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The Universal Declaration on Archives Evaluation Tool

The Universal Declaration on Archives (UDA) has the status of a UNESCO instrument, as well as being one of the reference documents of the International Council on Archives. There is no other document in the archives and records management field that carries this distinction and authority. Its content therefore provides criteria for measuring archives and records management work to act as a benchmark when institutions and individuals need to evaluate the performance, quality and impact of their archives and records management programmes.

Note that at present there is no universal scheme in place for assessing compliance with the UDA and no comparative data for benchmarking is available. Furthermore the UDA is not specific about how its principles should be enacted. The UDA offers a set of principles, rather than instructions or targets. Compliance can therefore be measured by assessing whether or not an archives and/or records management programme follows some or all of the UDA principles in its work. In using the UDA as an evaluation tool we are effectively using it as a standard to measure our archives and records management programmes.

The tool covers all aspects of the UDA. Each of the UDA statements (21 Statements) and principles were analysed to articulate a set of closed questions to establish whether or not the programme/organisation has adopted the principle. In the case of positive responses, further questions were formulated to prompt information and evidence on how the principle is being implemented. Similarly,in the case of negative responses, further questions were formulated to prompt information on impediments to adopting the principle and identify strategies to achieve adoption.

For more information on how to plan your UDA assessment and how you can use the data it provides to improve your archive and records management programme, see Guidelines for using the UDA Evaluation Tool available here.

For more information for Understanding and Using the Universal Declaration on Archives, we encourage you to follow this link to our free course on the subject : https://www.ica.org/professional-programme/training-programme/understanding-and-using-the-uda/

Work through the questions providing answers and moving on to supplementary questions as prompted. You can save and exit at any time and return to amend or complete your entries. You can also download your completed form to save a copy locally.

This survey is anonymous.

The record of your survey responses does not contain any identifying information about you, unless a specific survey question explicitly asked for it.

If you used an identifying access code to access this survey, please rest assured that this code will not be stored together with your responses. It is managed in a separate database and will only be updated to indicate whether you did (or did not) complete this survey. There is no way of matching identification access codes with survey responses.

UDA Statement 1

Records and archives record (and provide evidence of) decisions, actions and memories.

Statement 1: Have all records been identified?

Yes No

Provide details of how records are identified and documented

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

Statement 1: Have all archives been identified?

Yes No

Provide details of how archives are identified and documented

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

Statement 1: Do they provide evidence of decisions, actions and memories?

Yes No

Give details of how archives and records provide evidence of decisions, actions and memories

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

Statement 1: Is anything missing?

Yes No

Provide details of what is missing

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

Your institution / collection is currently not fulfilling this statement of the UDA.

In order to be in compliance with this UDA Statement, answers to questions 1, 2 and 3 should be yes and answer to question 4 should be No

UDA Statement 2

Archives are a unique and irreplaceable heritage passed from one generation to another.

Statement 2: Are the archives being protected?

Yes No

Provide details of how archives are protected

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

Statement 2: Are safeguards in place to ensure that the archival holdings are provided for in future?

Yes No

Provide details of safeguards to ensure that the archival holdings are provided for in future

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

Statement 2: Are records held securely?

Yes No

Provide details of how records are held securely

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to questions 1, 2 and 3 should be yes and answer to question"Have all archives been identified" in Statement 1 should be Yes

UDA Statement 3

Records are managed from creation to preserve their value and meaning.

Statement 3: Are controls in place to manage records and archives from creation (or even before)?

Yes No

Provide details of the controls in place to manage records and archives from creation

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to question 1 should be Yes

UDA Statement 4

Archives are kept permanently

Statement 4: Are archival records clearly marked for permanent preservation?

Yes No

Provide details of how archives are marked for permanent preservation

Provide details of strategy to achieve compliance

Give reason(s) for non-compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to questions 1 should be Yes and answer to question"Are safeguards in place to
ensure that the archival holdings are provided for in future?" in Statement 2 should be Yes

UDA Statement 5

Records are authoritative sources of information underpinning accountable and transparent administrative actions

Statement 5: Are authoritative records being created and maintained?

Yes No

Give details of how authoritative records are created and maintained

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement:

Answer to questions 1 should be Yes
Answer to question "Do they provide evidence of decisions, actions andmemories?" in Statement 1 should be Yes
Answer to question "Is anything missing?" in Statement 1 should be No

UDA Statement 6

Archives play an essential role in the development of societies by safeguarding and contributing to individual and community memory

Statement 6: Do the archives safeguard and contribute to individual and community memory?

Yes No

Provide details of how the archives safeguard and contribute to individual and community memory

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to questions 1 should be Yes

UDA Statement 7

Open access to records and archives enriches our knowledge of human society, promotes democracy, protects citizens’ rights and enhances the quality of life.

Statement 7: Are the archives accessible to the public?

Yes No

Provide details of how archives are made accessible to the public.

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

Statement 7: Are the records subject to access to information legislation or otherwise made available to the public?

Yes No

Provide details of how the records are made available to the public

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to questions 1 and 2 should be Yes

UDA Statement 8

Records and archives uniquely provide authentic evidence of administrative, cultural and intellectual activities. .

Statement 8: Are authentic records being created and maintained?

Yes No

Provide details of how authentic records are created and maintained

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement:

Answers to question 1 should be Yes
Answer to question"Are authoritative records being created and maintained?" in Statement 5 should be Yes
Answer to question"Do they provide evidence of decisions, actions and memories?" in Statement 1 should be Yes
Answer to question"Is anything missing?" in Statement 1 should be No

UDA Statement 9

Records and archives uniquely reflect the evolution of societies.

Statement 9: Are non-records present in the organisation, have they been identified?

Yes No

Provide details of non-records, how they are identified and managed

Give reason(s) for non-compliance

Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answer to questions 1 should be Yes

UDA Statement 10

Records are necessary to support business efficiency, accountability and transparency, to protect citizens’ rights, to document the present to guide future actions

Statement 10: Is information governance in place?

Yes No

Give details of how recordkeeping supports individuals’ and citizens’ rights

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

Statement 10: Is business properly supported by recordkeeping?

Yes No

Provide details of how business is supported by recordkeeping

Statement 10: Are individuals’ and citizens’ rights protected?

Yes No

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

Provide details of the information governance regime

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement:

Answers to questions 1, 2 and 3 should be Yes
Answer to question"Have all archives been identified?" in Statement 1 should be Yes
Answer to question"Are the archives beingprotected?" in Statement 2 should be Yes
Answer to question"Are safeguards in place to ensure that the archival holdings are provided for in future?" in Statement 2 should be Yes

UDA Statement 11

Records and archives are necessary to establish individual and collective memory, to understand the past, and to guide (current and) future actions

Statement 11: Do the records serve to inform about past actions and decisions such that current and future actions and decisions build upon, rather than reinvent the past?

Yes No

Provide details of how records serve to inform about the past to support current and future business

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement:

Answer to questions 1 should be Yes
Answer to question "Is business properly supported by recordkeeping?" in Statement 10 should be Yes
Answer to question "Do the archives safeguard and contribute to individual and community memory?" in Statement 6 should be Yes
Answer to question "Have all archives been identified?" in Statement 1 should be Yes
Answer to question "Are the archives being protected?" in Statement 2 should be Yes
Answer to question "Are safeguards in place to ensure that the archival holdings are provided for in future?" in Statement 2 should be Yes

UDA Statement 12

Archives are diverse, they record every area of human activity

Statement 12: Are the archive holdings diverse and representational of all aspects of the creator’s existence?

Yes No

Provide details about how the archives are diverse and representational of all aspects of the creator’s life, work and impac

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to question 1 should be Yes

UDA Statement 13

Records and archives record (and provide evidence of) decisions, actions and memories.

Statement 13: Do recordkeeping systems encompass all formats of record?

Yes No

Provide details of record formats and how they are managed

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

Statement 13: Is there a strategy for the archives to manage records in all formats?

Yes No

Provide details of how the archives manages records in all formats

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to questions 1 and 2 should be Yes

UDA Statement 14

Archivists and records managers are trained professionals (with initial and continuing education) whose role is to serve their societies by supporting the creation of records and by selecting, maintaining and making these records available for use

Statement 14: Are there trained professionals to manage the archives and lead the records management function?

Yes No

Provide details of the professionals managing archives and records in the organisation

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to question 1 should be Yes

UDA Statement 15

Citizens, public administrators and decision-makers, owners or holders of public or private archives, archivists, records managers and other information specialists all have a collective responsibility in the management of archives

Statement 15: Are citizens, public administrators and decision-makers, owners or holders of public or private archives, archivists, records managers and other information specialists consulted about and/or responsible for the management of the archives?

Yes No

Provide details of how these stakeholders are consulted about and share responsibility for the archives

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to question 1 should be Yes

UDA Statement 16

Appropriate national archival policies and laws should be adopted and enforced

Statement 16: Are there national archival laws (eg archive or public records act, access to information, open data, data protection with provision for retention of archives, copyright legislation providing for archival needs) and policies in place?

Yes No

Provide details of national law and policy pertaining to archives

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

Statement 16: Are the appropriate national archival policies and laws enforced?

Yes No

Provide details of how they are enforced

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to questions 1 and 2 should be Yes

UDA Statement 17

Archives and records management is valued and carried out competently by all bodies, private or public, which create and use archives and records in the course of conducting their business

Statement 17: Is archives and records management valued in the organisation?

Yes No

Provide details of resources, including professionally trained personnel, allocated to support archives and records management

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to question 1 should be Yes and answer to question"Are there trained professionals to manage the archives and lead the records management function?" in Statement 14 should be Yes

UDA Statement 18

Adequate resources should be allocated to support the proper management of records and archives, including the employment of trained professionals

Statement 18: Are adequate resources allocated to support the proper management of records and archives?

Yes No

Provide details of resources allocated to support archives and records management

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

UDA Statement 19

Records and archives should be managed and preserved in ways that ensure their authenticity, reliability, integrity and usability

Statement 19: Are records and archives managed and preserved in ways that ensure their authenticity, reliability, integrity and usability?

Yes No

Provide details of how records and archives are managed and preserved in ways that ensure their authenticity, reliability, integrity and usability

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to question 1 should be Yes

UDA Statement 20

Records and archives should be made accessible to everyone, while respecting the pertinent laws and the rights of individuals, creators, owners and users

Statement 20: In providing access to records and archives, are the pertinent laws and the rights of individuals, creators, owners and users respected?

Yes No

Provide details of how access is provided in a way that respects the pertinent laws and the rights of individuals, creators, owners and users

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to question 1 should be Yes

UDA Statement 21

Records and archives record (and provide evidence of) decisions, actions and memories.

Statement 21: Are the archives used to contribute to the promotion of responsible citizenship?

Yes No

Give details of how the archives are used or can be used to promote responsible citizenship

Give reason(s) for non-compliance and Provide details of strategy to achieve compliance

You are fully in compliance with this UDA Statement

In order to be in compliance with this UDA Statement, answers to questions 1 should be Yes

Summary of your compliance to the Universal Decelaration on Archives Statements

You will see here a summary of all the Statements you are in compliance with.

A downloadable version of your answers to this self-assessment tool will be available once you click on the submit button. No personal information on yourself or your institution will be used by ICA. However, the answers you give are recorded. If you do not wish for your institution/ organisation to be recognisable, please make sure that it is not named in your answers.

You are fully in compliance with UDA Statement 11

You are fully in compliance with UDA Statement 12

You are fully in compliance with UDA Statement 14

You are fully in compliance with UDA Statement 15

You are fully in compliance with UDA Statement 3

You are fully in compliance with UDA Statement 5

You are fully in compliance with UDA Statement 6

You are fully in compliance with UDA Statement 8

You are fully in compliance with UDA Statement 9

You are fully in compliance with UDA Statement 13

You are fully in compliance with UDA Statement 16

You are fully in compliance with UDA Statement 17

You are fully in compliance with UDA Statement 7

You are fully in compliance with UDA Statement 18

You are fully in compliance with UDA Statement 10

You are fully in compliance with UDA Statement 19

You are fully in compliance with UDA Statement 20

You are fully in compliance with UDA Statement 21

You are fully in compliance with UDA Statement 2

You are fully in compliance with UDA Statement 1

Please confirm you want to clear your response?