Dale E. Applegate.

Transcription

1 Small Business Document Management Dale E. Applegate

2 Where are you Today? With your Document Management Assess Your Current Document Management Low Tech- Paper System High Tech- Electronic System Tech Combined System Some Paper Some Electronic

3 Where are you Today? With your Document Management Are you satisfied with your current document management system? Can you easily find all the documents for projects or cases that are: 1 Week Old - 1 Month Old 6 Months Old 1 Year Old 7 Years Old How many different places do you have to search for documents in currently: File Cabinets, Computer(s), Electronic Folders/ Directories Is your current filing system standardized for: Clients, Cases, Company functions: Marketing, Accounting, Development

4 Where are you Today? With your Document Management What are your pain points with current Document Management? Manual Search Insufficient i Indexing No Central Repository Silos of Information Disparate Document Types Time Consuming to Use Time Consuming to Maintain Only I know what I have Only I know where it is

5 Where are you Today? Purpose & Objectives Purpose of Document Management Establish a framework which records and documents are created, managed and tracked. Objectives of Document Management Provide an accurate and complete archive of documents Provide safe storage of all documents Provide clarity regarding document versions Provide clear record of approved deliverable documents Easier archiving of documents Easier search and retrieval of documents Standardize document organization

6 File & Directory Names Windows First! File & Folder Naming Conventions Base file name and an extension, separated by a period. ie., Snom870.pdf, setup.exe, case94.docx, data2.xlsx Naming Conventions Do not assume case sensitivity. ie., OSCAR, Oscar, oscar are assumed to be the same Do not use Reserved Characters. ie., < > : / \? *, integer value zero, period in directory name, Do not end a File or Directory Name with a Period or Space Do not use 2 periods together, ie., (..)

7 Short vs Long File Names Windows First! File & Folder Naming Conventions A long file name is any name that exceeds the short MS-DOS (also called the 8.3) style naming convention. (8 characters, then a period, the a 3 character extension) Long file names are stored in special directory. When you create a long file name, Windows may also create a short 8.3 name as an alias. Maximum Length Maximum length of a file with path is 260 characters. C:\Software\Vmware\EsXi\Version1-22\setup.exe

8 Create a Document Management Plan Review Existing Documet Management System Assess the existing system List desired changes Reorganize if appropriate Make appropriate changes Document the System Get Organized Document Types & Categories Project / Client Invoices Presentations.doc,.doctx Research Memos Pictures.xls,.xlsx Opinions Letters Drawings.pdf Briefs SOP Surveys.jpg,.gif,.png

9 Create a Document Management Plan Setup Standard Templates Invoices Presentations Memos Pictures Letters Drawings Briefs Surveys Document Templates & Standards Retention Policy Identify and document exactly what your retention policy is for various document types. Short Term, Long Term, Destroy Specify how the retention policy will be implemented. ie., First of the year sort files by date and remove those files to long term storage. Paper Files to be destroyed will be picked up by shredding company.

10 Create a Document Management Plan Standards User Roles & Responsibilities Identify each User s Role and any specific responsibilities. Executives ensure compliance with records management requirements develop a corporate recordkeeping policy to ensure that business need for evidence, accountability and information about its activities is met adopt and endorse the policy at the highest decision-making level and disseminate it assign specific leadership responsibility and accountability for recordkeeping define and assign recordkeeping responsibilities to all employees ultimately executives are responsible for the management of records within their units Managers implementation of and adherence to the departmental records management policy and practices the allocation of appropriate resources to achieve adequate records management the coordination and implementation of training to all personnel identifying and maintaining recordkeeping systems establishing and maintaining access determinations for confidential records establishing and maintaining security access delegations the establishment of risk management strategies and disaster recovery plans for business-critical systems and records establishing and maintaining an ongoing disposal program in their business areas the identification and provision of adequate storage facilities for business records, both physical and electronic, temporary and permanent value setting a good example to personnel and raising awareness of records management practices

11 Create a Document Management Plan Standards User Roles & Responsibilities Identify each User s Role and any specific responsibilities. Staff practicing i adequate records management of official i records including the creation, maintenance, disposal, access and capture into corporate record keeping systems appropriate management of the Agency's records in their custody complying with departmental policies, procedures, standards and guidelines for records management

12 Create a Document Management Plan Policy or Protocol Profiles Standards Comprehensive policy or a protocol profile for file and folder naming system. It specifies exactly how documents, folders and sub-folders are named and structured. t Can be established as a Global implementation of applied specifically to a unique category or grouping. Structured Files & Directories Standardize the Structure Make a copy of the Structure Do not use Spaces in Names **

13 Structured Storage Create a Document Management Plan File Cabinets Workstation Network kattached Storage Direct Attached Storage Remote Online Storage CD/ DVD * Standards META Data data about data Structured Code Annotations/ Barcode Embedded electronic data

14 Write the Plan Create a Document Management Plan Documentation Put the Document Management Plan in writing. Helps to Reevaluate the Plan Helps to clearly l see each significant ifi portion of the Plan Helps to identify potential issues (current or future) Provides clear information for Assistants, Partners, Temp Help to follow when creating, saving or searching for documents. Streamline processes Improved communication

15 Implement the Document Management Plan Hardware Do not buy Consumer Grade Equipment if possible. Implementation Business Grade Equipment will: Operate better Operate more efficiently Typically designed for longer life cycle More easily repaired / Designed to be taken apart Spare parts available / Model Series produced over time (HP1200, HP1203) Overall Higher ROI

16 Implement the Document Management Plan Software Workstation OS PC Windows, Apple OsX Mac, Linux Standalone/ DIY OS Adobe PDF, Nitro PDF Scanner Software Utility Sharepoint, Alfresco, etc.,. Onsite System Vendor Provided Hosted Offsite General Utility Specific Utility Advanced DMS System Implementation

17 Example Client Protocol based on Matter File & Folder Naming Convention let report re deed SENT rn.pdf 4-digit year, 2-digit month, and 2-digit day Abbreviation type of document it is, e.g., let for letter, eml for , t-c for notes about a telephone call Differentiate between received and sent documents; for example, 'SENT Brief description of the document contents Initials of the person who created the document

18 Example (cont.) Document Revisions As many documents are worked on by more than one team member, on subsequent drafts, we may add the initials of the second team member to touch it, whether as author or editor. If revised several times, we may also add revision numbers to the initials of the person revising. i This most commonly occurs with wills and powers of attorney being drafted for clients. The Wills Law Clerk creates the initial draft so her initials appear alone. Once the lawyer reviews, her initials are added. If the document requires further review, revision numbers are added to the reviewer's initials. Below shows how the file name of a Will being drafted for a husband (H) of a client couple changes throughout its development. Note that we differentiate between the husband's and wife's Wills by adding H or W. First draft created by law clerk Will H ds.docx Draft reviewed by lawyer Will H ds-rn.docx Draft further revised by law clerk Will H ds2-rn.docx d Drafted further revised and finalized by lawyer Will H ds2-rn2.docx

19 Pre-defined folders & sub folders Example (cont.) Each folder template name begins with a $ symbol so that all of the folder templates sort and display at the top of the file index for ease of copying. In Windows Explorer, we copy the top folder ($Surname FirstName {} WillPOAs ) and then paste it into the correct alphabetic surname folder. We immediately rename the folder so that the client's actual first and last names replace '$Surname Firstname'. 'WillPOAs' tells us which type of matter it is. '2009' confirms the year the file was opened. We replace the final '0000' with the file number assigned by our accounting system. Sub-folders are those we need for this estate planning client and are pretty much self-explanatory, e.g., $Surname FirstName {} WillsPOAs NLO is an abbreviation for firm name.

20 Small Business Document Management Plan Document Implement Use Review Revise