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DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
1
Folders and Files - Guidance 1.0 Folder Structure / Fileplan A fileplan is a hierarchical structure of folders on your computer / shared drive that enables you to organise your files (data and documents) efficiently. The purpose of the file plan is:
to enable you identify your files (data and documents) consistently, particularly where a number of researchers are working together on a project
to find and retrieve files quickly
to help with the retention of files (easily identifying groups of files that need to be kept OR destroyed)
The design principle of a file plan is based on ‘business’ functions and activities within those functions. For a research project the function is easily identified, i.e. research. The folders would therefore relate to research/project activities and sub-activities e.g. Project Management (an activity) and Finance (a sub-activity under Project Management relating to its financial management). A simplified file plan for a research project might look like this:
Dissemination o Presentations o Publications o Publicity
EthicsGovernance
InterviewStudy [an e.g. of one of the separate research activities within the project] o Administration o Data o DataAnalysis o Outputs o Tools
LiteratureReview
Methodology
ProjectDevelopment
ProjectManagement o Administration o Finance o FunderCommunication o Meetings
AdvisoryPanel Team
o Personnel o Planning o Reporting
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
2
An example of a more detailed fileplan developed during the DATUM in Action project is given below. Design Principles
Folders relate to research/project activities and sub-activities e.g. ProjectManagement (activity) and Finance (a sub-activity relating to its financial management)
Folders ProjectDevelopment and ProjectManagement (Level1) relate to the whole of the research project and should contain files which concern cross-project activities/matters. Each work package/project phase has its own (Level 1) folder (e.g. WorkPackage[name])
Folders have mostly been developed to 3 levels; the exception is the ProjectManagement of specific work packages (WP); more can be added by the team as required.
Folder names contain no spaces, use upper and lower case to distinguish multiple words. Names are meaningful whilst being as short as possible (e.g. Personnel rather than PersonnelManagement or HR)
Folder names are reversed where it is helpful for their (alphabetical) ordering (e.g. ResearchLiteratureReview & Research[named activity] not [named activity]Research and LiteratureReviewResearch)
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
3
Explanation of Folders and Sub-Folders
Folder Sub-Folder Sub-Folder Sub-
Folder
Content
Level 1 Level 2 Level 3
tbd=to be developed if
required
Level 4 Files
ProjectDevelopment Files relating to the bidding
process e.g. call documents;
draft and final proposal; costings;
signed letters of support
ProjectManagement Files relating to the management
of the entire project. Normally
created by the PI and any
WorkPackage leaders or staff
with PI delegated responsibilities
Administration tbd Files relating to e.g. templates;
passwords; RDM
Agreements
(OR sub-folder under
Administration)
Agreements with partners re
data, IPR etc
Dissemination tbd (e.g. Publicity ≺
website; individual
publications & presentations)
naming convention options
for individual
publications/presentations:
EventNameYYYY
E.g. internal & external news
items, publicity, PR etc;
design/structure of website;
content for website;
presentations & publications
including drafts and final version;
list of publications with links to
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
4
JournalNameYYYY
PaperTopicNameYYYY
YYYYEventName
published e-outputs
Finance tbd
naming convention options
for individual visits/travel:
ResearcherNameYYYY
VisitOrganisationYYYY
VisitPlaceYYYY
YYYYResearcherName
YYYYVisitOrganisation
Files relating to budget control;
agreed expenditure;
meeting/conference fees; travel
requests; expense claims. (Note;
likely to be convenience copies;
originals with School/Finance
Dept/Research Dept)
FunderCommunication tbd (e.g. Funding;
correspondence; reporting)
Files relating to: (1) funding (offer
letter, conditions, requirements
etc); (2) correspondence during
the project; (3) reporting to the
funder
Meetings tbd (e.g. Team meetings;
Advisory Panel meetings)
Project team meetings; Advisory
Panel meetings, etc.; e.g.
agendas; minutes; meeting
papers/presentations
Personnel tbd (by role/name) Files relating to
appointment/secondment of staff;
staff contact details; roles &
responsibilities
Planning Files relating to project level
planning e.g. project plan &
timescales; WP aims/objectives;
overall methodology; monitoring
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
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plans
Reporting Internal project reports; progress
reports etc.
WorkPackage[name/numb
er]
Files relating to the specific
WorkPackage
Dissemination
(section under each Work
Package with shortcuts from
ProjectManagement>Disseminati
on OR everything in
ProjectManagement>Disseminati
on)
(As in
ProjectManagement>Disseminati
on)
EthicsGovernance Files relating to internal and
external approval processes –
use Research sub-folders for
consent forms for research
activities
ProjectManagement
Administration tbd Files relating to e.g. WP
document templates; passwords;
master project information sheet;
consent form template
Finance
(section under each Work
Package with shortcuts from
ProjectManagement>Financ
e OR everything in
ProjectManagement>Financ
Files relating to WP level incl.
budget control; agreed
expenditure; travel requests;
expense claims (Note; likely to
be convenience copies; originals
with School/Finance Dept/RBS)
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
6
e)
Meetings WP level meetings with project
staff &/or partners e.g. agendas;
minutes
Planning Files relating to WP planning e.g.
WP plan & timescales;
methodology; research activities
(to match Research sub-folders);
Reporting
(section under each Work
Package with shortcuts from
ProjectManagement>Reporti
ng OR everything in
ProjectManagement>Reporti
ng)
Files relating to internal reports
by WP Leaders, WP staff
ResearchLiteratureReview Literature sources and review
incl. search strategy & log;
Endnote database; pdf
documents; draft reviews
Research[name of activity]
(e.g. ResearchInterviews)
Files relating to this research
activity in the WP
Administration correspondence with
participants; participant codes
and key; signed consent forms (if
in e-form)
Data tbd –
separate
raw &
Data collected; raw &
anonymised
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
7
anonymise
d
DataAnalysis Analysed data
LiteratureReview
(section under each
Research Activity OR
ResearchLiteratureReview
as one Research Activity)
Literature sources and review
incl. search strategy & log;
Endnote database; pdf
documents; draft reviews
Outputs Project outputs (not published)
e.g. working documents based
on analysis
Tools Consent form template (tweaked
for this activity); data collection
instruments (interview schedule,
blank questionnaire etc);
protocols (anonymisation etc.)
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
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2.0 Folder / File Names The purpose of establishing agreed rules for folder/file naming is:
to work efficiently
to ensure that individual project files can be easily accessed by all members of a research team throughout the duration of the research
to ensure that individuals are referring to and working on the correct document versions, i.e. version control
to manage the files beyond the duration of the research in order to deliver on future research value
The discussion below on file naming conventions refers to file names, but most of these conventions also apply to folder names.
File Naming Conventions The file name comprises the following components: not all of them are necessary in all circumstances: 1. Simplicity Use a simple title - short but meaningful - which accurately describes the file contents, e.g.
Interview 01 recording.wav Interview 01 transcript.doc
Microsoft operating systems only allow a maximum of 256 characters (including spaces and slashes), which includes all the folder names in the complete folder path from the very top to the file extension. 1.1 Avoid special characters Avoid special characters which will not be recognised by the computer, or have special meanings, e.g.
: \ / [ ] $, and so on 1.2 Avoid spaces Often spaces are used in file names to separate the individual words. However, this can cause problems, e.g. sometimes these spaces will be filled by ‘20%’ when migrated or emailed to new systems making the title harder to read, e.g.
Interview 01 transcript.doc becomes
Interview20%0120%transcript.doc To delimit the separate words you could use an underscore or capital letters, e.g.
Visit_report_template.doc VisitReportTemplate.doc
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
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1.3 Don’t repeat the folder name It is not necessary to repeat information from within the folder structure, e.g.
Under the literature review folder you may keep a copy of your Endnote library. The file name for this will be:
LiteratureReview\EndnoteLibrary.enl not
LiteratureReview\LiteratureReviewEndnoteLibrary.enl 1.4 Appropriate word order The computer system orders files in alphabetical order by file name. So order the separate words / elements within a file name in the most appropriate way to find and retrieve the file for your purposes, e.g.
This order will keep all the different stages for a given interview together: Interview01Recording.wav Interview01Transcript.doc Interview01TranscriptAnonymised.doc This order will keep the different processes together, with the individual interviews separated under each process: RecordingInterview01.wav RecordingInterview02.wav RecordingInterview03.wav TranscriptInterview01.doc TranscriptAnonymisedInterview01.doc
1.5 Personal names If you are using a personal name within the file name, put the last (family) name before the first (individual) names, e.g.
AnnualReportBrownJohn.doc You might want to use initials within a file name, e.g. if a number of people send back comments on a document, e.g.
JournalArticleCommentsJB.doc JournalArticleCommentsJS.doc JournalArticleCommentsSC.doc
1.6 Numbers If you are using a number in a file name always give it as the largest number of digits you will require, e.g. 01-99, 001-999. This ensures that the names will file in the correct numeric order, e.g.
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
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Interview01 Interview02 Interview12 Interview23
Not Interview1 Interview12 Interview2 Interview23
(Dates are treated differently: see below) 1.7 File formats/extensions The format of the file / file extension is usually automatically added to the file when creating/updating. When downloading files from email, the Web etc. check that the right format / extension is applied. 1.8 Dates You might want to include a year (e.g. for the yearly progress reports for a 3 year project) or a date (e.g. for an event) in the filename. Use four digit years (YYYY), two digit months (MM) and two digit days (DD), and order them year, month day, e.g.
YYYY YYYYMM YYYYMMDD
ProgressReport2009.doc ProgressReport2010.doc ProgressReport2011.doc
EUMeeting20090712.ppt EUMeeting20110816.ppt
1.9 Codes You can use codes / abbreviations within the file name if this would shorten very long names, force a particular order or provide other benefits. However, agree what these codes/abbreviations will be, and keep a list. E.g. if you are carrying out a number of interviews by different researchers then a coded file name can act as an audit trail of this data collection.
File name IP02R0120110205.doc File name components I P02 R01 20110205
I = interview (type of data) P[n] = participant ID - participant 02 R[n] = researcher ID – researcher 01 Date of interview in form YYYYMMDD – 20110205,
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
11
Version Control All files undergo different versions. If you are working on a document over a short amount of time, e.g. producing the transcript from an audio recording of an interview, then you would not bother to keep track of the different working versions. However if you are developing a more complex document, particularly where a number of people are working on it, then you would need to keep track of different versions. A simple way to manage different versions of files is to add the version name / number into the filename at the end. You can use ‘draft’ and ‘final’ if there are only a few versions of a file, and only one person writes the draft / final, and others just comment on the documents, e.g.
ProgressReport2009Draft.doc ProgressReport2009DraftCommentsJL.doc ProgressReport2009DraftCommentsSC.doc ProgressReport2009Final.doc
To provide more detailed version control, use numbers:
running numbers (v1, v2, v3 etc.) - each new version, no matter what changes are made, is given the next number in the sequence
major/minor version numbers system A - if something is a ‘draft’ policy document that will be subject to a formal agreement then it is common to use the running sub-numbers (v0.1, v.0.2 etc.) up until the point when the document is signed off at which point it becomes a completed agreed document with a whole number, (v1, v.2)
major/minor version numbers system B (v1.0, v1.1, v1.2, v2.0, v3.0 etc.) - the first number is changed when the file is significantly altered, the second number is changed when only minor amendments are made. What is a major or a minor alteration is a matter of individual judgement.
Actions Running numbers system
Major/minor numbers system A
Major/minor numbers system B
Create initial draft v1 v0.1 v1.0
Changes to draft v2, v3 etc. v0.2, v0.3 etc. v1.1, v1.2, etc
Consultation draft v4 v1.0 v2.0
Final version v5 v2.0 v3.0
Minor amendments to final version, e.g. departmental name change, correction of spelling, updating URL
v6, v7 etc v2.1, v2.2 v3.1, v3.2 etc
If a final version is agreed, e.g. of a journal article submitted for publication, then the version number can be removed and replaced with the word ‘final’, e.g.
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
12
AnyJournalArticlev8.7.doc
becomes AnyJournalArticleFinal.doc
You will need to decide if you want to keep earlier versions of documents after the final one has been produced. Reasons for keeping them:
maintaining the audit trail so you can return to the original (particularly important for data which has undergone a number of processes)
as a source of words / ideas for future documents NB: It would be normal to delete drafts but then to keep all document versions as they evolve throughout the duration of the project.
Related Document Content Within the document itself it is advisable to include some of the file naming conventions within a header or footer, e.g. the file title, version number, file date and author. This acts as an additional audit and enables any paper copies to be tracked back to the file source.
Standard Operating Procedures There are a number of choices that can be made in which conventions to use when creating file names. A project could decide on a particular set of conventions, then this guidance could be turned into a standard operating procedure.
3.0 Northumbria University’s Records Management Service Northumbria University provides a records management service. Guidance documents are available on the University’s website at http://www.northumbria.ac.uk/vc/leservteam/recman/remang/ Guide to electronic file naming Guide to organising shared drives Guide to versioning Further information is available from Duncan James, Records and Information Manager, http://www.northumbria.ac.uk/vc/leservteam/
4.0 Further References BSI (2005) BSI 8723:2 Structured vocabularies for information retrieval guide. BSI. JISC Digital Media (2008) Choosing a file name. JISC. http://www.jiscdigitalmedia.ac.uk/crossmedia/advice/choosing-a-file-name NCDCR (2008) Best practices for file-naming. NCDR. http://www.ncdcr.gov/Portals/26/PDF/guidelines/filenaming.pdf
DATUM in Action - Supporting researchers to plan and manage their research data. http://www.northumbria.ac.uk/datum Folders and files - Guidance
© Copyright holder: Northumbria University School of Computing, Engineering & Information Sciences, 2014 Freely available under a Creative Commons Attribution-NonCommercial-ShareAlike 2.0 UK: England & Wales License
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Thompson, A. (2007) Electronic file naming conventions, Edinburgh University. http://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rules.htm Thompson, A. (2006) Version control. Edinburgh University. http://www.ed.ac.uk/schools-departments/records-management-section/records-management/staff-guidance/electronic-records/version-control Wikipedia List of file formats http://en.wikipedia.org/wiki/List_of_file_formats and http://en.wikipedia.org/wiki/List_of_file_formats_(alphabetical)