Records Management - Conducting a Survey of the Records
1. What is a records survey?
1. 1. A records survey is the exercise that is undertaken to locate and identify all records that are held by a particular school or business area.
2. Why is a records survey needed?
2.1. Records surveys help establish control over existing records and enable them to be brought into a controlled records environment. Surveys can be used to collect information for both the records register and/or the information map, and will also help with the development of the retention schedule and filing scheme.
3. Who conducts the survey?
3.1. It is the responsibility of each school or business area to manage the records that it creates and maintains and this includes carrying out a records survey if it is required. The survey can be undertaken by those responsible for carrying out the functions and activities that are covered by the information map - or by Local Records Officers charged with responsibility for records management within particular schools or business areas.
4. What sorts of survey are there?
4.1. There are two methods of collecting data for the purpose of a records survey
- by physical observation
- by questionnaire.
The physical survey is the most reliable method, and needs to be be used when it is important to obtain detailed and accurate information as to the records held.
A survey by questionnaire is a very effective way of covering a wide area quickly, but you need to bear in mind that the method relies on other people to complete the questionnaire and if not all the questionnaires are returned the results may be unreliable (even misleading) and which may well make it make it necessary in the end to undertake the physical survey anyway.
5. Preparations for a physical survey
5.1. It is always a good idea to inform all affected managers and other staff of what is going to happen prior to the commencement of the survey. You will need to tell them the purpose of the survey, what it is being conducted for , any possible impact it may have on their work and also when you intend it to begin
5.2. Depending on the size of the area to be surveyed, it may be a good idea to hold an awareness session for affected staff.
5.3. It will help you to study relevant maps and plans of buildings, and also any available inventory of records storage equipment (including computers). Organization charts too, will assist you in understanding the flow of information within your school or business area as will procedure manuals, any existing file lists and also any evidence of previous surveys that may have taken place.
5.4. In preparing for survey you are trying to gain an overall picture of the ownership of the records, the amount of records and the environment within which the records are maintained.
6. How to conduct a physical survey?
6.1. In respect of a physical survey, you need to visit all areas and look into every item of records storage equipment, you will need to ask questions of relevant staff and you will also need to complete a survey form for each record series that you identify. There is a word survey form available for the task. A direct approach enables you to ask for all the information that you require in one go and also allows you the opportunity to clarify anything you do not understand.
6.2. There is NO need, when conducting a records survey, to examine every record. What you should be interested in is the identification of the records at the records series level.
6.3. The physical survey needs to be carefully planned to ensure the minimum of disruption to the work of the school or business area and you will do this as necessary part part of your pre -survey preparations. Initial preparation will make the plan more effective and only when this and its timetable have been drawn up should the actual survey commence. You need to understand at the outset that a physical survey is a time consuming exercise and, if the need is to develop systems quickly, it may not be the best way forward. This will leave you with the indirect approach and questionnaires and which has definite disadvantages (see para 7)
6.4. There are four activities that are central to discovering the information required from a physical survey, you will need to :
- discover
every storage place for records within the geographical area that has been
designated for survey, this will include roof/attic voids, underneath stairwells,
corners of rooms, personal computers - ie wherever;
- look
at and identify all the records that are discovered;
- continue
to ask questions until your understanding is complete in respect of the
particular business of which the records are output;
- ensure that the information that has been gained from the survey is adequately documented for future analysis.
7. How do I conduct a survey by questionnaire?
7.1. Identify all individuals within the school or business area who have responsibility for the creation or maintenance of records, and ask them to complete a survey questionnaire for each of the records series that they hold. An electronic survey questionnaire is available for use.
7.2. If you do decide to send out questionnaires you need to accept that individuals may not respond or may not answer all of the questions or take little trouble in entering accurate information - because of these drawbacks you need to ensure, as far as you are able, that the questionnaire itself is both difficult to avoid and as easy as is possible to complete. An electronic survey form has been prepared for you to use.
8. How to analyse the survey results?
8.1. Good analysis is determined by the questions you ask of the data, but you need to remember that your survey results will quickly become obsolete so it is essential to analyse them quickly. We know that the survey will enable the update of the records register, and will also assist in the development of the filing scheme and retention schedule, the information gathered will also assist in the identification of the following:
- records that are valueless and which should be destroyed immediately.
- inactive records that could be removed from expensive office accommodation
to records storage.
- filing equipment which could possibly be emptied, removed or re-used.
- those records or information that could be consolidated, and also the
elimination or reduction of duplicated information.
- any records which are subject to the Data Protection Act 1998.
- measures required to protect the records from loss, damage, etc.
9. What help is available?
9.1. Further advice and guidance in respect of records management, data protection and freedom of information can be obtained by emailing Rec-Man@ncl.ac.uk or telephoning ext. 6071