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Section 3: Hard Copy File Management

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Visual Techniques

The principle of organizing files for retrieval also applies to hard copy filing systems.  Hard copy file management techniques include the use of file coding and folder labeling as primary retrieval aids. 

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File Coding

File coding is a shorthand identification of the major and minor group and folder number to identify where records are located and simplify routine filing and retrieval. File codes on folder labels and in File Plans should mean something to users and help identify the contents of the file.

For example, a folder label has 3.CON 2 entered in the upper left corner. This file code represents the second file folder in the minor group Contracts (CON), in major group number 3, which may be business or project records that include contracts as a minor group. The label may also contain the contractor's name, the contract number or other identifying information.

The following table lists acronyms used in file codes of minor groups found in many offices. Create other codes as needed.

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Minor Groups and Codes

 

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Code

Minor Group

Code

Minor Group

ACC

Accounting, Stock Accounts, etc.

LIC

Licenses

ADM

Administrative Operations, Administration (may include accounting, budget, etc.)

LIT

Litigation

AG

Attorney General’s Office

MAN

Manuals

AGR

Agreements

MAP

Maps and Charts

AUD

Audits

MAT

Material Files, Material Records

AUS

Austin Headquarters Correspondence, Reports, etc.

MGT

Management, Program Management, etc.

BRG

Bridge

MNT

Maintenance

BUD

Budget

PER

Personnel, Human Resources

CLM

Claims

PIO

Public Information, Public Relations

CON

Contracts, Contract Monitoring, etc.

PMT

Permits

COR

Correspondence

POL

Policies

CUR

Current Directives, Current Project, etc.

PRE

Preliminary Bids, Preliminary Plans, etc.

DD

Division Director

PRG

Program Files (or files related to ongoing functional programs, etc.)

DE

District Engineer

PRO

Project Files, Procedures

DIR

TxDOT Directives, Administrative Circulars, Administrative or District/Division Announcements, etc.

PUB

Publications, Purchase Orders

EQP

Equipment (use MAJ or MIN if needed)

REF

Reference

FIN

Financial

REG

Regulations

GEN

General Correspondence, General Reports, etc.

REQ

Requirements, Requisitions, Requests

INR

Internal Reviews, Internal Audits, Sunset

RES

Resident, Research

IPE

Investigation and Planning Expense

RPT

Reports

ISS

Issues

RRX

Railroad Crossing

LED

Ledgers

SAF

Safety

LEG

Legal, Legislative, Legislature

TOR

Tort Claims

LET

Letting Files, Letters

TRN

Transitory Files, Reading Files


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Organizing and Labeling File Folders and Guides

Each file folder holds a specific set of related records. There are many ways to arrange file folders within a major or minor group. Keep the following in mind when organizing files:

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  • Think about retrieving information rather than storing paper.
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  • Use specific titles for major groups, minor groups, and file folders, leaving no room for misinterpretation. Do not use “Miscellaneous” as a title; it is another word for “lost.”
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  • Arrange folders functionally and logically. The arrangement should relate directly to office functions and provide the most convenient access to the most active files.
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  • Use color to distinguish files that are purged routinely from files retained for a long time. Colored labels may identify a specific time, such as calendar or fiscal year. The less that retention periods vary among various folders, the easier it is to manage the files. White labels can identify files that are not routinely purged.
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  • Include reference to automated or non-standard records and files. Use file guides to tell users that automated or imaged files exist, where they are and how to access them.
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 Setting Up Files

Steps in organizing hard copy files include:

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Preparing File Guides 

Prepare a file guide (divider) for each major and minor group of file folders.

Major group guides should include the major group number and title, “1. ORGANIZATION AND MANAGEMENT,” for example minor group guides should include the appropriate major group number, minor group code, and minor group title. For a minor group of audit folders within the major group of organization and management, the guide label would consist of “1. AUD Audits.”

Major group guides should be distinguishable from minor group guides immediately. An easy way to do this is to use a second-position guide (center tab) for major groups and a first-or third-position guide (tab on the left or right) for minor groups.

NOTE: For electronic files, microfilm files or files located away from the file cabinets, prepare a guide that tells where to find the files. For example, if files are maintained electronically on a shared drive, a directory address, such as “SEE T:\Folder\Sub-folder name” may be useful.

When using color coded folder labels as a file management tool, use plain white guide labels to avoid having to prepare new file guides every year.

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Preparing Folder Labels and Color Coding

Use color-coded labels to distinguish folders maintained on a periodic (fiscal or calendar year) basis, and white for folders that are not routinely purged which remain in the files year after year.

The folder label describes where a folder belongs in the files and what is in it. Each label should include the file code, folder title or content description and, if needed, a date for the contents.

Although space on labels is limited, including additional information, such as identification of record copies and destruction date can be helpful in file management.

For extensive or complicated filing systems, labeling systems using large, easily visible letters, numbers and dates in varying color combinations and tab configurations are available from commercial vendors.

Bar code technology is also commercially available for large file systems with significant retrieval activity.

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Preparing File Drawer Labels

Use file drawer labels to identify the contents of each drawer. If room permits, list the titles and/or codes, dates, or other identifying information for beginning and ending major and minor groups in the drawer.

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Coding Records for Filing

Ease of retrieval and successful file management depends on accurate filing. Entering the file code on a document tells at a glance where it belongs in the files. The most effective method of coding is to enter the appropriate file code, consisting of the major group number, three-letter minor group acronym, and appropriate folder number in a prominent place, such as the upper right corner on each document as a routine office procedure when documents are created or received. This can be automated by including the file code in headers or footers on template documents related to functions or activities. It may not be feasible to code all existing files, but when a file is retrieved, it can be coded for accurate refiling.

Documents copied and filed in various locations need more than one code. Circle the code for the file folder where the copy of the document belongs.

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 Cross-References 

Avoid filing multiple copies of records. When a record appears to belong in more than one place, prepare a file guide pointing to the proper location of the record. This method reduces the chance of inadvertently retaining convenience copies after the official record has been destroyed.

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 Charge-Out Card

When a user removes a file folder from the files, the folder should be replaced with a charge-out record card containing the date of removal, a brief description of the folder removed (label information usually suffices), and the name and phone number of the user.

Charge-Out cards serve as both a placeholder and identification of the person who has removed a file from the principle residence (file room or box).  Routine reviews for files removed from centralized or controlled areas should be made to ensure those files marked on the charge-out forms are returned to their proper location as soon as possible.

Standard charge-out record cards are available from TxDOT office supply sources. It is a good idea to keep a few cards at the front of each file drawer. When a user returns a checked-out folder, the user's name can be marked out and the card re-used.  An example of a standard charge-out card follows:

Example of a Charge-Out Card. (click in image to see full-size image) Anchor: #SSQCNATSgrtop

Figure 9-3. Example of a Charge-Out Card.

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