Local Government Bulletin C: Inventorying and Scheduling Records
Updated April 2025
Bulletins are compiled by SLRM in a centralized location for ease of reference by our local government and state agency customers. They contain links to the Texas Administrative Code, Texas statutes, a combination of both, or best practice and guidance related to a particular topic or concept.
Bulletin C contains guidance related to records inventories and is applicable to both local governments and state agencies. Guidance includes information and best practices on preparing for an inventory and methods for conducting an inventory.
Materials also include optional templates for use by local governments and state agencies to get started with an inventory.
Click the links below to navigate throughout the inventory guidance and information.
Table of Contents
Which Documents, Files, and Media Should be Part of the Inventory?
What are the Steps of a Records Inventory?
Objectives and Benefits of a Records Inventory
Determine the best strategy to accomplish records management objectives
For electronic records, communicate with the information technology (IT) team
Consider and communicate with record creators and users
Select personnel for the inventory process
Elements of the Electronic System Inventory Worksheet
Templates for Records Inventory Worksheet
Objectives of Records Appraisal
Analysis and Appraisal Process
Purpose
The purpose of this bulletin is to provide guidelines and helpful tools that state agencies and local governments in Texas can use when conducting an inventory of their records.
Return to Table of Contents.
Introduction
What is a Records Inventory?
A records inventory is a complete listing of the records held in an office, department, or agency. The inventory is not a document-by-document or folder-by-folder listing of the records in your file cabinets, on your shelves, or on your network drives. Rather, an inventory describes the function, content, use, and format of each type of record in your office and storage areas. Typically, an inventory is organized by record series and provides a series-by-series account of the records held. The documentation created as the result of an inventory will show each type of record held by the organization as well as details about the quantity, location, and dates associated with the records.
A completed inventory serves many purposes, including providing a basis for updating your government entity’s retention schedule, beginning a disposition project, or planning a migration to a new system, tool, or location.
Which Documents, Files, and Media Should be Part of the Inventory?
Only government records should be inventoried. 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 the purpose of updating a retention schedule. Examples of non-records include blank forms, stocks of publications, and library and museum materials acquired solely for the purposes of reference or display. Please research other laws and rules for best practices that may apply to non-records.
Keep in mind that government records may exist in any format (e.g., paper, electronic, audio, video) and that government records may be captured in any type of storage media (e.g., paper, CD, hard drive, cloud storage, USB thumb drive, or other removable storage media). All records should be inventoried, regardless of the format of the record or media in which it is maintained.
What are the Steps of a Records Inventory?
Below is a brief overview of the inventory process. Details about each step can be found in later sections of this guide.
Planning and Education
Before beginning an inventory, take the time to plan by setting goals, gathering a team, and spending time educating the staff at your organization about the inventory process.
- Create a plan, timeline, and list of goals.
- Build a robust team.
- Get buy-in from key stakeholders such as management, department heads, and other influential people at your organization to get the resources you need to complete the inventory project.
- Educate staff and make sure everyone at your organization has all the information they need to play their part in the inventory.
Information Gathering
Gather information about what records are held, where the records are located, and details such as format, media, date ranges, and other details identified by your organization as important to gather or capture.
- Distribute questionnaires and/or conduct a direct examination of the records.
- Meet with department heads, managers, or others in charge.
- Create maps of physical file locations and digital file paths.
Compilation
Compile the information and finalize the inventory documents.
- Using the information gathered, fill out inventory worksheets for each record series held by the organization.
- The information may then be compiled into a document (comprised of inventory worksheets), or it may be entered into a database or software tool.
Appraisal
After the records inventory is completed, you may choose to appraise your records.
- Determine the value of each record type held by the organization.
- Evaluate the impact of the record values.
- See page 18 for more information on appraisal considerations.
Create or Update an Internal Records Retention Schedule or Retention Schedule
Based on the decisions made during the inventory and appraisal, a custom internal records retention schedule (also known as a records control schedule) may be created or amended.
- Assign a record series item number from TSLAC’s retention schedules to each record type held by your organization.
- Determine if custom retention periods (that meet or exceed the minimums in the TSLAC retention schedules) should be assigned to any record types.
- For any unique record types, create unique series and assign retention periods.
- Compile all the relevant series into the retention schedule for use by your organization.
Take Other Actions Using Knowledge Gained from the Inventory
Once the inventory is complete, share the results with your coworkers and implement actions that were shown to be necessary. For example, you may find that your disaster plan should be updated or security measures for your records need to be enhanced. Additionally, dispose of any records that you determined are eligible for destruction.
The results of the inventory may also help you identify further actions or projects that may be worth exploring. For example, you may identify organizational projects such as clean-up of paper or electronic storage areas. You may also identify an opportunity for an imaging or digitization project. Or you might decide to explore the adoption of new technology such as an Electronic Document and Records Management System (EDRMS) to assist your staff in caring for their records.
Objectives and Benefits of a 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:
- Determining the appropriate retention period of records to preserve necessary information.
- Identifying processes or workflows that create unnecessary copies.
- Providing security for records with confidential or sensitive information.
- Freeing up storage space and storage media.
- Reducing money spent on digital or physical storage space.
- Utilizing existing storage space to ensure any acquisition of more storage space is necessary.
- Decreasing the retrieval time needed to find information.
Before beginning an inventory, identify your objectives, clarify problems, and specify your desired results. For example, desired results may be:
- Identifying all the entity’s records by records series.
- Determining 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 timeframe or destroyed.
- Documenting the inclusive dates and quantity of each type of record.
Long-term objectives to support the overall records management goals of the government entity can also be achieved through an inventory. For example, desired results may be:
- Describing current filing and retrieval systems.
- Understanding where the records are stored, in what format, and identifying users who have access.
- Categorizing the types and quantities of equipment and supplies used in the maintenance of records.
- Calculating the amount of floor and server space dedicated to storage of active and inactive records.
- Evaluating the costs of recordkeeping in the entity, including consideration of alternative methods.
Return to Table of Contents.
Preparation for 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.
- Choosing the best method for gathering information.
- Mapping file locations.
Determine the best strategy to accomplish records management objectives— Investigate what steps have already been made. This will ensure you are building upon previous progress and not duplicating efforts.
Explore the resources available to help with the inventory. Think about the organizational structure of your entity and how that may influence the way to accomplish the inventory tasks most easily. Ask yourself questions such as the following:
- Who knows the most about the records? Who has a particular aptitude and proclivity for 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.
- How can the work be distributed most efficiently?
Obtain top management support—Management support is critical to the success of the inventory and to the entire records management program. Although state law requires the designation of a Records Management Officer, it is still important to obtain buy-in from top management to ensure records management program requirements are met, and its purposes realized. Request a notice 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 priority project with an important purpose.
For electronic records, communicate with the information technology (IT) team—Before conducting the inventory, talk with your IT department about the records inventory goals and objectives to discern what they can and cannot help with during the project. This will help your team avoid stepping on any toes, procedurally, and will enable IT to assess and mitigate any barriers to access you may encounter while inventorying digital records. For example, certain areas of your entity’s servers may be password protected. Working with IT may also provide you with important or necessary information and tools to help create an effective modern records management program. For example, there may be metadata present that could help you determine if a record is inactive or active.
Consider and communicate with records creators and users—One of the most important strategies for effectively conducting an inventory is ensuring that staff members’ workflows and existing filing setups are considered. After the inventory, you likely will have suggestions for how staff members and departments can improve the creation and use of their filing systems. Maintaining an awareness of existing processes will ensure your line of thinking remains in the creators’ and users’ best interest. This important concept will help you conduct a realistic records inventory and eventually develop a long-lasting file setup that can be built upon rather than abandoned.
Just as you would before any major project, send a memo to all personnel who will be involved in the inventory project.
- Explain the project.
- Tell them when the inventory will begin and how it will affect work in progress.
- Consider holding an introductory/kick-off meeting for interested and required staff as an orientation.
You will receive more support from those affected if they are included in the planning for the inventory project and the records management program.
Designate records liasions— Even though the records management officer is ultimately responsible for the inventory, it is often helpful to have records management liaisons. These will be your intermediaries who can help gather information either from their department staff or among the rest of your entity. Liaisons should be familiar with the different types of records in use in the entity and could include leaders of other departments whose input has been determined to be necessary. Departmental liaisons will likely understand the department’s terminology or jargon (which may be included in the content of the record) and the department’s reason for using a record (which will help you easily identify the applicable record series).
The job of liaisons is to approve or discuss retention recommendations depending on the department or entity’s needs. Records management liaisons can also have responsibility for the final approval of the internal schedule if provided by the orders or ordinance of the entity. Whoever you choose to be your records liaisons, ensure they are trained, understand the benefits of a records inventory, and agree to support the inventory’s objectives.
Select personnel for the inventory process—The records management officer should conduct or oversee the records inventory. If the entity does not have specialized records management staff or records liaison officers available to assist with the inventory, consider other alternatives. To expedite the inventory's completion, 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. This will be the inventory team. Devote sufficient training to cover these aspects of the inventory:
- Purpose of inventory.
- Records management concepts and terminology.
- Use of the inventory worksheet.
- Inventory work schedule and procedures.
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Basic Inventory Methods
There are several methods you can use to conduct a records inventory to gather relevant information. You may use one method or a combination of techniques.
Direct Examination Method
One common inventory method is direct examination. Departmental staff may conduct the direct examination, with the coordination and assistance of the records management officer, and the inventory team. This approach usually includes appointing a records liaison for each department. A direct examination can also be undertaken by hiring a consultant or temporary workers, or by using volunteers who give the inventory their exclusive attention.
The direct examination is a thorough inventory method that can lead to highly accurate results. A small number of personnel are trained in inventory procedures and conduct the examination of the records. The small inventory team takes a hands-on approach and inspects all locations where records are held in each department, building, or electronic storage space. Having a small, highly trained team can help ensure consistency in the collected data. For some entities, however, the direct examination method is not a feasible choice because of insufficient staff and financial resources to complete this potentially time-consuming process.
Questionnaire Method
Another approach to conducting a records inventory is to use a questionnaire. With this method, each department completes its own inventory with the inventory team having little or no direct examination of the records. This is a fast method because inventory forms can be distributed to all departments simultaneously, completed by staff knowledgeable about the records, and returned by a specified date.
However, problems may develop when the questionnaire method is used. The data collected may not be consistent, accurate, or complete. The wording on the questionnaire must be very specific so that the respondents know what is required of them. Because the records are not physically examined in detail by the inventory team, records may be overlooked.
Hybrid Approaches
It is also possible to use both the direct examination method and the questionnaire method during an inventory. For example, the inventory team may choose to perform a direct examination of the records in certain departments and use a questionnaire in other departments. In this scenario, the inventory team can “mix and match” the methods as appropriate.
As another example, the inventory team could start by consulting directly with department or group-level representatives to learn which types of records each group maintains. Consultations could involve touring facilities, setting up inventory forms for each record series, and creating storage maps. Once the inventory team has a baseline understanding of which record series are held by each department, they could create questionnaires to solicit additional details about the records.
Return to Table of Contents.
Conducting the Inventory
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 and resources you have available before deciding which method to use.
Inventorying the records by department is a popular approach because it is an incremental process and can be easier to keep track of than an entity-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 complete the forms correctly and adhere 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 showing the location and types of records in all offices and storage locations. Be certain to include all records, in all formats.
Draw representations of record locations (see Figure 1). Number them clockwise from the main entrance. In the sample map drawn above, the numbers represent these file locations:
- Location 1—Rack of magnetic computer tapes.
- Location 2—File cabinets (5 drawers).
- Location 3—Storage closet.
- Location 4—Stack of boxed files.
- Location 5—Metal storage cabinet.
- Location 6—File cabinets (5 drawers).
- Location 7—Bookshelf of CDs or flash drives.
- 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 shaded in Figure 1 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.
Physical Records
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 on the overall number 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.
Electronic Records
It is important to understand the difference between data, records, and information when inventorying electronic records because someone else within your entity may be responsible for or interested in their well-being. IT will likely be responsible for data and department heads and records custodians will likely be responsible for information.
- Data, as defined by ARMA (Association of Records Managers and Administrators) International: Any symbols or characters that represent raw facts or figures and form the basis of information.
- E.g., TSLAC, John, Austin, Texas, 1/1/2024
- E.g., TSLAC, John, Austin, Texas, 1/1/2024
- Electronic Records, defined for local governments in the Local Government Code, §205.001(1): Any information that is recorded in a form for computer processing and that satisfies the definition of local government record data. “Local government record data” is any record that meets the definition of a “local government record” defined in the Local Government Records Act, §201.003(8).
- Defined for state agencies in the Texas Administrative Code, §6.92(4): Information that meets the definition of a state record in the Texas Government Code §441.031 and §441.180, and is maintained in electronic format for computer processing, including the product of computer processing of the information.
- E.g., PDF receipt for a hotel room for John on 1/1/2024 to stay in Austin, Texas.
- E.g., PDF receipt for a hotel room for John on 1/1/2024 to stay in Austin, Texas.
- Information, as defined by ARMA International: Data that has been given analysis, interpretation, or compilation in a meaningful form.
- E.g., On 1/1/2024 John will be coming to TSLAC in Austin, Texas to present about conducting an inventory.
The process of inventorying electronic records is similar to the process for paper records, however, there are additional considerations to properly inventory electronic records.
- Be prepared to find many copies of the same thing.
- When inventorying record systems, it is likely that you will locate copies of a record in a record system. It is important to identify the record copy of each record.
- Access to electronic records may require specialists.
- Electronic records may exist in a former employee’s personal drive, email, software they were the custodian of, etc. For these types of records, you may need IT or a vendor’s assistance. Ultimately, you should create and implement policies to avoid these situations by appointing backup custodians (such as department heads) to obtain access when employees have separated.
- Electronic storage may come in many variations and all variations will need to be considered.
- Storage could be an electronic storage system within a device, email, text messages, social media, servers, USB or external drives, software, etc.
- An electronic Information System Worksheet is located in the Appendix of this Bulletin.
Elements of the Electronic System Inventory Worksheet
Each entity should maintain an accurate inventory of all the electronic records it holds. This system inventory worksheet should include the elements listed below:
- Name of the storage system: Determine the name and any acronyms used to name the system.
- Information content: Indicate what persons, places, or things are subject to the records in the system and what information is maintained. Indicate the timespan (or the contract’s renewal date) of the system, update cycle, and other major characteristics of the system. Finally, determine whether the system saves superseded information and if it contains metadata or summary data.
- Purpose of the system: Indicate the reason the system is used.
- Restrictions on access and use: Indicate security, privacy, or other restrictions the storage media is subject to.
- Location and volume of any storage media containing identical information: Show the location of any electronic media containing information identical to the record being inventoried.
- Disposition:
- For Local Governments: Determine the retention period of the record as determined by the Local Retention Schedules, or internal retention schedules that meet the required minimum of the Local Retention Schedules.
- For State Agencies: Determine the retention period of the record as determined by the State Retention Schedules, the internal agency schedule that meets the required minimum of the State Retention Schedules, or the Texas State University Records Retention Schedules, and approved by the Texas State Library and Archives Commission.
- Records schedule and item number covering the records in the series.
- Identification of the person conducting the inventory: List their name, office, location, and other contact information needed and date prepared. Make sure the system meets the requirements your entity is subject to. E.g., accessibility, FedRAMP, TX-RAMP, etc.
These are all important factors to analyze because the factors may require your entity to migrate the records out of the system if the system does not meet the standards.
Templates for Records Inventory Worksheet
A records inventory worksheet is an assessment of the records that your entity currently is in possession of in every format (paper, microfilm, electronic, etc.). A records inventory worksheet is for internal use and is not required to be submitted to TSLAC.
A records inventory worksheet can be created and approached in two different ways.
- On a broad level by assessing what record series your entity has within their custody. To do this, the inventory will compare what records your government entity creates and is responsible for managing the applicable record series. This approach allows you to assess the record storage conditions by identifying where records are stored, whether a storage room hosts confidential and/or non-confidential records, who has access to storage rooms, and does the storage room host active or inactive records? Answers to these questions will help you develop a plan for storage rooms and workflow. For example, you may identify that a storage room housing confidential information should have security protocols implemented or a storage room hosting inactive records would be better used for the active records that are currently off-site.
- On a targeted level by assessing what records your entity creates and manages on an individual basis. This approach is completed by comparing an individual record to the applicable record series. The targeted approach will also tell you what records can be destroyed because they have met their retention requirements or because they are convenience copies.
The State and Local Records Management Division of the Texas State Library has developed a Records Inventory and Analysis Form (RMD 103) local governments and state agencies can use for their records inventory. Use of the Records Inventory and Analysis Form is not mandatory. In fact, TSLAC encourages you to research other records inventory worksheets and create a worksheet that works best for your records management program. Be sure to maintain adequate access control of completed records inventory forms since they may contain the locations of sensitive or confidential records.
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 purpose 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 completed 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.
Return to Table of Contents.
Objectives of Records Appraisal
Records appraisal 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. The objectives of the records appraisal 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 entity has never practiced records management, the analysis that takes place after the inventory usually reveals that many records can be destroyed or moved to inactive storage immediately, upon proper approval.
Analysis and Appraisal Process
The analysis and appraisal of records begin with the classification of each records series according to certain characteristics. 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. One of the best ways a records management program can help your entity save money is by identifying and destroying redundant copies when they are no longer needed, especially in valuable 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 entity must be protected to ensure their availability in the event of a disaster.
After completion of the records appraisal, the records management officer should submit the records inventory and analysis forms, or a draft records retention schedule derived from them for approval. The draft records retention schedule must be approved by the records management committee or such other persons as the records management policy of the entity requires before it is used internally in the entity and for state agencies, submitted to the director and librarian for review and approval.
Appraising Records Values
For those records series that are not listed in any retention schedule issued by TSLAC a determination of a realistic retention period can be made by analyzing the value of the records. However, this can also be true for records that have a minimum mandatory retention period found in one of TSLAC’s schedules. Examining the value of the records may indicate that a longer retention than the minimum is appropriate for your entity.
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 government entities an entity.
- 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 entity.
- Informal agreements establishing an entity’s rights and responsibilities with another party.
Fiscal Value— Records having fiscal value are generally those relating to financial transactions and the movement and expenditure of funds. These include, but are not limited to:
- Budget Documentation.
- Vouchers.
- Accounting Records.
- Tax Statements.
Legal Value— Records that provide proof of government entity authority and business transactions have legal value to an entity. Legal value also refers to information that forms the basis for legal actions. Records with legal value include:
- Legal decisions and opinions.
- Leases, titles, contracts.
- Regulations.
- Records providing additional explanation of the associated legal terms and conditions.
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 entity. The records management officer does not need to become an expert on legal interpretation but should have a listing of the pertinent laws for reference.
The records retention schedules issued by TSLAC will generally give the legal citation that either establishes the retention period or provides context for the establishment of the period. However, it is important to have an internal team review the entity’s record series to identify any potential discrepancies or exceptions to the series’ applicability. Remember, TSLAC’s schedules are intentionally broad, so there may be other legal citations not cited because they are unique to your entity.
It is imperative that you consider the legal requirements of your records. It will make retention scheduling more effective and will help protect your office in the event of litigation resulting from improperly discarded or retained records arises. 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 for the appropriate 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 entity 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 that set precedent or justify reason of action related to a record with historical value.
- Audit records.
- Civil and criminal court minutes.
Other records provide evidence of entity functions 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 government entity.
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.
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 TSLAC must be consulted first as a resource for mandatory minimum retention periods. TSLAC’s retention schedules are based on research in federal and state statutes, regulations, and rules of court. TSLAC develops retention periods for records series that do not have any specific retention period provided in statute or regulation by consulting with Texas government entities and researching to determine the record’s administrative, fiscal, or historical value to state agencies and local governments.
A copy of each of the records retention schedules for local governments is located here: https://www.tsl.texas.gov/slrm/localretention. A copy of the State Records Retention Schedule applicable to state agencies and public universities is located here: https://www.tsl.texas.gov/slrm/rrs.
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 governments entities.
- Review of attorney general opinions and legal reference publications.
Return to Table of Contents.
Appendix
RECORDS MANAGEMENT TIPS & TRICKS – California, https://archives.cdn.sos.ca.gov/calrim/tips-and-tricks/2018-03-tt-001-inventory.pdf
- This is a detailed article and how-to guide when it comes to conducting a records inventory, we particularly love this article for the different types of mapping techniques within it. Give it a look!
Morris, Lisa. Records Inventory 101- 101 Just Sounds Good-There Is Nothing Basic About a Records Inventory (blog). ARMA International, April 11, 2022. https://magazine.arma.org/2022/04/records-inventory-101/.
- This article discusses the basics of a records inventory and discusses the difference between an inventory and an internal records retention schedule, but acknowledges that the two go hand in hand.
Ceasar, Joslyn. How to Approach an Office Records Management Overhaul (blog). Word Press, July 22, 2020. https://www.tsl.texas.gov/slrm/blog/2020/07/how-to-approach-an-office-records-management-overhaul/
- This article discusses what to consider when overhauling your records management system, including a records inventory. We love this article, and we often send this article to local governments or state agencies when they want to know where to start!
How Do I Complete a Records Inventory? YouTube video, 2:41, posted by “DukeUnivLibraries,” May 21, 2021, https://www.youtube.com/watch?v=VGGabdys4eg.
- YouTube videos are perfect for illustrating what an inventory looks like. Please look at this Duke University Video that discusses conducting an inventory of university records.
Word of the Week: Inventory, YouTube video, 5:43, posted by “US National Archives Records Management,” May 16, 2013, https://youtu.be/9vJnSy3KakA
- The US National Archives Records Management has much information about records management. Not only do they have this video concerning an inventory, but they also have the following:
Martian, Michael, Conducting an Inventory of Paper Records Webinar, YouTube Video, 0:47, posted by “New York State Archive,” March 8, 2019, https://www.youtube.com/watch?v=VCZi-pnecEQ
- To have an efficient and functional records management program it is critical for governments to maintain an up-to-date inventory of their records. This webinar introduces participants to the planning, implementation, and analysis of a records inventory for paper records. The program will discuss how a records inventory can help you control records; how to plan for and carry out a records inventory; identifying records to inventory; collecting meaningful inventory data; analyzing the results of the inventory; how to identify retention periods for records.
Records Management Software: What You Need to Know Before You Buy (blog). ArkCase, https://www.citationmachine.net/chicago
- While this article does not discuss inventory, it does let records managers know what to look for when choosing records management software.
Templates
- Office or Cubicle Inventory Questionnaire Template (Word)
- Information System Inventory Worksheet Template (Word)
- Records Inventory Worksheet Template (Word)
Can't find what you're looking for? Email slrminfo@tsl.texas.gov or call 512-463-7610.
