UW Records Management Manual

425 Steenbock Library
550 Babcock Drive
Madison, WI 53706-1201
Phone: (608) 262-5629
FAX: (608) 262-8899
Email: Records Management 

© 1996-2007 by the Regents of the University of Wisconsin.

Last updated:
December 1, 2000.

Originally published:
prior to 2001

Introduction

Information resources are critical components of university departments and programs. They have value to the institution, to our clients, and to state and federal government entities. Information resources are also expensive to create and maintain. It is, therefore, important that these resources be managed to achieve the utmost benefit from them. Managing them requires that we know as much about them as possible. An information resources inventory provides a basis for understanding an office's current information resources in relationship to its mission and for establishing sounds records keeping practices for those resources. Knowledge gained from this information resources inventory can greatly enhance decision making, plans for the implementation of new or updated technology, and enhance information sharing. An information resources inventory can provide critical planning information in anticipation of major new information systems or planning to make changes in current systems.

Fully electronic information systems, no hard copy produced at any point in the information life cycle, require campus units / departments to declare record content so that state and federal records keeping requirements can be met. Wisconsin's new administrative rule on electronic records management requires State agencies to insure that their electronic records remain accessible, retrievable, and reproduceable throughout their life cycle. There are other requirements in the rule, but these are some of the major ones. An information resources inventory can be very helpful in identifying what e-records your office needs to identify and retain.

This chapter details what an information resources inventory is and how it might be accomplished. Because the records and information reside in a mixed media environment and will likely be so for some time, the chapter provides two forms to assist in gathering inventory data; one is directed to the automated information systems, the other to the more standard hard copy environment.

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Purpose

Conducting an information resources inventory is a key component of building a sound records management plan for your office's records and information. Only by knowing the types of records and information that your organization creates and maintains, and how they relate to each other, will you be able to develop a comprehensive records management program. However, the information resources inventory should not be viewed simply as a way to determine what you can throw away or how to free up more space in the files. There are a number of organization-wide benefits that can be gained from such an inventory effort. The records/information inventory affords the opportunity to look globally at your office's accumulated information, information systems and information needs. Such a global view can often be instructive as to changes that can improve the operation of your organization.

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What is an Information Resources Inventory?

Some in the campus community may be familiar with the records inventory concept. A records inventory is a an identification, description, and qualification of all of the records possessed by an organization. William Saffady in his book, Managing Electronic Records, states that a records inventory is a "fact finding survey that identifies and describes the characteristics of records created or received by all or part of a business, governmental agency, or other organization." An information resources survey collects many of the same types of information but also identifies the function or process to which the information relates. It also captures some basic information about the record series.

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Why Conduct an Inventory or Survey?

The goal of the information resources inventory is to identify all types of records your office creates and maintains and to classify them into organizational or functionally-related groups. Traditionally, the records inventory has preceded the development of an organization's records retention policy. Today, records and information are viewed as an organizational resource, and the inventory can provide evidence as to how well that resource is being used. A growing number of employees in any given organization are devoted only to information processing or handling. The records inventory can be effective in identifying redundant record keeping, and areas in which cost savings can be achieved.

Additional benefits of conducting an information resources inventory:

Information Problem Solving

Who needs what information and why? Is redundant information being created and retained?

Program Planning

What objectives have we accomplished and where do we need to focus our attention to meet future organizational needs?

System Design

An information resources inventory can reveal weaknesses in work flow and productivity. If conversion to new media is being contemplated, the inventory can provide the up-front analysis that will insure that the new technology will be appropriately applied.

Procedural Improvements

An information resources inventory can reveal the way an office operates. Perhaps some things that may have been standard practice may no longer be necessary

Identification of vital records

What records would your office require to resume business after a disaster?

Identification of historical records

What records are important to relating the historical development of your office?

Establishment of better indexing and retrieval systems

Does your office maintain adequate finding aids for all its records? If information cannot be accessed, it is of no value.

Contemplating automation?

If the answer is yes, an accurate, up-to-date information resources inventory can be a key planning tool and can help insure that the automated system will meet its objectives.

While the focus of information resources inventory projects is frequently upon accumulations of records, the inventory should also take into consideration active records areas as well. Including the active office records will provide the "big picture" of how your office creates and maintains all its records.

Bottom line: It is important to know why your department is undertaking the inventory or survey project and how it connects with department or organization-wide objectives. Without a complete understanding of the "why," the full potential benefit of the inventory will not be realized.
An information resources inventory is a substantial undertaking. It is important that an approach be adopted that will facilitate progress throughout the inventory project and that will provide a meaningful way to analyze the results. Two basic approaches are suggested here. Because of the prevalence of automated information systems, a combination of the two is the likely result.

Organizational--The records and informational holdings of each office are identified and inventoried. The completed inventories are categorized by organizational unit.

Functional/Systems--This approach identifies all records and information belonging to a particular function or system such accounting or payroll. Beginning with the inputs to a given information system, all forms, data, data sets, etc. are identified. This approach will frequently cut across organizational lines and works well with electronic information. It is effective in demonstrating relationships that exist between the various system components.

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What Questions Should an Information Resources Inventory Answer?

The information resources inventory should answer the following basic four questions:

• What kinds of records/information do you have?

• Where is the records/information located?

• What is the volume of the records?

• Are the records active, inactive, or nonessential?

Answers to these questions will provide the basis for a sound retention and disposition program, identify information systems that can be improved or perhaps eliminated, and often reveal the need for other organizational changes that can improve work flow and productivity.

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The First Issue To Resolve--Is It a Record?

To set some parameters for your information resources inventory, first ask if the information is in fact a record. See the definitions section for details on what is officially defined as a record.

In 1992 the Public Records and Forms Board (PRFB) clarified the definition of "public records." Public records do not include:

• Records and correspondence of any member of the legislature.

• Duplicate copies of materials the original copies of which are in the custody of the same state agency and which are maintained only for convenience or reference and for no other substantive purpose.

• Materials in the possession of a library or museum made or acquired solely for reference or exhibition purposes.

• Notices or invitations received by a state agency that were not solicited by the agency and that are not related to any official action taken, proposed or considered by the agency.

• Drafts, notes, preliminary computations and like material prepared for the originator's personal use or prepared by the originator in the name of a person for whom the originator is working.

• Routing slips and envelopes.

Your decision as to whether the information is a record or not should not be determined by the media or format. Records can be stored on a variety of media: paper, microforms, optical disks, floppy disks, hard disks, etc.

If you are uncertain as to whether something is a record, consider it a record until such time as its status can be determined in consultation with the university Archives and Records Management Program.  

More detailed information on determination of University records can be found in our QUICK FAQ "What is a Record?".

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How does one conduct an Information Resources Inventory?

Conducting an information resources inventory requires a commitment of time and resources. The department or unit administration must acknowledge the value of the inventory and its role in the management of information resources. This should be done in a formal notification to the employees of the department along with an announcement of those that will be responsible for the inventory.

1. Assign responsibility for coordinating and conducting the inventory. Who will make sure that it is carried out? Who will be responsible for gathering and reviewing the inventory data?
   

2. Develop a plan. If your department is a particularly large one, it may be advisable to target specific areas first. It is often a good idea to focus on one particular function or aspect of an office as a test area. After reviewing the initial results, changes can be made as necessary and then the process can be repeated for the next area.
   

3. Schedule appointments with those individuals that you will need to meet with to complete the inventory process. Avoid busy times within the department.
   

4. Compile the inventory data and review. It is strongly recommended that a representative group from the unit or department be involved in the review process. At minimum the group should include representatives from the department administration and information technology staff.
   

5. Use the inventory data to prepare records retention schedules as appropriate. See
   chapter 3 of this manual for information on preparing retention schedules.
   

6. Distribute the information to other entities as appropriate. Frequently, data gathered during an information resources inventory can be extremely beneficial in planning for information technology needs for the unit, identifying duplication of information resources, and developing or revising existing information systems.

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Where can I obtain assistance and further information about doing an information resources inventory?

The university Archives and Records Management Service (ARMS) will provide training to staff responsible for undertaking the inventory and will assist the department in the review of inventory data.

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Step By Step Guide to Completing the Inventory Form

NOTE: There are two versions of this form. For paper records (and other traditional kinds of records), use form UW-A4, described in part a below. For electronic information resources use form UW-A5, described below in part b. Hard copy forms are available from the University Archives office. 

• Dates: List the beginning and ending dates of the records series. If the series is still open (records are still being created), leave the ending date blank. Indicate whether or not the series is currently active.

• Arrangement: Check appropriate item or indicate other method of arrangement.

• Storage Media: Designate the medium/media in which the record series is stored.

• Volume: Indicate the volume of the record series being stored in active office area and in off-site storage. Indicate the annual accumulation rate for the series.

• Confidentiality: If you respond yes, you must provide a notation as to the Statute or Administrative Rule that makes the information confidential. Your office can not unilaterally declare something confidential.

  Does the series contain personally identifiable information? If so, an office and position title must be noted as a contact point for the statutory registry when a formal Records Schedule (RDA) is filed.

Section D: Location

Is this office the point of origin for this record series? does the official copy of it exist elsewhere? Is the series duplicated elsewhere within your department? at the college/dean level? another administrative unit on campus? To what extent is it duplicated? Additional response to these questions can be included in section F.

Section E: Retention

Some functions of the series may make it valuable for a longer time than others. How many years need the series be kept for the listed types of uses? Occasionally a term of months or weeks may be more appropriate than years. List any official standards for setting retention times.

Section F: Description of the Record Series

What information is contained in this series and what purpose does it serve? What Statues, Administrative Rule or Administrative Policy authorized its creation?

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Inventorying electronic information resources requires collecting some additional pieces of information. Archives and Records Management Inventory Form UW A-5 has been designed to assist you in inventorying such records.

See instructions for Form UW A-4 to complete Section A. Contact ARMS if help is needed to complete other sections of this form.

University of Wisconsin--Madison Records Management Manual. HTML Version created 5/96

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