To have an efficient records management program, it is essential to conduct regular inventories of an agency’s record holdings. A records inventory documents exactly what records are received, generated, and used by a given unit within a state agency. To establish and maintain a records management program, it is necessary for a unit to know the nature, location, quantity, and use of its records.
Regular inventories provide a complete understanding of what records are generated and utilized within each workspace and should be completed PRIOR to drafting a Records Retention Schedule. The inventory process applies to both physical records—papers, maps, photographs, blueprints, agency-specific publications, etc.—and electronic records—or files on a computer,databases, emails, servers, etc.
The State Administrative Manual (SAM) Section 1612 requires State agencies to inventory their records once every five years.
Why are Records Inventories Important?
State agencies create and receive records daily. Records inventories are important so that records managers and agency staff are aware of their records and where they are being stored. It is also an opportunity to reevaluate storage methods and whether they are efficient, secure, or need improvement.
Inventories are used as a reference for agency records managers as they draft their retention schedule for their program or division. It is important to ensure that all records that are created, received, and used within an agency are accounted for in the inventory so they can be reflected on the retention schedule, and eventually, so they can be legally destroyed per the identified retention period on your schedule. Inventories are a great opportunity to identify any new records being created by the agency, division, or program that maybe were not identified on the retention schedule before. They are also a way to identify records that have met their specified retention and can be destroyed but are currently taking up valuable room or storage area at the agency.
By correctly identifying and accounting for the records the agency creates during the inventory, these records can be accounted for on a retention schedule, thus maintaining compliance with the Records Management Act so records are accounted for and can, eventually, be legally destroyed per the identified retention period.
For more information about conducting an inventory of records, please attend CalRIM’s self-paced course, RMA 103: Conducting an Inventory of Records, available for free on CalLearns.
Conducting a Records Inventory
The following examples are merely suggestions of how a state agency may conduct an inventory. State agencies may use the Records Inventory Worksheet (STD. 70) as a template, or may adapt it to suit their needs. The inventory process may need to be adjusted depending on staffing, structure, and the State agency’s needs.
In this chapter, the Records Management Assistant Coordinator (RMAC) is identified as the person responsible for conducting the inventory. This may vary depending on the needs of each State agency. The person responsible for conducting the inventory may be the Records Management Coordinator (RMC), program staff, management staff, and so on.
To establish a records management program, it is necessary to find out what records exist; where they are stored; what their quantities are; and how are they used. Program staff often know best what records they create, maintain, and store. Program staff should be able to accurately describe what these records are and what they are used for. For this reason, it is important that records management staff work with program staff to collect the most accurate information regarding their records and to enter that information correctly into the records management forms.
State agencies who must conduct inventories of their records before creating a Record Retention Schedule (STD. 73). An inventory will document exactly what records a State agency receives, generates, and uses. The inventory gives program staff a chance to describe the purpose and use of their records. This information may be useful in the future when trying to determine the history of a State agency’s operations. An inventory should also be conducted for any new units or program areas that have been created within a State agency.
After the initial inventory, a State agency should conduct periodic inventories to determine if anything has changed. How often a State agency conducts an inventory should be determined by the RMC according to the needs of the agency. Per SAM Section 1612, State agencies should conduct inventories every five years when their Records Retention Schedules expire.
These are the Records Inventory steps for state agencies:
- RMC prepares for the inventory by identifying template forms stakeholder groups.
- RMC creates procedure documents and communicates the schedule and scope.
- RMC identifies the template document to be used throughout the inventory.
- RMC identifies the location where inventory information will be stored.
- RMACs create and distribute maps and Inventory Worksheets to managers and program staff.
- RMC creates procedure documents and communicates the schedule and scope.
- RMC identifies the template document to be used throughout the inventory.
- RMC identifies the location where inventory information will be stored.
- Program staff inventory their individual and shared workspaces and return the completed worksheets to the RMACs.
- RMACs assist program staff with inventorying records stored by a third-party or offsite.
- RMACs compile Inventory Worksheets into one location and one document, then provide to the RMC.
- RMC uses this document to draft the Records Retention Schedule.
Preparing for the Inventory
The first step of an inventory is to identify which areas within the State agency need to be inventoried, starting with identifying when that division or unit’s schedule is about to expire. It is a good idea to start thinking about an inventory about 6 months prior to the schedule expiring (4.5 years after approval). Remember: inventories are required every five years (as the schedule expires five years after approval). Inventories should be done to verify that the records series on a Division’s Retention Schedule are 1) still accurate, 2) whether there are new records that need to be accounted for that were not previously, and 3) verifying where records are stored and the volume of those records.
The division-level RMAC should ideally be familiar with the operations of the units within that division. During the inventory, the RMAC would be the contact person between the unit program staff and the RMC of the whole State agency.
The program staff should know where records are stored within these units—shelving units, closets, safes, cabinets, storerooms, basements, offsite storage facilities, and the SRC. The inventory should also include the storage locations of electronic records—computers, databases, share drives, and external storage.
Before beginning the inventory, the division RMAC, the RMC, and the division managers and supervisors should meet to discuss the goals, timeline, and staff commitment of the inventory. It is important to involve the managers and supervisors in this process because it is their staff who will be responsible for conducting the inventory. The records management staff and the management staff should create a plan to ensure the regular workload of these units continues, while making time for conducting the inventory.
Catalog of Record Systems
Record Systems are the locations, hardware, and software that store information and data for us to use. An inventory of records should consider records in all formats and in all locations.
The inventory is not focused on listing every individual piece of paper or electronic file. The goal is to make sure that all records locations are reviewed, and the different functional type of records created, received, or managed are identified. An agency should have some top-level awareness of what record systems it has in use, what third-party vendors it’s contracting with or utilizing, and how its records and information system functions agency wide. To meet that goal, RMCs can develop a master catalog of record systems your agency is using. By maintaining a list of locations, systems, vendors, and software that the agency is using to store and manage their files, it will be easier to plan the inventory and is position. A good list of record systems will also enable agency information management planning and help management at every level in planning for information access.
Creating or Obtaining a Map of the Office
To make it easier for program staff to inventory their records, the RMAC should create maps of the physical areas being inventoried to accompany the catalog of record systems for electronic records. These maps should be simple floor plans of the areas where program staff work and the areas where records are stored. The maps can be as simple as a hand drawing on graph paper or as complex as a computer rendering of the program area. Maps may also be available via request through an agency’s Facilities department.
A consistent system should be used to label each workspace and storage area where records are kept. A key should be developed to explain what these labels mean. State agencies may develop their own labels for the key, according to their needs. These labels should be used consistently throughout the inventory to prevent confusion. Using the example key in Figure 6, the maps may be labeled like this:
Program staff may not be aware that some of the documents they work with at their desks are records. The RMAC should discuss with program staff what documents they work with, where the documents are located, whether or not the documents meet the definition of a record (see the “what is a Record?” section of this manual), information security requirements, and any access restrictions.
Storage locations in each cubicle and office and storage space should be labelled. Each area should also be assigned a unique number or title to keep track of which records are located in which area. The key should be expanded to include these new categories. State agencies should develop a map to reflect the storage spaces in their work areas.
Records Inventory Worksheet (STD. 70) for State Agencies
The Inventory Worksheet should be used to inventory both physical spaces (including cubicles, shared filing areas, and third-party storage locations) and electronic storage locations (including email inboxes, databases, Shared Drives, individual drives, etc.). During the inventory, each individual staff member will fill out the Inventory Worksheet with the records they located and identified during the inventory. The inventory should be conducted by file location to avoid missing any documents.
The STD. 70 is a sample guide of how a state agency may document an inventory. State agencies may develop their own inventory worksheets to suit their business processes.
The inventory worksheet is an internal document and will not be used outside the State agency. CalRIM does not review or approve inventory worksheets, so State agencies may alter the STD. 70 or create their own templates.
Inventory Worksheet - Column 1: Record Series
A record series is a group of related records arranged under a single major category. These records are created and maintained as a unit because of their relationship and the purpose they serve. The records may deal with a particular subject, may result from the same activity, or may have a distinctive form—such as maps, blueprints, and purchase requests. A record series may exist in any format and may exist in multiple formats—electronic, magnetic, microfilm, or paper.
When conducting an inventory, it is important that the title of each record series be as accurate as possible because all future references to the records will use the assigned title from the Inventory. Vague titles, such as “Corporate Papers,” “Miscellaneous Files,” “Official Documents” or “Essential Correspondence” should not be used.
Inventory Worksheet - Column 2: Description
The description of a record series should outline the contents, function, and purpose of the records in that series. This section can contain 1) information on how the records are used, 2) what function the records serve in the unit, 3) what business processes the records support or document, or 4) a listing of the records included within that series.
The description should be written as if explaining the record series to a person who is completely unfamiliar with the processes and purpose of the unit and the State agency. Some records managers use Excel spreadsheets to gather information, and some might have their own custom software or internal processes. Records managers may implement what works best for their agency.
Whatever format the inventory information is collected with, the overall information should be compiled into one document upon completion. The completed inventories, and the condensed master document, should also all be stored in one set location. This master document should be accessible to staff identified for records planning processes or to high-level staff who may need to reference it. By doing this, records managers can ensure that duplicative records collected during the inventory are combined into that master document.
In addition, all of the various places (filing cabinets, personal cabinets, shared storage, or electronic storage) will then be accounted for following the inventory, and then can later be accounted for in all those places or formats on the retention schedule. Again, these are not collected by Secretary of State, Archives’ CalRIM team, so it is not mandatory to use it—if it does not quite fit your business need, you can also develop your own internal form for inventory purposes.
Inventory Worksheet - Column 3: File Location
The file location of a record series will refer to the map of the area being inventoried. The file location includes the room or storage space number and the numbered location within that area. For example, a record may be stored in Cubicle 1 (CU1) in Pedestal Cabinet 1 (PC1).
Inventory Worksheet - Column 4: Media Type
When entering the media type of records, use the chart to the right to enter the appropriate code.
| Code | Media Type | Examples |
|---|---|---|
| E | Electronic | CD, Data base, DVD, Email, Removable Media, Server, Social Media, etc. |
| F | Film | Film Stock, Microfiche, Microfilm, Silver Halide, etc. |
| M | Magnetic Media | Audio Cassette, VHS, etc. |
| P | Paper | Architectural Drawings, Blueprints, Graphic Prints, Map, Photograph, etc. |
Some record series may exist in more than one format. More specific information on the media carrier type should be included in the Remarks section of the Inventory Worksheet. For example, if a record series is labeled with media type “E” for electronic, the Remarks should say whether the records are stored on CDs, floppy discs, removable media, database, server, etc. If a record series exists in both paper and electronic formats, the electronic records should be listed as a separate line item below the paper records.
Inventory Worksheet - Column 5: Years Covered
This section of the Inventory Worksheet refers to the period of years covered by the record series. Years should be written from the earliest to the latest period.
Inventory Worksheet - Column 6: Reference Status
Reference status is a measure of how often a record series is accessed during daily business. Records series that have a higher reference status—accessed daily by staff—may need to remain in the office longer than records series with a low reference status—accessed by staff a few times per year. Records series with a very low reference status usually do not need to be retained in the office and may be moved to a low-cost storage area like the State Records Center.
Inventory Worksheet - Column 7: Document
This section refers to whether the record series contains record copies or access (also known as convenience) copies of records. A “record copy” is the version designated by a state agency as the official record. “Access copies” are for personal reference and may not need to be retained.
Determining whether a record should be considered a record copy, or an access copy may become complicated when some records series contain both record copies and access copies. The State agency may need to consult other divisions as well as the control agencies responsible for that type of records.
Inventory Worksheet - Column 8: Volume
The volume of a record series is the space the records occupy. Volume may be comprised of physical space—such as the number of boxes needed to contain the records—or volume may be comprised of digital “space”—such as the number of bytes a record may take up on a server. When calculating the volume of record series for the inventory, the totals should represent the records on hand at the time of the inventory.
The basic measurement for paper records is the 15” L x 12”W x 10”D box used to send records to the State Records Center (SRC). One full SRC box equals one (1) cubic foot (C.U.).
Electronic or magnetic record volumes shall be reported in bytes—megabytes, gigabytes, terabytes, etc. In the Remarks column, more specific information on the media carrier type should be included, such as whether the records are stored on CDs, floppy discs, removable media, database, server, etc.
Inventory Worksheet - Column 9: Remarks
Remarks justify the retention period of a record series, the disposition of the series, the essential or confidential status of the series, and more. In the case of electronic records, the remarks will include the storage method used for the record series, the retention period, the back-up process, and the disposition of the electronic records.
More specific information on the media carrier type should be included in the Remarks section of the Inventory Worksheet. For example, if a record series is labeled with media type “E” for electronic, the Remarks should say whether the records are stored on CDs, removable media (like a thumb drive), on a database, etc. It is important to know what carrier type records are stored on, especially if the records are identified as having potential historical importance and may go to the State Archives at the end of their retention period. Archivists at the California State Archives will need to know if the State agency will be sending 100 cubic feet of boxes or 100 terabytes of data on 10 hard drives. It is recommended that these are only back-ups and not the only source for the electronic records. If a record series exists in multiple media formats, each media should be listed as a separate line item.
Remarks Section Components Include:
- End of Active Period Retention
- Period & Justification
- Vital Storage Method
- Disposition
- Electronic Records Storage Method
- PRA/IPA Exemptions
- Related Code Citations
- Policy/Procedure Citations
- Information Security Classification and Categorization
Completing the Inventory
After program staff have completed the Inventory Worksheets, they will give the Worksheets to the Records Management Assistant Coordinator (RMAC). With the help of the Records Management Coordinator (RMC), the RMAC will combine the records series on each Worksheet into one final Inventory Worksheet. This will provide an opportunity to see where any duplication may exist. Once the final Inventory Worksheet is complete, the RMAC and/or RMC will use it to appraise the records series, set retention periods, and create a Records Retention Schedule.
The RMAC should retain the final Records Inventory Worksheet and the maps in their records management files. It is a best practice to maintain digital copies of these files so they may be easily updated during future inventories.
