HBP Part 20.4.2. Records Inventory

Handbook of Business Procedures

Date published: October 23, 2012
Last revised: April 6, 2017
Issued by: Records Management Service


Departments at The University of Texas at Austin are required to preserve and protect all records maintained within the department or which are created or stored on behalf of the department by a private contractor. A records inventory lists all the records for which the department is responsible and provides specific details about how records are managed. The records inventory is the primary document of a records management plan and may be developed in the form of a spreadsheet, database, or other format. For more information, refer to 20.4.3. Records Management Plan.

The unit records manager (URM) takes the following steps to conduct or oversee the inventory of departmental records created, used, and retained in the department.

  1. Compile the information about the records using the Records Inventory Workbook, a database, or another format. This information is used in records reviews and purges. Inventory information and instructions should be kept up-to-date following amendments or recertification changes to the UTRRS.
    Tip: One method for creating a records inventory is to use the Records Inventory Workbook, Tab 2: UTRRS, and delete the rows that contain record series titles the department does not use.
  2. Information transferred from the UTRRS must be copied exactly as it appears in the UTRRS, with the exception of the Record Series Title, which may be shortened. Include the following fields from the UTRRS in the records inventory:
    1. UT Code (e.g., AALL025)
    2. Record Series Title (e.g., General Correspondence)
    3. Retention Period (e.g., one year)
    4. Archival Requirement (i.e., I = must be transferred to archives; O = must undergo review by university archivist)
    5. Vital Status: If vital records are retained in electronic form, there must be a disaster data recovery backup and it must be stored offsite.

    The following additional fields must also be included in the records inventory:

    1. Media (record format, e.g., paper, microfilm, image)
    2. Master/Convenience Copy/Transitory (M/CC/T) Mark each record type as master copy (M), convenience copy (CC), or transitory (T) information. Master records must be disposed in accordance with required university procedures for disposition of records. For more information, refer to 20.6.1. Master Records, 20.6.2. Convenience Copies, and 20.6.3. Transitory Information.
    3. Notes
      In the Notes column of the records inventory, list actions taken with the record series. Examples include:
      1. Location of Records
        Document the location of records or other pertinent information about departmental management of the records or business process in which the records are created.
      2. Procedures for Convenience Copies and Transitory Information
        Document procedures for disposing of convenience copies and transitory information in a consistent and timely manner.
      3. Administrative Value (AV) UTRRS Retention Requirements
        For records with administrative value (AV) listed as the retention requirement in the UTRRS, such as AALL091 Raw Data, which is used to compile a report, the department must establish a consistent retention requirement that indicates how long the raw data is retained after the report containing the data is published. The retention period for each AV record type is determined by the department’s business use of the record.
      4. Additional Departmental Retention Requirements
        Document any departmental requirements for records that are routinely retained longer than required by the UTRRS.


  3. Identify the records that are created and managed in the department. Suggestions for developing the departmental records inventory are taught in DE 451 Records Management – Managing Departmental Records, which is a required course for each URM.
    Some records common to most departments at The University of Texas at Austin include:
    1. Human Resources records created in hiring and managing staff
    2. Financial records created in the acquisition of goods and services from outside vendors and university departments, as well as departmental budgets, deposits, and other financial records
    3. Correspondence
    4. Records from the business processes of the department


  4. Locate departmental records.
    1. For hard copy records, survey the physical locations where departmental records are found and list the types of documents in each location.
    2. Electronic records:
      1. For electronic records kept within the department, survey shared departmental networks or servers and list the types of records kept.
      2. Consider the types of electronic records each person generates relative to job duties and list any not already noted in the review of physical or electronic records.
      3. The Recommended Practice for Quality Control of Image Scanners document provides specific procedures for quality control of document images. To review this document, contact Records Management Services.
      4. For more information, refer to 20.6.6. Electronic Records.
    3. List the types of departmental records that are retained by university systems (e.g., Human Resource Management System (HRMS) Financial Resource Management System (FRMS), electronic timekeeping system, UT Market, Image Retrieval System), and document departmental procedures for transferring, reviewing, or managing records in those systems. Refer to the Departmental Management of Imaged Records Acknowledgment for more information.
    4. If applicable, list the types of departmental records stored in nonuniversity facilities, e.g., the Texas State Library Records Center or other commercial document storage facilities. This may include records in remote electronic storage (cloud-based storage).
      Note: Procedures for the disposition of records stored in nonuniversity facilities must be included in the records inventory.


  5. Classify the records in accordance with the series listed in the The University of Texas Records Retention Schedule (UTRRS). Note: If the record type is not listed in the UTRRS, contact Records Management Services; records not listed in the UTRRS cannot be destroyed or transferred to archives until the record series is added to the UTRRS.

Contact Records Management Services for assistance.


Part 20. Records Management - Table of Contents