DesigningEfficientFilingSystems Handout

Designing Efficient Filing Systems

Teri J. Mark, CRM
State Records Manager tjmark@clan.lib.nv.us 775-684-3411

Department of Cultural Affairs Nevada State Library and Archives Records Management Program nevadaculture.org
Records Management Objectives

To control the creation and growth of records To improve productivity To preserve the historical memory of the organization through its archival records
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Records Management Objectives

To process recorded information efficiently To furnish accurate, complete information for efficient decisionmaking To dispose of records no longer needed To provide information/ records at the lowest possible cost To render maximum service to the user of the records To foster professionalism
Create/Receive
Media Transparent
Use Store
Archives
Destroy
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Managing The Records Life Cycle
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ACTIVITY
Files Management
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Active Files Management
is the efficient and costeffective management of records created and received while the records are needed to conduct and support current decisions.
RECORDS MANAGEMENT
Files Management
Aim For:
Standard filing methods Centralized file controls Equipment/media standards
Files Management
You achieve:
Reduced equipment costs Smooth workflow Greater productivity Technology benefits
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Files Management Plan

1. 2. 3. 4. Assign responsibility Obtain support Collect information Develop a Filing System
1. Assign responsibility
NAC 239.670 Records officer defined. Records officer means the person designated, pursuant to NAC 239.700, by an agency to manage its records. NAC 239.700 Officer for management of records: Designation and replacement; cooperation of division [NSLA]. 1. Each state agency shall designate an officer for the management of records and notify the division, in writing, when its records officer has been replaced. 2. The division shall cooperate with the agencys records officer when conducting its inventories and shall keep him informed concerning all phases of the scheduling of the agencys records.
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2. Obtain support
Gain the support of both the administration and the users of the system to legitimize the project and ensure cooperation. Every member of the office must understand the purpose and scope of the project and be involved in the process. Creator of the records. Users of the records.
3. Collect information
Inventory records Identify Collections of records used together and filed together Who, what, where, how and why
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Why Inventory Records?

To add records to a retention schedule To allow for the immediate destruction of useless records that have been allowed to accumulate To identify issues for management such as
needless duplication of records

poor documentation of programs bad or nonexistent filing practices inadequate control of electronic information
4. Develop a Filing System

Which is the right system for your office?
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Who creates the records? Who uses the records? How are records requested? How often are various types of records requested? What is the volume of records created? How long do records remain current? How many people need access to the records? How much equipment is available to store the records? How much space is available for equipment/growth? Which records are confidential? Are there legal requirements for retaining the records? Which are the vital records?
Filing Systems
A set of policies and procedures for identifying and organizing files or documents. Subject files: all documents on the same topic. Case files: all documents related to the same transaction or specific action. Chronological files: all documents occurring on the same date. These are organized in date order, either forward or reverse order (most recent on top).
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Filing Systems
Determining Factors: 1. Size of office / section / agency 2. How records are referenced 3. Retrieval needs
Classification Systems
File Arrangement Alphabetic Numeric Chronological Geographical
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File Arrangement
Alphabetic Dictionary order Encyclopedic order
Dictionary Order
Bids and Quotes Employee activities Grievance Procedures Housing Assistance Office Services Security Specifications Visitors
Office Services Security Specifications
Encyclopedic Order
ADMINISTRATION Office Services Security Visitors PERSONNEL Employee Activities Grievance Procedures Housing Assistance PURCHASING Bids and Quotes Purchase Orders Specifications
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File Arrangement
Dictionary: Ideal for very small filing systems Encyclopedic: Used for larger subject filing systems Logical and comprehensive relative index Logical coding system
Information Finance Facilities Emergency Communication Budget Asset Mgmt
Administrative
Electronic File Folders File Guides
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Amazon.com
Books, Movies & Music Books Textbooks Magazines & Newspapers Movies & TV Unbox Movie & TV Downloads Music MP3 Downloads Clothing & Accessories Apparel & Accessories Jewelry & Watches Shoes Computer & Office All Business Center Computers & Add-Ons Office Products Software Consumer Electronics Audio, TV & Home Theater Camera & Photo Cell Phones & Service Musical Instruments Video Games All Consumer Electronics Food & Household Gourmet Food Grocery Pet Supplies Health & Beauty Beauty Health & Personal Care Home & Garden Bedding & Bath Furniture & Dcor Home Improvement Kitchen & Dining Patio & Garden Vacuums, Cleaning, & Storage Kids & Toys Baby Toys & Games Sports & Fitness Exercise & Fitness Sports & Outdoors Tools & Automotive Automotive Industrial & Scientific Lawn & Garden Equipment Tools & Hardware
Records Management Program File Guide
Budget Monitoring Navy Blue (dark) Budget Reports (by FY) 1. Supply Purchases 2. Notes on Budget Use/Purchases 3. Performance Indicator Files Budget Preparation Lavender Proposed & preparation for Budget 1. Proposed C.I.P. (capitol improvement projects) Files 2. Proposed Special Projects (equipment, personnel, etc.) Electronic Records Issues Goldenrod 1. Imaging Projects Review 2. Electronic Signatures 3. E-mail 4. Document Management Legal Yellow Legislative (session bills) Review Files 1. Regulation NAC (preparation & monitoring) 2. BDR (bill draft revision) Files 3. Standards (preparation & monitoring) Local Government Program Orange Local Government Records Manual Files 1. Retention Schedule Review & Approval Files 2. Newsletter Files 3. Related Correspondence Personnel Burgundy 1. Work Performance Standards and Evaluations 2. Grievances 3. Recruitment 4. Safety 5. OSHA
Professional Activities White Committees/Boards 1. Extra assignments/reports Program Grey Planning, Goals and Objectives 1. Special Projects 2. Capitol Improvement Projects (funded) 3. Incident Reports 4. Program Activity Files 5. Security Files 6. Program Correspondence 7. Program Statistics Records Retention Manila Currently Approved Records Retention Schedules 1. Superseded Records Retention Schedules 2. Approved Records Disposition 3. Authorization Forms Records Scheduling Red Inventory and Appraisal Files 1. State Records Committee Files 2. Other Actions Affecting Records Scheduling Functions Records Storage and Records Center Blue Pending Accession Files 1. Records Center Accession Files 2. Authorization Forms 3. Charge Out Files 4. Destruction & Transfer Files Supply & Equipment Teal Equipment (manuals, instructions & information) 1. Major Equipment Purchasing Files to Document #1 2. Vendor Information Files Training & Travel Green Instructional Handouts & material 1. Training Classes 2. Training Statistics 3. Travel
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Numeric File Arrangement
Serial Duplex
File Access
Direct Access Indirect Access
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File Access
Centralized Decentralized
File Access
Is the system logical? Is the system practical? Is the system functional? Is the system retention-friendly? Is the system flexible? Is the system standardized?
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Documentation
Manual Standards Alphabetic Rules of Filing
The Goals
A place for everything that is needed, and everything that is needed is in its place. The primary values of active records management are creating (properly and adequately) and finding! Proper and timely disposal of records Permanent records are identified and protected in both paper and electronic format
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Equipment and Supplies

Considerations
Identify Your Needs. Equipment capacity Growth expectations Space limitations Simultaneous use Compatibility with materials Protection requirements. Accessibility
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Types of Equipment
Vertical Lateral Open File Mobile Multi-media

Types of Equipment
Vertical
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Types of Equipment
Vertical
Space rental cost for file cabinet Cabinet footprint + access space = 11.1 sq.ft. B& G office rental = $12.65/sq. ft. 11.1 x $12.65 = 140.42

Types of Equipment
Lateral
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Types of Equipment
Open File
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Types of Equipment
Mobile
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Types of Equipment
Multi-media
WALL 1 2 3 4 5 6 7 8 9 10 4-drawer file cabinets 10 cabinets 4 drawers @ 28 inches deep = 1120 linear filing inches
WALL unit 1 unit 2 unit 3 unit 4 unit 5 Open-faced units 5 units 7 shelves @ 36 inches wide = 1260 linear filing inches
WALL
2
side 3 unit 2 (open)
side 8 unit 4 (open)
Double-faced revolving units 4 units 7 shelves @ 30 inches wide = 1680 linear filing inches
unit 1 (turning)
unit 3 (closed)
WALL unit 1 unit 6 unit 2 unit 7 unit 3 unit 4 unit 8 unit 5 unit 9 Open-faced units on glider tracks 9 units 7 shelves @ 36 inches wide = 2268 linear filing inches
WALL unit 10 Open-faced pullouts 10 units 7 shelves @ 36 inches wide = 2520 linear filing inches unit 1 unit 2 unit 4 unit 5 unit 6 unit 7 unit 9
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side 6
si
de
ed s i
ed s i
4 unit 3
side 5
si de 1
unit 8
24

Types of Supplies
Folders Labels Guides
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Types of Supplies
Folders Point Cut Features

Types of Supplies
Labels
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Types of Supplies
Labels

Types of Supplies
Labels
LEG-01-01 LOVELL & LOVELL CONTRACT - FEASIBILITY STUDY - 11/19/06 Final contract LEG-01-01 SIGNORI HIATT & WALTERS CONTRACT - FEASIBILITY STUDY - 12/01/06 Final contract 2006 2006
ACC-01-01 Accounts Payable INVOICES
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Top-tab Label
A A
Side-tab Label
A A
ACC-01-01 Betts Catering ACC-01-01 Baker Const. ACC-01-01 B Street Sales
B
ACC-01-01 Avery Inc. ACC-01-01 Attwood Hotel ACC-01-01 Asher Security ACC-01-01 Arts Plumbing ACC-01-01 Apple Heating ACC-01-01 Ames Byer Co. ACC-01-01 Adams, Jane ACC-01-01 ACME Parts ACC-01-01 AAA Services
ACC-01-01 Accounts Payable INVOICES
A
File Guides - Figure 8.4
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Types of Supplies
LEG-01-01 2001 SIGNORI HIATT & WALTERS CONTRACT - FEASIBILITY STUDY - 12/01/01 Final contract
Color-Stripe Name Label
Solid-Color Bar
Labels
SIGNORI HIATT & WALTERS CONTRACT - FEASIBILITY STUDY - 12/01/01 Final contract LEG-01-01
Folder Name Label
2001
Alpha Label
s
01
Year Label

Types of Supplies
Labels
Secondary Category
LEG-07-03
1990-B Walnut Street Building Lease 2001 April
LEG-07-03
1777 35th Street Building Lease 2001 April
LEG-07-01
Primary Category
1222 Elm Street Sale - Closing 2001 April
documents
LEG-07
Major Category
Property Report 2001
LEG
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Types of Supplies
CODE NAME ACCOUNTING ADMINISTRATION CLIENT RELATIONS FINANCE INFORMATION TECHNOLOGY LEGAL PERSONNEL REFERENCE RESEARCH COLOR Lt. Green Yellow Dk. Blue Dk. Green Lt. Blue Orange Black White Brown
Labels
ACC ADM CR FIN IT LEG PER REF RES

Types of Supplies
Guides
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Manual
How your files are arranged? Where the filing cabinets are located? Which files are where? Your methods and rules for filing? How to check out a file? How to create a file - label standards? How to transfer files to the Records Center? Your retention schedule?

File Preparations
Collect the record. Inspect. Index/Code. Sort.
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Improving Your System

Your File Room...
Use shelving instead of file cabinets. Don't use your file room as a store room. Use the right filing supplies for the type of equipment you are using. Use labels and guides to help locate files and keep them current. File special media in specialized filing equipment.
Your Records...
Keep your filing current. Only keep files that need to be kept for current business. Clean your files out on a regular basis Organize your files. Set up a check-out system and be sure everyone uses it. Leave adequate space in your file folders, drawers, or shelves for growth.
Electronic Systems
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Electronic Systems
Directory Indexes Documents, files titles Match paper file system
Electronic Systems
Apply retention schedules Remove non-active files
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Electronic Systems
Email guidelines
State Records Committee
Standards, Polices, and Techniques
http://dmla.clan.lib.nv.us/docs/nsla/records/borcom01.htm
Electronic Systems
Desktop management tips

Identify your primary and secondary categories. Create a folder for each primary category. Create subfolders for each secondary category. Don't save new document in the default drive - file it in the proper folder/subfolder.
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Tips for Managing Your Files

1. 2. 3. 4. 5. 6. 7. 8. 3. Adopt consistent methods for file and folder naming. Keep names short. Separate ongoing and completed work. Store like with like. Avoid big folder structures. Use common names. Organize files by dates. Don't save unnecessary files. 5.
Electronic Systems
Electronic record management tips
Official records stored in "read only" format. When official records become inactive, transfer to separate area on the hard drive or an off-line storage medium. Continue to monitor these records to keep them in compliance with your retention schedule. Keep Boilerplates in a separate folder. Strip of any information that may confuse it with the official record.
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Electronic Systems
File Tips - Labeling Disks Off-Line Media Label tips
Name or title captions of contents Inclusive dates. File category Destruction date Software application and version (e.g., MS Word 2000, Peachtree 2002). Operating system and version, if your office uses more than one (Window 98, Windows XP, Mac).
http://www.ironmountain.com/dataprotection/resources/backup.pdf
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Need More Information?

http://dmla.clan.lib.nv.us/docs/nsla/Records/training.htm
Call Records Management
775-684-3411
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