How to do a Physical Records Inventory

1. How to do a Physical Records Inventory ARMA Salt Lake Chapter April 15, 2010 By Rosemary Cundiff

2. Piute County

3. Daggett County

4. Duchesne County

5. Garfield County

7. wayne Wayne County

8. wayne Wayne County

9. Piute County

13. San Juan County

14. Sanpete County

15. Inventory: • An identification and quantification of all of the records possessed by an organization.

16. Preparation • Understand functions and mission of agency or company • Understand transactions and the records that document them

17. Preparation • Make preliminary assessment • Consider the records groups or series you expect to find and how they relate to each other

18. Preparation • Gather inventory supplies: • Records retention schedule • Pencils • Dust clothes • Gloves, dust mask, smock • Labels and post-it notes • Boxes • Clip boards and inventory worksheets • Flashlight • Camera

19. Inventory worksheets • Make header to describe record group or record series • Date • Agency or company name • Title of record group or series • Name of person taking inventory • Page ___ of ____

20. Inventory worksheets • Make columns for information to be gathered: • Location of records • Title of book or records • Inclusive dates • Case numbers or other identifiers • Is there an index? • Are there preservation needs?

21. Inventory process • Work systematically and gather all information for records as you go • Begin a new inventory sheet for each record series

22. Inventory process • Don’t evaluate to the document level • Do a broad search • Note how record series are related • Take pictures

23. Inventory follow up • Compile all information on the worksheets in a summary spreadsheet • Write a simple narrative summary of the inventory

24. Inventory follow up • Create an inventory folder for all of the information collected • Use the information collected in the ongoing management of records

25. Questions ?

26. Records Inventory Based on information provided by NARA (National Archives and Records Administration) http://www.archives.gov/records-mgmt/faqs/inventories.html

27. What is a records inventory? • A "records inventory" is a detailed listing of the volume, scope, and complexity of an organization's records, usually compiled for the purpose of creating a records schedule (A Glossary for Archivists, Manuscript Curators, and Records Managers, Society of American Archivists: Chicago, 1992, p. 19). • The results of this survey can be used to analyze the records for various purposes including retention and protection.

28. Steps in inventoryprocess: • Define the inventory's goals. While the main goal is gathering information for scheduling purposes, other goals may include preparing for conversion to other media, or identifying particular records management problems. • Define the scope of the inventory; it should include all records and other materials.

29. Steps in inventoryprocess: • Obtain top management's support, preferably in the form of a directive, and keep management and staff informed at every stage of the inventory. • Decide on the information to be collected (the elements of the inventory). Materials should be located, described, and evaluated in terms of use.

30. Steps in inventoryprocess: • Prepare an inventory form, or use an existing one. • Decide who will conduct the inventory, and train them properly.

31. Steps in inventoryprocess: • Learn where the agency's files are located, both physically and organizationally. • Conduct the inventory. • Verify and analyze the results.

32. Information to gather in the inventory: • Office maintaining the files • The name and symbol of the office maintaining the records. If the office received this series from another office, also indicate the name and symbol of that office and designate it as the "creating office."

33. Information to gather in the inventory: • Date the inventory was prepared • Person conducting the inventory • Name, office and telephone number.

34. Information to gather in the inventory: • Series location • Give the precise location of the series. If the series is located in more than one office, indicate multiple locations. • Series title • Give each series a title for brief reference or include the generally accepted title.

35. Information to gather in the inventory: • Inclusive dates • The earliest and most recent dates of the records in each series. These are needed to schedule records, and to determine when to cut off, or break them and transfer them to records centers or agency storage facilities.

36. Information to gather in the inventory: • Series description • A clear description of the series is basic to the success of the inventory and the schedule. It may also be needed to clarify the series title and should contain enough information to show the purpose, use, and subject content of the records.

37. Information to gather in the inventory: • Medium • Indicate whether the record medium is paper, microform, electronic, audiovisual, or a combination of these. • Arrangement • Indicate the arrangement, or filing system used.

38. Information to gather in the inventory: • Volume • Express the volume of records in cubic feet, where possible. When inventorying audiovisual, microform, cartographic, and related records, also provide an item count (e.g., 1200 prints, 3500 negatives) where appropriate. Sampling may be necessary for large series or collections. NARA requires agencies to give volume figures for records proposed for permanent retention, as well as for nonrecurring records proposed for immediate destruction.

39. Information to gather in the inventory: • Annual accumulation • Based on information from the files custodian, estimate the annual rate of accumulation for each series if the records are current and continuing. If the records no longer accumulate, indicate "none." NARA requires agencies to furnish the rate of accumulation of those records proposed for permanent retention.

40. Information to gather in the inventory: • Cutoff • To cut off records means to break, or end, them at regular intervals to permit their disposal or transfer in complete blocks to permit the establishment of new files. Indicate how often the records are cut off and when the last cutoff occurred. If they are not cut off, explain how inactive records are separated from active ones.

41. Information to gather in the inventory: • Reference activity • Rate the reference activity of a paper record series, after the regular cutoff, by placing it in one of three categories: • Current, or active (used more than once a month) • Semicurrent, or semi-active (used less than once a month) • Noncurrent, or inactive (not used for current operations)

42. Information to gather in the inventory: • Vital records status • If the records qualify as vital records, specify whether they would be needed in an emergency (emergency-operating records) and whether they are needed to document legal or financial rights, or both. Also indicate whether they are the originals or duplicates. (See 36 CFR Part 1236 for requirements in managing vital records).

43. Information to gather in the inventory: • Duplication • Indicate duplication in form or content. It can exist in the following ways: • Copies may be in the same organizational unit or elsewhere in the agency. The copies may contain significant differences or notations. • Similar data or information may be available elsewhere in the agency, either physically duplicated or in summarized form.

44. Information to gather in the inventory: • Finding aids • Note the existence of any finding aids for the series, especially if the records are to be proposed for permanent retention. Indicate where the finding aid is located and note if it covers more than one series.

45. Information to gather in the inventory: • Restrictions on access and use • Indicate any restrictions on access to, and use of, the particular series. Such restrictions may result from statutes, executive orders, or agency directives. Common types of restrictions are: • Privacy Act restrictions • National security restrictions • Freedom of Information Act restrictions • Other applicable restrictions that may be specific to the agency

46. Information to gather in the inventory: • Condition of permanent records • During the inventory, take note of the physical condition of records that are actually or potentially permanent, especially those stored off-site. Identify threats to their preservation and security.

47. Information to gather in the inventory: • Disposition authority • If the series has an approved disposition authority, list the schedule and item number and then the retention period. If the series has no such authority, list the files as "unscheduled," make sure they are preserved, and ask the program office to recommend a suitable retention period.

48. Additional information for electronic records: • Besides the previous information, include the following in an inventory of electronic records: • Name of the system • Program or legal authority for creation of the system • System control number • Agency program supported by the system • Purpose of the system • Data input and sources • Major outputs

49. Additional information for electronic records: • Informational content (include where applicable): • Description of data • Persons, places, or things that are the subject of the system and the information maintained on those subjects • Geographic coverage • Time span • Update cycle • Date that the system was initiated • Applications that the systems supports • How data are manipulated • Key unit of analysis for each file • Whether a public-use version is created

50. Additional information for electronic records: • Name, office, telephone number of the person with the documentation needed to read and understand system, including • Codebooks • File layouts • Other (specify) • Location and volume of any other records containing the same information