How to conduct a records survey.

• Author: Bennick, Ann
• Position: RIM FUNDAMENTALS

The records survey, a high-level assessment tool, focuses on identifying the various records categories that are created, processed, or received by the organization or a department within a larger organization. Use a records survey form or at least a standardized list of questions (with blanks for recording comments) to guide your interview.

If you are conducting the project alone at this stage, gather the information in a manner that conforms to your work style. If you are managing a team of analysts, standardize the information-gathering format. See Figure 1: Sample Blank Records Survey Form on page 43.

The purpose of the survey is to determine major records series or categories that end users create, receive, process, or maintain in their ongoing work. The survey is most effective when an individual trained in records survey techniques conducts interviews of key employees who use the records. A skilled records analyst can anticipate the record types usually created or maintained by a certain function and ask leading questions to trigger information about those records.

Questionnaire vs. Interview

Another method, called the questionnaire method, is sometimes used instead of or in advance of having a trained analyst conduct interviews. As indicated by the process name, a questionnaire or form is sent directly to the user. If your users understand the objectives of the survey, know how to calculate file volume and capacity, understand retention schedules and records management benefits, you might get reasonably good results. If you narrow the focus and train the users in completing the questionnaire, your results will be more reliable.

However, the authors do not advise solely using the questionnaire method or using the questionnaire without training the users. The analyst brings away from user interviews much more than the checked boxes and brief notes on a form. Impressions and awareness of the department's records needs and interactions with other groups, when interpreted in light of the analyst's knowledge and experience, cannot be replaced.

Interview Questions

When conducting the survey by the interview method, have explanatory comments and other forms of the questions in mind in case the end user does not understand the initial question. The additional questions and comments are intended to help you better understand the objectives of and the results desired from the survey. Use these questions as explanatory or follow-up information...