File Plan Computer Services
Introduction 1. GENERAL POLICY AND GOALS...3 2. GENERAL FEATURES...4 3. SUBJECT LAYOUT...4 4. IMPLEMENTATION AND MAINTENANCE...7
1. GENERAL POLICY AND GOALS The Computer Services File Plan is the standard of record-keeping practices in Computer Services. The File Plan has the following goals: To provide a systematic framework for the classification of all records in their active, semi-active and inactive stages. To assist staff in the orderly filing and retrieval of records. To ensure that records are retained and destroyed or preserved in accordance with legal and fiscal requirements, archival value, and operational needs as guided by the UFS File Retention Document (See Annexure 1). To reduce the volume of records in the offices by providing guidelines on the retention and destruction of records. To distinguish between official records and convenience copies or duplicates. To have a standardised electronic filing system. This edition of the File Plan provides a classification scheme and retention/disposition guidelines for administrative records only.
2. GENERAL FEATURES Records are classified by subject. Each main subject group (e.g. Executive Management, Buildings, EE Plan, Vendors, Finance, and Human Resources) divides records into primary subjects. Primary subjects are further divided into secondary subjects. Further divisions by tertiary subjects or file codes may be added if required. Divisions of Computer Services can add tertiary subjects and create file codes. They can recommend changes to primary and secondaries to Management. In some cases, secondaries can be combined or created. Divisions may add additional cross references to the index and body of the File Plan. Retention periods and final disposition of records are indicated at the secondary level for most records. 3. SUBJECT LAYOUT The File Plan arranges file subjects in a logical, hierarchical manner, from the general to the specific, i.e. from main subject groups to specific file codes. Each main subject group is comprised of a number of primary subjects. These in turn are divided into secondary and possibly tertiary subjects. At the most specific level, file codes identify individual files. The following layout illustrates these relationships:
Secondary Primary Tertiary Admin Letters Minutes Proposals Standard Documents & Procedures Articles Gartner Educause Computer Services Help Desk Internet Networking Qwa Qwa Securities Service Desk Students Vista Faculties The Humanities Law Natural and Agricultural Sciences Economic and Management Sciences Health Sciences Theology Departments Kovsie Support Services Academic Student Services Strategic Communication UFS - Marketing Provisioning Financial Bedryf Budget 2005 2006 Claims Investigations General Black Berry Books Calendar Diary Photos Graphics Logos Human Resources Communication EE Plan Job Descriptions Interviews Staff Training ICT Legal ECT Act
IT Directors Top Management Projcect Reports Software Suppliers Facilities Business Processes Policies Strategies Stellenbosch Johannesburg CITTE WITS North West Prof Niel UB Mentors Document Management Annual Review Downloads GroupWise Sony K7000 Di Data META Netviewer Ventex Technical Apprentice Mobius Scanning For legal, fiscal or archival purposes, only one set of records is required. This set is considered to be the official records of Computer Services. Other divisions may choose to keep additional copies of records for operational purposes or convenience, but these records do not need to be maintained in accordance with the File Plan. Rather, unofficial records can be destroyed once they are no longer needed by the division holding them. Distinguishing between official and unofficial records is important because it ensures that only one set of official records is being managed and maintained as opposed to several sets.
4. IMPLEMENTATION AND MAINTENANCE Adoption of the File Plan is not mandatory. However, the retention periods and final dispositions of the records is laid out in the UFS File Retention Document (See Annexure 1) Before implementing the File Plan, it is essential to have the support of senior management and other staff. The successful implementation and maintenance of a file plan requires the support and co-operation of everyone in Computer Services. Once an office agrees as a group to implement the File Plan, an implementation date must be selected. From this day-forward date the File Plan will be utilised. Records managed by the old file classification system (where one exists) should not be converted to the File Plan. Rather, the old system should be maintained concurrently with the new File Plan until the records in the old system can be either destroyed, sent to offsite storage or to the Archives. Procedures should also be developed to ensure that there is centralized control of the File Plan. Only designated people should be authorized to create new files, create new tertiary s, amend the index, etc. Some resources and time will need to be dedicated to implementing the File Plan. Labels will need to be printed and new folders will need to be set up. The File Plan itself should be downloaded from the Internet and saved as a word-processing document. This word-processing document can then be annotated as needed and amended where appropriate. Records in the old filing system should also be examined to determine what can be shredded, stored elsewhere, forwarded to the Archives or destroyed. This should create enough physical space to accommodate the new files. Time and resources dedicated to these tasks now will save greater amounts of time and resources in the future.
Each division in Computer Services should also consider how they will manage their operational records once the File Plan is in place. Divisions may need to develop a file plan that will apply to records generated via their primary functions. One of the many benefits of the File Plan is that it provides a uniform structure for the filling of documents. When files and documents are shared, uniform filing mechanisms makes it easier to identify and retrieve required information.
Annexure 1 APPROVED AT THE COUNCIL MEETING OF 30 NOVEMBER 1998 POLICY DOCUMENT REGARDING THE PRESERVATION AND DESTRUCTION OF DOCUMENTS OF THE UNIVERSITY OF THE ORANGE FREE STATE 1. INTRODUCTION It sometimes happens that departments, divisions and bureaus have a lack of space for the filing of documents and that records are therefore destroyed. There are, however, legal stipulations that must be complied with regarding the destruction of documents. This policy was compiled for the University of the Orange Free State from the conditions of the South African Institute of Chartered Accountants, the prescriptions of the treasury of the Civil Service and policy regulations of other universities. This policy is supplementary to the already existing policy in File 10.1.1 and serves as a guideline. Records not mentioned herein, must be dealt with according to a corresponding guideline. 2. CLASSIFICATION OF RECORDS For the purpose of this policy, the term records includes all books, registers, papers, documentary evidence and other forms of documents that are usually found in an office. It is important that a clear distinction should be made between those documents that must be preserved and those that may be destroyed. By clearly classifying records that must be preserved as such, much trouble will be saved. Correspondence for example, can be classified under four categories: General correspondence once it has served its purpose, it must be preserved for a period of three years, after which it may be destroyed. Correspondence pertaining to accounting some of this may form part of documentation supporting certain transactions in accounting records. If this is the
case, it will probably have to be preserved for a period of five years, but must be in line with the under mentioned. Correspondence dealing with matters in agreements will probably have to be preserved for the duration of the contract (agreement) plus five years after its expiry. Correspondence of a continuous nature and importance will probably never be destroyed. 3. METHODS OF PRESERVING DOCUMENTS As a result of the change in the methods of processing information, records are now preserved in different ways, for example on microfilm, etc. It is important that the following should be kept in mind: Microfilm: a) From a legal point of view, the general rule in South African law is that it must be possible to provide evidence of the contents of records in the best available manner normally by providing the original document, which will serve as primary evidence. b) Secondary evidence will be such as provides evidence that other better evidence exists or at least existed. This will be accepted as confirmation of the original evidence in cases where original documents were destroyed or where it can be proven that, after thorough search, the original document could not be found. Secondary evidence can only be used where it can be proved or duly declared that the primary evidence is not available. The secondary evidence will then become the primary evidence. c) Certain documents, for example, title deeds, licenses, documents tendered as payment, receipts and invoices will normally not be acceptable in microfilm format. d) Original documents may not be destroyed in cases where lawsuits are in progress or a possibility of legal action exists.
e) Original documents must be preserved until after the audit for the period has been completed. It is therefore important that the auditors should be informed if the policy is preserved on microfilm. Computer-processed records: Under certain circumstances, a computer printout that complies with the stipulations of the Computer Evidence Act of 1983 (Now the ECT Act, 2005) can also qualify as an accounting record and therefore it will be necessary to also preserve it in accordance with the guidelines below. In cases where a printout represents the general ledger, it will have to be preserved for.
3. PRESERVATION OF RECORDS: The various financial documents must be preserved for the following periods before they may be destroyed: General accounting: General ledger Other evidences, such as railage / railway charges 5 years Bank deposit books and slips 5 years Bank commissions 5 years Bank reconciliations 5 years Bank statements 5 years Tax assessments, etc. 5 years Foreign exchange payments 6 years Dividends and interest lists 12 years Invoice books Annual financial statements Annual financial statements working documents 5 years Auxiliary books Journal evidence Journal evidence supporting schedules of accounting records Journal Cash book evidence 5 years Cash books Petty cash evidence 5 years Petty cash books Consolidation schedules Receipts and receipt books 5 years Schedules supporting accounting records Cheques 7 years Purchases: Purchases and fixed assets Until asset is sold/scrapped Purchases journals Order forms 5 years Proof of receipt of goods 5 years Requisition books 5 years
Creditors: Debit notes 7 years Credit notes 7 years Creditor invoices and statements 5 years Creditors ledger Creditors reconciliations 5 years Cheques 7 years Debtors: Debtors journals Debtors ledger Debtors statements 5 years Invoice books Sales invoices 5 years VAT records 5 years Salaries: Payroll 5 years Pay slips 5 years Salaries and wages registers 5 years Fixed assets: Purchases of fixed assets Until asset is sold/scrapped Fixed assets register Stock: Stock registers Provisioning documents 3 years Agreements and contracts: Other written agreements/contracts (after expiry date) 5 years Lease and lease agreements (after expiry date) 5 years Contracts with agents, clients, suppliers 5 years License agreements (after expiry date) 5 years Agreements of historical importance Permanently Debt depends on the type of debt and the Prescription Act (No. 68 of 1969) 6/15/30 years Indemnity and guarantees (after expiry date) 5 years
Audit: Audit enquiries and responses 5 years Personnel records: The different personnel files must be filed for the following periods before they may be destroyed: Deceased persons 1 year after death Rationalised personnel 10 years Ordinary resignations temporary - full-time personnel members 5 years Normal resignations temporary full-time personnel members 5 years Ordinary resignations permanent personnel members 10 years Files of deans and higher (for historical reasons) Permanently Files of personnel members who performed exceptionally well after UFS service Permanently Accidents book and records 3 years Unsuccessful applicants for jobs 2 years after application Personnel members who retired 1 year after death Personnel members who sustained an occupational injury 1 year after death Leave records Place in personnel file The above-mentioned are the minimum guidelines laid down.
Pension records: Actuarial assessment report Contributions records 5 years Investment records 5 years Life, group and spouse insurance, etc. (after final termination date) 5 years Minutes of members meetings Permanently Minutes of trustees Permanently Pension fund records Pension fund rules Permanently Records of erstwhile pensioners (after discontinuation of benefit) 5 years Student records: The student files must be filed for the following periods before they may be destroyed: Students who are no longer registered students Students who applied but were not registered Tuition fees accounts - Examination results 5 years after last registration 3 years after date of application 5 years Filed permanently Maintenance: Job requests Job assignments 4 years 4 years