BPM
12/07/2005
CHAPTER 9
MAINTENANCE OF BUREAU FILES
FILING PROCEDURES
9.01The standardized system for filing and maintaining licensee files at all District Enforcement Offices and the REU shall be as follows:
A.All file folders kept in the open-shelf filing system, with the single exception of numeric files, shall be prepared and filed alphabetically by licensee name.
B.The Substitute Card Out Report shall be utilized by Bureau personnel when checking out investigations, files, etc.
C.File folders for licensee names beginning with numbers shall be filed numerically in a separate section of the open-shelf filing system, at the end of the alphabetic section of the licensee files.
D.Corporations and clubs (other than specialized clubs such as: American Legions, Fraternal Order of Eagles, etc.) containing a surname as a part of the licensee name shall be filed by that surname.
E.File folders for specialized club or specialized catering club licensees shall be tagged and filed using the first three letters of the name. For example: American Legion licensee file folders shall be tagged with the color-coded alpha letters "AME"; Fraternal Order of Owls licensee file folders shall be tagged with the color-coded alpha letters "FRA"; Benevolent Protective Order of Elks licensee file folders shall be tagged with the coded alpha letters "BEN," etc.
F.If there is doubt as to the correct surname, as in foreign names, an attempt shall be made to determine how the individual signs their name. The file folders shall be prepared accordingly, and cross-referenced by the additional portions of the name. For example: the file folder for the name "Tjin Lim Yauw" shall be prepared and filed using the three color-coded alpha letters "TJI" and cross-referenced under "LIM" and "YAU."
G.Licensee names that include a prefix shall be filed among, and not in front of, the first letter of the surname. For example: the file folder for the licensee name "McDonald" shall be tagged with the color-coded alpha letters "MCD," and the file folder for the licensee name "MacDonald" shall be tagged with the color-coded alpha letters "MAC." Both shall be filed alphabetically within the open-shelf filing system. They shall not be filed before the alpha letter "M."
H.Licensee names that include a first name and initial or initials, etc., shall be tagged with the color-coded alpha letters representing the first three letters of the surname, and filed accordingly. For example, licensee names reading "Doe, John," "John Doe" and "J. Doe," shall all have their file folders tagged with the color-coded alpha letters "DOE" and filed accordingly.
I.Portions of licensee names separated by spaces or punctuation marks (e.g., hyphen, dash, period, apostrophe, etc.) shall be tagged and filed ignoring same.
J.File folders for licensee names beginning with numbers shall be tagged with color-coded numbers and not alpha letters, e.g., the file folder for the licensee name "10 Corporation" shall be tagged with the two color coded numbers "10" and not with the alpha letters "TEN"; "210 Corporation" shall be tagged with the three color coded numbers "210," and not with the alpha letters "TWO." Corporation names containing four numbers or more, such as: 1075 Corporation shall be tagged with the three color-coded numbers "107" and not with the alpha letters "TEN."
K.Miscellaneous file folders shall be of the expandable type and are to be labeled: "AA" (for alpha AA through AI); "AJ" (for alpha AJ through AR); "AS" (for alpha AS through AZ); "BA," "BJ," "BS" and so on, and are to be placed behind their respective letter.
L.Half guides shall be used to identify specific sections of the licensee files and specialized clubs. Half guides shall be used to identify the "Miscellaneous" sections of file folders, which are to be located immediately after each alpha letter.
M.Full guides shall be used to identify all alpha sections of the files within the open-shelf filing system.
N.If a licensee file consists of more than one volume, the volume number shall be placed on the top portion of the white main identification tag on the identification end tab of the file folder. This number may be either handwritten, or affixed via color-coded sticker. All licensing information shall be maintained in the most current volume.
O.A small alpha tag identifying the municipality or city district shall be placed in the third position of the identification end tab, immediately above the white main identification tag, whenever there are multiple licensees with the same name. This color-coded alpha tag shall represent the first alpha letter of the municipality or city district where the licensee is located.
P.When preparing the white main identification tags, the address always retains the top position, and the licensee name the bottom position. File folders shall not be prepared using a "Trade" or "Known As" name.
9.02Appendage 9-A shall be used as a guide regarding purging of information contained in each file. Retention period shall be defined as "current year + X years" (e.g., x = 5/10 years, etc.).
ACTIVE FILES
9.03All newly-created files shall be tagged with the year the file first became active. This tag shall occupy the first position on the identification end tab of the file folder. In addition to the tagging of all new files, existing files shall be tagged as they are handled. Exception: The REU shall retag the file upon receipt of the first investigative report with the current year, if necessary.
9.04District Enforcement Office and REU files shall be separated into two categories: licensing information and enforcement information.
A.Licensing information shall be filed chronologically, rear to front, on the left side of the folder, secured by a two-prong fastener.
B.Enforcement investigations resulting in no violations and enforcement investigations resulting in a Notice of Violation shall be considered completed and shall be filed chronologically, front to rear, by incident number, on the right side of the folder.
1.Completed investigations shall be secured by a detached two-prong fastener.
2.Current/ongoing investigation reports shall be secured by staples or clip, and shall be arranged chronologically, front to rear, by incident number.
3.They shall not be included under the two-prong fastener until completion of the investigation.
INACTIVE FILES
9.05Inactive files shall be retained in District Enforcement Offices for a period of five years and in the REU for a period of ten years. The retention period shall include the five/ten years plus the current year. Inactive files are defined as those files in which the license has been transferred, revoked or not renewed by the PLCB for at least three years with no appeals pending regarding the non-renewal.
9.06Current files determined to be inactive shall be retained for the duration of the retention period (5 yrs./10 yrs. of inactivity) and should not be purged of any remaining correspondence. Inactive files shall be maintained in a separate section of the open-shelf filing system for the duration of the prescribed retention period.
9.07The tag showing the year the file became active shall be covered with a tag showing the year it became inactive. A small alpha "I" tag shall be affixed immediately below the year.
9.08During the month of January, inactive files more than five/ten years old shall be removed from the open-shelf filing system and destroyed.
PAST HISTORY
9.09Form LCE-17, Past History, is utilized to record the history of an establishment from the original licensee to the current licensee, and is a permanent part of the District Office Files. Refer to Appendage 9-B.
INCIDENT REPORT FILING
9.10All District Office copies of Incident Reports shall be filed in numerical sequence by incident number. These reports will be placed in a separate location at the end of the Open Shelf Filing System or in 5 drawer filing cabinets. The reports will not be maintained in individual and/or alphabetized folders.
9.11Where there is an investigation conducted both administratively and criminally, upon disposition of the criminal investigation, a copy of the Incident Report in its entirety, minus the attachment of the AIR, (Reference Chapter 5, D-6) shall be forwarded to the Report Exam Unit for inclusion in the licensee file maintained at Bureau Headquarters.
9.12When necessary to research information regarding a criminal investigation, personnel shall utilize the "Inquiry Initial Crime" computer program for cross-referencing purposes.
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