Records Management - File creation and File Management

File creation and file management provides for the systematic control of the University's records and this is reflected in their actual physical arrangement within the schools and other business areas. The use of a reference system is also often involved.

In most cases the way in which staff work, results naturally in the creation of records. It is this records creation that constitutes the evidential output of University business and which we routinely store in files. File creation results directly therefore from the transaction of University business.

In the paper environment, file management usually comes into play when the records move out from the workstation and to a more centralized school/sectional location where more than one member of staff can access them - such records are usually ordered within a standardized filing system, designed and tailored to meet the reference requirements of the school or section.

Standardization can be achieved by employing one of a number of filing schemes that adequately capture the functional activity of the school or section's business.

This guidance refers principally to paper records, but the principles employed are equally applicable to electronic records.

Contents
1. Definition of a file
2. Why we need a file creation and management procedure
3. New Files
4. Assessing old files
5. Destruction of records
6. Preparation of files for transfer
1. Definition of a file
  • A file is essentially a storage place for information. Information that deals with a specific business subject, process or item of business.

  • A file can be physically stored in: a cardboard folder, a lever arch file, a ring binder, a springclip file, a box file, a video tape, an audio tape, a CDROM, a floppy disk, or within an electronic folder on your PC.

  • When deciding upon the informational value of a file, its format is irrelevant – it is the content that matters

  • A collection of records sharing a common subject or theme is known as a records series and these will often be stored together in one file. e.g. purchase orders, course descriptors etc. When we use the term 'record series' therefore, we mean just that - a group of related records that we file together, use together and, for retention purposes, evaluate together.

2. Why we need a file creation and management procedure

Achieving consistency in file creation and file management is necessary for the following reasons:

  • Compliance with the Data Protection Act and the Freedom of Information Act.

  • Better control of records in offices and quicker access to information.

  • Efficient use of office space.

  • Efficient retrieval from the University Records Store.
3. New Files

Every new file should be registered and maintained in an ordered and consistent manner and minimally comprise the following:

  • Each file needs to have a unique title so that it can be easily identified. Always make sure that the file title refers to the business that generated the records contained within it and never use the terms 'miscellaneous' or 'general' as file titles - they make no sense and will not help anyone in searching for information.


  • Always ensure that the file title, the opening date, the closing date and any file reference are all clearly displayed on the file cover

  • Always keep an electronic list of all the files you create so that you can locate them easily at any time. Listing will also save you time if there is a need to transfer the records to the Records Store. Lists of files are best generated within the context of a records register.

  • It is good practice to create two concurrent and related files, (or divisions withion the same file) one to hold transactional information, e.g. actions, policy decisions, legal agreements, signed notes of understanding etc and the other for informational material, drafts, duplicates and background information. This type of maintenance (known as major and minor divisions) makes important information easier to find and helps ensure that weeding and records disposal becomes simpler and quicker. I.e. transactional records will be subject to retention schedules or designated as archives; drafts, duplicates and background information generally will not.

  • E-mails: if an e-mail contains important information that needs action, or to which you will need to refer to later, then save it in the relevant hard copy file. If it is not actionable, or is for information only, delete it as soon as its use to you is exhausted and in any event within six months.

  • All files should be held in appropriate accommodation. Confidential files and personal data must be in maintained in lockable filing cabinets. All files should be locked away or otherwise made secure every night.

  • Never allow files to get so large that they become physically unwieldy. Once a file is full, create a continuation file and number the files accordingly (e.g. File title - File 1 - date range, File title - File 2 - date range etc). Again, creating a new file for on-going business every year is another useful way to arrange the information.

  • When a file is closed, ensure that all documents that need to be kept are in fact in the file – i.e. remember to print to paper any relevant electronic documents or transactions and file them. In the absence of an integrated electronic records management system, this is the only way to ensure that the paper file is complete and that all relevant information is in one place.

  • If your office is undertaking an examination of its files e.g. with a view to placing them all in new folders or reclassifying etc, it is a very good opportunity to weed the files in order to remove drafts, duplicates and background information

  • With paper files the importance of weeding cannot be over emphasized. Do not keep that which does not need to be kept.
4. Assessing old files

As new or continuation files are created, it is useful to assess older files as follows:

  • Administrative use: if you are still using a file frequently then it should be kept in your current filing system, irrespective of how far back in time the material reaches.

  • If a project with which the file deals has been completed, or if you have not referred to it for 2 years, then it is no longer current and should either be destroyed or transferred to the records store in line with retention requirements. If unsure, consult with the Records Manager.

  • Older files often contain a great deal of rubbish. If a file is to be transferred to the records store they should be weeded to remove the drafts and duplicates (i.e. generally rubbish). Whole consignments of records deposits may well be returned to the depositor if this is not done.

  • Many files contain (or sometimes even consist of) copies of informational material that either originated from another University office or came from outside of the University sector altogether. All such material needs to be destroyed as soon as reference ceases. It should never be transferred to the records store.
5. Destruction of records
  • If you are at all unsure as to whether or not records should be destroyed, consult with the Records Manager.

  • Once destruction is authorized, check to see if the files contain personal data or confidential material.

  • Always destroy confidential records in accordance with established University procedures.

  • Keeping a record of destroyed records is good practice. For records that have been transferred to the Records Store this will happen as a matter of process. But it is good practice to adopt within your office too - being able to demonstrate that a file has been destroyed can save you a good deal of wasted time, in looking for something that simply is not there.
6. Preparation of files for transfer

With paper files, if they are not designated for destruction immediately upon closure, they should be transferred to the University Records Store to sit out their retention period. It is good practice to transfer your records at regular intervals, e.g. at quiet periods during the academic year. For full guidance on service procedures refer to A Guide to the Records Management Service