Records Inventory And Appraisal


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Part 2 in the series of lectures on Effective Records Management presented on Aug1 & 8, 2009

Published in: Education, Business, Technology

Records Inventory And Appraisal

  1. 1. Records Inventory & Appraisal
  2. 2. Where do I start?
  3. 3. Get to know your records <ul><li>Doing a records inventory will help you determine: </li></ul><ul><li>Who has records </li></ul><ul><li>What are the records </li></ul><ul><li>Where are the records </li></ul><ul><li>Why are those records there </li></ul><ul><li>How to manage those records </li></ul>
  4. 4. Do a data map <ul><li>Knowing where and what your data is is just as important as where your file cabinets are and what they contain </li></ul><ul><li>Will reduce your costs in disclosure and discovery </li></ul>
  5. 5. Records Inventory <ul><li>issue the pre-survey memo </li></ul><ul><li>decide on the type of survey </li></ul><ul><li>prepare forms to be used </li></ul><ul><li>schedule the survey </li></ul><ul><li>do the survey </li></ul><ul><li>compile survey results </li></ul><ul><li>evaluate & report </li></ul>
  6. 6. Records Inventory… issue the pre-survey memo <ul><li>To : All Employees </li></ul><ul><li>Fr : Management </li></ul><ul><li>Our institution has a serious filing and recordkeeping problem, and we have begun to take steps to find a solution. Beginning May of this year, a records inventory team will conduct a survey of all files, including computer records. Please give them all of your assistance. </li></ul><ul><li>We apologize for the inconvenience but we are certain that the resulting improvements will benefit us all. Thank you. </li></ul>
  7. 7. decide on type of survey <ul><li>questionnaire </li></ul><ul><li>committee </li></ul><ul><li>physical survey </li></ul>
  8. 8. design the survey form <ul><li>provenance </li></ul><ul><li>type of record </li></ul><ul><li>age (dates) </li></ul><ul><li>volume </li></ul><ul><li>storage media or </li></ul><ul><li>equipment used </li></ul><ul><li>filing system </li></ul><ul><li>legal/audit requirements </li></ul><ul><li>problems </li></ul>
  9. 9. evaluate & report <ul><li>what useless records should be destroyed? </li></ul><ul><li>what inactive records should be stored? </li></ul><ul><li>what records are insufficiently protected? </li></ul><ul><li>what records have archival value? </li></ul><ul><li>what filing systems need improvement? </li></ul><ul><li>what duplication can be eliminated? </li></ul><ul><li>what records can be consolidated? </li></ul><ul><li>what filing equipment should be used? </li></ul>
  10. 10. Records Appraisal …the act of determining the worth of records to their creator or user <ul><li>in terms of use: primary or secondary </li></ul><ul><li>in terms of content: evidential informational </li></ul><ul><li>categories: administrative value fiscal value legal value historical/research value intrinsic value </li></ul>
  11. 11. Record Types based on Value… <ul><li>Evidentiary – documents activities of individual or group or agency </li></ul><ul><li>Informational – contains information about individual, group, or subject </li></ul><ul><li>Intrinsic – document has intrinsic value for cultural, historical, or monetary reasons </li></ul>
  12. 12. Records with evidential values <ul><li>organizational charts </li></ul><ul><li>annual reports </li></ul><ul><li>directives/policy memos </li></ul><ul><li>official histories </li></ul><ul><li>correspondence </li></ul><ul><li>audit/inspection reports </li></ul><ul><li>legal opinions/decisions </li></ul><ul><li>handbooks and manuals </li></ul><ul><li>minutes of meetings </li></ul>
  13. 13. When Value Ends… <ul><li>Intrinsic Value – typically has no end date, value does not expire with time </li></ul><ul><li>Informational Value – end date dependent on subject being described (information may be obsolete, updated, altered, or revised </li></ul><ul><li>Evidentiary Value – end date dependent on the activity being documented (expires with time) </li></ul>
  14. 14. Record groups <ul><li>general correspondence </li></ul><ul><li>transitory correspondence </li></ul><ul><li>case files </li></ul><ul><li>references </li></ul><ul><li>audiovisual materials </li></ul><ul><li>cartographic records </li></ul><ul><li>engineering drawings </li></ul><ul><li>cards </li></ul><ul><li>machine-readable records </li></ul><ul><li>microforms </li></ul>
  15. 15. Other record groups <ul><li>Administrative records </li></ul><ul><li>academic records </li></ul><ul><li>accounting/financial records </li></ul><ul><li>legal records </li></ul><ul><li>personnel records </li></ul><ul><li>personal records </li></ul><ul><li>“ convenience” copies </li></ul>
  16. 16. Exercise <ul><li>Make a quick survey of the records you are handling, and prepare a list using the suggested form: </li></ul><ul><li>Provenance or office of origin </li></ul><ul><li>type of record </li></ul><ul><li>age (inclusive dates) </li></ul><ul><li>volume (in linear feet, or no. of folders) </li></ul><ul><li>storage media or equipment used </li></ul><ul><li>filing system (alpha, numeric, subject, etc) </li></ul><ul><li>legal/audit requirements </li></ul><ul><li>Problems/concerns </li></ul>
  17. 17. Contact Questions?