Filing plan

A filing plan is the regulation of the systematic order of all written material (the files ) of an administration, a company or another organization. The aim of the filing plan is the clear, comprehensible and economic organization of the documents. The filing plan is part of the registry order (RegO). However, the file plan and the registry order can also exist separately from one another.

If a filing plan is only valid for one organizational unit of an authority, it is referred to as a partial filing plan . If the filing plan applies to the entire authority, one speaks of the overall filing plan . The single file plan is used in several authorities.

File plans in German authorities

In Germany, according to Section 11 (2 ) of the Freedom of Information Act (IFG), the file plans of federal authorities must be generally accessible.

The file plans of the German federal authorities are mostly in:

Main groups or supergroups (z. B. S for federal and state taxes, P for personnel. H for household)
Groups (e.g. S 0 Tax Code 1977; Tax Advisory Law)
Middle groups (e.g. S 01 Introductory Regulations; Tax Law)
Subgroups (e.g. S 010 scope)

divided.

The resulting file numbers usually consist of the parent group and the file number (e.g. S 0100 area of application § 1 AO). The last number of the file number is sometimes referred to as the serial number . If the middle group consists of several parts, these are referred to as the 1st, 2nd, ... derivative .

A files

Files of general importance, for example to regulate fundamental issues, are referred to as general files, or A files for short. These are usually kept separately from the B files.

B files

Files that deal with the regulation of personal matters or individual cases are referred to as special files, or B files for short. The B files, like the A files, are managed in accordance with the rules of the applicable rules of procedure.

Things to put away

Documents that should not be kept are marked with the note “put away” or “WL” and stored loosely until they are destroyed. No file numbers are given for things that are purely to be put away.

Registry

Files with a reference number are generally to be kept in one place. The registry (or also files) has to keep the files in file folders sorted by file number. If more than one registry is involved in the administration of files for a file number in an authority, the file number can be expanded to include the registry designation (e.g. I A 1 - S 0100 = registry of Section I A).

Further subdivision

File numbers can be subdivided further, if the clarity demands it. For example, files on personnel matters relating to training for the intermediate non-technical service P 3142 can be further subdivided using the additions S for tax administration, Z for customs administration, etc.

Consecutive number / year

The files of a year are numbered consecutively. In some cases, the numbers are supplemented by the short indication of the year. Each file number is numbered separately.

Job title of the editor

In order to be able to assign each file to the responsible clerk, his job title can be noted in the file number according to the business distribution plan .

Structure of a complete file number

Example: IA 1 - H 1118 D - 17/05 - A 12

IA 1 = registry or file that assigned the file number

H 11 = preparation of the budget

H 1118 = credit funds; Loan; Subsidies; Bonds

D = further subdivision, here loan

17/05 = file number 17 from year 05 (the numbers are assigned consecutively for each file number)

In the case of fines, this would then be BL-A 17/05 (BL = list of fines)

in criminal cases analogous to StrL-A 17/05 (StrL = criminal list)

A 12 = job title of the responsible clerk within the authority

Double file number

If a file concerns two different file numbers, a double file number can be assigned (e.g. H 1234 / O 4321). In the interests of economy and clarity, double file numbers should generally be avoided and should only be given in exceptional cases.

Change of the file number

If the file number of a file is changed, for example if a report of violations becomes a fine file, this must be noted in the registry under the old file number so that the context of the filing is guaranteed.

Example of a typical course of business

a request from a citizen on a matter is received by the authority
the agency's post office organizes the incoming mail based on its instructions and forwards it
the responsible department head receives the inboxes and forwards the request to the person responsible for these cases
the clerk looks for the appropriate file number for the process in the file plan and enters the letter in the registry to assign the complete file number
the registry assigns the file number and notes this in its books, after which it returns the letter to the clerk with the file number noted on it
all notes and all correspondence in this case will be provided with this file number and stored in the file under this file number.

Municipal filing plans

In municipalities (municipalities, cities and districts) the filing plan is often based on the decimal system. Well-known models are the factual file plans from 0-9 or the file plan of the communal community center for administrative management (KGSt), which is based on the communal task structure.

Examples of 0-9 plans:

0 General administration

05 Personnel matters

059.1 Individual personnel files

059.11 Individual personnel files of civil servants (see partial files)

Example for KGSt:

5 Social affairs, youth, health

52 sport

52.2 Sports funding

52.21 School sports, sports courses

Overview for Germany:

Baden-Württemberg: 0-9 plan

Bavaria: 0-9 plan (master plan and detailed file plan)

Brandenburg: No recommendation from the municipal umbrella organizations (0-9 plans in use, KGSt)

Hessen: 0-9 plan

Lower Saxony: 0-9 plan

NRW: 0-9 plan (partly KGSt plans still in use)

Mecklenburg-Western Pomerania: 0-9 plan

Rhineland-Palatinate: 0-9 plan or, since 2006, product-oriented file plan from 0-7

Saarland: No recommendation from the municipal umbrella organizations (0-9 plans in use, KGSt)

Saxony: 0-9 plan

Saxony-Anhalt: No recommendation from the municipal umbrella organizations (0-9 plans from Saxony, Lower Saxony or Thuringia, KGSt)

Thuringia: 0-9 plan

Schleswig-Holstein: 0-9 plan

The file plans can be obtained from the respective municipal umbrella organizations. Today, the file plans are usually delivered with software for editing and printing.

City states use their own file plans (Hamburg: 0-9 plan, Bremen: KGSt, Berlin: KGSt and others)

The freedom of information laws of the respective federal states often result in a publication obligation for the municipal filing plans.

Historical file plans

Different file plans are used for old holdings in archives, which today only have a historical meaning, for example:

J. Külby: The Badische community register order for the communities not falling under the city code. With explanations, file elimination plan and dictionary for category management. Emmerling, Heidelberg 1906.

File plan for the municipal administrations in Baden. On behalf of the Baden Ministry of the Interior in Freiburg i. Br. Edit. and ed. by P. Theurer. Theuer, Müllheim (Baden) 1950.