Managing Records in an Office Environment June 2, Wess Jolley, CRM, Records Manager 1

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1 Pre-Session Handouts Sign in sheet Business Card Slides Record Series Worksheet Filing System Analysis Tool Document Analysis Tool Retention and Disposition Policy Documentation In-House Disposition Documentation 18 Filing Rules RECORDS MANAGEMENT Part I: Managing Records in an Office Environment Wess Jolley, CRM Records Manager Dartmouth College Records Management Staff Wess Jolley, Records Manager Diane Preston, Records Center Supervisor Ginger Harrington, Records Management Technician Deborah Siwulec, Records Management Technician Diane Preston, Records Center Supervisor Ginger Harrington, Records Management Technician Deborah Siwulec,, Records Management Technician Four Reasons to Care About Records Management Storage Locker 1 Storage Locker 2 1. We are all Information Professionals You are the keeper of the Corporate Memory 2. You want the ability to do your job better You want to improve your organization, efficiency and accuracy You want to make more informed decisions You want to gain control! 3. You recognize that you have a responsibility to protect the institution 4. You also have a desire to limit your personal liability! Wess Jolley, CRM, Records Manager 1

2 Introductions Your Name Department Job Record Responsibilities The Records Management Training Cycle Part 1: Managing Records in an Office Environment (Today!) Part 2: Using Records Management Services (June 9) Part 3: Vital Records Identification Protection, and Disaster Recovery (June 16) Part 4: Introduction to Digital Records (June 23) Part 5: Digital Document Management (June 30) Session Outline for Today Overview: What is a Record? Part 1: File Maintenance Concepts Part 2: Analyzing Your Systems and Documents Part 3: Supplies and Techniques Part 4: Digital Records: A Brief Overview Records Management Manual OVERVIEW What is a Record? RECORDS DEFINED: Any recorded information generated in the course of conducting business, and which must be maintained to meet the fiscal, legal, historical or administrative needs of the organization. Records should be declared and classified as part of a formal process or workflow. Records exist regardless of their format. NON RECORD MATERIAL Office Supplies Blank Forms Periodicals, Book and Other Published Materials Multiple Identical Copies of Any Document Personal (Non-College) Files Working Papers and Drafts Any other information that is NOT a record of the transaction of Dartmouth College Business The Record Declaration Freezes the document (It is no longer editable) Distinguishes a record from a non-record or a working paper Records should move to a repository The maintenance of the information becomes a departmental (and institutional!) responsibility This is true for both Paper and Digital Records! Session Part 1: Six File Maintenance Concepts File Maintenance Concept 1: THINK IN SERIES Definition: Any group of records that are filed together, share common usage characteristics, and can be considered as a unit for retention and disposition purposes. Budget Files Correspondence Files Subject Files Personnel Files Purchasing Card Files Wess Jolley, CRM, Records Manager 2

3 What are your series? Series: Purchasing Card Minutes Student Records Subject Files Grant Records Search Files File Maintenance Concept 2: THINK IN TIME BLOCKS Preferably by Year No More than Five Fiscal Year or Calendar Year? Class Year? Grant or other cycles? Time limited projects? Standard file titles for each time block set? What are your Time Blocks? Purchasing Card Minutes Series: Student Records Subject Files Grant Records Search Files Time: FY CY Class CY GP Srch File Maintenance Concept 3: KNOW YOUR ORGANIZATIONAL PATTERN AND BE CONSISTENT Chronological Numerical Alphabetical Subject Taxonomy? Other? Soundex, Terminal Digit, Etc. What are your Organizational Patterns? Series: Time: Org: Purchasing Card FY Acct# Minutes CY Chron Student Records Class Alpha Subject Files CY Hier Grant Records GP Acct# Search Files Srch Alpha File Maintenance Concept 4: DOCUMENT YOUR PROCEDURES Create a simple Records Management Manual : Department Scope and Description Definition of the Record Declaration* Series Names and Descriptions Confidentiality Policies, Procedures, and Agreements Organizational Patterns Filing Methods and Supplies Scheduling of Sending Material to Records Management Retention Schedule (Department and Series Numbers) Internal Disposition Schedule Possible text for a Records Declaration Statement : An official record of [Department Name] is declared when a document is filed into the central filing system, or moved to a record repository file server. All employees are expected to declare a record in this manner whenever a document contains significant administrative, fiscal, historical or legal value. All other documents and other information stored at individual workstations are considered working papers, and should be disposed as early as possible after they have served their purpose. File Maintenance Concept 5: CONSIDER DUPLICATION Define the Record Copy Computer Files and Hard Copy Files Other Duplication in your office Duplication in Other College Offices File Maintenance Concept 6: Be Willing to Let Records Go Wess Jolley, CRM, Records Manager 3

4 Session Part 2: Analyzing Your Documents and Systems Retention Analysis The examination of the reasonable administrative, legal, fiscal, and historical value of a given record, as it changes over time Finding the point where the balance tips and a record is no longer worth maintaining Records Management can help you make this analysis! Method 1: Record HALF Life Historic Administrative Legal Fiscal Method 2: Relative Values Comparison What are your Retention Periods and Disposition Methods? Do We Need a Break? VALUE Administrative Value: Access Frequency Usage Patterns Administrative Use Fiscal Value Legal Protection Legal Liability Storage Costs Historical Value TIME ZONE OF DISPOSITION Series: Purchasing Card Minutes Student Records Subject Files Grant Records Search Files Time: FY CY Class CY GP Srch Org: Acct# Chron Alpha Hier Acct# Alpha Retain: 5.D 10.A 7.A 5.D 15.S 3.S System Analysis: Just One Possible Approach! 1. Filing System Analysis 2. Document Analysis 3. Modify systems as needed 4. Document retention and disposition decisions (making policy) 5. Document in-house disposition actions (enacting policy) Systems Analysis Goals To get you to look critically at your documents, systems and workflows To increase efficiency and accuracy To eliminate unnecessary filing To ensure appropriate retention and disposition for the material in your files To document your decisions and actions in such a way as to protect you and the institution STEP 1: Filing System Analysis Examine each Filing Repository Analyze what is not what should be Wess Jolley, CRM, Records Manager 4

5 Filing System Analysis 2 Make a list of each filing repository The Goal is to Determine: How material gets into the system How material moves out of the system Whether or not the current retention and disposition policy is correct How well the system is functioning Where you can streamline or gain efficiencies in your workflows Whether or not the media and filing arrangements are appropriate STEP 2: Document Analysis Classify and analyze each document type Start where the documents start Document Analysis 2 Trace them into a document repository Chart it out! Sample (Simplified) Filing Plan Vendor Contracts Filing Systems (Record Series): Invoices Fiscal files Document Types: Annual Reports?? Requests for Proposals Operational Subject Files Accident Reports Accident Files Working Papers Round File The Goal is to Determine: Is this record is necessary? Key concept: Be willing to eliminate unnecessary documentation. Be ruthless! Use the Round File! Does this record duplicate another information source? If so, can one be eliminated? Who produces the information? Who uses the information? What would be the consequences of its absence? Is it more of a liability than an asset? Remember to evaluate forms (and each item on forms) for efficiency and necessity STEP 3: Modify Systems As Needed Make it a collaborative process Use the information you have gleaned Eliminate unnecessary filing and/or documents Streamline workflows Account for retention and disposition Change media, if appropriate Change filing arrangements, if appropriate Eliminate duplicate documentation Institute circulation controls Consider automation STEP 4: Document Retention and Disposition Reminder: What is Retention and Disposition? Two Choices: Use Records Management (preferred!) Perform Retention and Disposition Internally Document all this in your RM Manual Scheduling of Sending Material to Records Management Retention Schedule Internal Disposition Schedule Disposition Actions Retention and Disposition Policy Documentation This is the document that will protect you (especially if you don t use Records Management)! Wess Jolley, CRM, Records Manager 5

6 Retention and Disposition Policy 2 One form for each system How does material move out of my system (disposition)? Every working system must have the ability for material to move out! Two methods: Sending inactive material to Records Management In house disposition Disposition determined by: Date Event Level of activity (flags) Scheduled file clean up days STEP 5: Document In-House Disposition Actions One form for each filing system Maintain these forms! They protect you from legal and fiscal liability PDF Forms ~library/recmgmt/forms.html Session Part 3: Supplies and Techniques (Physical Filing) Supplies ELF File Folders Regular, Manilla Pendaflex (with interior folders) Top vs. Side Tab Internal Binding & Divisions Labeling Binders Types Storage File Drawer vs. Open Shelf Filing Standard Cabinet, Top Tab Popularity and Familiarity Desk side use Easier to move Ease of Transfer to Records Mgmt. Open Shelf, Side Tab Space efficiency (up to 50%) Filing efficiency (up to 25%) Cost of equipment Filing Arrangements: By Name Analogy: The White Pages of the phone book The easiest The most intuitive and The least accurate! Misfiles very common Names change! Marriages, etc. Company name changes Human error in reading and filing names is very high Alpha filing usually requires complex decisions 10 Rules for Filing by Name 1. Last Name, then First Name 2. Nothing comes before something Adair before Adair, Bob 3. Prefixes come before the rest of the name FitzPatrick not Patrick, Fitz 4. Spell business names exactly as the business itself spells its own name Center for Advanced Studies not Advanced Studies, Center for Tom Johnson Industrial Products not Johnson, Tom, Industrial Products 5. Ignore The and A at the beginning of a name Wess Jolley, CRM, Records Manager 6

7 10 Rules for Filing by Name (2) 6. Ignore the hyphen in hyphenated words Smith-Johnson filed as Smithjohnson 7. One word is always better than two Any two words that are written as one word should be filed as one word: Interstate not Inter State 8. Two word geographical names are considered one name Des Moines is filed as DesMoines 9. Always file numbers before letters 1378 before P File political divisions with the major name first U.S. Department of Agriculture as United States Government, Agriculture, Department of Filing Arrangements: By Subject Analogies: The Yellow Pages of the phone book or an encyclopedia This means you will be creating a taxonomy Plan, plan, plan! And document your decisions! Outline as you go Primary, Secondary, and Tertiary headings Document your filing principles Be consistent! Limit the number of people filing Create a master index Filing Arrangements: Numeric Straight numeric filing (most accurate!) Used for most systems Filed as integers or real numbers Last Digit Filing (aka Terminal Digit ) Used only for highly active files File number (created after ) Filed in drawer 56, section 34, file number 12 Middle Digit Filing Used where numbers are assigned to groups of 100 File number (created after ) Filed in drawer 34, section 12, file number 56 Filing Arrangements: Other Chronologic EXCELLENT filing system! Eases retention and disposition Can also be filed as numeric: 12/31/2002 becomes Tickler files Alpha Numeric Other esoteric systems Geographic Soundex Accessing Your Filed Material Direct Access Systems Filing by the information you know when you need the file Alphabetic or Numeric Indirect Access Systems Filing by a meaningless code that you must look up in order to find the file Indexes Visual Coding Color Coding Color bands on file folder titles Colored file tabs Colored folders Colored shelves Position Coding Full, Half, third, fourth, and fifth cut folders Guides Resources for Designing Filing Systems FileMate Filing Rules (see handout) ARMA Search for word filing in the title to find these books: Establishing Alphabetic, Numeric and Subject Filing Systems (ANSI/ARMA ) Organize Your Office: A Small Business Survival Guide to Managing Records (2003) At Your Fingertips: A Household Filing System that Works for You (1999) It Doesn t t Have to be Pretty! Before You File Repair torn pages Staple papers together avoid paper clips! Code Sort Wess Jolley, CRM, Records Manager 7

8 Maintenance Keep up with the filing Keep material in system (not loose on desks) Use out guides religiously Control Circulation, limit borrow time Transfer low-use material to Records Management regularly, or perform schedule disposition Troubleshooting Your System Are you using too few headings or guides? Are your folders overstuffed? Are your folders worn or torn? Are your drawers overstuffed? Are you labeling and tabbing your files correctly? Session Part 4: Digital Records (A Very Brief Overview) Digital Records Management Are digital documents records? Liabilities Digital Discovery How much data do we have? Information doubling rate in 1930? In 2011? Structured vs. Unstructured Content Key Technologies Document Repositories Enterprise Content Management Imaging and Workflow Digital Forms Digital Records Mgmt. (cont.) The (potential) bomb Preservation: Retention of enduring information Magnetic media instability Hardware and software obsolescence Backup! The Future: Emerging trends Exciting technologies RETIRED Attend the Digital Records Management Trainings! What We Have Learned... Reviewed important concepts in record keeping systems Learned how to analyze your filing and document systems Explored some tools and techniques for managing information Briefly looked at issues concerning Digital Records Questions and Discussion Wess Jolley, CRM, Records Manager 8