Using The Filing Scheme To File Records
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Audience and purpose
- This document has been prepared as part of the Policy and Planning (PP) Records Management
Project and is aimed primarily at all colleagues working within Policy and
Planning. However, it is hoped that the
procedures will also be of use to colleagues working in other University units.
- The procedures are intended to be a quick reference guide to deciding where
to file a particular record or set of records. The procedures are
supplemented with a list of frequently asked questions that provide further
guidance on specific issues.
Overview
- This document sets out how Policy and Planning (PP) colleagues should
decide where to file their records using the PP filing scheme.
- Figure 1 gives an overview of the procedures for deciding where to file a
record. These procedures are described in greater detail in the remainder of
this document.
Figure 1: Deciding where to file a record
Deciding where to file
- The PP filing scheme is a functional filing scheme. This means that it
categorises records according to the business function or activity they support,
rather than the subject matter of the record. Functions are the things that the
University does to achieve its goals. Activities are the things that the
University does to fulfil the functions. For example two of the main functions
of the University are teaching and research. PP supports these functions by
helping to develop policies and procedures. In a functional filing scheme, the
records created around these activities are filed together.
- To decide where a record should be filed, identify the function or
activity that produced it. Ask yourself “what activity was I working on when I
created or received the record?”. If you are filing for someone else, read the
item and decide which function is being carried out, if you are unsure ask the
person for whom you are filing.
- The PP filing scheme lists most of the functions and activities of PP.
Browse through the filing scheme to see if you can identify the activity that
produced the record. There are 4 levels to the filing scheme. The level 1
headings give broad functions, such as ‘Legal Affairs’. The level 2 and 3
headings refine the broad categories to more specific activities, such as
‘Claims’ and ‘Claims by the University’. Folders containing the records appear
at level 4, and relate to even more specific activities, such as a particular
legal claim by the University. Folders only appear at level 4. Records must only
be filed at level 4.
- Each level 1-4 title has a supplementary description that describes in
more detail the types of activities that are categorised below it, or the types
of records that should be filed beneath it. These supplementary descriptions are
known as ‘scope notes’. The scope notes will help you file your record on the
correct file.
- As you browse through the filing scheme, work your way down the hierarchy,
see figure 1.
- Start by looking through all of the level 1 headings to identify the broad
function that produced your record. Read the scope notes for the level 1
headings. Does your record fall within the scope of a particular level 1
heading? If so, browse the level 2 headings and scope notes directly beneath it.
Does your record fall within the scope of any of the level 2 headings? If so,
browse the level 3 headings and scope notes directly beneath it. Does your
record fall within the scope of any of the level 3 headings? If so, browse the
level 4 folder titles and scope notes directly beneath it. Does your record fall
within the scope of any of the level 4 folders? If so, check the retention
period for the folder. Is the folder’s retention period suitable for the item
you wish to file? If so, you have found the folder to file your record in. If
the retention period for the item you wish to file is very different from that
of the rest of the folder, you should consider either using another folder to
file your record, or opening a new folder with a different retention period.
- If the answer is ‘no’ at any point, go back a step by moving up a level
and try a different heading. If you cannot find an appropriate folder to file
your record in, you may need a new heading to be created. If so, contact the
Central Records Registry who will discuss your requirements with you.
Author: Anne Thompson
Version 7, November 2005
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