Taking Control of Your Files

1. Taking Control of Your Files Filing System Best Practices

2. Today’s Goals • Learn about different ways to organize and label files • Understand the different filing storage options • Be able to separate and track files • See demos of some organizational products and file tracking software

3. Records Management Program Tools • Policies and Procedures • Records Classification and Retention Schedule • Filing Equipment and Supplies • Offsite Inactive Storage Facilities/Services • Secure Document Destruction Equipment/Services

4. Records Management Implementation and Maintenance • Classify and code files • Physical file arrangement • Retrieval and re-file • Purge non-record material • Apply records retention • Transfer inactive files off-site • Dispose of eligible files

5. Basic Records Management Review • Official vs. Unofficial Record • Records Retention Schedule • Records Group • Retention Period • Retention Event

6. The Record Life Cycle

7. Record Life Cycle

8. Record Life Cycle cont. • Creation • Letter written • Form completed • Documentation received

9. Record Life Cycle cont. • Distribution • Used internally • Sent to another department for use • If sent to another department for use, who has official record?

10. Record Life Cycle cont. • Use • Actively being referred to • Needed for decision making • Needed to answer questions • May overlap with maintenance

11. Record Life Cycle cont. • Maintenance • Filing & Retrieval • Active vs inactive records • Removal of duplicate records • Purging of obsolete records • Retention event occurs during this stage

12. Record Life Cycle cont. • Disposition • Official records vs unofficial records • Permanently Retain • Send to University Archives • Shred • Dispose

13. Maintenance: Filing & Retrieval • Filing Systems • Filing System Controls • Active vs Inactive Records

14. What is a filing system? • The systematic indexing and arrangement of records based on established procedures. • Allows for consistent storage and retrieval of records over time

15. Types of filing systems • Alphabetic • Numeric • Alphanumeric • Subject

16. Advantages No index required Easy to understand Related records can be grouped together Disadvantages Misfiling can be prevalent if rules are not followed Names on folders can be seen by anyone Alphabetic Filing Systems Recommended for fewer than 10,000 folders

17. Advantages Refiling may be easier Easily expandable Easy to determine age of records Disadvantages Index required Congestion may occur at end of storage space Numbers can be transposed, leading to misfiles Numeric Filing Systems Recommended for more than 10,000 folders

18. Alphanumeric Filing Systems • Combines the features and advantages of alphabetic and numeric filing systems • May require more training in order to create and locate files

19. Advantages Subjects are easy to remember Related records are stored together Subdivisions can be added for expansion Disadvantages Vocabulary needs to be defined and used consistently May be overlap of several subjects Subject Filing Systems

20. Color Coding • Color coded labels can help you • Differentiate between file types • Locate misfiles • 40% faster filing The human mind can “read” colors much faster than letters or numbers at a greater distance.

21. Labeling Files • Labels can include • File name or number • Creation year or date • Barcode • Record Group Number • Destruction date (if applicable)

22. Storage Equipment • Vertical File • Lateral Roll-Out • Fixed Shelf Cabinets • Rotary Files • Open Shelving • Modular Mobile Lateral Shelving • High Density Mobile Storage

23. 4 or 5 Drawer – Vertical File Media stored  Accessibility & visibility  Space efficiency  Ability & ease of growth Option to reconfigure Aesthetics & quality Security Investment Excellent  Poor Capacity in a 16’ x 20’ room 4 Drawer 15 LFI/Sq Ft 5 Drawer 18.75 LFI/Sq Ft

24. Lateral Roll-Out 5 Drawer  Media stored  Accessibility & visibility  Space efficiency  Ability & ease of growth  Option to reconfigure  Aesthetics & quality  Security  Investment Excellent  Poor Capacity in a 16’ x 20’ room 5 Drawer 15.09 LFI/Sq Ft

25. Fixed Shelf Cabinets 6 & 7 Levels  Media stored  Accessibility & visibility  Space efficiency  Ability & ease of growth  Option to reconfigure  Aesthetics & quality  Security  Investment Excellent  Poor Capacity in a 16’ x 20’ room 6 Levels 21.04 LFI/Sq Ft 7 Levels 24.54 LFI/Sq Ft

26. Rotary Files  Media stored  Accessibility & visibility  Space efficiency  Ability & ease of growth  Option to reconfigure  Aesthetics & quality  Security  Investment Excellent  Poor Capacity in a 16’ x 20’ room 7 Levels 25.20 LFI/Sq Ft 8 Levels 28.80 LFI/Sq Ft

27. Open Shelving  Media stored  Accessibility & visibility  Space efficiency  Ability & ease of growth  Option to reconfigure  Aesthetics & quality  Security  Investment Excellent  Poor Capacity in a 16’ x 20’ room 7 Levels 24.25 LFI/Sq Ft 8 Levels 28.26 LFI/Sq Ft

28. Modular Mobile Lateral Cabinets  Media stored  Accessibility & visibility  Space efficiency  Ability & ease of growth  Option to reconfigure  Aesthetics & quality  Security  Investment Excellent  Poor Capacity in a 16’ x 20’ room 6 Levels 27.30 LFI/Sq Ft 7 Levels 31.20 LFI/Sq Ft

29. High Density Mobile Storage  Media stored  Accessibility & visibility  Space efficiency  Ability & ease of growth  Option to reconfigure  Aesthetics & quality  Security  Investment Excellent  Poor Capacity in a 16’ x 20’ room 7 Levels 50.25 LFI/Sq Ft 8 Levels 57.43 LFI/Sq Ft

30. Space Efficiency Comparisons Room Size 16’ x 20’

31. Estimated Equipment Cost Figures Costs Per Linear Filing Inch (LFI) • Open Shelf Filing $ 1-3 per LFI • High Density Mobile Storage $ 2-5 per LFI • Fixed Shelf Cabinets 6 & 7 Levels $ 2-3 per LFI • 4 Drawer Vertical Cabinet $ 2-3 per LFI • Modular Mobile Sliding Unit $ 3-4 per LFI • Rotary Cabinets $ 3-4 per LFI • 5-Drawer Lateral File Cabinet $ 5-6 per LFI

32. Mobile Storage Concept Shared workspace and storage space… Normal Stationary Shelving (Lots of Aisles)

33. Mobile Storage Concept Same Storage Capacity – Half the Space… Storing materials in less square footage which, in turn, gives additional free space

34. APPLICATIONS

35. Public Library • Cantilever shelving • 4-Post shelving • Variable opening heights • Versatile end-panel options

36. Special Collections • 4-Post shelving • Variable opening heights • Versatile end-panel options

37. Learning Center • High Density • Active Access • Multiple End-Panel Options • Multiple Finish and Color Options

38. Retail • For stock and inventory • Variable shelf options • Highly visible contents • Easily reconfigured

39. Filing System Controls • In/Out System • Limited file creators • Adequate security • Adequate storage • “Weeding” policy

40. Active vs. Inactive Records • Active Record • A record needed to perform current operations, subject to frequent use, and usually located near the user and accessed often • Inactive Record • A record no longer needed to conduct current business but preserved until it meets the end of its retention period. Rarely accessed.

41. Separating Inactive from Active • Perpetual Transfer Method • Periodic Transfer Method

42. Perpetual Transfer Method • Files are continually transferred from active to inactive storage areas • Examples: Student records post-graduation, closed legal cases, finalized research projects, employee files post-termination

43. Implementing the Perpetual Transfer Method • Set aside an “inactive file” cabinet or shelf • Set up an off-site storage account with vendor • Move files immediately upon graduation/termination/closure • Mark files with end of retention period date • Purge “inactive file” area on a regular, pre-determined basis

44. Periodic Transfer Method • Transfer of active records at the end of a stated period of time • Typically done once or twice a year • Examples: Financial records, records to be transferred to University Archives

45. Implementing the Periodic Transfer Method • Mark files with creation date, fiscal year, or calendar year • Keep all records from same time period together • Decide how often you are going to transfer records (annually, bi-annually, etc) • Transfer records at end of time period to inactive storage (within the department or off-site) or to the University Archives as appropriate • Mark records transferred to inactive storage with destruction date • Review and purge stored records on a regular basis

46. Implementing Either Method • Set up your filing system to reflect the Record Groups on the Records Retention Schedule • Examples: Meeting Minutes, Annual Reports, Student Files, Faculty Applications

47. Things to Remember • Only official university records should be stored or transferred in these manners. Unofficial records should be disposed of once your office no longer needs them to do business • Unless records are marked as “Permanently Retain” or “Send to University Archives” on the Records Retention Schedule, any records that have met their retention event should be marked with a destruction date • If you are unsure of the destruction date or retention period for your records, contact the Records Management Department before storing or destroying them

48. Helpful Tip! The organization methods we discussed today can be applied to electronic records too!

49. Contact Information Erin Vandenberg Director of Records Management evanden3@depaul.edu 312-362-7941 55 E Jackson, Suite 850 http://rm.depaul.edu Dan Clark Account Consultant TAB 312-454-5800 ext. 239 dclark@tab.com http://www.tab.com