Grants & Awards: LGRMIF: 2009 Grant Application Materials

Inventory and Planning

Governments conduct records inventories to find out what records they have, identify obsolete records, improve how they organize and control records, analyze records management needs, and develop a records management plan. Inventory and planning projects are the basis of other records management projects and can form the basis of a comprehensive records management program. For information on records inventory and planning, consult State Archives Publication #76, Inventory and Planning.

Project Subcategories

Some inventory and planning projects may involve activities that focus on the management of inactive records. These include the identification and disposal of obsolete records, re-boxing records in standard storage cartons, developing or purchasing software to provide better records access, renovating or developing records storage areas, or purchasing appropriate steel shelving. If local governments request funding for any of these activities, they must also address the requirements for the appropriate Inactive Records subcategory.

a) Records Inventory. You may conduct government-wide or focused inventories of active and inactive records. Governments may choose to inventory their hardcopy and electronic records at the same time, or address their electronic records as a separate project (see below under Electronic Records Inventory).

Subcategory Requirements:

• Explain how you will use inventory data to develop a needs assessment and a records management plan. The assessment and plan should explain short- and long-term needs, contain achievable goals, and address how you will attain those goals. Discuss who will develop the plan, which local government departments or employees will be involved, and who will evaluate its progress and regularly update it.
• Indicate, in cubic feet or bytes (if the inventory includes electronic records), the approximate quantity of records you intend to inventory. Use the Table of Cubic-Foot Equivalents to estimate cubic footage.
• Allow an inventory rate of one to two cubic feet per hour for paper records. Estimate inventory rates for electronic records by conducting a test inventory of a single electronic recordkeeping system.
• Use the records inventory forms and instructions in State Archives Publication #76, Inventory and Planning, to ensure the uniformity of information gathered during the inventory.
• If planning a partial inventory, specify which offices or government functions the grant project will cover, and why. Criteria for selecting offices to be inventoried include their importance; the quantity of their records; and their particular needs for access, security, confidentiality, and space.
• If planning to re-inventory a set of records inventoried under a previous grant project, include compelling justification and explain how the local government will keep its inventory up to date in the future.
• If submitting a cooperative application, indicate the order in which each participating local government's records will be inventoried and how the grant's resources will be shared.

b) Electronic Records Inventory.

Because of the growing complexity of government and its reliance on information technology to conduct business, electronic records are increasingly the focus of inventories conducted separately from inventories of hardcopy records. Also, an electronic records inventory may require the services of a consultant who is experienced in gathering and analyzing information about electronic systems.

Governments that propose to inventory their electronic records must follow all of the same subcategory requirements that are indicated immediately above under Records Inventory.

Electronic Records Inventory projects will receive an additional five points in the numerical ranking of applications.

c) Records Survey and Program Planning.

You can gain helpful information about your records from a professional survey without conducting a labor-intensive inventory. You may conduct surveys in-house or contract with a records management consultant.

Subcategory Requirements:

• Indicate how you will develop a records management plan. Discuss who will develop the plan, which departments or employees will be involved, and who will evaluate progress and regularly update the plan.
• Address the development of records management policies and procedures that will ensure a basic framework for an ongoing records management program.
• Indicate, in cubic feet or bytes (if the survey includes of electronic records), the approximate quantity of records you intend to survey. Use the Table of Cubic-Foot Equivalents to estimate the number of cubic feet.
• If planning a partial survey, specify which offices or government functions the grant project will cover, and why. Criteria for selecting offices to be surveyed include their importance; the quantity of their records; and their particular needs for access, security, confidentiality, and space.

d) Office Retention Scheduling.

Working from inventory data, interviews with office staff, and an appropriate State Archives' records retention schedule, you may develop and implement retention schedules specific to the records and needs of individual departments. For information on office retention schedules, consult State Archives Publication #41, Retention and Disposition of Records.

Subcategory Requirements:

• Explain how you will ensure that each department or office will adopt and use its respective schedule.
• Include a plan or list of interview questions for evaluating how individual departments or offices use their records.