University Secretary
Managing Paper Records
For guidance on managing paper records, either download the factsheet or select one of the options below.
1. Filing systems
Files need to be organised in a uniform, logical way so that documents can be retrieved easily and speedily. A filing structure or classification scheme should be devised (based on an analysis of a department's functions and activities) to ensure records are grouped appropriately and consistently.
Personal files maintained by individual members of staff should ideally only contain ?work in progress?, reference or confidential material. As far as possible records that other members of the department are likely to need should be held within a centralised filing system. Maintaining departmental files will reduce duplication, allow information to be more easily located if someone is away, and ensure greater consistency in the retention and disposal of information.
2. Opening files
Papers should be filed as soon as possible to prevent them from being misplaced, and within the files they should be arranged logically (e.g. by date, by invoice number). It is important to ensure that only records of a similar nature are grouped together: if the contents of files are too diverse, it will be difficult not only to locate material, but also to assign appropriate retention periods.
In some cases, it may be advisable to divide the file into two sections - one section containing papers with long-term value, the other comprising papers with only short-term value. The redundant material can then be easily removed at the appropriate time without the need to undertake time-consuming weeding.
3. Closing files
Files should be closed at regular intervals not only to keep them at a manageable size, but also to ensure that the content of 'open' files only relates to current or recent work. Suitable rules for closing files are:
- when the academic/financial year has ended;
- when a project has come to an end;
- when a file covers a period of more than 5 years;
- when nothing has been added for 2 years.
When a file is closed, no further papers must be added. The disposal date should be recorded on the cover or spine, and it should be separated from the department's active records.
4. Labelling files
The cover or spine of a file should record some or all of the following information:
| Reference |
Reference numbers can be useful, if the department has a large number of files covering a wide range of categories. Allocating a unique code to each file should allow it to be readily identified and retrieved. |
|---|---|
| Title |
The title should be a brief, accurate, meaningful description of the contents, and intelligible to both current and future members of staff. Terms such as ?general? and ?miscellaneous? are not helpful and should be avoided.There should be rules about naming files, as well as access to a departmental thesaurus, to ensure consistent terminology is used; for the names of projects, activities, committees and organisations etc. If any abbreviations or acronyms are used, an explanatory list should be maintained to avoid the meaning of these being forgotten over time. |
| Department |
Record the name of the department/section that has created the file in order to avoid any confusion about the ownership of the information. |
| Security Classification |
If the file contains confidential information (e.g. sensitive personal data), indicate this on the cover/spine, and ensure that it is kept in a secure location when not in use. |
| Covering Dates |
Record the covering dates of the contents of the file (e.g. Aug 2005-July 2006). |
| Disposal Date |
Once the file has been closed, the disposal (or review) date should be noted (e.g. destroy on 1st August 2009 or review on 1st August 2011). |
5. Numbering
Numbering each page in a file (from the bottom of the file to the top) is the most effective way of ensuring that the contents are kept in order and are complete. It is particularly advisable to number the content of confidential files in order to guard against papers being removed.
6. Tracking
In departments where several people may need to consult the same documents, it can be helpful to track the movement of files. The simplest way to do this is to use a form to record the name of the person retrieving the file, as well as its reference, title and the date of retrieval. The form can then be inserted in place of the file, so that if other members of staff require access, they will know where to find it.
7. Storage
If files contain confidential information, they must be kept securely when not in use, and access should only be granted to authorised staff. All files, whatever their subject matter, need to be protected from potential hazards, such as fire and flood. The lowest shelves should always be positioned several centimetres above floor level to guard against water damage in the event of a flood, and the temperature and humidity should be maintained at stable levels to prevent the development of mould.
Documents that will be required for several years but rarely consulted, can be stored off-site at FileStore in order to free office space for current material. For further details about this facility, please contact Russ Reeves, Facilities Manager, Campus Environment.