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Establishing a Functional Files Classification System
|The following information was prepared after careful analysis of the records maintained by academic and administrative offices of the University for which approved schedules have been developed or are in the process of being developed.
Not every office will have all or even a large part of the identified records series, and individual offices may have other records not listed here. Administrative office records usually will reflect the office's service or management function. Academic departmental office records will reflect the office's educational function. The files classification system described here, with additions or deletions for the individual office, was developed as a basic model for University offices; we strongly recommend its implementation.
Four Major Files Classifications for Univeristy Records
Records for the typical University academic or administrative office can be divided into four major groups as follows:
Departmental Office Records
Maintain records which relate to departmental activities and functions in a section of the files separate from the records for the University as a whole. This category also includes records pertaining to the operation of the office.
Arrange the University records according to the latest organizational chart of the institution. Essentially, these are all of the University records for which the department is not directly responsible. Interaction between the department and all-university offices or groups can often be filed with the all-university office or group in question when subject matter does not specifically impact departmental functions.
This major grouping would include governmental agency records arranged under local, state and federal headings as needed; business and industry records pertaining to other institutions of higher education (out-of-state or private), public service institutions, such as hospitals, and libraries and museums that perform educational functions.
Professional Associations & Organizations Records
The fourth major grouping is for records relating to professional or honorary societies, organizations or groups. File by organization name in alphabetical order.
Departmental Office Records
Files in the following examples are numbered according to hierarchal headings. For instance, in the designation 1-3-7, the number 1 denotes the primary departmental heading; 3 relates to administration, which is the third group under the department heading, while the 7 pertains to the seventh group of files under the administration heading.
Financial and budgetary material may be arranged according to the sequence of its creation. Budgetary planning and proposals are used to create a budget allotment schedule, which is followed by budget status reports. Purchases and expenditures, travel and training expenditures, accounts, and staff and student leave/time and other payroll related materials should follow. Financial committees may work more easily under the departmental or all-university committees headings. Financial policies may be placed in one of three ways. They may be placed with financial materials; they may be put with departmental or all-university policies and procedures; or, in a variation of these two, may be filed in a financial grouping of departmental or all-university policies and procedures. The choice should be reflected throughout the filing arrangement.
Personnel records pertain to conditions of employment including hiring and recruitment, evaluations, merit and other awards. They may serve as a back-up to payroll records concerning payroll appointment or change.
1-3 Department Administration
These records are primarily related to the internal operation of the department or office and the documentation of internal policy. Major headings are:
1-3-1 Chrono File
1-4 Office Management
These include housekeeping and other materials necessary to maintain the office, such as appointment books, communications, equipment and materials, records and forms management, office hours, travel arrangements off-campus, etc.
1-5 Special Activities & Projects
This category includes internal operating records which have not been established as programs and which may occur only once, infrequently, or irregularly. Special research projects conducted by the department, workshops, speeches and writings, surveys and questionnaires, open houses, dedications and dinners are some of the possible records.
1-6 Departmental Programs
Records created or received by an office in the conduct of activities/functions for which it is responsible. These records represent the work the department was set up to perform and generally represent the external extension of the department, i.e., grade and registration records, student academic records in the Registrar's Office; course and curriculum records in academic offices; accounts receivable and payable in Accounting Services; time cards and other payroll records in the Payroll Services Office.
Actions are a type of program that involve a set of legal guidelines, procedures, and judgments. Discipline, grievances, and appeals cases are examples.
1-8 Sub-Units and Associated Offices
These are the control records pertaining to units which report to or are associated with the divisional or departmental office.
2-1 Administration (All-University)
2-1-3 Provost/Vice President Academic Affairs
2-1-4 Vice Provost Information & Telecommunication Services
2-3 Organization & Functions (All-University) [Note: this section is for documentation received by an office that is part of university-wide distribution; it does not include records created by the office for these purposes]
2-4 Vice President for University Relations
2-5 Vice President Business and Financial Affairs
2-6 Vice President for Enrollment and Student Services
3-2 Higher Education
3-3 Business & Industry
3-4 Public Service Institutions
3-5 Professional Associations & Organizations