Electronic Filing & Electronic Filing & CalculatingCalculating

InformationInformation is the basis of all is the basis of all communication within a company. communication within a company.

Every task performed has Every task performed has somethingsomething to do with information. to do with information.

Did you Know?Did you Know?

There are two or more copies of There are two or more copies of every original document. every original document. (Bobby Muse, Jr., CRM, InfoManagement (Bobby Muse, Jr., CRM, InfoManagement

Solutions)Solutions)

The average office makes 19 copies The average office makes 19 copies of each document. of each document. (Carlos Cuadra, “The Corporate Memory and the Bottom Line”)(Carlos Cuadra, “The Corporate Memory and the Bottom Line”)

Forty-five percent of all files are Forty-five percent of all files are duplicates. duplicates. (American Paper Institute)(American Paper Institute)

Thirty-seven percent of all copies are Thirty-seven percent of all copies are unnecessary. unnecessary. (Nevada State Library and Archives, “Points to Ponder”)(Nevada State Library and Archives, “Points to Ponder”)

Records ManagementRecords Management

Records management is the Records management is the methodical and systematic methodical and systematic control of business records.control of business records.

Benefit of Records ManagementBenefit of Records Management Provides structure

and control to prevent valuable revent valuable documents from documents from being misplaced.being misplaced.

Provides systems and procedures to find information quickly and efficiently, thus preventing loss of time and productivity in searching for missing information.

Ensures the most up-to-date information is being used to make decisions or destroyed in a timely manner, thus cutting down on expensive storage facilities.

Creation

Use

Disposition

Storage

Retrieval

Complete Life Cycle of Records

What is a Record?What is a Record?

A record is the written, visual, or A record is the written, visual, or audio documentation of any action or audio documentation of any action or activity generated or received by an activity generated or received by an operating unit of the organization.operating unit of the organization. Exp.: correspondence, cards, forms, Exp.: correspondence, cards, forms,

books, micro-image media, books, micro-image media, microcomputer disks, optical disks, microcomputer disks, optical disks, computer printouts, catalogs, computer printouts, catalogs, pamphlets, drawings, photographs, and pamphlets, drawings, photographs, and etc.etc.

Non-Record MaterialNon-Record Material

Material which Material which should never reach should never reach a filing cabinet or a filing cabinet or any other type of any other type of records housing records housing and is of and is of immediate value immediate value only.only.

EnvelopesEnvelopes Routing slipsRouting slips WorksheetsWorksheets Rough draftsRough drafts RemindersReminders RequestsRequests Shorthand notesShorthand notes Forms kept for Forms kept for

supply purposes supply purposes onlyonlyUS Business and Finance Bulletin RMP-2, Records Disposition

Program and Procedures, July 1, 1987

Ways We Receive InformationWays We Receive Information

Postal service or delivery servicePostal service or delivery service FaxFax Electronic mailElectronic mail Interoffice mailInteroffice mail Customer or personal contactCustomer or personal contact Telephone or voice mailTelephone or voice mail Web sitesWeb sites

CreationCreation

Avoid creating records if Avoid creating records if another form of another form of

communication will do.communication will do.

Before Creating RecordsBefore Creating Records

Before creating a record, ask three Before creating a record, ask three questions.questions.• Will this record document a transaction Will this record document a transaction

between two or more parties?between two or more parties?• Will it document a legal position of the Will it document a legal position of the

company?company?• Will it document an event of historical Will it document an event of historical

value?value?

If answer to each of these is no, a written record is not necessary.

Record Creation GuidelinesRecord Creation Guidelines

1.1. Only create a record when Only create a record when absolutely necessary.absolutely necessary.

2.2. Always state the facts.Always state the facts.3.3. Use active verbs whenever possible.Use active verbs whenever possible.4.4. Never use ambiguous language that Never use ambiguous language that

may infer double meanings or be may infer double meanings or be misleading.misleading.

5.5. Avoid words that are vague, Avoid words that are vague, deceptive, or unclear.deceptive, or unclear.

Creation Guidelines Creation Guidelines (con’t)(con’t)

6.6. Use technical terms sparingly.Use technical terms sparingly.

7.7. Avoid the use of abbreviations and Avoid the use of abbreviations and acronyms.acronyms.

8.8. Avoid personal opinions.Avoid personal opinions.

9.9. Keep sentences simple.Keep sentences simple.

10.10. Control copies.Control copies.

11.11. Never keep a record past its Never keep a record past its prescribed retention period.prescribed retention period.

UseUse

Records PurposeRecords Purpose

Records which reach a file or other Records which reach a file or other housing should have either housing should have either administrative, legal, fiscal, administrative, legal, fiscal, research, or historical value.research, or historical value.

Administrative Purpose— Administrative Purpose— Records Records created to help accomplish functions an office is created to help accomplish functions an office is responsible for.responsible for.

Legal Purpose— Legal Purpose— Contain evidence of legally Contain evidence of legally enforceable rights or obligations (contracts, enforceable rights or obligations (contracts, records of action).records of action).

Fiscal Purpose— Fiscal Purpose— Pertain to financial Pertain to financial transactions (budget, payroll, vouchers).transactions (budget, payroll, vouchers).

Research, Historical, or Archival Research, Historical, or Archival PurposePurpose

Identify Records ValueIdentify Records Value

Establish reasonable retention Establish reasonable retention periods.periods.

Identify records that can be Identify records that can be destroyed immediately.destroyed immediately.

Identify records that can be Identify records that can be transferred to storage.transferred to storage.

Identify records of lasting value that Identify records of lasting value that should be placed in Archives.should be placed in Archives.

Computerized SystemsComputerized Systems

By implementing computerized By implementing computerized systems, people in an organization systems, people in an organization are able to:are able to:• Store records in searchable databases.Store records in searchable databases.• Manage schedules for retaining and Manage schedules for retaining and

destroying records.destroying records.• Track access to electronic and paper-Track access to electronic and paper-

based records.based records.• Track location of records in boxes, Track location of records in boxes,

tapes, and other external media.tapes, and other external media.

Record TypesRecord Types Vital recordsVital records are

necessary to continue the existence and basic functioning of the organization.

Important recordsImportant records are irreplaceable. These include historical recording of significant decisions, events, etc.

Useful recordsUseful records contribute to daily office efficiency. These include correspondence & financial transactions.

Nonessential Nonessential recordsrecords may be destroyed immediately after use. These include memos or employee bulletins.

Permanent RecordsPermanent Records

Permanent records have either Permanent records have either artifactual or informational value artifactual or informational value

which makes it necessary or which makes it necessary or desirable to keep them forever.desirable to keep them forever.

ArtifactualArtifactual refers to refers to document’s physical document’s physical properties.properties.• The information

contained within document is as important as its physical properties.

• Exp., scrapbooks or rare books.

InformationalInformational refers refers to information to information contained in the contained in the documentdocument. . • Preservation of

original format not as important as permanently retaining info in stable, usable, easily accessible one

• Exp., microfilm or a server that is backed up every night.

Types of Permanent RecordsTypes of Permanent Records

Letters of Letters of incorporationincorporation

CorrespondenceCorrespondence Annual reportsAnnual reports Final copy of Final copy of

reports or studiesreports or studies Procedure manualsProcedure manuals

Photographs, films, Photographs, films, tapestapes

Policy statementsPolicy statements Architectural Architectural

drawingsdrawings Official publicationsOfficial publications Board meeting Board meeting

minutesminutes

StorageStorage

Filing SystemsFiling Systems

An appropriate filing system is An appropriate filing system is based on the type of material based on the type of material

created and received, the storage created and received, the storage needs of that material, and how needs of that material, and how

the material is used by staff.the material is used by staff.

Filing EquipmentFiling Equipment File cabinetsFile cabinets

• Vertical cabinets are deeper than they are Vertical cabinets are deeper than they are wide.wide.

• Lateral cabinets are wider than they are deep.Lateral cabinets are wider than they are deep. Hanging folders have built in hooks that Hanging folders have built in hooks that

hang from parallel bars on the side of a hang from parallel bars on the side of a filing cabinet.filing cabinet.

Moveable shelving/compact storage are Moveable shelving/compact storage are shelves that move on tracks attached to shelves that move on tracks attached to the floor.the floor.

Folders are containers used to hold and Folders are containers used to hold and protect stored records in an orderly protect stored records in an orderly manner.manner.

Types of Filing SystemsTypes of Filing Systems

Numerical systemsNumerical systems are filed in numerical order according to the primary, secondary, or third set of numbers (Hospitals & Insurance Co.)

Alphabetic systemsAlphabetic systems are filed by first name, last name, or first word of a subject title (Personnel records)

Alpha-numeric systemsAlpha-numeric systems combine both alphabetical & numerical systems (Library systems)

Chronological systemsChronological systems are arranged in order by date of creation or date received (Historical files or archives)

Avoid the Smoking GunAvoid the Smoking Gun

Every company worries about Every company worries about the hidden or forgotten the hidden or forgotten

records that might come back records that might come back to haunt them.to haunt them.

How Long Should How Long Should You Keep RecordsYou Keep Records

Does record fill any fiscal need?—Does record fill any fiscal need?—Keep Keep only as long as required to maintain budget or satisfy tax only as long as required to maintain budget or satisfy tax requirements.requirements.

Does record fill any legal need?—Does record fill any legal need?—Keep Keep as long as specific legal issue exists.as long as specific legal issue exists.

Does record fill any administrative Does record fill any administrative need?—need?—Shows how organization functioned and Shows how organization functioned and evolved. Records with short-term value such as routine evolved. Records with short-term value such as routine correspondence is discarded once function is met.correspondence is discarded once function is met.

Does record fill any historic need?Does record fill any historic need?

In case record fills two needs, use the most important function.

Avoid creating/keeping Avoid creating/keeping personal filespersonal files

not part of the official not part of the official company files.company files.

Personal FilesPersonal Files These records most often contain These records most often contain

personal notes, personal opinions, personal notes, personal opinions, criticisms, wisecracks, and other criticisms, wisecracks, and other items that would never be included items that would never be included in official files.in official files.

These files should be eliminated and These files should be eliminated and steps should be taken to prevent steps should be taken to prevent these files from being created.these files from being created.

RetrievalRetrieval

Symptoms of a Symptoms of a Filing System ProblemFiling System Problem

Do you spend more time looking for documents than using the information within them?

Do you often recreate files because tracking down existing files is too difficult?

Do you avoid filing new documents because there is no room in your filing cabinets?

Do you worry that your records are not properly backed up or secured?

Do you consider records management someone else’s job?

If you recognize any of these, you probably have a problem.

How to Reduce Misfiling RecordsHow to Reduce Misfiling Records

Label records with identifiers that clearly communicate content of record being stored.

Avoid catchall files labeled “Miscellaneous.” They are a breeding ground for lost & misplaced records. Use logical classifications.

Purge files regularly of useless records that have met retention requirements.

DispositionDisposition

Records DispositionRecords Disposition

Refers to the destruction or systematic Refers to the destruction or systematic transfer to archival storage of records transfer to archival storage of records

no longer needed for everyday no longer needed for everyday operations, frequent reference, or to operations, frequent reference, or to

satisfy requirements of external satisfy requirements of external agencies.agencies.

General RulesGeneral Rules 90 day – 90% Rule – Once a record becomes 90

days old, there is a 90% probability that it will never be referenced again.

80/20 Rule – Roughly 80% of the records of any company will come from 20% of its workers.

Reference Rule – After filing, 70% - 90% of files are never referred to again.

Inactive Files—Inactive files fill out storage space and make important files harder to find.

The 75% Rule—Seventy-five percent of all records stored in filing cabinets could be moved to inactive storage.

http://www.therecordscenter.com/general_rim_rules.htm

Destroying RecordsDestroying Records

Any record containing personal Any record containing personal information (birth dates, SS#, bank information (birth dates, SS#, bank account #, student grades, personnel account #, student grades, personnel files, etc.) require confidential files, etc.) require confidential destruction.destruction.• Strip shredders cut in stripsStrip shredders cut in strips• Cross shredders cut into ¼” squaresCross shredders cut into ¼” squares

Avoid Retaining Records PastAvoid Retaining Records PastPrescribed Retention PeriodsPrescribed Retention Periods

Unless the records are involved Unless the records are involved in a litigation claim, destroy each in a litigation claim, destroy each record as it reaches its record as it reaches its destruction date.destruction date.

Conduct AnnualConduct AnnualCompliance AuditsCompliance Audits

Once a year, conduct an internal Once a year, conduct an internal audit to confirm that record audit to confirm that record management policies are being management policies are being followed.followed.

This audit should include paper as This audit should include paper as well as electronic and photographic well as electronic and photographic media.media.

SummationSummation

Managing your company’s Managing your company’s information is everyone’s information is everyone’s

responsibility.responsibility.