Files Management


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Part 4 in the series of lectures on Effective Records Management presented on Aug1 & 8, 2009

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  • So first item of action is to create a file for “Attendance & Leave records, DAN number and a date or something that will trigger the appropriate cut-off or reminder, tag, flag or method you will use for disposition. ERM- Washington State Archives
  • Then, build a structure appropriate for ease of use and bearing in mind retention and disposition efforts. You don’t need a single “bucket” for each little bit – larger buckets make for easier and more efficient management, but one huge bucket doesn’t work well either – you may end up keeping items that may be subject to disposal for longer than necessary, and if a litigation hold is in effect you have the keep the whole thing as opposed to the more pertinent information. ERM- Washington State Archives
  • You can then set up different folders as needed for the different types of leave or attendance records. Leaping Lizards! E-mails & Electronic Records Management
  • You can set up as many file folders as needed within the records series to meet your agency needs. Try to limit it though, and use “bigger buckets” if you can. Again, retention and disposition is simpler when you can manage larger “groups” of records together. Leaping Lizards! E-mails & Electronic Records Management
  • Here’s another example. You can call these by any number of names suitable to your agency needs, just be sure the description fits and the appropriate DAN is utilized for retention and dispostion. ERM- Washington State Archives
  • You can also set up and drill down into different subjects within a particular file folder as well. Leaping Lizards! E-mails & Electronic Records Management
  • Files Management

    1. 1. Files Management
    2. 2. Files management - ensures control at the file level <ul><li>Files management ensures that records relating to a specific activity or subject are securely maintained together in one file. </li></ul><ul><li>This enables effective decision making and also ensures that the sequence of actions </li></ul><ul><li>can be reconstructed, that is what happened, when, who did it, why. </li></ul>
    3. 3. Files management <ul><li>Filing involves </li></ul><ul><li>Arranging records according to a simple, logical system </li></ul><ul><li>Placing records in a storage container in correct sequence </li></ul><ul><li>Retrieving the records so that they can be used </li></ul>
    4. 4. good filing systems… <ul><li>contain complete and comprehensive files thereby enabling effective decision making </li></ul><ul><li>provide integrity and continuity regardless of changes in personnel </li></ul><ul><li>facilitate protection and preservation of records </li></ul><ul><li>provide low cost and efficient maintenance of records </li></ul><ul><li>reduce the possibility of misfiling and reduce duplication </li></ul><ul><li>mean less time spent searching for files and documents </li></ul>
    5. 5. Files management Filing systems Filing Rules Files Equipment Computer Applications
    6. 6. Filing systems <ul><li>provide only the </li></ul><ul><li>mechanical structure </li></ul><ul><li>for arranging records </li></ul><ul><li>inadequacies of filing stem </li></ul><ul><li>from human failing, not </li></ul><ul><li>system failure </li></ul><ul><li>most suitable system should </li></ul><ul><li>be applied to a particular </li></ul><ul><li>type of record, uniformly </li></ul>
    7. 7. CRITERIA of a good filing system… <ul><li>Simplicity </li></ul><ul><li>Flexibility / Expansibility </li></ul><ul><li>Adaptability </li></ul>
    8. 8. Filing methods <ul><li>numerical </li></ul><ul><li>alphabetic </li></ul><ul><li>functional </li></ul><ul><li>geographic </li></ul><ul><li>form </li></ul><ul><li>chronologic </li></ul>
    9. 9. Numerical System <ul><li>File units are placed in numerical sequence </li></ul><ul><li>Originated from the registry system, used particularly in accessioning correspondences. </li></ul><ul><li>Unsuited to handling name files. </li></ul><ul><li>Ideally useful for case files (file units containing all documents pertaining to a particular transaction, usually developed in legal or business records. </li></ul>
    10. 10. Alphabetic System <ul><li>File units are placed in alphabetical sequence . </li></ul><ul><li>First used to arrange records relating to persons, then gradually to records relating to subjects. </li></ul><ul><li>The system may be modified to group records related by a common subject by: </li></ul><ul><li>*standardizing subject headings </li></ul><ul><li>*subdividing the main subject headings </li></ul><ul><li>Other alphabetical filing systems are: </li></ul><ul><li>*Alpha-numeric - uses letters to designate main subject headings and numerals for subordinate headings *Mnemonic - uses alphabetical symbols to denote subordinate headings. </li></ul>
    11. 11. Functional Filing System <ul><li>Records are the result of functions and are used in relation to them </li></ul><ul><li>Records should then be grouped and maintained according to the functions to which they relate. </li></ul><ul><li>The functional categories will reflect the organization’s purpose, mission, programs, projects and activities. </li></ul><ul><li>Every office or department within an organization has a function and these functions are generally carried out through a series of major programs. </li></ul><ul><li>These major programs are often divided into subprograms until one gets to the individual project level. </li></ul>
    12. 12. Other Filing Systems <ul><li>Geographic Filing : files records by location or place first, followed by the name or subject. </li></ul><ul><li>Forms : groups records according to their format or type (e.g. minutes, reports, invoices, receipts) </li></ul><ul><li>Subject Filing : places records under subject classification. </li></ul><ul><li>Chronologic Filing : files records by year, month, and date </li></ul>
    13. 13. Organize…. <ul><li>Knowing where and what your documents are, is just as important as where your file cabinets are and what is in those. </li></ul>
    14. 14. Classification <ul><li>Grouping information together </li></ul><ul><ul><li>Cars, food, clothing </li></ul></ul><ul><ul><li>Content and function </li></ul></ul><ul><ul><li>Based on an organization’s business functions and activities </li></ul></ul>
    15. 15. We do it all the time <ul><li>For example, we classify CARS: </li></ul><ul><li>Chevrolet </li></ul><ul><li>SUV </li></ul><ul><li>Suburban </li></ul><ul><li>2004 </li></ul><ul><li>White </li></ul><ul><li>and so on…. </li></ul>
    16. 16. Another example <ul><li>Permits </li></ul><ul><li>Building Permits </li></ul><ul><li>2008 Building Permits </li></ul><ul><li>Specific Address/Site </li></ul><ul><li>Grouping information together makes it easier to file, search and manage! </li></ul>
    17. 17. Codification <ul><li>numeric alpha duplex alpha- subject decimal </li></ul><ul><li> numeric numeric numeric </li></ul><ul><li>personnel 100 A 3 A PER 1. </li></ul><ul><li>employment 110 Aa 3-1 A/1 PER-1 1.1 </li></ul><ul><li>recruitment 111 AaA 3-1-1 A/11 PER-1-1 1.1.1 </li></ul><ul><li>appointment 112 AaB 3-1-2 A/12 PER-1-2 1.1.2 </li></ul><ul><li>promotion 113 AaC 3-1-3 A/13 PER-1-3 1.1.3 </li></ul><ul><li>demotion 114 AaD 3-1-4 A/14 PER-1-4 1.1.4 </li></ul><ul><li>separation 115 AaE 3-1-5 A/15 PER-1-5 1.1.5 </li></ul>
    18. 18. Attendance & Leave Records <ul><li>Attendance & Leave Records </li></ul><ul><li>2009 </li></ul>
    19. 19. File structure example GS03030 2009 2009 2009 2009 John Jane Joey Attendance & Leave Records
    20. 20. Next level Jane Time Sheets Joey Time Sheets John Annual Leave Jane Annual Leave Joey Annual Leave John Sick Leave Jane Sick Leave Joey Sick Leave John Time Sheets 2009 2009 2009 2009 2009 2009 2009 2009 2009
    21. 21. Another example
    22. 22. You can also… Purchase Orders Field Order Files Purchase Requisition Invoice Vouchers Printing Requisition Cash Advances Travel Expense Payments Inter-Agency Billing Encumbrance & Liquidation 2009 2009 2009 2009 2009 2009 2009 2009 2009
    23. 23. File structure example GS10003 2009 2009 2009 2009 Organization Charts Annual Reports Correspondence Executive Level Subject Files
    24. 24. You can also… 2009 Agency Division Reports 2009 Agency Division Correspondence 2009 Agency Division Meeting Minutes 2009 Financial 2009 Incoming 2009 Committee A 2009 Legal 2009 Outgoing 2009 Committee B
    25. 25. Files Equipment <ul><li>made of steel </li></ul><ul><li>compact and space-efficient </li></ul><ul><li>allowance for easy extraction & replacement of files </li></ul><ul><li>mobile </li></ul><ul><li>proximity to authorized personnel </li></ul>
    26. 26. Training Personnel <ul><li>receiving and opening mails </li></ul><ul><li>placing mail/other papers in </li></ul><ul><li>correct files </li></ul><ul><li>extracting and replacing files </li></ul><ul><li>opening/creating new files </li></ul><ul><li>indexing & cross-referencing </li></ul><ul><li>keeping a record of file </li></ul><ul><li>movements </li></ul><ul><li>retrieving lost/missing files </li></ul><ul><li>destroying/disposing files </li></ul><ul><li>retiring non-current files </li></ul>
    27. 27. Procedures in Filing <ul><li>indexing by card or register </li></ul><ul><li>coding by writing symbols or captions, or highlighting indexed name or subject </li></ul><ul><li>sorting by tray, pigeon-hole, or multi-sorter </li></ul><ul><li>filing </li></ul>
    28. 28. F I L I N G problems
    29. 29. Common filing problems <ul><li>too many filing places </li></ul><ul><li>everybody a file clerk </li></ul><ul><li>files disorderly; show no particular plan or arrangement </li></ul><ul><li>system does not fit the way material is called for </li></ul><ul><li>some records seem to belong under more than one category </li></ul><ul><li>filing decisions erratic or inconsistent </li></ul><ul><li>bulging folders </li></ul><ul><li>accumulation of unnecessary or personal records </li></ul>
    30. 30. Common filing problems <ul><li>related records are filed under different categories </li></ul><ul><li>the retrieval rate is poor (inability to locate the required document quickly) </li></ul><ul><li>missing and misplaced documents mean too much time spent looking for files </li></ul><ul><li>a high level of duplication exists </li></ul><ul><li>users are setting up personal records systems </li></ul><ul><li>incomplete files and backlogs of unfiled records exist </li></ul><ul><li>filing cabinets are jammed with files bulging with documents </li></ul>
    31. 31. When to create new files… <ul><li>a new function, subject, activity or project is commenced or </li></ul><ul><li>an existing subject, activity or project is further developed and needs to be split across several files </li></ul><ul><li>an existing file becomes too large and a new part is required </li></ul><ul><li>no existing file is appropriate for the document(s) </li></ul>
    32. 32. Improve your filing… <ul><li>Begin each calendar year with a new set of files </li></ul><ul><li>Files should not exceed ½ thickness </li></ul><ul><li>Dedicate time each week for filing to prevent backlog </li></ul><ul><li>Avoid filing extraneous unnecessary duplicate copies </li></ul><ul><li>Avoid tightly jammed files </li></ul><ul><li>Safeguard access and confidentiality of records </li></ul>
    33. 33. Reminders… <ul><li>Explore your options, and adapt to best serve your office needs and use </li></ul><ul><ul><li>Keep it as simple as possible </li></ul></ul><ul><ul><li>Take time to fully develop file structures using what is already familiar </li></ul></ul><ul><ul><li>Have patience, and be sure to take time to train and educate file creators and users </li></ul></ul>
    34. 34. Take a deep breath <ul><li>You can do it!! </li></ul>
    35. 35. <ul><ul><ul><li>Communicate! </li></ul></ul></ul><ul><ul><ul><li>Records management is a team effort </li></ul></ul></ul><ul><ul><ul><li>Remember to consider future needs and address ongoing issues like maintenance, continuity, and consistency from the beginning – no excuses, and remember “human error happens” </li></ul></ul></ul>More Taming Tips
    36. 36. IF the records are vital… <ul><li>Scan away, and transfer the original docs to a permanent storage </li></ul>
    37. 37. <ul><li>You are done! </li></ul>Congratulations!
    38. 38. Contact Questions?