Records Inventory Guideline

Introduction

One step departments can take towards ensuring their records are properly managed is to have a detailed understanding of the records they create. As such, 麻豆视频departments are encouraged to complete an inventory of their records. The Archives and Records Management Department (ARMD) has created this guide and supporting documents to provide detailed information on the inventory process for those who wish to use this resource.

What is a records inventory?

A records inventory is a listing of the records created and/or received by an 麻豆视频department. It identifies the records, their location and storage requirements, and any other legal requirements relating to their use and retention. Records inventories provide an analysis for groups of records (also called records series), not individual items. As such, a records inventory does not require itemized lists of every document created by your department, but instead just a high-level listing of the records series in your custody and control.

Inventory Benefits

Benefits for Departments

By conducting this inventory, departments will take the first steps towards:

accurately identifying the types (e.g., physical versus digital) and locations (e.g., file rooms, shre drives, systems or applications, etc.) of records they create and/or receive;
ensuring that they are only collecting and/or using records in accordance with legislated mandates (e.g., The University Act, Freedom of Information and Proctection of Privacy Act) and policy authorities;
improving the reliable and efficient access and retrieval of information;
aiding in the drafting of Records Retention Schedules and Disposition Authorities (RRSDAs); and
demonstrating due diligence with regards to the responsible management of university records.

Benefits for ARMD

By completing a records inventory, departments will help ARMD better understand the records being created across the university. This will enable ARMD to strategically plan records management projects and initiatives; and develop records management resources, training, and support.

Inventory Process

1. Identify Resources

Departments should begin by identifying a resource person who will be responsible for conducting the inventory. It is recommended that the resource person be someone whose primary responsibility is handling departmental records and who has access to all the records series (i.e., paper, electronic) created by the department. Do not assign this work to a temp who is unfamiliar with your records and business processes.

2. Conduct Inventory

The resource person should complete one inventory form, see the sample form below for each records series (e.g., committee minutes, employee files, policy development files, etc.). Each inventory form should take about 5-10 minutes to complete. Once completed, the resource person should submit the forms to the Records Management Archivist for review.

3. Review & Analysis

Once the Records Management Archivist receives the inventory form(s), they will review the form(s) and conduct an analysis. This analysis will then be used to create recommendations for the department. Recommendations may include advice on records storage, retention, classiication, and disposition.

4. Final recommendations

The Records Management Archivisit will send the report to the resource person and schedule a follow-up meeting. Please note, records inventories are extremely helpful in designing retention schedules. If a department needs a new retention schedule, ARMD may request that an inventory form be completed prior to drafting one.

5. Ongoing Review

Over time, departments will create new records series; therefore, ARMD recommends that departments review their inventories and update them at least every five years.

Inventory Fields

The table below lists the information that should be collected by departments when conducting a records inventory.

The seven mandatory elements of an inventory are department identification, record series title, record series description, date rance, use, madate and legislation, and personal information bank. The six optional elements of an inventory are classification code, copy status, format, storage location, special storage considerations (equipment), and special storage considerations (security).

Mandatory / Optional	Field Title	Description
Mandatory	Department Identification	Include department and program area, name of person completing the inventory, and contact information (email address preferred).
Mandatory	Records Series Title	Provide a short, descriptie title. For example, "Policy Development Files," or "Event Planning Files."
Mandatory	Records Description	Provide a brief but specific description of the records. For example, instead of "Vaiours paperwork," consider "New course proposals, Winter 2005."
Optional	Classification Code	Does your department use a standard classification plan? If so, what is the classifcation code for this series? If none, leave blank.
Optional	Copy Status	Are you aware of other copies of these records? For example, do you send copies to other departments? If Yes, please provide additional detail.
Mandatory	Date Range	List the year or range of years in which the records were created (e.g., 2000-2010). If the records are continually being created, leave the end date open (e.g.,2000-Present).
Optional	Format	Identify the format of the records. Examples include paper, digital film (digital), film (analogue), email, audio recording (digital), audio recordings (analogue), photographs (digital), photographs (analogue), or other (please specify).
Optional	Storage Location	For paper records, please note the building and the room in which they are stored. For digital records, specify the system or application in which the records are kept.
Optional	Special Storage considerations (Equipment)	If there are non-standard storage specifications, such as an oversized file folder or caninet, please note that here. Otherwise, leave this space blank.
Optional	Special Storage Considerations (Security)	If there are additional security measures, such as locks, passwords, or access restrictions mapped to certain employee roles, please note that here. Otherwise, leave this space blank.
Mandatory	Continued Use	Does your department still use these records? Yes or No? If Yes, describe how. If No, briefly describe why.
Mandatory	Mandate and Legislation	Is there a specific piece of legislation, regulation or policy that governs the creation, management, and use of these records? Where possible, cite the authority, including relevant section number(s).
Mandatory	Personal Information Bank	Y or N to indicate if this series is a PIB. Under British Columbia's Freedom of Information and Protection of Privacy Act, 麻豆视频must track records that are organized in such a way as to allow retrieval based on an individual's name or other personal identifier. Examples of PIBs can be found here: /archives2/dur/pibs.html

Example

Mandatory / Optional	Field Title	Description
Mandatory	Department Identification	Archives and Records Management Department Shamin Malmas, Records Management Archivist
Mandatory	Records Series	Records Management Advising
Mandatory	Records Description	Records include correspondence with 麻豆视频departments documenting advise and recommendation on record-keeping practices.
Optional	Classification Code	RMP 001 Advice (Primary) 01 General (Secondary) 04 Special Projects (Secondary)
Optional	Copy Status	Correspondence may also be retained by departments who access advising services.
Mandatory	Date range	1980-Present
Mandatory	Format	1980-2020, Paper Files 2020-Present, Email There is also a database documenting details about each advising interaction. The database is primarily used for tracking and collecting statistics about advising services.
Optional	Location	Paper files are stored in the Archives filing cabinets. Email records are stored in the email account of the Records Management Archivist, organized by subfolders for each department (e.g., Faculty relations, Human Resources, VPRI). The database used for tracking advice is File Maker Pro.
Optional	Special Storage Considerations	None
Optional	Special Storage Considerations (Security)	None
Mandatory	Do you still require these records?	Yes, advising records are helpful in identifying advice trends and ensuring consistency in advice over time.
Mandatory	Mandate and Legislation	I 10.01, Archives, Recorded Information Management and Freedom of Information and Protection of Privacy
Mandatory	Personal Information Bank	No. Records are not categorized by name or personal identifier.

Sources Consulted

International Organization for Standards. ISO/TR 26122:2008 Information and Documentation - Work process analysis for records.2008.

Records Management, Western Illinois University (2019). Records Retention Schedules [PDF]. Retrieved, May 25, 2022 from https://www.wiu.edu/libraries/archives/records_management/Presentation%20on%20RM.pdf.

Service Alberta, Government of Alberta (2019). Content Inventory: Guideline [PDF]. Retrieved, May 25, 2022, from, https://imtpolicy.sp.alberta.ca/guidelines/pdf/Content-Inventory-Guideline.pdf.

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Archives and Records Management