The Smithsonian Institution Archives Records Management Team can assist staff with the management of active records within Smithsonian offices. The Team offers guidance for the proper organization and maintenance of files to facilitate more timely retrieval of records and to establish more routine schedules for the destruction of temporary records and the transfer of permanent records to the Archives. Contact the Records Management Team at (202) 633-5870 to discuss your records, schedule an office visit, or arrange an informational presentation.

Good Filing Practices | File Plans | Weeding Records

Checklist of Good Filing Practices

Does your filing system reflect the activities of your office and how they are conducted?

Is your filing system easy to understand and use?

Is there an up-to-date manual for filing procedures?

Do you have a "controlled vocabulary" for all file categories (or series) and all subject titles?

Do you have an index or listing of all folder titles?

Does your file plan also take into account your electronic records?

Does your file plan set rules to determine when to print a record and when to maintain it electronically?

Do subject categories and folder titles for your paper records match those for your electronic records when records in both media relate to the same subject or category?

Are all folders titled and clearly labeled?

Do folder titles include dates?

Are your records of common interest centralized?

Do all office staff know where central files are located and what should be filed?

Are records coordinated so that duplicate copies are not kept elsewhere?

Do you use "out cards" to keep track of borrowed files?

Are your file drawers uncrowded so that papers can be easily filed or removed?

Do you use color coding to provide physical division among file categories (or series), or fiscal years?

If using hanging folders, are papers kept in easily-removable, labeled folders within the hanging files?

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File Plans

A file plan is a written procedure for organizing files based upon a specific system (e.g., alphabetic, numeric, subject, functional, etc.). It provides structure to unorganized or inadequately arranged records for better control, maintenance, and access. A plan provides a broad perspective of unit activities and reflects what and how a unit conducts its business. At the same time, the file plan should address the unique needs of an office, and should be clear and consistent.

General Recommendations

Intellectual Control: Standardize Terminology

• Establish a policy of a "controlled vocabulary" for all file categories (or series) and all subject titles. Use the SI phone directory or a similar comprehensive source document to standardize facility and unit names.
• Assign a staff member with the responsibility of creating a "thesaurus" of file terminology. Once this is established, place the information in a Master File in electronic format for staff reference. The same staff member should be responsible for maintaining and updating the Master File, as necessary.
• Assign a staff member with the responsibility of creating and maintaining a "Location Index to File Subjects" in electronic format and place it in the Local Area Network (LAN). The index will be used to assist all staff in identifying the correct location of office files. The index should also be used when filing and retrieving records.

Intellectual Control: Standardize Filing System

• Routine administrative files should be filed by process, and thereafter, chronologically by fiscal or calendar year. For example, travel, personnel, and requisitions are to be filed in distinctive series.
• Avoid use of large A-Z filing systems.

Intellectual Control: Adopt Central Files

• Central files are files created and/or accumulated by several staff members or organizational units and are maintained in a central location so that they can be used and accessed by more than one person.
• The central files are the official set of records (record copy).
• Assign a staff member to be the file administrator, and he or she should create rules and procedures for filing.
• Rules and procedures should be widely distributed and accessible to all staff. They should also be in an electronic file, and placed on the LAN.
• Staff members should not amass unique files in their individual offices. They should file all unique documents into the central files.
• Use "OUT" cards when removing files from the central files. An "OUT" card will identify who has taken a file and when. Search and retrieval time will then be minimized and the chances of losing/misplacing files will be reduced.
• Not all central files need to be maintained in the same physical space, but individual series should be kept together.
• A well maintained central filing system will become a valuable and reliable source of the most complete set of records if all staff members routinely exercise good filing practices.

Physical Control: Storage Methods

• Use color coding to provide a physical division among file series for easier identification and classification (e.g., red folders for travel files, yellow files for personnel, etc.)
• Establish a policy of good files maintenance practices throughout the office. For example, reduce "bulky" files by using more folders, file alphabetically or chronologically, label the files consistently, etc.

Staff Responsibilities

• Assign one or more staff members in your office as file administrators. Include file management responsibilities in the appropriate annual performance plans for designated staff members. Such responsibilities include: establishing filing policies and procedures for central files; establishing and maintaining standard terminology for SI facilities, museums, bureaus, and offices; establishing and maintaining a location index to subject files; establishing and maintaining terminology in electronic file(s); and working with SIA to retire appropriate files.

Retire Files to the Smithsonian Institution Archives

• Assign one or more staff members with the responsibility of retiring files to SIA or to its Records Center. These staff may also be the file administrators. Have staff work closely with the Archives on implementing and refining the disposition schedule so that records may be regularly retired or destroyed according to the schedule.

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Weeding Records

When preparing records for transfer to the Archives, please discard the categories of materials listed below. The result is significant savings in storage space, and faster and more efficient retrieval of information for research purposes. Extensive weeding is necessary when the records contain large numbers of information or duplicate copies of documents. Transfer only those materials that are original to your department or that you play an active role in creating. Before transferring the records, please contact a Smithsonian Institution archivist at (202) 633-5870. The archivist will conduct an appraisal of the records to determine whether they should be permanently maintained in the archives, temporarily stored in its Records Center, or discarded immediately.

The records listed below will not be transferred to the Archives unless your office is the "office of record" (i.e., the originating office).

• Drafts: Archives should receive only the final version of a document. Transfer draft copies only when significant comments or annotations appear.
• Routine Correspondence: Including letters of transmittal or cover letters that merely forward an enclosure and add nothing to the content of the item transmitted; meeting announcements; address changes; invitations; acknowledgments; reservations; confirmations; travel itineraries; and routine requests for general information, such as brochures and catalogs.
• Memoranda: Only those memoranda sent by your department bearing on your programmatic responsibility should be transferred to the Archives. Discard those concerning routine matters, such as holidays, vacation schedules, etc. Retain those concerning policies, procedures, and collections.
• Routine Administrative Records: Including purchase orders, travel vouchers, requests for building services and maintenance, time sheets, applications for leave, training files, etc.
• Faxes: Copy all significant communications received on thermal fax paper to regular bond paper. Thermal copies will be virtually unreadable in a few months. Discard them.
• Research Material: Clippings; photocopies of published materials; and photocopies of archival materials collected as background, informational, or research material. Maintain research material until administrative or reference need no longer exists, or offer to registrarial staff.
• Object Photographs: Original and copies of images of objects in the museum collections; objects borrowed from other collections; and objects considered for use in exhibitions. Maintain object photographs with the collection or offer to registrarial staff.
• Miscellaneous: Multiple copies of documents or photographs; supply and vendor catalogs; envelopes (unless annotated); blank forms; advertisements and promotional materials; and obsolete equipment manuals and warranties.

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