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.
1-1 Financial
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.
1-2 Personnel
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
1-3-2 Organization & Functions
1-3-3 Agreements & Contracts
1-3-4 Planning & Proposals
1-3-5 Councils, Committees, & Commissions
1-3-6 Policies & Procedures
1-3-7 Reports
1-3-8 Articles & Newspaper Clippings
1-3-9 Reference Materials (Non-record)
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.
1-7 Actions
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.
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