Records Management Services

How to Set Up a Filing System

Summary

This section explains the benefits of an efficient filing system and gives several filing tips. It also outlines a subject filing system for university use. Six broad subject groups are included:

1. Departmental Office Records
2. School or Division Records
3. University-Wide Records
4. Records Pertaining to Other Institutions
5. Student Records
6. Personnel Records
   
   

Filing is the systematic arrangement and classification of the information contained in active records for later retrieval. Those responsible for this task represent an important link in the chain of information-handling. Without properly filed records, it is difficult and even impossible to make the decisions required for effective operation.

A well-designed filing system must:

• Simplify filing and offer quick and easy placement of retrieval of information.
• Assure integrity and continuity of recordkeeping. (Anyone must be able to retrieve the information they need at any time).
• Allow for easy identification of inactive records.
  
  

The following section outlines a university subject filing system. Of the three basic systems of arrangement - alphabetical, numerical, and subject - subject filing offers the most substantial advantages for effectively handling paperwork. It also helps in the eventual appraisal, scheduling, and transferring of records from your office to the UW-Eau Claire Records Center and Archives.

Multiple Levels of Subject Filing

Records Series

• Primary Category
• Secondary Category
• Further Subdivision
  
  

Subject Filing

Subject files group records according to subject or category, using alphabetic principles to a certain extent.

Subject files group records into broad organizational units called records series - a group of identical or related records that are normally used and filed as a unit because they have a common subject or function and that allow for evaluation as a unit for retention and disposition scheduling. A typical office's records can be divided into six broad groups or series:

1. Departmental or Unit Office Records
2. School or Division Records
3. University-Wide Records
4. Records Pertaining to Other Institutions
5. Student Records
6. Personnel Records
   
   

With this filing system, the records maintained in your office can be filed in only one of these six series. Please note that it is not necessary to create a records series if you traditionally do not receive or create that record. For instance, if your office does not keep student records, it is not necessary for you to begin doing so.

Each of the six record series can be subdivided into primary categories, for example, Course and Curriculum Records under Series One. Each primary category can be subdivided into sub- categories or secondary categories, for example, under Course and Curriculum Records, sub-categories might be Courses Offered or Courses Proposed. Even sub-categories can be further divided to produce more detailed refinements (see above).

The following section describes some suggested primary and secondary categories within each of the six series. Unless otherwise noted, file records in alphabetical order.

Series One: Departmental or Unit Office Records

In organizing and arranging the records in this first series it is important to distinguish clearly between records that pertain to the department and records that pertain to the department's school or division. For example, a department may have an executive committee, whose membership is from the department itself. Committees with the same name may also exist on the university level, and the department may contribute members to them. The first series, however, should contain only the records of committees that are exclusively departmental. The same is true for other categories within the first series.

1. Course and Curriculum Records (records pertaining to the planning, teaching, and evaluation of courses offered by the department)
   • Courses Offered
   • Courses Proposed
2. Departmental Committees (records, minutes, reports, and other materials pertaining to their work, by name of committee)
3. Equipment and Supplies (records, inventories, catalogs, and brochures, by product name)
4. Financial Records Budget (records pertaining to the formulation and disbursement of the office budget, including worksheets, printouts, account books, ledgers, computations)
   • Purchases (requisitions, purchase orders, and correspondence pertaining to expenditures for purchases)
   • Salaries
   • Travel and Expense Reports
5. Policy and Procedures, Forms (all office and routine procedures guides, handbooks, and forms)
6. Projects, Programs, and Proposals (records pertaining to special or on-going projects sponsored by the department, listed by name. Do not confuse with school/division or university projects.)
7. Space Needs (records related to space needs, building operation, and room assignments)
   
   

Series Two: School or Division Records

Note that many of the categories have the same title as the categories in Series One. These records will relate only to the school or division, not the department.

1. School Committees (listed by name, do not confuse with either departmental or university committees)
2. Departments (records affecting your department that relate to other departments within your school or division, listed by name)
3. Policy and Procedures (records relating to school or division policy and procedures listed by the subject of the policy or procedural statement)
4. Projects, Programs, and Proposals (records pertaining to special or on-going projects sponsored by the school or division, listed by name)
   
   

Series Three: University-Wide Records

The size and complexity of university-wide records varies with the responsibilities of each individual office. This series contains all records relating to units of the university other than your departmental office and its school or division. For example, the English Department would not create a School of Arts and Sciences division here because A & S would be the entire second record series.

1. Administration - examples:
   • Board of Regents
   • Chancellor
   • Vice Chancellor/Provost - Office of Academic Affairs
   • Assistant Chancellor - Office of Information and Technology Management
   • Assistant Chancellor - Office of Business and Student Services
2. Schools (materials held for reference purposes in your files) - examples:
   • School of Education
   • School of Education - Curriculum and Instruction
   • School of Education - Foundations and Library Science
   • School of Education - Field Experience
3. Committees
4. Organizations (records relating to campus organizations, listed by name)
5. Policy and Procedures
   
   

Series Four: Records Pertaining to Other Institutions

1. Educational Institutions - examples:
2. • Colleges & Universities (use the distinctive name of the institution, for example: "Michigan, University of", rather than "University of Michigan")
     • Public Schools (by name of school district and then name of individual school)
     • Private Schools (by name of school)
3. Hospitals
4. Libraries and Museums
5. Professional Organizations (correspondence, memoranda, brochures, reports, literature, and similar materials relating to professional or honorary societies, organizations, associations, or groups. Records within this series should be filed by organization name, each organization name being considered a primary category.)
6. Government - examples:
   • Federal Government
   • State of Wisconsin
   • Local Government
7. Business and Industry
   
   

Series Five: Student Records

Beth to add content here.

Series Six: Personnel Records

1. Faculty/Academic Staff [Unclassified]
   • Active Faculty/Academic Staff
   • Retired Faculty/Academic Staff
2. Civil Service [Classified]
   • Active Civil Service Employees
   • Retired Civil Service Employees
3. Student Help
   
   

Note: The conversion of an existing office file is never an easy job. While this manual can be used even if your files are not arranged according to this system, we recommend conversion. Informal consultations, for individuals and groups needing assistance, can be arranged.

Filing Tips

1. Before filing a piece of paper, ask yourself, "Will I need this in the future?" Don't keep a piece of paper just on the chance that you may need it "someday."
2. Don't always save every draft of a document. For most purposes the final version is sufficient.
3. Don't file multiple copies of the same document.
4. The originator normally keeps copies of reports and correspondence. Just because a document is sent to you doesn't obligate you to keep it indefinitely. If you need to see it again, ask the originator for another copy.
5. Don't file periodicals or newspaper clippings unless you refer to them frequently. Use the library.
6. If, for example, records are scheduled for destruction after three years, don't store them for five years. This is the same school of thought that leads one to move leftovers to the back of the refrigerator to turn green before throwing them out.
7. In general, records received from university offices should be filed under the name of the originating office.
8. Some records seem to belong under more than one series or category. To handle this, file the records in one category and place a cross-reference note in the other. It is important to be consistent in deciding where to file records. Once information is filed in a given series and category, it should always be filed there.
9. Some records do not seem to fit conveniently into any series or category. Remember that the categories listed are suggested categories only. If you need different categories create them and place them in the appropriate series.
10. Label and date all files. The proper format for tab titles: Ex: DEPARTMENTAL OFFICE RECORDS: Financial Records, Budget, 1971
11. Color coding the different series is a useful tool, especially for refiling folders.
12. Create a file guide with a description of your filing system and instructions for the user so new personnel can continue to use the filing system easily. This will also avoid the arbitrary creation of new file folders.
13. Create cross-listings to help locate items. Create a file database on your PC using your file-folder heading, cross-listing, and location notes.
14. Spell out acronyms and abbreviations.
15. Sort records prior to filing.
16. Use staples rather than paper clips in folders.
17. Discard envelopes if the return address is available on the document itself. Most phone messages, illegible notes, and routine acknowledgements can also be discarded.
18. Do not overstuff your file folders. If they are overstuffed, divide them into several folders with the same name and Roman numerals (ex: DEPARTMENTAL OFFICE RECORDS: Financial Records, Budget, 1971, I,...Budget , 1971, II). Your file headings may be too broad - being more specific may help. On the other hand, being too specific may result in one document per folder. Try to find a happy medium.
19. Do not overstuff your file drawers. This can make retrieval of files difficult, as well as creating a dangerous work environment.
20. Weed files regularly, using established retention schedules. You can send records scheduled for destruction to the Records Center for storage until their retention requirements expire and send records scheduled for permanent retention to the Archives.
21. Use "Out Markers" when removing folders for use. This makes refiling much easier and lets others in the office know that a file exists so another is not created, who has the file, and when it was checked out.
22. If you must keep your semi-active records somewhere other than your office, keep a complete inventory handy. Include retention dates to keep track of when these records will be eligible for destruction.
    
    

Seth Vircks, Records Management Office Associate
(715) 836-4126, virckssa@uwec.edu
or
Greg Kocken, University Archivist
(715) 836-3873, kockeng@uwec.edu

Records Management Services