Sample Records Survey and Inventory Analysis

This analysis presents how a focused records survey and inventory can strengthen an organization's information management policy and records management program. The work centered on finance and accounting, where audit and regulatory pressures are highest, and volumes are largest. Teams distinguished records from non-records, mapped series location across decentralized repositories, and documented records inventory topics such as series title, series description, inclusive dates, arrangement of records (for example, series arranged alphabetically by vendor), and item count.

Both paper and electronic holdings were assessed, including textual, electronic, and microform formats. Conversion factors were used to estimate storage, and duplicate electronic content was identified for cleanup to reduce risk and cost.

Governance findings highlight the need for updated policy, assigned responsibility, and training. Access controls exist, but a standardized approach to content types, metadata, and finding aids is needed to improve records reference and reference activity. Establishing finding aid indexes, series title examples, and a glossary of standard terminology will make retrieval faster and support compliance with restrictions on access and use, including privacy act considerations, national security classification, and executive orders where applicable.

Retention and disposition depend on clear cutoff instructions. Metadata such as records cutoff (for example, fiscal year end) should trigger lifecycle actions for temporary records and permanent retention. A records appraisal process should culminate in a request for records disposition authority and a records schedule submission to the approving authority.

Approved disposition authority supports consistent records scheduling and enables timely records transfer or records center transfer to records centers. For long-term efficiency, a records schedule and a records inventory form should govern series inventory across both paper and network shares, complemented by information system inventory and, when needed, AV series inventory. When transfers occur, records restrictions and records reference needs must be documented.

Use cases include cleaning up network shares in accounting, instituting a standardized metadata model for policy files, budget files, case files, and correspondence files, and planning for scanning or storage measured in cubic feet. Additional support includes data analysis tools, a database user guide, and procedures for records center transfer.

Proposal Kit can streamline this work by assembling business report packages, building a records schedule and related documents from its template library, automating line-item quoting for program phases, and using the AI Writer to generate supporting policies and inventories, making implementation easier for teams.

Expanding on the analysis, organizations benefit from applying disciplined inventory methods used in other fields to their records programs. Just as forest inventory and analysis relies on a plot network, small area estimation, remote sensing, land use and land cover layers, biomass and carbon models, a nationwide forest inventory, an urban forest inventory, national resource use monitoring, and the national woodland owner survey, a records team can use analogous techniques to measure volumes, forecast growth, and prioritize series for action. This includes planning for multiple formats-textual, electronic, and microform- and deploying sampling and estimation documentation to model storage and access needs. Mature reference services also log data consultations and requests to align finding aids with demand.

These practices translate well across industries with specialized datasets. Energy firms manage a well sample library, core inventory, electronic logs, strip logs, and borehole data. Transportation agencies track weigh-in-motion metrics, payload factors, vehicle inventory, and use survey outputs and SCTG commodity classifications.

Cities run an urban inventory program that generates diverse records. All these domains still require consistent records appraisal and scheduling, clear restrictions on access and use, and defensible retention.

Proposal Kit can accelerate delivery by assembling a cohesive business report, an inventory form, and a records schedule, while its template library supports records appraisal and scheduling narratives, a database user guide, and a glossary of standard terminology. Teams can also produce supporting materials for training and travel, budget files, and data consultation logs. Automated line-item quoting helps scope phases (policy update, metadata model, and cleanup), and the AI Writer can write supporting documents, such as sampling and estimation documentation or finding aids, helping stakeholders move from assessment to implementation with less rework.

Building on the prior analysis, a practical next step is to define records inventory topics at the series level with precision. Each series title should include a series description, inclusive dates, series location, arrangement of records (for example, series arranged alphabetically or by fiscal year), item count, and volume in cubic feet. These details support records appraisal and scheduling decisions that differentiate permanent retention from temporary records and document clear cutoff instructions. Event- and time-based records cutoff triggers should be embedded in metadata so lifecycle actions occur automatically across textual electronic microform holdings, including information system inventory and AV series inventory.

Organizations can strengthen compliance by mapping records restrictions to policy references such as the Privacy Act, national security classification guidelines, and applicable executive orders. Establishing finding aids with finding aid indexes enhances records reference services and improves turnaround for data consultations and requests. When a series is ready for disposition, the workflow should include a request for records disposition authority, a records schedule submission, approval of disposition authority, and coordinated records transfer or records center transfer to designated records centers. For high-volume environments, sampling and estimation documentation can validate growth projections and refine staffing plans for training and travel.

Operational dashboards can track cleanup progress on duplicate content, measure reference activity, and verify that records schedule controls are enforced in network repositories. Proposal Kit can help structure this work by assembling a records schedule, records inventory form, and related business report content, while its AI Writer accelerates writing of cutoff rules, series title examples, and crosswalks to policy controls, supporting a consistent, auditable implementation.

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Records Survey and Inventory Analysis

The purpose of the records inventory is to develop and maintain an Information Management Policy for the Records Management Program. The data captured from the survey and inventory help identify records and non-records, document the location of records, and aid in categorizing and managing the records life cycle. Surveys and an onsite physical inventory were performed to gather basic information regarding the quantity, physical form, document type, location, storage facilities, rate of accumulation, uses and similar metadata about the records of Decker, Hubbard and Brown.

The objectives of a records survey include:

Determine the source of content types, metadata, and purpose. Organize content for easy access and use in document management software. Clean up network file shares and free storage space. Identify records ready for disposal.

Identify important records that need to be retained. Determine the procedures, costs and requirements for improving the records program. Decker, Hubbard and Brown would like to improve the accessibility and management of the corporate records program for the entire organization.

For the purposes of this analysis and report, a physical inventory and survey of the Accounting documents was performed for paper and electronic documents. The financial records of Decker, Hubbard and Brown make up the largest volume of documents within the organization and have the most audit and regulatory restrictions. A pre-inventory survey was sent to the Business Unit Manager and followed up with a physical inventory of the identified document repositories.

The accounting department governs the company's day-by-day fiscal functions and activities. The majority of the records generated in Finance are accounting records, such as invoices, purchase orders and supporting documentation. Financial records that should be considered for retention and life cycle management include policy and spending guidelines, accounts payable, accounts receivable, audit reports, finical statements, and the documents that are the records of activities or transactions of the business.

Volume Summary

The attached Exhibit A - Records Inventory Worksheet for the detailed data of the Accounting Department volume and activities. Electronic Documents Stored in a Digital Format.

Forecast Storage Estimates

From the storage estimates, the following conversion table was used:

Description Measurement Volume Unit Linear Foot One foot (loose) 1760 Paper Linear Inch One inch (tight) 180 Paper Banker Box 10" tall x 12" wide x 15" long 2200 Paper Vertical File Cabinet Drawer One 24" drawer 3520 Paper Lateral file cabinet Drawer One 36" drawer 5280 Paper Scan Image (300 DPI) 50k 1 Bi-tonal Image. Decker, Hubbard and Brown's accounting department has approximately 1,587,520 pages of paper documents stored in boxes, file cabinets, and on shelves. There are also an estimated 340,900 electronic files in network shares and existing application software. From the inventory, it can be noted that approximately 45% of the electronic documents were duplicates or working documents with no value to maintain.

The volume and access of electronic documents are growing at a faster rate than the physical documents, and it should be anticipated that the electronic documents for the Accounting Department may increase at a rate of 35% to 40% a year.

Assessment of Records Management Governance

The location of paper and electronic documents are decentralized and there are multiple document stores throughout the organization. Decker, Hubbard and Brown does not formally assign responsibilities for managing records or provide training programs for management and users. Decker, Hubbard and Brown has a records and information management policy but it is outdated and needs to be reviewed and enforced, or embraced by the business unit or community overall.

Access and Security

Access and security are managed through password accounts in active directories and there are both unrestricted and limited access to shared drives. Access to paper documents is controlled through locked cabinets and rooms.

Business units and access to content should be grouped as:

Users with restricted view who can only access specified content types of documents. Users who can view and edit content types. Users with full control, ownership, and creation or authoring capabilities. Document Sets, Content Types, and Metadata.

The classification of categories and metadata associated with records should be automatically captured or inherited in a standardized method. The following is an example of a plan for financial management. See Exhibit B Metadata Model.

Salary records Record Activities / Content Type. Identify Vital Records and Management. Records categories or content types that need to be records managed for archival and disposition purposes will be noted in the File Plan document.

Metadata such as Cutoff Date and records categories will identify the retention of a specific series of records and provide the trigger for records management events to manage the records lifecycle. From the data gathered in the inventory and survey, the key functions and processes that result in the creation of records come from the Finance and Accounting department. This department also has high risk records for litigation and regulations, and therefore is a candidate for moving forward with a pilot project for the first phase of the records management program.

Policies and procedures will need to be updated and a committee formed to oversee the governance and change management moving forward.