Inventorying and Scheduling Records
Local Government Bulletin C
Updated May 1998
The purpose of this bulletin is to provide guidelines for inventorying,
appraising, and scheduling records.
Contents
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Introduction
The goal of local government recordkeeping should be to provide
recorded information to those who need it, when they need it, and
in the most cost-effective manner - whether those who need the information
are the governing body, administrators or staff, or members of the
public. This goal can only be accomplished by records management;
that is, the application of management techniques to the creation,
use, maintenance, retention, preservation, and disposal of records
for the purposes of reducing costs and improving the efficiency
of recordkeeping. An effective local government records management
program will provide the systematic control of records throughout
their life cycle - from creation, during use and maintenance, to
an appropriate final disposition.
The central document in establishing and maintaining control over
records by a local government is the records control schedule. The
schedule is prepared by or under the authority of the records management
officer listing the records created or received by an office or
department, and specifying how long they are to be retained. To
be most useful, the control schedule will also show where and in
what manner records are to be maintained while they are active and
while inactive, and how they are to be destroyed.
The records control schedule should be developed directly from
the records inventory, which is the first step in developing an
effective records management program. The inventory is a complete
listing of the records holdings in an office or department. The
inventory is done only once, then updated when there are additions
or deletions in the records that are created and maintained.
All records should be inventoried, regardless of the media in which
they are maintained, but the inventory is not a document-by-document
or folder-by-folder listing of the records in your file cabinets
or on your shelves. Rather, an inventory describes the function,
content, use, and format of each records series in your office and
storage areas. A records series is a group of identical or related
documents that are normally used or filed as a unit and have the
same retention period. A good place to begin understanding the records
series concept is to review the local records retention schedules
which have been issued by the Texas State Library and Archives Commission.
For example, Local Schedule GR (Records Common to All Governments)
lists records series that are found in most local governments. There
are also specialized retention schedules, such as Local Schedule
EL (Records of Elections and Voter Registration) and Local Schedule
LC (Records of Justice and Municipal Courts). Records series will
be discussed further, with specific examples, in the instructions
for completing the records inventory worksheet on page 13.
During a records inventory, you may find some types of material
in government offices that are not records and do not need to be
inventoried. For example, blank forms, stocks of publications, and
library and museum materials acquired solely for the purposes of
reference or display are specifically excluded from the definition
of a local government record. State law defines a local government
record as "any document, paper, letter, book, map, photograph, sound
or video recording, microfilm, magnetic tape, electronic medium,
or other information recording medium, regardless of physical form
or characteristic and regardless of whether public access to it
is open or restricted under the laws of the state, created or received
by a local government or any of its officers or employees pursuant
to law, including an ordinance, or in the transaction of public
business" (Local Government
Code, Section 201.003).
After the records inventory is completed, the records must be appraised.
During appraisal, the value of each record you create or receive
is determined. Based on the decisions made during appraisal, a records
control schedule is completed which can then be used regularly and
systematically by your local government to manage its records.
Finding out what records you maintain, appraising their value,
and determining how long that value lasts are the essential first
steps in the development of a records control schedule and establishment
of a sound records management program.
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Benefits of the Records Control Schedule
A solid foundation for the local government's records management
program is the foremost benefit of the records control schedule.
Other immediate and potential benefits include:
- Efficiently using office space for active records.
- Moving inactive records into less expensive storage areas, if
possible.
- Releasing equipment and reusable media for other productive
uses.
- Maintaining records in the formats offering the optimum combination
of administrative convenience and cost control.
- Providing security for records with confidential or sensitive
information.
- Improving protection of vital records.
- Providing an audit trail for records disposition.
- Destroying records that no longer have value to the government.
- Retaining records of permanent value.
- Complying with legal requirements.
- Providing legal protection to the government when destroying records.
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Statutory Requirements
As stated in Local Government
Code, Section 203.041(a), each local government must develop
a records control schedule and file the schedule with the director
and librarian of the Texas State Library and Archives Commission,
according to these requirements:
(a) On or before January 4, 1999, the records management officer
shall prepare and file with the director and librarian:
(1) a records control schedule listing the following records
and establishing a retention period for each as provided by
Section 203.042:
(A) all records created or received by the local government
or elective county office;
(B) any record no longer created or received by the local
government or elective county office that is still in its
possession and for which the retention period on a records
retention schedule issued by the commission has not expired;
and
(C) any record no longer created or received by the local
government or elective county office that is still in its
possession and for which the retention period on a records
retention schedule issued by the commission has expired but
which will not be destroyed as provided by Section 203.044;
(2) the records management officer, in lieu of filing a records
control schedule, may file with the director and librarian a
written certification of compliance that the local government
or the elective county office has adopted records control schedules
that comply with the minimum requirements established on records
retention schedules issued by the commission.
Section 203.041 also specifies these additional provisions for
preparation and filing of the records control schedule:
- At the discretion of the records management officer, the records
control schedule may also list and provide retention periods for
material that is not defined as a local government record and
for records exempted from the destruction request requirement.
- The records control schedule must be amended by the records
management officer as needed to reflect new records created or
received by the government and revisions to retention periods
established in records retention schedules issued by the commission.
Amendments to a records control schedule are filed with the director
and librarian in the same manner as the original schedule.
- The governing body shall require, in the ordinance or order
establishing the records management program, the review or approval
of a records control schedule or amended schedule by the officers
of the local government it considers necessary. The records control
schedule or amended schedule for an elective county office need
only be approved by the elective official.
- Records control schedules may be filed by a local government
on an office-by-office basis or on a department-by-department
basis within each office.
Local Government Code,
Section 204.01(a)(2) permits a local government to adopt appropriate
schedules issued by the Texas State Library and Archives Commission
for use in the government's records management program. While this
method satisfies legal requirements concerning the retention of
records, we recommend that local governments then proceed, as resources
permit, to inventory their records and develop schedules for in-house
use that accurately reflect the records created or received by the
local government.
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Objectives of the Records Inventory
The inventory is the foundation of your records management program,
not just an isolated project. It will provide you with significant
facts about the records you create and maintain. Implementing a
records management program by using information collected through
the records inventory will result in both short-term and long-term
benefits that include:
- Gathering sufficient information to determine the appropriate
retention of records. Identifying unnecessary copies of records.
- Providing security for records with confidential or sensitive
information.
- Releasing equipment and reusable media for other productive
uses.
- Saving space and money.
Ideally, the information gathered during the inventory will be
comprehensive and will meet the needs of all aspects of your program.
By defining your objectives in advance, you will know what you want
to accomplish with the inventory data before you start the process.
Objectives clarify problems and specify desired results. The following
should be your objectives for accomplishing the immediate tasks
of inventorying records in order to develop and implement the records
control schedule:
- Identify all of the local government's records by records series.
- Determine the physical location and format of all records, including
the official record copy that will be maintained for the full
retention period and any convenience copies that should be retained
for a shorter period of time.
- Identify the inclusive dates and quantity of each records series.
Long-term objectives to support the general records management
goals of the local government, such as the following, can also be
achieved through an inventory:
- Describe current filing and retrieval systems.
- Categorize the types and quantities of equipment and supplies
used in the maintenance of records.
- Calculate the amount of floor space dedicated to storage of
active and inactive records.
- Evaluate the costs of recordkeeping in the government, including
consideration of alternative methods.
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Basic Inventory Methods
In addition to specifying the objectives of the inventory, you
will also be selecting the inventory method which will give you
the appropriate information to begin working toward your objectives.
The records inventory may be conducted by means of a physical survey
or by use of a questionnaire.
For the physical inventory, a direct examination of the records
is conducted throughout the organization by an individual, such
as the records management officer, or a group of individuals under
the officer's supervision. Departmental staff may conduct the physical
inventory, with the coordination and assistance of the records management
officer. This approach usually includes appointing a records liaison
for each department. A physical inventory can also be undertaken
by hiring a consultant or temporary workers or by using volunteers
who give the inventory their exclusive attention. The physical inventory
is the most thorough and accurate inventory method. Training a small
number of personnel, who then conduct the physical survey of the
records, speeds the completion of the inventory and ensures consistency
in the collected data. For some governments, however, the physical
inventory method is not a feasible choice because of insufficient
staff and financial resources to complete this time-consuming process.
Another approach to conducting the records inventory is to use
a questionnaire and have each department complete its own inventory,
with little or no direct examination of the records. This is the
fastest method because the inventory form can be distributed to
all departments simultaneously, completed by staff knowledgeable
about the records, and returned by a specified date. It is also
less time-consuming for staff because a thorough physical examination
of the records is not undertaken.
However, problems may develop when the questionnaire method is
used. The data collected may not be consistently accurate or complete.
The wording on the questionnaire must be very specific so that the
respondents know what is required of them. The questionnaire may
be viewed as an added chore to an already full work schedule, and
it may be hastily prepared or departmental staff may procrastinate
in completing it. Because the records are not physically examined
in detail, the questionnaire method rarely takes fully into account
stored records, and a large volume of records may be overlooked.
In addition, inclusive dates and the volume of records series are
often simply guesses by persons completing the form.
Each inventory method has its advantages and limitations, but the
planning steps required are similar for all the methods. Consider
the objectives you hope to accomplish before deciding which method
to use.
We do recommend that, if at all possible, a physical inventory
be conducted. Not only does the information gathered provide you
with the data needed to create the records retention schedule, the
quality of information obtained during a physical inventory provides
the soundest basis for a quality records management program.
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Preparation for the Inventory
In addition to choosing a method for doing the inventory, planning
for the inventory should include these preparatory steps, details
of which will be discussed below:
- Determining the best strategy to accomplish records management
objectives.
- Obtaining top management support.
- Communicating plans to management and staff.
- Selecting personnel for the inventory process.
- Establishing work schedules and completion dates.
- Mapping file locations.
Determining the best strategy to accomplish records management
objectives - Investigate what may have already been done.
For example, someone else may have previously started or completed
a records inventory.
Explore the resources available to help with the inventory. Think
about the organizational structure of your government and how that
may influence the way to accomplish the inventory tasks most easily.
Ask yourself questions such as the following:
- How can the work be distributed most efficiently?
- Who knows the most about the records?
- Who has a particular aptitude for and enjoys working with records?
- How much time do staff have to devote to the inventory?
- Can extra staff be hired on a temporary basis?
- How will staff be prepared for this task?
- What training is needed and how will it be provided?
What other factors should be considered when deciding the timing
of the inventory? For example, it is very helpful to get an inventory
and appraisal done prior to a move to new office space so that records
eligible for destruction can be disposed of instead of moved.
Obtaining top management support - Management support is
critical to the success of the inventory and to the entire records
management program. Although state law requires that the governing
body of each local government establish a records management program
by ordinance or order, it is still important to obtain directives
from top management to ensure that the requirements of the program
are met and its purposes realized. Request a directive be sent to
middle management or to the entire staff describing the objectives
of the inventory and mandating the participation of everyone concerned.
With this written commitment, all departments will know that the
records inventory is a sanctioned project with an important purpose.
The policy filed by an elected county official in fulfilling a
requirement of the Local Government Records Act establishes a records
management program in the office, but in larger offices that have
been divided into two or more departments headed by deputies, additional
written directives from the elected official are advised to ensure
that the importance of the program and its procedures are communicated
to all employees.
Communicating plans to management and staff - Before beginning
the inventory, just as before any major records management project,
send a memo to all personnel who will be involved. Explain the project.
Tell them when the inventory will begin and how it will affect work
in progress. You may want to hold a meeting for interested staff
as an informal orientation. If your government's records management
plan provides for the appointment of records liaison officers, a
meeting with these officers is a must. You will receive more support
from those affected if they are included in the planning for the
inventory and the records management program.
Selecting personnel for the inventory process - The records
management officer should conduct or oversee the records inventory.
If the government does not have specialized records management staff
or records liaison officers available to assist with the inventory,
other alternatives will have to be considered. In order to expedite
the completion of the inventory, explore the possibility of recruiting
volunteer assistance or hiring part-time or temporary staff. If
the inventory takes too much time, the information collected might
not be current when analyzed. Also, without visible results in a
reasonable amount of time, management support for the project may
be jeopardized.
A successful inventory and records management program depends on
informed personnel. Devote sufficient training to cover these aspects
of the inventory:
- Purpose of inventory.
- Records management concepts and terminology.
- Use of the inventory worksheet.
- Work schedule and procedures.
Establishing work schedules and completion dates - Estimating
personnel and time requirements is difficult and depends more on
the variety of records and their relative accessibility than on
the actual volume of records. The amount of data to be collected
will affect the time needed, as will the complexity of the records
series involved.
Plan and carry out a quick "walk through" survey; this will give
you an idea of the volume and accessibility of records. The task
of estimating time will be less difficult with some perspective
of the overall amount of records to be inventoried. For example,
one person can inventory an average of 20 to 30 cubic feet of records
per day. Experienced records personnel, however, may be able to
inventory up to 150 cubic feet (approximately 20 file cabinets)
daily. Factors influencing this rate are the complexity, organization,
and location of the files.
Inventorying the records by department is a popular approach because
it is an incremental process and can be easier to keep track of
than a government-wide simultaneous effort. The "department-by-department"
approach breaks the vastness of the total records holdings into
logical divisions.
Draw up a work plan and timetable for the inventory project. Consult
with department heads to determine the most convenient times for
inventorying their records. Schedule the order in which offices
and storage areas will be inventoried, which inventory worker will
be responsible for each, and the approximate time needed to complete
the inventory in each area. Periodically monitor the progress of
the inventory to make certain inventory workers are completing the
forms correctly and adhering to the timetable.
Begin your inventory among active records in office areas. The
recordkeepers are more familiar with these records than those in
storage and will be available to answer the questions of the inventory
worker as they arise. By the time the inventory workers move to
the storage area, they will be acquainted with the substance of
most of the records created or received in the office.
Mapping file locations - While beginning the inventory with
the files actively used in the office is recommended, it is also
crucial to ensure a complete survey of all active and inactive records.
For example, records may have been placed in storage so long ago
that no current staff member is aware of their existence. One of
the goals of records management is ridding valuable office and storage
space of obsolete and valueless records. It is important, in advance
of the inventory, to know where all the records of each office
are housed.
We recommend you prepare a floor plan (see Figure 1 below) showing
the location and types of records in all offices and storage locations.
Be certain to include all records, in all formats.
Figure 1
Draw representations of record locations. Number them clockwise
from the main entrance. The numbers represent these file locations:
Location 1 - Rack of magnetic computer tapes.
Location 2 - File cabinets (5 drawer, vertical).
Location 3 - Storage closet.
Location 4 - Stack of boxed files.
Location 5 - Metal storage cabinet.
Location 6 - File cabinets (5 drawer, vertical)
Location 7 - Computer work station with personal computer and diskettes.
Location 8 - Desk, with drawers.
Within each numbered section, units are designated alphabetically
left to right as the inventory worker faces them; drawers or shelves
are numbered from top to bottom. For example, records stored in
the third drawer of the file cabinet in Location 2 would be given
the location number "2-C-3." If the records were stored on top of
the cabinet, the location number would be "2-C-Top."
By identifying the location of all records, you ensure a complete
examination of records holdings. You will be analyzing the data
collected during the records inventory to make appraisals and retention
decisions. An accurate analysis depends on a thorough collection
of information and knowing where to find the record if additional
information is needed. That is why determining all file locations
is so important.
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The Records Inventory Worksheet
The State and Local Records Management Division of the Texas State
Library has developed a Records Inventory and Analysis Form (SLR
503) which local governments can use for their records inventory.
The inventory and analysis form is divided into three parts. The
first part (Items 1 to 10), in which the records series is located,
identified, and described, is completed by the inventory worker.
The second part (Items 11 to 21) is completed by the person who
appraises the record. The information completed by the records management
officer, in part three (Items 22 to 25), can be transferred directly
to the records control schedule. Instructions for completion of
the first part of the inventory worksheet appear below and includes
a discussion of the analysis sections of the inventory form.
Use of the Records Inventory and Analysis Form is not mandatory.
Any inventory form design is appropriate, as long as it meets your
needs.
Inventory Process - A separate inventory worksheet should
be prepared for each records series. A records series is a group
of identical or related documents that are arranged under a single
filing system or kept together as a unit because they consist of
the same form, relate to the same subject, result from the same
activity, document the same transaction, or have a common physical
format (e.g., maps and blueprints); and which, because of any of
these common characteristics, may be treated as a unit for retention
and disposition purposes. A records series is not defined by chronological,
numerical, or alphabetical filing considerations.
For example, a city secretary may have a file cabinet full of purchase
order and receipt records (purchase orders, requisitions, and receiving
reports) that are filed by fiscal year (FY88 to FY93). The chronological
arrangement of the files is for the purposes of making access to
the records easier and to provide a convenient point to break the
files when moving records to inactive storage or removing them for
destruction. However, each fiscal year is not a separate records
series-the entire group of files is one records series because they
all document the same activity and have the same retention period.
Therefore, only one inventory form would need to be done for this
entire file cabinet of records.
Similarly, the case files of county, district, or city attorneys
constitute a records series. Although they are customarily filed
alphabetically or by case number and are likely to consist of many
different documents, the important points are that they are filed
and used together and result from the same activity. Individual
case files are simply constituent parts of the larger records series.
Retention periods for case files traditionally date from when final
judgment was rendered in the case or proceedings were terminated.
While the disposition of the records may involve pulling individual
case files when their retention periods expire because the date
of the final judgment varies from one case to another, the same
total retention period applies to all cases in the records series.
One inventory worksheet would be completed for this records series
regardless of the number of case files or the varying dates of the
records.
Completing the first section of the records inventory form -
Each space for information on the worksheet is called a field. The
fields are numbered as follows:
1. Records Inventory Taker - The person who did the inventory
and a telephone number to facilitate a follow-up call if needed
during the appraisal process. (The entries for this field can be
typed on a blank form before duplication.)
2. Office and 3. Department - The office for which the inventory
is being conducted (e.g., County Clerk, Sheriff, Police Department).
The name of the department will also be entered, if applicable (e.g.,
Accounts Payable, Real Property Division). (These entries can be
typed on a blank form before duplication.)
4. Records Series Location - The location of the records.
In our sample, the purchase order and receipt records are located
in room 319 of the Brown Building and are in drawers 3 and 4 of
the file cabinet shaded in Figure 1. Thus, "Brown Bldg., Rm. 319,
2-C-3&4" is entered in this field.
5. Record Working Title - The title by which the record
is known in the office. Not all records the inventory worker encounters
will be labeled or titled, and the worker will have to ask the recordkeeper.
In our example, the file drawers were labeled "Purchase Orders."
6. Describe Records Series - The inventory worker should
clearly and concisely describe the contents of the records series
and indicate its purpose. For many records, their purposes will
be self-evident from their contents; but for others the recordkeeper
will have to be consulted. The inventory workers should also indicate
any preprinted titles or form numbers that may appear on the records
or on individual documents in the records series.
7. Format and size - The inventory worker should indicate
all of the formats that apply to the records series. In some instances,
it is appropriate to complete more than one category.
8. Inclusive Dates - Indicate by month and year the earliest
and the most recent record in the series. Accurate dating of alphabetically
arranged files (e.g., personnel files) may be difficult, but the
inventory worker should try by sampling folders at random to be
as precise as possible.
9. Volume - Indicate in cubic feet the approximate total
volume of the records series.
10. Records Liaison Officer Review - If the records management
plan of the local government provides for the appointment of a records
liaison officer for each office or department, the information in
fields 1 through 9 should be reviewed by the record liaison officer.
Field 10 should be initialed and dated by the records liaison officer,
even if the inventory taker and the records liaison officer are
the same person.
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Objectives of Records Appraisal and Scheduling
Records appraisal and scheduling builds on what has been accomplished
during the inventory. The records inventory provides you with significant
facts about your records. Ideally, the information collected will
be comprehensive and will meet the needs of all aspects of your
program.
However, the time and effort spent on the inventory will not accomplish
your records management goals unless the development of the records
control schedule is also well done. The objectives of the records
appraisal and scheduling process should include:
Saving space and money by using office space for active records
only, if possible.
Identifying when records can be moved to less expensive inactive
storage.
- Releasing equipment and reusable media for other productive uses.
- Consistently retaining records of value.
- Destroying records that have served their usefulness.
- Identifying confidential or sensitive records and vital records
to provide adequate security.
- Complying with legal requirements.
Keeping these objectives in mind will support the implementation
of an effective program of records retention.
If your local government has never practiced records management,
the analysis which takes place after the inventory usually reveals
that many records can be destroyed or moved to inactive storage
immediately, upon proper approval.
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Analysis and Appraisal Process
The analysis and appraisal of local government records begins with
the classification of each records series according to certain characteristics
which will be later used to develop and implement the records control
schedule. For example, analysis of a records series maintained in
a particular department may verify that it is the official record
copy and must be kept for the full retention period. There may be
convenience copies of the same records in other departments that
are needed for only a brief period of time. One of the best ways
a records management program can save money is to identify and destroy
redundant copies when they are no longer needed, especially in expensive
office space. Analysis may reveal that certain records should be
classified as confidential or open records, which will affect the
level of security they require. Those records classified as essential
or vital to the operations of the government must be protected so
as to ensure their availability in the event of a disaster.
Completing the analysis section of the inventory form -
The following is a brief discussion of each item in the analysis
section of the records inventory worksheet to explain the purpose
of the information for the appraisal process. The fields in the
analysis section are numbered as follows:
11. Records Liaison Officer - If the records management
plan of the local government provides for the appointment of a records
liaison officer for each office or department, the name and telephone
number will be provided in this field so that a follow-up call can
be made, if needed, during the scheduling process. If there is not
a records liaison for the office or department, the analysis section
could be completed by the records management officer in consultation
with departmental staff.
12. Record Copy? - A significant consideration in the analysis
of a records series is to determine if the records are the official
record copies of documents which must be retained for the full retention
period. If not the record copy, any convenience or working copies
of records may be discarded as soon as they are no longer needed
for their temporary purpose. Convenience copies must be destroyed
when the retention period for the record copy expires. Fields 13
and 14 have related questions to determine the location of either
the record copy or convenience duplicates. By analyzing this information,
accurate entries for the record series can be made on the records
control schedule to show which department has the record copy. By
identifying extra copies of records, the departments are more likely
to give attention to eliminating unnecessary duplication that wastes
space and money. You should decide if duplication is really necessary
and if all the duplicates will have the same retention period.
15. Is the record series obsolete? - Records that are no
longer created are obsolete records and, in the absence of permanent
historical value, are almost always prime candidates for removal
to storage or immediate destruction.
16. Vital Record? - Records necessary to the resumption
or continuation of government operations in an emergency or disaster,
to the re-creation of the legal and financial status of the government,
or to the protection and fulfillment of obligations to the people
of the state are defined by statute as essential records (also called
vital records). It is very important to identify the records that
are essential so that appropriate measures can be taken to protect
them.
17. Access Restricted? - Proper security measures should
be enforced for records which are not generally open to public access
under the Public Information Act or another state or federal law
or regulation.
18. State Record Number - The number assigned to the records
series in one of the records retention schedules issued by the Texas
State Library and Archives Commission. If the records series is
composed of different documents which are listed in one or more
of the retention schedules or in the manual, an item number would
be entered for each document.
19. State Retention Period - The mandatory minimum retention
period if the records series is listed in one of the records retention
schedules issued by the Commission. For a records series composed
of different documents, which are listed in one or more retention
schedules, enter the mandatory minimum retention period for each
document. When the records management officer then assigns a retention
period for a records series containing documents with different
retention periods, either the longest retention period will be chosen
for all the documents in the records series or consideration can
be given to reorganizing the records series into groups of documents
which share the same retention period.
20. Department Retention Recommendations - If the records
series is not listed in a retention schedule issued by the Commission
or if the department recommends that the records series be kept
longer than the mandatory minimum retention, this field should be
completed to state the reasons for the recommendation (see page
18 for additional information on determining the appropriate retention
for a records series by appraising the values of the records). This
field also provides space for dividing the total retention period
between office and storage. An active record series is one which
is referred to at least once per file drawer per month. Active records
need to be maintained in the office where they are immediately available.
Many records series are used less often as time passes but may not
yet be ready for destruction. If possible, these inactive records
should be moved to less expensive storage areas to free office space
and equipment for active records.
21. Department Head Review - The information in fields 11
through 20 should be reviewed by the department head, who initials
and dates fields 21. Final completion of the records appraisal -
The next step after analysis of the records series within the department
is for the records management officer in cooperation with department
heads to officially determine the record number; records series
title; retention period in office, in storage, and total; and to
identify any disposition and special considerations. This information
can be transferred directly to the records control schedule and
is included on the Records Inventory and Analysis Form as the last
four fields:
22. Record number - May be the state record number from
field 18 or the government may assign a number based on their recordkeeping
system.
23. Records Series Title - The records series title that
will be entered on the records control schedule. The records series
title in field 23 may be the same as the working title in field
5 of the inventory worksheet, but only if it is sufficiently understandable.
For example, a record series in your office may have a working title
that is a form number. The use of only the form number for the records
series title would not reflect the records series content and might
change over time. A better choice for the records series title would
be to use the name of the form or a succinct descriptive title.
You do not have to use the records series title given on a records
retention schedule issued by the Commission; however, we recommend
that if you enter the record working title in field 23 you also
show the official title from the retention schedule in parenthesis.
24. Retention Period - Although the department may recommend
and the state may require a minimum retention period, the records
management officer must still decide whether to follow that retention
or recommend a longer one. Another key decision to be made is at
what point in a record's total retention period it should be moved
from active office files to inactive storage. In our example, the
records management officer, based on a review of the first two parts
of the form, has decided to recommend that the purchase order and
receipt records be kept for three years after the end of the fiscal
year, and that they be moved from office files to the storage area
at the end of the fiscal year plus one year.
25. Disposition and Special Considerations - Information
in this field may be added to clarify specific circumstances; such
as, a change in format for a records series at some point during
the retention period; justification for a retention period; or to
provide other details that will support the effective use of the
schedule. Entries in this field are optional.
After completion of the records appraisal, the records management
officer should submit the records inventory and analysis forms or
a draft records control schedule derived from them for approval.
The draft records control schedule must be approved by the records
management committee or such other persons as the records management
policy of the local government requires before it is used in the
government or submitted to the director and librarian.
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Appraising Records Values
For those records series that are not listed in any retention schedule
issued by the Commission a determination of a realistic retention
period can be made by analyzing the value of the records. Even for
records which have a minimum mandatory retention period in a Commission
schedule, examining the value of the records may indicate that a
longer retention than the minimum is appropriate for your local
government. The value of records can be broken down into four main
categories:
- Administrative.
- Fiscal.
- Legal.
- Historical or research.
Administrative Value - Records have administrative value
because they aid in the conduct of day-to-day business (sometimes
called operational value), define policy and procedure, and ensure
administrative consistency and continuity.
Records with administrative value include:
- Information on the creation, consolidation, or termination of
local governments.
- Organizational and functional charts.
- Definitions of responsibilities.
- Delegation of authority.
Procedural records, such as the following, are also examples of
records with administrative value:
- Manuals.
- Directives.
- Rules and regulations.
- Instructions.
- Memoranda establishing a course of action for the government.
Fiscal Value - Records having fiscal value are generally
those relating to financial transactions and the movement and expenditure
of funds. These include:
- Budget documents.
- Vouchers.
- Accounting records.
- Tax statements.
Legal Value - Records that provide proof of government authority
and business transactions have legal value to an agency. Legal value
also refers to information that forms the basis for legal actions.
Records with legal value include:
- Legal decisions and opinions.
- Financial agreements.
- Leases, titles, contracts.
- Regulations and agreements.
- Records providing additional explanation of a primary legal
document.
Statutes, regulations, rules, and policies all affect retention
requirements. The records management officer should have general
knowledge of all statutes, regulations, rules, and administrative
policies affecting the records maintained in the local government.
The records management officer does not need to become an expert
on statutory interpretation but should have a listing of the pertinent
legislation for reference. The records retention schedules issued
by the Commission will give the legal citation, if any, for the
retention periods of records series that are listed.
It is imperative that you consider the legal requirements of your
records. It will make retention scheduling more effective and will
protect your office from litigation resulting from improperly discarded
or retained records. If available, have your legal department or
legal counsel review the retention periods for those records that
have legal value to ensure that they are being maintained a sufficient
length of time.
Historical or Research Value - Documents may be considered
to have historical or research value for one or both of the following
two reasons:
- They provide evidence of government functions.
- They contain information that is of enduring value to the public.
Records created specifically to serve as evidentiary documents
are relatively easy to identify:
Minutes of governing bodies.
- Ordinances, orders, and resolutions.
- Legal opinions.
- Audit records.
- Civil and criminal court minutes.
Other records provide evidence, but were not specifically created
for that purpose and are a little harder to recognize. For example,
supporting documentation for actions reflected in minutes, photographs,
and correspondence or internal memoranda often (but not always)
have historical value, but may be interfiled with materials that
do not need to be retained permanently.
Records that should be considered for permanent retention because
they may contain information of enduring value include:
- Census records.
- Annual narrative and statistical reports.
- Publications printed by or for a local government.
A record may have an intrinsic value that makes it worth keeping
after its legal, fiscal, and administrative purposes have been fulfilled.
All records series should be analyzed for historical value.
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Appraisal Resources
Decisions on retention of records are based on the types of records,
the values of records, and legal considerations. Therefore, a careful
appraisal includes consideration of a variety of appraisal resources.
The records retention schedules issued by the Texas State Library
and Archives Commission must be consulted first as a resource for
mandatory minimum retention periods. The retention schedules are
based on research in federal and state statutory law, rules of court,
and administrative law. For records series that do not have any
legal requirements, the retention periods on the schedules are developed
in consultation with local governments and state agencies to establish
a reasonable retention. A copy of each of the records retention
schedules is available, at no cost to local governments, from the
State and Local Records Management Division.
The records retention schedules issued by the commission identify
records series that should be retained permanently. Staff of the
Texas State Library and Archives Commission are also available to
answer questions that may arise concerning the historical value
of a records series not listed in the retention schedules (call
512-463-5480).
Even though the records management officer is ultimately responsible
for recommending retention periods, it is often helpful to have
a records management committee. Members of the committee should
be familiar with the different types of records in use in the local
government and could include the government's chief fiscal officer
to cover the fiscal and audit aspects of records retention, a legal
representative, the records management officer, and other personnel
whose input has been determined to be necessary. The records management
committee's job is to make or approve retention recommendations,
to discover and resolve any discrepancies, and to recommend approval
of the schedule. The records management committee can also have
responsibility for final approval of the records control schedule
if provided by the orders or ordinance of the governing body.
As you are considering the retention period for a records series,
you may find it helpful to use an appraisal guide, which lists pertinent
questions to be asked about each records series. The questions are
subdivided into the four value groups: administrative, fiscal, legal,
and historical or research. Each agency's record holdings are different
and not one list will apply to all, so feel free to use or adapt
this sample guide. The appraisal guide can be an especially helpful
tool for examining all possible values of a records series before
you prepare the records control schedule.
Other resources that could be helpful for determining appropriate
retention periods include:
- Assistance of the State and Local Records Management Division
and its records consultants.
- Discussions with other similar local governments.
- Review of attorney general opinions and legal reference publications.
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Approval of the Records Control Schedule
If a local government has adopted records retention schedules issued
by the Commission and has conducted an inventory to develop a tailored
schedule for internal use, the resulting schedule may take any form
that the local government determines best suits its needs.
If a local government will be submitting its records control schedule
to the director and librarian of the Texas State Library for approval,
rather than adopt Commission schedules, then the use of certain
forms is required. The use of the forms is also required if a local
government is submitting a records control schedule to take the
place of previously adopted Commission schedules.
Use of the Form SLR 500 (Local Government Records Control Schedule),
or its equivalent, is required for all local governments. To qualify
as an equivalent a form must contain the following minimum information:
the name of the local government and the custodial office or department
of the records scheduled, a record number (either that assigned
to the record in a Texas State Library and Archives Commission records
retention schedule or one assigned to the record by the local government),
the records series title, and a retention period for each records
series listed.
State law requires that records control schedules previously submitted
to the Texas State Library and Archives Commission be reviewed periodically
by the records management officer and amendments prepared as needed
to reflect new records created or received by the local government
or changes to retention periods [Local
Government Code, Sections 203.041(d) and 203.042(c)].
Amendments may be submitted for filing in two ways. If the records
management officer wishes to submit an entirely new schedule for
an office or department, Form SLR 500 or its equivalent should be
used. If the records management officer wishes to add, delete, or
change the retention period or title for a records series on a previously
filed records control schedule, Form SLR 520 (Amendment to Local
Government Records Control Schedule) or its equivalent, should be
used. To qualify as an equivalent to Form SLR 520, a form developed
for use in a local government must contain all the information requested
on Form SLR 520, except that the total retention period need not
be broken down into the categories of office and storage.
Two copies of Form SLR 540 (Records Control Schedule Transmittal
Sheet) must be attached to each records control schedule, amended
schedule, or amendment to schedule (Forms SLR 500, 520, or their
equivalent) submitted for filing with the Commission. At least one
copy of the transmittal sheet must have an original signature.
Submitting the records control schedule for approval - Using
the required forms, the records control schedule must be submitted
to the director and librarian by the records management officer.
If the director and librarian or the designee of the director and
librarian accepts the records control schedule or amended schedule
for filing, it may be used as the basis for the destruction by the
local government of records listed on it without additional notice
to the director and librarian.
If the schedule is rejected, the reasons for the rejection will
be stated in writing within a reasonable time to the records management
officer and the schedule will need to be corrected and resubmitted.
The director and librarian may make it a condition of acceptance
of a records control schedule that a record listed on the schedule
be transferred to the custody of the Commission on the expiration
of its retention period rather than being destroyed.
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Sample Appraisal Guide
The following questions may be used by local government offices
or departments and the records management officer to assist in determining
the value of a records series.
Administrative Value
- Are the records used in determining organizational policies?
- Does this records series explain operating procedures or departmental functions?
- Are there definitions of responsibility provided by this records series?
- Does this records series contain information on the creation,
consolidation, or termination of local government activities or
functions?
- Does the record series document working relationships with other governments?
- How long must this records series be maintained for day-to-day
operations?
Fiscal Value
Does this records series control or document the generation, expenditure,
or movement of public funds?
How long are these records needed to administer the funds?
What are the audit requirements of the funding authority?
Are there any regulations covering retention of audited records?
How long must this records series be kept to meet all fiscal and
audit requirements, in total years and months?
Legal Value Does this records series prove the local government's
claim to property?
- Is this records series necessary for the local government to
prosecute or defend against an action?
- Is this records series necessary to protect the rights of a citizen?
- Are these records of local government licenses or regulations?
- How long are these licenses or regulations valid?
- Are there federal or state regulations covering retention of
this records series? The records retention schedules issued by
the Texas State Library and Archives Commission establish legally
binding minimum retention periods for the records series listed.
- How long must this series be kept to meet all legal retention
requirements, in total years and months?
Historical and Research Value
Is the information in the records series unique? Can it be found
elsewhere? For instance, did the local government create or gather
the data in the series or is some of it transcribed from another
source? Has the information been published by the local government
or others? Has it been filed with another governmental entity? How
important is the information? Will researchers now or in the future
need to consult the records? Does this records series document a
particularly important citizen or event?
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