Taking Control of Your Files

Filing System Best Practices

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

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

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

Basic Records Management Review

Official vs. Unofficial Record Records Retention Schedule

Records GroupRetention PeriodRetention Event

The Record Life Cycle

Record Life Cycle

2. DistributionWho gets the record?

Internal or External

3. UseDecisionsReferenceInquiries

Legal Requirements

4. MaintenanceStore/FileRetrieveProtect

5. DispositionTransferRetain

OR Destroy

1. Creation of Record(or receipt of record

from outside University)

Record Life Cycle cont.

CreationLetter writtenForm completedDocumentation received

Record Life Cycle cont.

DistributionUsed internallySent to another department for use

• If sent to another department for use, who has official record?

Record Life Cycle cont.

UseActively being referred toNeeded for decision makingNeeded to answer questions May overlap with maintenance

Record Life Cycle cont.

MaintenanceFiling & RetrievalActive vs inactive recordsRemoval of duplicate recordsPurging of obsolete recordsRetention event occurs during this

stage

Record Life Cycle cont.

DispositionOfficial records vs unofficial recordsPermanently RetainSend to University ArchivesShredDispose

Maintenance: Filing & Retrieval

Filing Systems Filing System Controls Active vs Inactive Records

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

Types of filing systems

Alphabetic

Numeric

Alphanumeric

Subject

Alphabetic Filing Systems

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

Recommended for fewer than 10,000 folders

Numeric Filing Systems

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

Recommended for more than 10,000 folders

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

Subject Filing Systems

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

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.

Labeling Files

Labels can include File name or number Creation year or date Barcode Record Group Number Destruction date (if applicable)

Storage Equipment

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

Media stored

Accessibility & visibility

Space efficiency

Ability & ease of growth

Option to reconfigure

Aesthetics & quality

Security

Investment

Excellent Poor

4 or 5 Drawer – Vertical File

Capacity in a 16’ x 20’ room 4 Drawer 15 LFI/Sq Ft

5 Drawer 18.75 LFI/Sq Ft

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

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

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

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

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

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

Space Efficiency Comparisons

Room Size 16’ x 20’

15 15

18

2224 25 25

31

50

57

0

10

20

30

40

50

60

4 Dwr Vert 5 Dwr Lat 5 Dwr Vert ElectronicVertical 10

Open ShelfFiling 7

Fix Lat 7 Rotary 7 ModularMobile 7

Mobile w/ 4Post 7

Mobile w/4Post 8

Type of Equipment

Fil

ing

In

ch

es p

er

Sq

uare

Fo

ot

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

Mobile Storage ConceptMobile Storage Concept

Normal Stationary Shelving (Lots of Aisles)

Shared workspace and storage space…

Mobile Storage ConceptMobile Storage Concept

Storing materials in less square footage which, in turn, gives additional free

space

Same Storage Capacity – Half the Space…

APPLICATIONSAPPLICATIONS

Cantilever shelving

4-Post shelving

Variable opening heights

Versatile end-panel options

Public Library

Special Collections

4-Post shelving

Variable opening heights

Versatile end-panel options

High Density

Active Access

Multiple End-Panel Options

Multiple Finish and Color Options

Learning Center

• For stock and inventory

Variable shelf options

Highly visible contents

Easily reconfigured

Retail

Filing System Controls

In/Out System Limited file creators Adequate security Adequate storage “Weeding” policy

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.

Separating Inactive from Active

Perpetual Transfer Method

Periodic Transfer Method

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

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

Periodic Transfer Method

Transfer of active records at the end of a stated period of time

Typically done once or twice a yearExamples: Financial records, records

to be transferred to University Archives

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

Implementing Either Method

Set up your filing system to reflect the Record Groups on the Records Retention ScheduleExamples: Meeting Minutes, Annual

Reports, Student Files, Faculty Applications

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

Helpful Tip!

The organization methods we discussed today can be

applied to electronic records too!

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