Managing Active Physical Records in an Electronic Age · Records in an Electronic Age ......

Managing Active Physical Records in an Electronic Age

Dr. Ann Bennick, CRM

Houston ARMA Conference

April, 2013

• Most information today is created in electronic format

• Physical records still exist and must be managed• Many companies concentrate on ESI (Electronically

Stored Information)• Many companies assume physical records will “take

care of themselves”

This conference session focuses on how to manage active physical records while taking

advantage of current technologies.

The participants will understand that:

1. Proper management of physical records can be a stepping stone to

building a comprehensive records/information management (RIM) program

focusing on assisting end users make decisions based on complete, accurate, up-to-date information

The participants will understand that:

2. Classification/taxonomy development andmaintenance in conjunction with approved retention schedule is critical in managing all records, regardless of format.

3. Physical filing aids can enhance records retrieval, transfer, and final disposition.

Active Filing for Business Records, Second Edition

by Dr. Ann Bennick, CRM and Judy Sitton, CRM

Publisher: ARMA InternationalEstimated publication date:

October, 2013

• Example other procedures and considerations necessary to development and implementation of file systems:

• Follow Systems Analysis Process• Determine information content and document format• Calculate Volume (current and needed)• Analyze user needs for access, retrieval; legal, privacy issues• Determine current work-flow processes, recommending changes if

needed • Calculate potential costs and savings (return on investment)• Determine management support (current and how to build more)• Build a foundation on which to make decisions on classification,

etc. • Use all available, cost effective technology• Train at all stages, report progress frequently • Plan and implement project conversion and follow up

This Session Uses Selections from Chapters 6, 8, 12 and 9-10.

Definitions

•Active File: Records that are frequently accessed or must be retrieved immediately when needed

•Classification/Taxonomy: A listing of file categories, subsidiary levels, and/or titles that may: reflect physical order, may serve as a cross-reference to physical order,or may provide a key retrieval term for electronic

records with a common subject content. Historically called an index

Definitions

•Metadata: Structured data that describes, explains, locates, or otherwise makes it easier to retrieve, use or manage information resources•Metadata Examples: author, date created, format, department/organization, file code (which links to retention), revision date(s), keywords, retention holds and releases, company required data elements, etc. For electronically generated and stored information, many metadata elements are automatically generated.

Key Retrieval Terms, Codes, Document Attributes

File Code = Physical or Logical Document Address

Classification/Taxonomy Development

• Classification/taxonomy must be linked to the retention schedule.

• If no schedule exists, use survey/inventory data to develop both retention schedule and classification/taxonomy.

• Both classification/taxonomy and retention schedule are needed to manage information throughout its life cycle.


Retention Schedule Classification/Taxonomy

Most Records/Information Management (RIM) software provides the opportunity to link Retention Schedule to Classification/Taxonomy

through metadata.


• The purpose of filing is to find (physical and ESI)

• Classify based on document/information content, not format

• Develop major classifications on business functions, not business unit names—focus on content

• Classification/Taxonomy must not change when business unit names change


Use the file code as shelf addressFile Code = Street Address


• Print or write file code on physical documents• Ensures that documents with same subject content

are collected in the same physical folder


• Associate file code (as metadata) with each logical document

• Provides end user with complete, accurate information, regardless of document format.


• More than one classification/taxonomy can exist; or they can be centrally managed under one master system.

• Identify Natural Order File Groups; use existing key retrieval terms/numbers as file code.

Natural Order File Group Examples


• Subject File Classification—graded or ranked series where each lower level is subordinate to the level above. Various options exist for assigning file codes.

3-Level Subject File Classification/

Taxonomy

Alphabetic Major Codes Two-Level Classification

Classification/Taxonomy DevelopmentUSE NO MORE THAN 3 CLASSIFICATION LEVELS

File Folder/Equipment Selection Criteria

Selection Considerations Include (but are not limited to):• Document Size?• Expected document volume per folder?• Multiple sections needed within folder?• User access requirements?

Centralized file room?Centralized classification/taxonomy,

decentralized file room?• Expected retrieval activity level? Do folders travel?

File Folder/Equipment Selection Criteria

Selection Considerations continued:

• Security/privacy considerations?• Type of equipment available or to be acquired?• Sufficient floor space available for total expected volume

(after applying approved retention) plus growth?• Adequate floor load capacity?• Sufficient aisle space available?

Equipment: Basics

Equipment: Basics

Drawer File Cabinets: Most Expensive to Use

Equipment: Basics

Lateral File Cabinets: Closed

Equipment: Basics

Lateral File Cabinets: Open

Open Lateral Cabinet

Specialized Hanging Devices

Unit Boxes that Slide on Rails

Fixed Shelves with File Supports

Equipment: Basics

Moveable Aisle (Mobile Track) Equipment:Provide sufficient number of access aisles

• Manual• Mechanical Assist• Electrical Assist

Equipment: Basics

Specialized Equipment:• Can be open or closed• Most can be placed on mobile carriages• Most can be custom configured

Case Study: Equipment Layout

Design equipment layout to provide the most efficient walk path for end users

Folder/Visual Aid Selection

Basic File Folder DesignFolder must match equipment (top or end tab)


Basic File Folder Design

Universal folders have both full-cut top tabs and full-cut end tabs• can be used for end tab labeling, color coding,• for standard label placement on top tabs, or• when folders move from shelf to desk drawers


File PocketsMost file pockets have an expansion gusset.


Example of folders filed in both shelves and drawers (long-term)Note: Color coding (shown as patterns and shading here) forms an

unbroken pattern or “ribbon” as long as the number does not change.

Add top-tab name labels for use at desk.• Print two new labels for each folder• Print customer number followed by

customer name: print on first line of top-tab label but on bottom line of end-tab label.

• Add color code labels for customer number.


Name Label Placement on Folders• Name labels on all folders should be easy to read.• Print file number on line nearest outside edge and close to edge. • Maintain a left-to-right reading order for end tab labels. • Front and back labels (if both are used) will begin at opposite ends of the end tab label.


Appropriate Use of Color Coding

• Draws your eyes to the general location of the folder you need (within 12-15 inches of the folder’s location)

• Makes misfiles easy to see

• Use full or partial file code

• Special code may denote year or other identifier

• Must not compromise proprietary or private information

COLORED FOLDERS ARE NOT RECOMMENDED.

Folder/Visual Aid SelectionProper Use of Top Tab Folders

• Use of multiple position tabs (like 1/3 cut) can be problematic.• Initial implementation follows left-to-right reading order.• Cannot sustain the left-to-right reading order when interfiling

in the drawer if all three cuts are used.

Folder/Visual Aid SelectionProper Use of Top Tab Folders

• Recommend dictionary order (straight line, front to back like in a list) to increase filing and retrieval efficiency.

• Drawback: cannot add a new folder if supply runs out.• Best method: use dictionary order with straight cut top tabs.• With straight cut folders, labels can be positioned anywhere

on the tab.

Additional Aids

Folder Selection Forms from Active Filing for Business Records (Bennick-Houston ARMA Conf-4-2013, Forms Handout.pdf)

Folder Selection Decision Matrix Folder Layout Template

Draft Table of Contents from Active Filing for Business Records, Second Edition (Table of Contents-draft-Active Filing for Business Records

Second Edition.pdf)

Managing Active Physical Records in an Electronic Age · Records in an Electronic Age ......

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