Recordkeeping Manual - File Management
- What is File?
- What Type of File do I Use?
- When to Create a File
- How do I Title the File?
- What File Number do I give the File?
- What goes on the File?
- What Records do not need to go on the File?
- Official versus Unofficial Files
- Multiple Volume Files
- Duplicate Files
- Active, Semi-Active and Inactive Files
- Archiving Old Files
- Access and Security
- Disposal of Files
- Contacts
A file is a storage device that keeps documents of the same subject in date order. It allows for quick and easy retrieval of both files and documents. Files are kept in various locations within the university and are generally stored in filing cabinets, cupboards, file shelving or compactus units if there are a large number of files to be housed.
A file is made up of the physical cardboard file cover as well as the documents to be stored on that file. It also has the document fasteners (plastic clip) to keep the documents attached to the file. Each file also has a unique title and an accompanying unique number (the file reference) that is also unique to that file. See section 4 and 5 regarding titling and numbering of files.
2. What Type of File do I Use?
Although there is no specific restriction on the type of files used to store university records, it is highly recommended that lever arch or hard plastic A4 files are not used, these take up valuable storage space that in most cases is very limited. /p>
Manila files of a good quality should always be used, with a two hole easy clip system to ensure documents are safely attached to a file and cannot fall out, easy clips are also known as 3 piece clips. Manila files can be colour coded for easy identification, can have barcodes attached, file labels added and can be coloured themselves to denote area, unit, or even subject type files. These files also minimise space wastage as they only utilise the space taken up by the documents held within the file plus the thin cardboard cover.
The Records and Archives Office can provide advice on standards and provide examples of file covers, in general a file cover must not be any less than 280gsm thickness.
The Records and Archives Office uses white cardboard file covers that have the Curtin University of Technology Records and Archives Office printed on them, as can be seen from the file cover below (figure 9.1).
Figure 9.1 - Records and Archives Office File Cover
Areas within the university are not obliged to use the same cover as the Records and Archives Office. Each area can use files designed to best suit their needs as long as all their files are consistent.
The file movements tracking table located on the front of the file, keeps a record of who the file is currently booked out to. The tracking table records the following information:
- Name and department of who has borrowed the file
- Date borrowed
- Folio number to be looked at or file if they want to look at the file in general
- Action required, which is filled out by the person borrowing the file if they would like the file sent back to them at a specific date (known as a bring up) and;
- The initials and date of the borrower when they return the file.
The cover tracking system is optional, therefore may not be needed for your specific areas files, however it has provided helpful to determine the use of the file and currency of each file to determine how active a file is for assigning retention values to each file.
A new file should be created whenever there is a need to file a new subject and where a file does not already exist for that subject, student, staff member, client file, patient file etc. A single file must not be used for more than one subject at any time.
Files are to be created at the commencement of projects rather than at the end of a project to ensure that the information on a file is complete and accurate at all times.
A new file is to be created when (examples only):
- a document is of a new subject to any existing file subject
- the commencement of a new project
- a new volume is needed
- a file has to be split up as more than one subject is on a file
- a new staff member begins working at Curtin University
- a new student enrols to study at Curtin University
- a new patient file is required
- a new client file is required
If you are unsure as to whether a file should be created, it is better to create a file to ensure records are not misplaced or destroyed without approval.
The creation of a file will enable related documents to remain together on a file, providing the history of a subject based on all the documents in appropriate chronological order on the file.
All University records are to be placed on official files and are not to be placed on individual working files, university records are owned by the university and may be required to be used as evidence or for reference to other operational functions for the continuation of University business.
Local files may be created for records such as ongoing working drafts and duplicates, which are clearly marked as a copy. These files however should still be maintained to a standard that enables easy access and retrieval of the information and also access to them for appropriate disposal.
Files should be titled obviously at the creation of the file. Usually you create a file when you have need as no other file exists for the same subject. Staff should, before creating a file, ensure that a similar file does not already exist.
To assist in the file creation process is may be useful for areas to utilise a file creation form which is then reviewed by a designated file creator in the area. The form is used to capture all the details about the file and for the reviewer to ensure the file is titled correctly and is not a duplicate file.
File titling can become very individualised as many people will have a different view about a subject and therefore this can create duplicate files just with slightly different file names. In order to minimise this and to ensure a standard across the University a Keyword Thesaurus has been developed for use at the University.
The Thesaurus should be used to title a file at all times (with exception to staff personal files, student personal files, patient files and some client files) by giving each file a keyword and an activity descriptor, these two first parts of the file title are mandatory to ensure that the file and its contents can be assigned retention information, to determine how long we are required by law to keep that file before destruction.
The University Keyword Thesaurus has been developed with the Keyword AAA Thesaurus being the base document and has had functional university terms added to enable its use with common administrative function of the University. We note that the Thesaurus may not be complete for all areas and that there may be a need to add new terms not already covered in the thesaurus that are specific to the area and/or Division. This can be accommodated by developing a functional thesaurus for the specific Area and/or Division if needed. Pleas contact the Records and Archives Office for guidance in this process.
Unlike many other thesaurus tools in use in many other organisations there is only the first two elements that are mandatory, after the first two mandatory elements, users may add whatever free text (normal words) to define the contents of the file so long as they are not existing keywords or activities as defined in the thesaurus.
Refer to Part 10 Classification and Indexing for a full explanation on how to use the thesaurus to title files.
Training on how to use the University Thesaurus will soon be available, however if your area requires specific training on how to use the Keyword AAA Thesaurus please contact the Record and Archives Office.
5. What File Number do I Give the File?
File numbers are dependant on what the file is for, most files will simply be a sequential number, while other for staff, students and patient files will be directly related to their identification number.
File numbers are simply references to a file, they purely serve that purpose only therefore file numbers must be unique for each file and not allow duplication at all. To achieve that, it is recommended that areas develop a code or acronym for their records files for their area at a level that is deemed appropriate for the records being managed, i.e. Divisional, School, Department or Unit level. The Records and Archives Office is maintaining a file reference code database to ensure duplication does not occur, please contact the Records and Archives Office when you decide on a code, the Records and Archives Office will check to see if it is not already in use by another area, these codes can not be similar to another area. Examples of the codes may be (examples only):
- International Office - IO
- Information Services - IS
- Library and Information Services - LIS
- Facilities Management - FM
- Curtin Business School - CBS
Following the area code will simply be a sequential number and then a volume number.
E.g.
| File Number & Volume | Title |
| CBS/1/1 | Teaching & Learning - Course Delivery - (name of course) |
| CBS/2/1 | Course Management - Accreditation - (program name) |
| CBS/2/2 | Course Management - Accreditation - (program name) |
| CBS/3/1 | Financial Management - Budgeting - (area/program etc) |
Staff files are to use the staff members identification number as the file number. The staff identification number is for identification purposes so that each file is unique. Staff members may have the same name but by having a staff identification number on each file it eliminates any confusion.
Student files are to use the student identification number as the file number. Student identification numbers are unique to students and therefore eliminate duplication. Use of the student number also allows files to be easily located if in more than one location for a particular student as a request for a students file can simply be a request using the students identification number. It also allows, when archiving student files, to collate all files on a particular student (in the event there is more than one) into one complete file for storage and then eventual disposal or transfer.
The use of a students' name in whole or part is not sufficient file reference as there will be students with the same name resulting in duplicate files, therefore the names of students must not be used as a file reference.
In most cases all records as part of an employees' duties are official records and should be placed on file, however there are many different types of records and different importance of records created daily by staff. Many records have little to no value beyond the local area, while others will have ongoing value beyond the local unit, some examples of records that must be placed on file are those which;
- constitute formal communication between staff; or between staff and students. Often what appears to be an informal exchange may develop into a more serious matter requiring formal intervention. A "file note" which briefly records the principal matters discussed, the people involved, and the date and time of the exchange should be made and filed;
- constitute formal communication between a University entity and another internal or external entity
- approve or authorise actions or expenditure;
- signify changes in policy, procedure, record policy or procedural development;
- contain an instruction or advice which will constitute a precedent;
- involve negotiations on behalf of the University;
- impact upon other members of the University community individually or upon organisational entities within the University.
Please refer to Part 3 of this manual for more information about what University Records are.
7. What Records do not Need to go on File?
Records that are not required to go on file are usually records of little to no value to the university, are commonly personal of nature, advertising, or have no meaningful information that can be used as evidence. These types of records are known as ephemeral records.
The following are examples of ephemeral records, they include records that are;
- distributed to staff for information purposes only, eg newsletters, circulars, meetings advises, notices, duplicates of document extracts, invitations etc.
- drafts, with exception to Policy, Procedure and legal documents.
- created solely as part of preparation for other records, with exception to Policy, Procedure and legal documents.
- personal messages and announcements not related to official business.
Once it has been decided that a document should go on file then it is to be added to the appropriate file by sorting it in date order with the rest of the documents.
Staff should check the university disposal authority to determine if the record is ephemeral or not.
8. Official versus Unofficial Files
All University records as defined in Part 3 of this manual must be placed on official files, unofficial files must not be used at any time to hold any original or master copies of university records. Unofficial files may however be used for working files but again must only contain duplicates of the information on official files. Unofficial files may then be destroyed when reference ceases as they will only contain duplicates.
In some cases there will be files that become very large and unable to fit onto a manila type file. Where this is the case staff are directed to use volumes. Volumes are a set of files with the same title and file number except for the last number of the file, called a volume number. As a general rule once a file becomes about 1.5 inches thick it has reached its storage capacity and should be closed off. However if there is a need for further documents to go on this file then a second volume needs to be created.
The second volume, and any after that point, is simply a duplicate file cover and file number of the file that requires additional volume(s), the last number of the file number will be incremented by 1 to give it uniqueness.
E.g.
| RK/34/1 | Information Management - Compliance - State Records Act 2000 |
| RK/34/2 | Information Management - Compliance - State Records Act 2000 |
| RK/34/3 | Information Management - Compliance - State Records Act 2000 |
As can be seen form the above, all that changes is the last number, being the volume number, and the rest remains the same as if it is the same file.
Multiple volume files occur when the first volume of a particular file has too many documents for the file to handle. A second volume is created and the first one is then closed to prevent any additional information being added to it. A File Closed form should be attached to the first volume being closed, with direction to the next volume therefore providing this advice to any other users of the new volumes existence. Refer to Appendix 3 to see the form.
The Records and Archives Office uses yellow for their forms so they stand out from the rest of the documents on the file. Other areas around the University don't have to use yellow but they should use a colour that is significantly different to the rest of the documents on the file. Blue, pink, red etc may all be suitable colours for such a form.
As with creating a new file, a new file application form should be completed for the new volume, refer to Appendix 1 for an example form.
The File Closed form can also be used when a file becomes inactive and it is required to be placed into inactive storage pending destruction. When filling out this form instead of putting a reference to the new volume or file number you would indicate that the file is now 'inactive'. Refer to Appendix 2 to see the form.
If you have a recordkeeping system, database or other form of system to record details about files being open, closed, new volumes or anything else, then that system should also be updated with the changes that have been made. If you do not have a recordkeeping system and would like to have one installed until such time the university acquires a suitable Electronic Document Management System all areas are welcome to utilise a similar system to that of the Records and Archives at no cost for the system itself, however there are costs for the back end software (FileMaker Pro).
Duplicate files are those where there are two or more files that have the same subject but not necessarily title. Where duplicate files are identified, the files can be combined (merged) into one file of like documents. One of the files is given the appropriate file title, whether by keeping an existing one or by making modification to the existing title used. The duplicate file no longer in use should be destroyed and on the recordkeeping system a note should be added on the system to advise other users it was a duplicate file and the contents have been transferred to the other file, quoting of course the other files file reference.
As not all areas within the university will have a records system, the changes can be made in the system they use, whatever that may be. As already mentioned, a log book is one method that can be used. Or use a copy of ours.
11. Active, Semi-Active and Inactive Records
As a State organisation the University is required to retain records for certain lengths of time, these lengths of time are defined within approved Disposal Authorities (including General Disposal Authorities) for most (if not all) records created at the University.
A record goes through various stages after creation of its life cycle, these include; active life, semi active life and then inactive life before finally being transferred to State Archives or being destroyed.
Active records are those that are being worked on regularly as well as being referred to regularly, usually in regard to a subject matter that is currently being dealt with.
Semi-active records are those records that are no longer active and used regularly but are still referred to often enough to not warrant transfer to inactive storage. The Records and Archives Office only accepts records after two years of becoming inactive, this in most cases ensures the records are no longer active or even semi active.
Inactive records are those that rarely get referred to and are only retained due to requirements as set within the approved Disposal Authorities as defined by law. These records are transferred to the Records and Archives Office for central management and retrieval if and when required. The Records and Archives Office has two onsite and two offsite storage facilities to store the various records required to be retained. The records that are deemed State Archives are transferred to the State Archives five to ten years after receipt to the Records and Archives Office.
Refer to Part 11: University Archives, of the University Recordkeeping Manual for more information about inactive recordkeeping and archives.
Files that have become inactive may be transferred to the Records and Archives Office two years after they become inactive, this time limit is set to ensure records are not prematurely sent for storage when in fact they are still required on a regular basis. If you have insufficient storage space and you are sure that the records are not going to be used regularly you may request early storage in writing to the Records and Archives Office.
The storage of the files for the two year suggested period must be in suitable and appropriate locations to ensure damage and/or destruction cannot occur to the records at any time during this period.
12.1 How do I archive my records?
When preparing your records for transfer to inactive storage an assessment of the records must be conducted to ensure the records are not simply duplicates and are in fact the original records (or only records) for the matters within the files. We do not want to store multiple copies in storage.
Duplicate records are an exact copy of an original and contain no meaningful annotations that are not found on another original or copy of the records. Where annotations (notes) exist on the duplicate document and these are the only source of these annotations and the annotations have meaning to the document, then those duplicates are deemed as original records and must be retained. For further clarification pleas contact the Records and Archives Office.
Duplicate records, provided that the original of that record is known to exist in the originating/creating department/area and the duplicate contains no meaningful annotations, can be destroyed.
Once the above has been completed your records are ready to be placed into archive boxes. The Records and Archives Office has a variety of acid free archive boxes that we recommend you use and these boxes can be obtained by completing an Archive Box Purchase Form available from the Records and Archives website.
The Records and Archives Office has developed an online submission system that requires each box to be entered onto the system listing each individual item (file) contained within each box, this process minimises double handling and saves overall costs to departments and the Records and Archives Office. For access to this system please contact the Archives Officer (contact details below in the contacts section) who will arrange for training and accessibility.
For further information about the Online Archive Submission System you may wish to refer to the Online Archive Submission System Guide available at the Records and Archives Office website.
When packing boxes staff should ensure they do not over pack the box. Files should be placed in the box on their edges rather than on top of each other and you should be able to place your hand in the box without force, therefore leaving enough room for accessing or removing files if required for retrieval.
Please note the Records and Archives Office is happy to provide a full cataloguing service, full rates are available from the Records and Archives Office website.
Refer to Part 11: University Archives of the University Recordkeeping Manual for a full explanation of archiving old files.
All University records must not be accessible to unauthorised persons; this includes staff, students and the general public. At a minimum files are to be stored in lockable cupboards or within a lockable office to ensure that they are safely secured when unattended at any time.
Staff should not be able to simply access the file storage area and remove files without a method to track who is accessing the file and if the file has been taken from the file shelves. At minimum a file tracking book should be maintained registering the file movement, this would include which files have been removed from the file shelf, to whom the file has been sent to or who has taken the file and the date the file was removed/taken. On return of the file the entry can be marked as returned and the date indicating when it was returned.
Apart from tracking the movements of files, there may be some files that require additional security due to their sensitive nature. These files must be clearly marked as confidential and the names of those that have authorised access must be recorded somewhere on the file, this is usually performed by an authorised person, the records staff. These files should only be accessible via appropriate authorised staff and must be requested through these staff members to gain access, staff should not at any time be allowed to access these files without going through the authorised recordkeeping staff.
University records cover a variety of subjects and as a result there is no one retention period that covers all records which are required to be retained.
As a requirement under the Recordkeeping Plan, records may only be destroyed in accordance to the approved Disposal Authorities. This lists all known record types created/captured and defines the length of time those records are required to be retained before destruction commences.
These retention periods can start from, destroy immediately after reference ceases, to retain them permanently with many different year values in between, such as five, six, 35, 50 or even 100 years before the records can be destroyed.
To ensure records are not destroyed prematurely all records due for disposal are to be placed on a disposal list and that list must be approved by the Manager, Records and Archives (or authorised delegate). No disposal should be conducted until approval has been granted.
Once approval has been granted the records may then be destroyed, the method of disposal must ensure confidentiality of the records and render them unable to be read or reconstructed. This may involve shredding or pulping, the University Site Services staff can provide assistance in this area.
Refer to Part 12: Retention and Disposal for the processes of applying retention periods to records or files and disposal of records or files.
Refer to the approved Disposal Authorities for the approved disposal authority which is used to assign retention codes.
Refer to Disposal List Forms if records are required to be approved for disposal.
The Records and Archives Office can be contacted during business hours in the following ways
Telephone: 9266 7050
Facsimile: 9266 2255
Email: records@curtin.edu.au