Overall File Management

NEW - The Records Management Team is now the Archives and Information Management Team.

When should records be weeded? Records can be weeded at any time. In fact, the more often they are weeded, the easier it is to do. Weeding involves removing records with short-term value from the permanent records. The weeded records can generally be discarded (or shredded if they contain sensitive information) unless they must be kept for a certain period of time for legal purposes. Records disposition schedules often identify certain types of logistical or administrative files that should be weeded from the permanent records prior to transfer to the archives. See Weeding Records for other types of documents or files that can generally be weeded. Weeding may help reduce the size of the files and is crucial to keeping email below the maximum size.

Should a file plan be created? Most individuals do not need to create a file plan for their own records. File plans are most useful for central files, for individuals who maintain large quantities of records, or for entire units. A file plan is a tool that helps staff determine where to file documents or folders and where to find them later. A simple file plan may contain a list of records series, how files within that series are arranged, and where that records series is located. The file plan may also include the disposition information for that series, a list of subcategories in that series, or a list of every folder within that series. A copy of the file plan should be kept with the central files and should also be accessible to all staff in paper or electronic format.

What should a records management manual contain? A records management manual is an expansion of a file plan. In addition to the file plan, it should include the controlled vocabulary or a reference to another document containing the controlled vocabulary; the responsibilities of staff in general for creating, filing, or accessing files as well as the responsibilities of specific staff for overseeing the central files, maintaining the controlled vocabulary, updating the file plan and manual, discarding records, and transferring records to the archives; and information about the archives, including contact information for the Archives and Information Management Team liaison assigned to the unit and the Reference Team as well as links to the website and records disposition schedule. The records management manual can be its own document or a section of a staff handbook or procedural manual for the unit.

What responsibilities need to be assigned? All staff should be assigned the responsibility of managing their own paper and electronic files, whether that means that they are responsible for maintaining their files themselves or properly filing into the central files. One or more staff members should be designated as a "file administrator," responsible for managing all or a specific portion of the central files. One of more staff members, probably a file administrator, should also be assigned the responsibility of maintaining the file plan, controlled vocabulary, and records management manual. Although the archives accepts records transfers from any staff member, regardless of position, the unit should make an internal decision as to who may transfer or discard files. In some units, each staff member is responsible for the disposition of their own files and the file administrator is responsible for the disposition of the central files. Other units prefer to have more control over the process and assign a gatekeeper who performs this responsibility for all of the unit's records, no matter who was responsible for maintaining them. These responsibilities should be listed in the records management manual as well as included in performance plans.

Continue to Setting up Paper Files | Continue to Setting up Electronic Files