A desk could contain meeting minutes, newspaper clippings, signed consent forms, duplicated financial reports, office memoranda and letters, and personal to-do lists. All of these items are documents, but not all of these documents are records. Records work begins with determining the reason for creating the document, the purpose of its use, and the functions or activity to which it pertains. A document is of evidential value (i.e., record) when it reflects action, decisions, responsibility, transactions, or relationships. It is not necessarily just the oldest or “formal” document that is of recordkeeping value; even a seemingly inconsequential item on a desk can hold record value.
For example, consider a consent form with a signature on it and an instruction sheet that was printed to assist the person completing it. The consent form, which provides evidence of a decision, could be classified as a record in a specific series. The instruction sheet explains how a task is performed but does not provide evidence that the task was actually done. It should be classified as reference material. Likewise, minutes could reflect decisions taken in a specific meeting but a printed, blank agenda is only useful as working copy. Classifying on the basis of function rather than form prevents grouping together of similar looking pieces of paper, which can lead to inaccurate arrangement.
The source (creator) of the record or document can also provide some guidance. Who made it? Who received it? In what context? Was it made, or did it originate, in relation to the daily function of an office, project, or business unit? What is the relation between the record or document and its surrounding context? Does it document the context (e.g., correspondence confirming a transfer in the transfer records series) or not (e.g., correspondence in the general correspondence series)? Does a record (e.g., a spreadsheet showing the location of the records in boxes) belong to a larger group of records (in this case, an archival location register), or is it merely an extract that was made for personal or reference use (in this case, an Excel file)? Often, records help explain other records rather than the other way around.
Try the “record versus reference test” on a small group of ten to fifteen papers found together on your desk or filed in one drawer or folder. Do not sort the group. For each record or document, write down the following: creator, function (purpose, date, and context of use), and relation to the surrounding papers. Next, try classifying the item provisionally as: “archival record,” “active record,” “reference file,” “duplicate,” or “uncertain.” Uncertain is important, as not every item can be classified. This is the reason that we do not throw out files in this first “trial” step; every item must be accounted for. Finally, take those items which may appear identical in form and compare their functions to their content: a blank form, a completed form, and a form in use with notes or a checklist. The items may appear identical in physical appearance (blank and complete), but one has a recordkeeping function while the other is a reference file.
The word “duplicate” implies the second of two items, where two or more copies appear identical. Look closer: a handwritten note, signature, or routing mark on any one of the copies will differentiate between them. A working document may be the first document created or the last; not every iteration needs to be kept. Ask yourself if the item has unique evidential value (e.g., is there a blank copy missing in the file?) which would justify keeping the item. Be sure to note that these decisions are only provisional and you must first ensure that you have the correct record schedule, institutional policy, or legal requirements before you do anything drastic.
A useful method to check yourself on your ability to differentiate between record and non-record is to describe a folder or file as accurately and specifically as possible: the record title and scope and content (i.e., folder content) of the file. If your description includes specific terms, e.g., activities, decisions, transfers, cases, projects, responsibilities, functions or activities then the item belongs to a series of records or files with a recordkeeping function. If a document does not belong to any of these specific categories, it is more likely to be a reference file, a miscellaneous collection of “reference documents.” The description will be less general (e.g., “Miscellaneous” or “General Documents”).
One sign that you are on the right track is not the speed at which you sort documents or the number of items which you are able to classify. Rather, a sign that you know what you’re doing is your ability to describe the record or file and why it belongs in the record or file series you have placed it in. If the records you are sorting belong to a record group, you can describe the evidentiary value of an item (or series) in terms of how that item provides evidence of the functions or activities (who did what and why). One additional test to apply to every single item you sort is: if this document or file were lost, would this result in the loss of evidence of what happened, who did what, and what action was taken? This question does not provide you the answer in every instance, but it does help to ensure that the records you have sorted are sorted correctly, that your file arrangement is accurate, and that the original context and arrangement of your records are preserved.