Section 2: File Life-Cycle Management
Anchor: #i1036621File Location
The management and location of files is vital in controlling the life cycle of the documents across TxDOT. Where records are created, reviewed, and published, and how they are retained and disposed of in the ordinary course of business is important. An effective file management process drives compliance for maintaining files regardless of the media. The elements of an effective file management solution contain the following:
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- Where to store files at each stage of its life cycle. Anchor: #KPALFGDC
- What metadata is required for documents to aid in the organization, identification, location, and access to files. Anchor: #CMYPWHKD
- What retention policies need to be applied to files so that content can be audited, retained, protected, and disposed of properly.
File Naming and Organization
File and folder (physical and electronic) naming conventions are key to maintaining well-organized electronic directories and file cabinets. Naming records consistently, logically and in a predictable manner will distinguish similar records from one another.
Anchor: #i1036670Benefits of Consistent File & Folder Naming:
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- They are easily distinguished one from another. Anchor: #DVFUCXJB
- Their names are easier to browse and search. Anchor: #ALJBMKYP
- Retrieval is facilitated for all users (not just the file/folder creator).
Electronic File Naming
Electronic file naming should support both retrieval and records life-cycle management for electronic files that are retained on a shared drive. While document and folder names may suggest content, use of dates or numbers in the names can help to graphically organize them on the display.
Anchor: #i1036714Date-Based File Organization
Organize and name date-managed files in the following manner:
Event-Based File Organization
Employ the same folder structure as the date-based arrangement above, but create separate folders to contain active and completed files, as in the following example:
As the status of records changes from active to completed, move the records from the Active minor group to the appropriate folder in the Completed CY or FY20## Minor Group.
Since records are typically managed on a periodic basis, organization of completed event-based records by year of completion is ordinarily sufficient to accomplish efficient retention and destruction of records. Folder structures can be organized for a closer adherence to minimum retention requirements for sensitive records by using month folders, or a similar finer level of detail in a date-based minor group.
Anchor: #i1036793File Naming
Appropriate file naming is essential to allow accurate identification of content for retrieval. In most functions, using a combination of a date and standard title representing the content or function is sufficient. Document naming conventions can be established as routine procedures for many documents related to operations. Some examples include the following:
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- MM-DD-YY Approval
Memo (or E-mail or Letter or Form)
NOTE: It may be helpful for retrieval to include the type of document format, such as e-mail or form, for correspondence.
Anchor: #XMMXFMRR - MM-DD-YY Status Report (File suffix (.doc, .xls) will identify type of document) Anchor: #OWVDGPOI
- MM-DD-YY (Recipient Name) E-mail Anchor: #EUTYUWAM
- MM-DD-YY Form Title-Person Name or another Identifier
Use of the date allows for an easy sequential organization of files related to a process. Numerical suffixes can identify consecutive content related to a document or subject. Managers or supervisors can establish naming conventions appropriate to the needs of their operations and train employees to use them.
CAUTION: Excessively long folder or document names may result in file corruption that prevents document actions, such as moving or copying document files.
Anchor: #i1036855E-mail Management
E-mail messages created or received by means of state resources, including employees and contractors, are considered official records. Inadequately managed or uncontrolled e-mail represents a significant legal vulnerability in most organizations. While users may view the medium as a communications utility, much like the telephone, the courts may consider e-mail messages as documentary evidence. Responsibility for appropriate management of e-mail is shared by managers, supervisors, and users.
Anchor: #i1036870Basic Guidelines
Several basic measures can reduce unnecessary duplication of records, including the following:
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- Identifying and characterizing e-mail subject related to records retention. Anchor: #CAJBDHTL
- Establishing and enforcing procedures to save e-mail to the appropriate file folder immediately upon completion of the transaction. Anchor: #DONVBNCA
- Identify and retain e-mail according to the retention requirements.