Record Inventory Sheet Instructions
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Instructions for Completing the Records Inventory Data Worksheet
Use the Records Inventory Data Worksheet when conducting your
inventory to help ensure consistent and complete data collection.
Information gathered in the worksheets
· forms the basis for analyzing your needs and developing a
records management plan
· can serve as an interim way to locate records
· can be entered into a records management database and locator
system
The State Archives requires all local governments with inventory
projects funded by the Local Government Records Management
Improvement Fund (LGRMIF) to use the Records Inventory Data
Worksheet.
As you fill out the data worksheets, keep in mind that someone
other than yourself might need and use them in the future. You
should therefore avoid using jargon, informal titles, abbreviations, or
proper names of current officeholders to describe your records.
There are a number of ways to make your inventory more efficient:
· Use pencil to complete the forms, because data can change as
you work your way through the records.
· Fill in repetitive fields such as "government/agency" and
"department/unit" before photocopying a supply of worksheets
for the inventory.
· Do not inventory non-records, such as blank forms, personal
papers, and publications from an outside source.
· Do not inventory records that have met their legal retention
period. Instead, log information from those records on a
disposition authorization form, and discard the records after
receiving the necessary approvals.
· If a field on the form limits the amount of detail that you can
provide concerning the records, give clarification or more
information in the series description (field 4).
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la. Government! Agency
Give the full and unabbreviated name of the local government. or
state agency whose records arc the subject of the inventory.
Examples:
. Department of Environmental Conservation (not EnCon or DEC)
. Fire Island Union Free School District (not Fire Is. Sch!. Disl.)
· Town of Colonie (notColonie)
lb, Department/Unit
Give the full name of the subdivision that creates, uses, and
maintains the records series. Do not use the proper name of an
official unless it is the name of the department. Examples:
· County Clerk (not Clerk)
. Personnel Office (not Personnel)
. Treasurer's Office (not Bob Clark's Office)
2. Records Series Title
Determine a specific, descriptive title after looking at the records.
You can also use a relevant records retention and disposition
schedule to arrive at appropriate records series titles. Titles should
denote the subject, function, and/or form of the records. Examples:
· Budget Preparation Files
. Commissioner's Correspondence File
· Construction Photographs
· Consumer Case Files
If the records series has a common or colloquial name, note this
name in the series description (field 4).
3, Date Span
Provide the beginning and ending dates of the records series (e.g.,
1978-1990). For ongoing series use "9999" as the end date (e.g.,
1971-9999) or use the word "current" or "ongoing." (Using a set
number such as "9999" allows you the ability to search and sort on
that number if you maintain your data in a database.) Use "ca." for
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circa, meaning "approximately," when you cannot deterrrJine exact
dates (e.g., c3.1977 --ca. 1991). If there are significant gaps in the
date span, indicate them in the series description (field 4).
4. Records Series Description
The description helps you match records series to relevant schedule
items, determine how long to retain unscheduled records, and
appraise records for ongoing historical significance. It should include
basic information concerning the contents and purpose of the
records series. You can also indicate any gaps in dates, particularly
significant items found in the series, or common or colloquial names
used to describe the series.
For Electronic Records
Descriptions of electronic recordkeeping systems should indicate
names of software and hardware required for access, as well as the
data formats of the records. You should also provide a brief
description of any electronic or other files that support or run the
system, including indexes, data dictionaries, metadata
documentation, or other files that may exist in other formats.
Sample Series Descriptions
. Series consists of building permits and supporting materials such
as maps, drawings, specifications, and inspection reports. It
contains information on construction companies, building
locations, building materials, and code violations. The series
documents changes to individual residential and commercial
properties in the city.
. Tax assessment rolls consisting of handwritten lists with names
of property owners, acreage, value of real estate, value of
personal property, total value, and total tax. Some rolls may
contain a description of property such as "farm lot" or "mill." All
rolls contain description of non-resident lands, usually at the end
of the roll. The series provides a record of assessment of resident
and non-resident property situated in the town and is used for
raising tax revenues to support town government and services.
. Training files include lesson plans, copies of examinations,
training schedules, photographs of training classes. Series also
includes data on the first training program (1975) for women
firefighters.
. Correspondence files, consisting of outgoing correspondence
maintained in Microsoft Word 97 and Millennium formats and
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incoming correspondence maintained as 8-bit black-and-white
TIFF images, stored on server space and backed up weekly.
. Electronic social services case files are stored in a database that
includes digital images (TIFF) of incoming paperwork (for
example, copies of birth certificates), along with electronic copies
of reports filed by caseworkers. Specific vital information is
maintained in the database on each individual, including name,
sex, address, and date of birth. The record copy of the full data
dictionary that explains the information in each field of the
database, and a procedures manual for entering and verifying the
accuracy of information, is maintained by the Office of the
Commissioner of Social Services. For some files before 1998,
there may be additional paper documents maintained in other
locations.
5, Arrangement
Indicate how the records are organized (alphabetical, numerical,
chronological, or alpha-numeric order). An alpha-numeric
arrangement combines alphabetical and numerical systems, using
codes such as "HWY-Ol." jf the arrangement is complicated, check
"other" and describe. For example:
. Chronologically by year of graduation, then alphabetical1y by
student name
. Numerically by tax parcel map number, then by document type
(blueprints, permits, specifications, or variances)
6a. Retention
Use this field to indicate the minimum amount of time that you must
retain the records according to a State Archives or other retention
and disposition schedule. For advice on using retention schedules,
refer to Publication #41, Rerention and Disposition of Records.
Either fill in the specific period of time mandated (such as "6 years
after audit") or check "Permanent," as appropriate.
If the series is not in any schedule, check "Not Scheduled." You may
also use this line to propose a reasonable retention period. Use this
when your local government wishes to keep the series beyond the
set retention period, or if you are a state agency dealing with records
that you have not scheduled. State agencies should also include
information on what causes the records to become inactive.
If you think the records should be evaluated to determine whether
they should be kept beyond a mandated retention period, check
"Appraise for Historical Value."
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6b, Schedule and Item Number, or Reason for Proposed Retention
Indicate the State Archives or other schedule (such as a schedule
for court records issued by the Office of Court Administration), and
provide the appropriate item number covering the series at hand. If
the records are not scheduled but you proposed a retention in line
6a, explain the rationale behind that retention period.
7, Location
Indicate the location of the records in enough detail to help you and
others find them after the inventory is complete. The location can
include building, room, cabinet (and drawer), shelf, and box. For
example:
. Annex building, Planner's Office, Desk 2, Drawer 1
. Elememary School, Room 125, Cabinet 1, Drawers A-D
. Upstairs vault, Shelf A-I, Box 3
8. Format
Check all formats that apply to the records series. Paper records
include loose documents, bound volumes, photographs, architectural
drawings, and maps. Audiovisual records can include records stored
on audio- and videotapes, compact discs (CDs), phonorecords, and
digital video discs (DVDs). Micrographic records can be microfilm
rolls or microfiche. Electronic records include word-processed files,
databases, electronic spreadsheets, geographic information system
(GIS) records, computer-aided design (CAD) records, and e-mail.
g, Total Quantity
This information is important for determining the resources-filing
equipment, shelving, boxes, and labor-required to care for your
records. Indicate quantity of paper records in cubic feet. See
Appendix F, "Table of Cubic-Foot Equivalents," for information on
how to estimate the cubic footage of paper records.
For records in other formats, quantify the volume by number of
items, which can include rolls, tapes, CDs, and disks. Quantify
records in electronic recordkeeping systems by number of bytes or
by number of items (such as CD-ROMs and computer tapes).
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10. Annual Accumulation
Annual accumulation is the volume of records created, received,
and retained in the course of a year. Collect this data only for records
stored in offices. Indicate the rate-in cubic feet or number of
items-at which these records grow every year, usinfJ the most
recent year or two as a guide. You can use this information for
projecting future space needs for inactive records.
11. Frequency of Use
Indicate how often both office staff and others use the records. This
information will help you determine whether you should transfer
records in office areas to inactive storage, or whether you should
make records stored in remote inactive areas more physically
accessible.
12. Restrictions on Use
Indicate whether there are any restrictions on who may view
records in the records series. Sometimes, a specific law requires you
to keep the records confidential. In such cases, you should cite the
law or regulation that mandates restrictions. Occasionally you may
have to restrict use, because allowing use would cause damage to
fragile historical records. However, do not identify a series as
restricted or confidential merely because your government or
agency routinely requires written requests for access to records.
If you are not sure whether records are restricted, contact the New
York State Committee on Open Government by mail at 41 State
Street, Albany, NY 12231-0001, by telephone at (5]8) 474-25]8, or
bye-mail atopengov@dos.state.ny.us
13. Records are in Poor Condition
If part or all of the records series are damaged, check the box.
Examples of damage include tears, stains, folding, mold, mildew,
brittleness, and discoloration. This field is useful for identifying
records series for microfilming or individual documents that may
require the care of a professional conservator. If there is a pattern of
damage among records stored in the same area, it may also indicate
chronic problems with your storage environment, such as excessive
or variable temperature and humidity.
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14, Records are Vita]
15, Records are Official Copies
16a, Name of Person Completing Form
16b. Date
Check the box if these are vital records, which are those that are
essential to the daily operation of your organization. Don't confuse
this use of the term "vital records" with "vital statistic" records such
as birth, death, and marriage certificates. Examples of vital records
are current tax receipts, ongoing contracts, payrolls, and land and
student records.
Check the box if this particular copy of the records being inventoried
is the "official copy." The official copy is usually the clearest, most
complete, signed and/or certified copy. Sometimes there are twO
equally good sets of one records series; in such cases, you may have
to designate an official copy if one is not immediately apparent.
Retention and disposition schedules require that you retain only the
official copy of any record; you may destroy duplicates when no
longer needed.
Provide the name of the person who inventoried this records series.
Provide the date that the worksheet was completed. This
information is useful in determining whether or not the inventory is
up to date.
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