The records survey
Abstract
Explores the reasons to conduct a records survey and the importance of planning. Examines different survey types and methodologies, and discusses how to make effective use of the data collected.
Why conduct a survey?
Whatever the particular situation in the institution, it is normally necessary to conduct an audit or survey before starting the practical work of implementing a records management programme. An effective survey will help to identify the issues, establish how significant these are, define priorities and ultimately draw up an action plan. It can also help lobby for resources. In most cases, the aim of a record survey is to gain a view of the overall situation in the museum.
Most importantly, what are the goals of the institution and what record-keeping systems are needed in order to support and achieve those aims? Establishing a complete overview of the record-keeping situation across the whole organisation is a vital stage in securing control over the records themselves. The survey is the foundation upon which the records management programme will be built.
Pre-survey: the importance of planning
To ensure that the audit yields the information needed to advance records management in the institution, it is important first to define the following clearly.
Objectives – what must the survey achieve? What information is needed for this purpose?
Scope – what elements will the survey encompass (format, location, subject matter of records)?
The volume of records created by museums and galleries today is enormous and an ad hoc records survey can easily become overwhelming. Planning ahead for the survey is essential – not only does this ensure the data collected are relevant and useful, but it will also help ensure the work is completed in a manageable timeframe.
Step 1: Determine objectives
Before beginning work, it is important to determine the survey objectives. Exploring the following will help.
Stakeholders
Who, in the institution, is likely to be interested in the results of the survey? What information would they find useful? Consider the following.
Records manager – what records are being created, by whom, in what format, where are they stored, for how long?
Archivist (museum records) – which records have long-term value? In what format are they created, where are they stored and for how long?
Freedom of information and data protection officer – which records contain personal information? How are records containing personal data managed (collected, stored, made secure, made accessible, time period retained)?
Information desk/visitor services – how easy is it for staff to identify relevant job-related information? What methods are there for sharing information? What duplication exists?
IT department – what formats of electronic records (word-processed documents, e-mail, databases, spreadsheets, digital images, etc.) does the museum create and how are these managed over time?
Facilities – what space (physical and virtual) is currently taken up by storing records? What is the cost of this?
All colleagues – can staff members easily locate the records they need to do their jobs? If not, why not?
Legal environment and best practice
What is the legal environment surrounding the institution (to what legislation is the institution subject)? What do the Acts say and what is their implication for record keeping? How does the institution aim to ensure compliance? What best practice might the institution adhere to? Consider all the factors explored in Chapter 4.
Other records-related initiatives
Are there any other projects which impact on record keeping and might influence data collection and priorities? Examples include the following:
Recognised problems
What record-keeping problems have already been identified in the institution? Why has records management become a concern? What was the records manager post established to resolve/achieve? Examples include the following:
identify and address duplication of records
reduce storage space (physical and virtual)
ensure legal or regulatory compliance
improve work efficiency (by ensuring staff can locate and identify records).
Having investigated the above, draw up a focused list of aims: what are the key objectives that the survey, and ultimately the resulting records management programme, must achieve?
Step 2: Determine the scope of the survey
The next stage is to determine the scope of the survey. Essentially there are two options: survey everything or survey a targeted area.
A comprehensive survey (Figure 5.1) normally encompasses all the records of the institution. This involves looking at records:
Depending on the size of the institution, this may present a daunting task. However, bear in mind that it is not necessary to focus on individual pieces of paper or even on individual files (although in some cases this may be necessary). The aim should be to identify record series or broad categories of records.
A comprehensive survey is usually suitable in the following environment:
when the institution is already committed to records management – it has been recognised as an essential business function and/or the records management role is permanent or long term
when there are no urgent issues to resolve
when a comprehensive picture is required or has been requested.
A targeted survey (Figure 5.2) focuses on an identified area or group of records, usually limited by one or more of the following elements:
record format (electronic, paper, etc.)
subject matter (collections records, exhibitions records, etc.)
creating body (section/department)
physical location (particular shared drive, office, building etc.).
A targeted survey is usually suitable in the following environment:
when the institution needs to make a business case for records management – where it is yet to be recognised as an essential business function and/or the records management role is temporary
Time constraints must also be considered. Think about what needs to be achieved and the total time available. The records survey should take about a quarter of this time. The remaining three-quarters should be used for implementing recommendations and establishing a records management programme.
Step 3: Determine the survey methodology
The next stage is to determine the survey methodology. Essentially there are two choices: a direct audit, where all the data are collected by the records manager; or a devolved audit, where others are enlisted to collect data on the records manager’s behalf.
A direct survey (Figure 5.3) involves the following key stages.
Familiarisation with the institution.
Collect key documentation: floor plans; file plans (where they exist), etc.
Plan questions and identify interviewees.
Establish data collection tool (spreadsheet, database, etc.).
Draw up survey schedule identifying when and for how long visits to each area will take, etc.
Identify and brief relevant staff across the institution.
View shared drives (including relevant ‘my documents’ areas).
Enter data into spreadsheet or database.
Allow at least one day per ten staff members.
A direct survey is usually suitable in the following types of environment:
where stakeholders (staff to be interviewed) are easily identifiable
where there are fewer time constraints or the project schedule is longer
A devolved survey (Figure 5.4) will involve the following key stages.
Familiarisation with institution.
Establish network of local contacts.
Plan questions and identify relevant stakeholders.
Draw up survey schedule identifying when to issue questions, run workshops, etc.
Issue questions to local contacts.
Conduct ‘mop-up’ visits (where follow-up on survey results is required).
Allow at least three to four weeks from issuing the survey for responses, but do not wait too long or questionnaires will fall to the bottom of the pile and not get returned.
A devolved survey is usually suitable in the following type of environment:
Step 4: Identify preferred key terms
This may be the first time the museum has heard anything about records management, so think carefully about the terminology employed during the survey. Identify the terms that are most appropriate to the institution (those that are least likely to be misunderstood) and apply them consistently. Clearly define those terms that might cause confusion. These measures will ensure that the data returned by the survey are reliable. Key terms that need consideration include:
Step 5: Plan questions and identify stakeholders/interviewees
Having identified the objectives, scope, methodology and key terms of the survey, it is finally time to compile the questionnaire that will be used by the records manager (direct survey) or by staff (devolved survey) to collect the data. Whatever the breadth or scope of the survey, the questionnaire should be concise: ideally no more than 40 questions. The questions should be easily understood and not open to misinterpretation – where possible tick-box style answers should be employed. Most questions will be applicable to both electronic and paper records, although a few will be specific to format.
Remember that when interviewing, questions should be flexible enough to enable them to be asked at the appropriate level: overview questions to senior management; more specific questions to middle management/recordscreators/administrators; and less complex questions to operational staff, or to those people who are responsible for/create fewer records.
The following information should always be included on the survey forms:
contact details of person conducting the survey (where applicable)
name of record creator (person/department/unit)
summary/brief description of record series/group (for what purpose were the records created, what information do they contain?)
records format (paper, electronic or hybrid)
software environment (for example, Word document, Outlook e-mail, Access database, etc.)
location of records (shared drive/file cabinet/room, etc.)
storage method (e.g. locked cabinet, open shelves, network area, ‘my documents’, etc.)
volume of records (in linear metres, cubic metres or kilobytes)
data protection status (do records contain personal data?)
EIR status (do they contain environmental information, as defined by the Act?)
vital record status (is the record series essential to the successful running of the institution in case of disaster?)
legal requirements (are the records required for legal purposes?)
age (date range of records in years)
status (is the information currently in use, how long is it needed, could it be destroyed or archived?).
Remember, there should be one form for each series. Sample survey questionnaires can be found in Appendix 10.
Identify interviewees
If the institution is medium to large in size, it is not practical to interview all staff or even to ask everyone to fill out a questionnaire (not least because the time taken to collate useful results would be enormous). However, it is important to collect data from a wide range of staff (senior management to operational personnel) and across the entire organisation so that all museum functions are represented.
Specific staff members should be always be included in interviews:
heads of departments/divisions, and the director if possible
executive assistants, personal assistants, department administrators
one to two ‘middle managers’ from each department
one or two administrative/operational employees in each department.
Some museum functions may have only one practitioner who creates records – do not miss them out. Also remember to include part-time staff and relevant contractors.
Step 6: Develop the data collection tool
Having established the questions, it is important to identify how the returned data will be stored. The ideal tool is one that enables easy analysis. The following applications are all suitable data collection tools:
are free, remember to ensure that the data are held securely and only accessible to authorised individuals; and also that they can be easily downloaded, manipulated and migrated for inclusion in post-survey reports).
Step 7: Schedule the work and communicate with staff
Since the survey is likely to involve interviews with colleagues, review of records and visits to records storage areas it will inevitably be disruptive. To minimise the potential upset it is important the work is planned carefully. If a direct survey methodology is being employed, appointments should be made in advance. Be clear about how much time will be spent in each area. Specify who will need to be involved, how long interviews/discussion will take and how much time will be spent looking at records independently. It will be particularly important to establish the procedure for review of electronic records. Will the survey encompass records in shared-drive areas only, or will it incorporate ‘my documents’ in personal drives? Is it necessary to look at the computer of each member of staff, or will a sample of selected employees be enough? Would asking staff about their e-records practices be sufficient?
If the devolved survey methodology is employed, it will be important to meet with the identified contacts in each area. Explain when the survey questionnaire will be sent out, when workshops or briefing sessions will be run and how long they have to conduct and complete the survey. Regardless of the method, the important thing is to draw up a project plan and communicate this to all relevant staff.
Step 8: Secure permission to survey
To ensure the survey is successful it must encompass, and therefore the records manager must secure permission to access, all records across the institution regardless of their format or content. This should include, in particular, confidential or sensitive records, and records stored on shared drives and in ‘my documents’ areas. If the direct survey methodology is employed this is imperative. If the devolved survey methodology is chosen it may be less relevant, but securing permission is nevertheless important because the returned survey results may need to be clarified or verified by consulting the records directly; and the process of securing permission to access all records emphasises and reinforces the scope of the survey and the records manager’s authority to do the work.
Step 9: Demonstrate management support
Finally, once the survey has been carefully planned, it is important to confirm and demonstrate management support for the work. Even the best-planned and well-conducted survey will require staff time, and for this reason some people may be resistant. Without the full support of management, the survey will founder. Before the survey begins a senior member of staff (preferably the head of the institution or each departmental/divisional head) should send a message to all staff announcing the plan, explaining the importance of cooperation and establishing authority for the survey staff to view confidential or sensitive files. This message will provide the passport to all areas of the organisation and to a successful survey.
The survey: issues and tips
All organisations – and indeed often departments, sections and staff within the organisation – have different histories, structures, objectives, procedures and problems. The records manager will need to be curious, persistent, reassuring, sensitive (to the reasons people might be resistant to the survey) and above all else an excellent communicator to ensure the survey is successful.
Issues
Whatever the nature of the institution, the most common problem faced by the record surveyor is difficulty identifying record series. Institutions and departments frequently organise their records into large groups arranged by subject or correspondent, but not according to easily identifiable series. Where this is the case, it may be necessary to spend additional time reviewing the records. There may be several series buried in one arrangement, or it may be that one series runs across various groups of records (e.g. exhibition records in different departments). Identifying the series is important for establishing retention periods and ultimately gaining control over the records.
Another issue likely to be encountered is where records are stored in no discernible arrangement, but rather have simply been dumped or discarded in boxes and files or on shelves. In this case it can be very difficult to identify series, or indeed to see any order at all. Do not be put off by the initial sight of the problem. The material may not be as chaotic as it appears. Sometimes records stored in this manner have simply been removed from their original containers or location due to lack of space in another storage environment. Records that have been treated in such a manner are likely to be inactive. It is probable that their current counterparts are better managed elsewhere in the institution. For this reason, chaotic record storage areas are best left until last on the survey agenda. It is easy to become sidetracked by sorting out such material, and time spent identifying record series in this environment might be wasted if similar records are later located elsewhere. When reviewing these areas at the end of the survey, make some rules.
Allocate how much time can be spent trying to identify record series, and stick to it.
Pick a selection of files and papers, and try to identify whether the records belong to a series already identified. If they do not, make a note of the creating body, subject matter and date range of the records. It may be possible to associate them with an existing series at a later date.
Measure the space occupied by the unidentified, unsorted material.
Do not spend time sorting the area as part of the survey.
Do calculate roughly how long it will take to sort the material and present the results as an option or recommendation for future action in the final survey or action report.
Approaching areas of chaotic, unsorted records in this way will help ensure that the survey finishes to deadline. It will also highlight the extent of the problems facing the institution, and begin to suggest that records management is an ongoing requirement. In addition, the process of sorting out a record dumping ground – if managed as a recognised post-survey project – can present a very useful promotion opportunity clearly demonstrating the value of records management to the institution.
Interviews
Whether the direct or the devolved survey methodology is employed, it will be necessary to interview staff. The extent of this activity will vary depending on the aims and scope of the survey and the size of the institution, but it is likely that for many staff the survey interview will represent their first direct encounter with records management, so the records manager must ensure this experience is a positive one. There are no hard-and-fast rules for conducting survey interviews, but the following basic pointers may help.
Be clear – start by explaining the purpose of the survey and the interview. Ensure all questions are straightforward. Rephrase questions as many times as necessary until they are understood.
Listen – give the interviewees time to respond to the questions and let them answer in their own words. Do not prompt or suggest answers.
Verify – where responses are unclear, verify until the meaning is understood.
Stick to the questionnaire – do not get sidetracked on to other issues or involved in detailed analysis of records or organisational problems.
Stick to the time allocated – do not let interviews run over the scheduled time available. A maximum length of an hour is recommended. Any longer than this and the interview will become unprofitable and staff will have a hard time clearing space in their diaries. Remember that running over time may be bad publicity for the survey.
Remain neutral – do not make judgements about records and filing systems. Doing so will alienate staff. Do be sympathetic to the issues they raise.
Be helpful – the purpose of records management is to improve record systems for everyone. Make sure the interviewee is aware of this. If it is appropriate to do so, offer quick solutions to problems. Do not wait until the survey process is over if simple guidance can be provided immediately.
Follow up – when notes from the interview have been written up, present a copy to staff. Invite them to identify any errors and make comments; but do not necessarily wait beyond a firm deadline before issuing the final version, as it may take some time for responses to come in.
Compiling data
The survey process will yield a great deal of information, and it is vital that this is recorded fully and accurately as the survey progresses. Notes from interviews or visits to departments should ideally be written up at the end of the same day, as impressions and nuances quickly fade. Likewise, if interviews proceed quickly, the resulting notes are often scribbled and cursory. These should be written up as soon as to avoid ambiguity and misinterpretation at a later date. Similarly, survey forms should be reviewed and the data entered into the survey tool as soon as they are complete. It is easier to follow up any queries that may arise if these are identified immediately.
Ideally the survey process should produce:
a report for each area/section/department summarising the current situation, highlighting any problems and making preliminary recommendations for improved practice
detailed data (recorded in spreadsheet/database, etc.) identifying record series, format, location, extent, dates, etc.
It may be useful to keep, and regularly review, a daily list of totals. This will help ensure that the data collected remain manageable and understanding of the overall record-keeping situation grows as the survey progresses. The data collection system (database, spreadsheet, etc.) should be able to calculate such totals with ease, but it will need to be programmed accordingly. It may be useful to compile daily tallies for the following:
Communicate
From start to finish, the process of conducting a record survey is likely to be lengthy. To keep up momentum for records management during this period and ensure that staff remain engaged with the project, it is very important to provide regular feedback and progress reports to relevant stakeholders. Do not labour this process. Only report when there is something worth saying, but do make sure that staff are aware of key developments. At the very least, present each department/section with a summary of the survey findings when work in their area is complete.
Tip
It may be helpful to provide updates during the course of the survey via the following channels:
Above all, try to ensure that every staff interaction during the survey is positive; the aim is to provide help and demonstrate that records management will benefit the museum.
Post-survey: analyse, summarise and report
For the survey to be a success, the data returned must be analysed and evaluated and the findings presented to senior management. Since records management is meant to improve records and information systems for the whole institution, take care not to become sidetracked with detailed data analysis, but rather focus on establishing a global view. A survey that only results in statistical information is not a useful one. The aim when examining the data should be to establish the state of record keeping across the entire institution. The report should identify problems, establish priorities and make recommendations for improved practices in the future.
Data analysis
If data have been collected effectively, it should be easy to compile a comprehensive summary of all the records being created and managed by the institution. This should include, for each record series, details of:
This information will form the foundation of the records management programme. Using the information collected, it will be possible to start developing key records management tools, including the retention schedule and file plan (see Chapter 7), as well as supporting best practice across the museum.
If questions have been carefully compiled, it should also be possible to manipulate data in order to extract more complex results that quantify the scale of different problems. For example:
note number of vital records (Q15) kept in unsecured storage (Q17)
note volume of records containing personal data (Q12) kept in unsecured storage (Q17).
what records are of archive value (Q21), and are these kept in prime office/data storage space (Q8)?
This type of analysis is useful because it identifies ‘quick-win’ projects which can be rolled out immediately following the survey and will clearly demonstrate the value of records management. It is also useful over the longer term when drawing up a more detailed action plan and securing the resources to support it.
This is also why ‘Can you find the records and information you need easily; if not, why not?’ is one of the most important questions in the survey. Not only does it provide key data about systems (or lack thereof), it also points towards problem areas that are often relatively easy to address, thus illustrating the importance of records management to the museum.
Final report
When a global view of the situation in the institution has been determined and key issues identified, a forward plan of action can be developed. This needs to be communicated to senior management; the best method of doing so is via a formal report. The survey process is likely to take considerable time to complete and involve input from across the institution, so it is important that the report reflects this. The document should summarise the findings of the survey in a clear, concise manner. It should identify existing good practice as well as problems or issues, assess the risks, make recommendations for improved practice and finally present a proposed plan of action setting out how the recommendations will be achieved.
Tip
Suggested section headings for a final survey report are as follows.
Background (to the survey, why was it implemented).
Methodology (how were the data collected).
Summary of record-keeping situation in the institution.
Specific problems of note and good practices in place.
Implications of the existing record-keeping situation.
Recommendations and improvements.
Plan of action (can be a summary but should indicate timeframes, e.g. one, two, three years, etc.).
The ultimate aim of the report should be to communicate the existing situation to senior management, giving them enough information to approve the plan of action so that the task of implementing a records management programme can begin. Above all, the report should be factual and helpful rather than critical. It should clearly demonstrate how records management will address the identified issues and how it will benefit the museum.