.6.1 Has your organisation been issued with a disposal authority on your approved file plan

1.6.2 Does your organisation have a retention schedule pertaining to ephemeral records and implemented a systematic disposal programme?

1.6.3 Does your organisation destroy any records without the approval of the National Archivist?

1.6.4 Does your organisation regularly submit destruction certificates to the National Archives when records are destroyed in terms of a disposal authority issued by the National Archives?

1.7 Registry & Storage Areas
1.7.1 Are there storage areas dedicated to records storage and approved by the records manager?

1.7.2 Are your registry and storage areas kept neatly and the records in sequential or alphabetical order so that information can be retrieved immediately at any time of request?

1.7.3 Are all records protected against the following: careless and rough handling; fire damage; water damage; mould; pests; excessive light; unauthorized removal; and dust?

1.7.4 Does your organisation have a destruction register and is it maintained?

1.7.5 Does your organisation have a register of open files and is it maintained?

1.7.6 Does your office have a registry procedure manual and is it implemented?

1.7.7 Are all registry staff conversant with the registry procedures?

1.8 Digital records
1.8.1 Does your office have implemented an ECM system or an EDRMS?

1.8.2 If yes, does the system in your office comply with the requirements of the National Archives stated in its Pamphlet No. 2?

1.8.3 Are all e-mails created or received by your organisation, in pursuance of its activities, regarded as official records and filed according to the approved file plan?

1.8.4 Does your organisation have a migration strategy for its archival electronic records?

1.8.5 Are all electronic records systems protected against tampering, unauthorized alteration, accidental damage or destruction, intended damage or destruction?

1.9 Audio-visual records
1.9.1 Are records on magnetic, optical and audio-visual storage media, stored in climatically controlled storage areas?

2. Compliance with regard to other relevant legislation
2.1 Can your organisation readily provide evidence of its transactions on request of AGSA in terms of the Public Finance Management Act (Act No 1 of 1999)?

2.2 Does your organisation keep a Promotion of Access to Information (PAIA) Manual?

2.3 Can your organisation provide records pertaining to requests for information, in terms of the Promotion of Access to Information Act (Act No 2 of 2000) within the prescribed time frame?

2.4 Can your organisation provide written reasons for administrative action, in terms of the Promotion of Administrative Justice Act (Act No 3 of 2000) within the prescribed time frame?

2.5 Can your organisation provide authoritative and reliable records on any requests for evidence, in terms the Electronic Communications and Transactions Act (Act No. 25 of 2002)?