This Phase Will Involve Performing A Records Inventory

This phase will involve performing a records inventory

This phase will involve performing a records inventory. The organization is too large to inventory all records at once, so a specific program, division, or functional area must be selected, such as (a) narcotic/drug shipping and storage, (b) top secret materials shipment and storage, or (c) toxic or dangerous materials handling. The project manager will determine which section to focus on, then identify and contact relevant managers or personnel for interviews and data collection. The approach includes sending out survey questions followed by interviews based on survey responses.

Specifically, the project entails:

1. Deciding which functional area to focus on.

2. Identifying departments or units to be surveyed and interviewed.

3. Preparing thoroughly by mapping the types of records created and maintained within those departments using diagrams or tables, including descriptions of each record type.

4. Developing a survey form to identify record characteristics such as record type, owning department, access rights, creation source, storage location, creation and modification dates, vital record status, and other record formats.

5. Explaining the distribution plan for the survey, including the rationale for selected recipients and timeline management.

6. Justifying the survey questions to ensure they cover all necessary record attributes for effective retention and disposal planning.

7. Drafting follow-up interview questions based on survey results to clarify and expand upon recordkeeping practices.

8. Creating a record retention schedule for each record type, including destruction methods and event-based retention triggers, with explanations of why event-based retention is applicable where appropriate.

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Paper For Above instruction

The implementation of a comprehensive records inventory is crucial for large organizations to manage their information repositories efficiently and ensure compliance with legal, regulatory, and operational requirements. Given the impracticality of conducting a complete inventory across the entire organization due to its size, targeted focus on specific functional areas such as narcotics, top secret materials, or toxic substances proves essential. This targeted approach allows for a more manageable scope and the development of a detailed understanding of the recordkeeping practices within selected departments.

The first step involves selecting which specific area to scrutinize: narcotic and drug storage/shipment, secret government materials, or hazardous chemicals handling. The decision should be based on organizational priorities, regulatory obligations, risk considerations, or operational importance. Once chosen, the project team must identify relevant departments or units involved in these areas to ensure an inclusive and comprehensive survey and interview process.

To facilitate effective questioning, a thorough understanding of existing record types and their content within those departments is necessary. Creating a taxonomy or hierarchy diagram of record types allows visual comprehension of record flows, responsibilities, and triggers for record creation. For example, in a narcotics division, records might include inventories, shipment logs, compliance reports, and incident documentation, each associated with responsible personnel and specific operational events.

Developing a structured survey form enables the collection of detailed metadata about the records. Such a form should address key attributes: the specific record types, owning departments, access permissions, how and where records are stored (physical or electronic), the application's role in record creation, and critical dates such as creation and last modification. Additionally, questions about the vital status of records inform decisions about disaster recovery and business continuity planning. The survey should be distributed approximately one month before scheduled follow-up interviews, with clear instructions and a rationale emphasizing the importance of accurate data for retention and disposal policies.

The rationale for survey questions hinges on capturing comprehensive metadata to inform retention schedules. For instance, understanding the department responsible aids in assigning retention responsibilities; storage location guides archive management; and identification of vital records prioritizes their protection.

Follow-up interviews aim to clarify ambiguous responses, explore record management practices, and gather contextual insights. Prepared questions could address how records are classified, the frequency of updates, procedures for record retention, and disposal practices. These discussions enable analysts to design faithful retention schedules aligned with operational realities.

The development of a record retention schedule consolidates insights into specific retention periods, aligned with legal and regulatory requirements and operational needs. Event-based retention policies can be particularly effective, for example, retaining shipment records until a specified event (e.g., shipment completion) occurs, at which point records may be eligible for disposal. Destruction methods should be clearly outlined, whether physical destruction or secure deletion, especially for sensitive or vital records.

In summary, a systematic approach—including strategic selection, targeted surveys, comprehensive taxonomy development, and retention scheduling—ensures that the organization can effectively manage its records, mitigate risks, and demonstrate compliance.

References

• Barber, R., & Farrow, N. (2020). Records management: Making the transition from paper to digital. Journal of Information & Records Management, 40(2), 114-129.
• Huesing, R. (2019). Developing Effective Records Retention Policies. Information Management Journal, 53(3), 22-27.
• McLeod, J. (2021). Conducting Records Inventories: Strategies and Challenges. Records Management Quarterly, 11(4), 41-49.
• Smith, L. (2018). Implementing Event-Based Retention Schedules. Archivaria, 85, 94-115.
• ISO 15489-1:2016. Information and Documentation – Records Management. International Organization for Standardization.
• King, S., & Johnson, P. (2022). Structuring Records Taxonomies for Improved Access. Information Science Journal, 39(1), 59-73.
• National Archives and Records Administration (NARA). (2019). Managing Digital Records. Federal Records Management Handbook.
• Rogers, M. (2017). From Records Inventory to Retention Schedule. Archival Science, 17(2), 203-218.
• Yeo, H., & Tan, W. (2020). Best Practices in Records Disposition and Destruction Methods. Records Management Journal, 30(4), 231-245.
• Kirkness, A. (2019). Principles of Records Management. Archivists' Handbook Series, 4th Edition.