Organizing and Managing Your Files

Organizing and Managing Your Files Records Management Program Suffolk University Archives 617.305.6255617.305.6275 (fax) mdelloiacono@suffolk.edu

Goals of today's session: • Introduce basic principles of classification and arrangement • Discuss electronic and manual filing • systems • Tips for implementing new strategies • Questions?

Common arrangements and features • Arrangement Organization Features • Alphabetical By Name, Subject Good for small volume • Numerical By number, code Accurate, but may require index • Chronological By date Good for small volume • Hierarchical By system of headings Fast retrieval, changeable • Classified By subject Complex, requires index

Reducing the area of search • In order to efficiently and quickly locate records (either manually or electronically), you should reduce the amount of records you have to search through • By subdividing your records into successively smaller groups of related files, you will have fewer groups of records to search when you are trying to find a particular file. • One way is to organize your records by function and activity, and then by the type or date of file

Hierarchical Arrangement • Organizing your files and folders hierarchically will reduce the area of search. Rather than searching through one big pile of records to find a file you need, you could break the pile down into categories (headings) based on function. • You could then take the category and separate it further based on activity (secondary heading), and separate each of those by transaction (tertiary heading), and so on as needed… • That way, identifying a needed record will be much more efficient

For Example: • Human Resources is one function defined by the Records Retention Schedule. Within that function are several activities: • Personnel • Affirmative Action • Search and Appointment • Within the Personnelactivity, there are several types of files: • Employee Personnel Records • Faculty Personnel Records • Medical and Personal Records • Family and Medical Leave

Applied to a manual filing system, it would look like this: Human Resources Personnel Family and Med.. Leave Med./ Personnel Records Employee Med. Records Faculty Personnel Records Affirmative Action Search and Appointment

Tips on Hierarchical Arrangement • Establish headings and subheadings as needed—don’t over classify (perhaps 10 records or more would establish a new heading, otherwise move to a higher level) • Make sure your paper and electronic structures are the same • Color coding can enhance the retrieval process • Apply additional arrangements within the general hierarchy. For example…

Using our earlier arrangement: • Human Resources • Personnel – hierarchy by status (current or former), then alphabetically • Search and Appointment - Chronologically

Organizing for Disposition • This simply means arranging in order to easily apply retention periods according to the General Records Schedule • For example, let’s look at • 1420 Special Events Records • Description: Documents events sponsored or co-sponsored by the university or individual departments and offices. This may include commencements, convocations, lectures, dinners, ceremonies, visits, tours, retreats, and other social events. • Examples: Records may include planning and arrangement records, announcements, program flyers and brochures, participant registration and attendee lists, agendas, presentation materials, photographs or videos, evaluations, minutes and notes, and any substantive correspondence. • Retention Period: • a) Planning and arrangement records, registration and attendee lists, and transitory correspondence: Retain until administrative use ceases, and then destroy. • b) All other records: Retain for 5 years after event, and then transfer to Archives. (

So, in order to create a steady flow of records OUT of the office that (hopefully) matches the steady flow of records IN to the office, your files might be arranged: • Separate series: arrangement and planning records – don’t mix with facilities, for example • Separate folders w/in series: payment records, catering arrangements - maybe also for meeting minutes, programs and fliers, presentations • Same folder: phone messages, any other very short term records • Retire files when a project is over; at end of fiscal year, stop filing in that folder and start new

One size does not fit all... • Everyone’s office is a bit different - they create different types of records, and use them in a variety of ways • Try to arrange the files the way you will look for them - if you normally search by name, don’t arrange by subject…

Basis for the Arrangement: “What information will the user know as they approach the file?”

Top 5 Filing Tips • File on a regular basis • Color code your files • Retire your files at the end of each year and start new folders • Write the disposition date and action on the file folder • Eliminate extra copies

Naming Conventions • The specific arrangement of files is not as important as consistency and documentation--especially when it comes to electronic documents • When organizing electronic files and folders, it is critical to base names on some type of controlled vocabulary

Naming Conventions • Being consistent in naming files and folders has many advantages: • Assists in maintenance and disposition • Assists in easily and quickly locating files • Assists in determining ownership • Eliminates use of synonyms resulting in duplication • Restricts use of personal file names • Electronic files relate to organization's paper records indexes

Naming Conventions and Disposition • Naming your electronic files with the date first can assist in disposition. • For example, a file about billing records that were paid on February 8, 2005 could be named 20050208_FIN_PD • Note that the date format is year_month_day and the month and day are written with 2 digits…this format will achieve chronological order when sorting electronically

Naming Conventions-Tips • Nothing comes before something (New York comes before Newbury), so avoid spaces. • Underscores work well to space necessary elements of a file name For example, a draft of a files management workshop could be saved as: DFT_files_management_April_2007 • Humans can be taught to ignore “the” at the beginning of a term but computers generally can’t be, so avoid using articles (a, an, the) • Numbers will come before letters--docket and case numbers make naming easier

Naming Conventions-Tips • All words and symbols are considered--keep in mind how the names will sort • Establish consistent patterns • Prefixes and suffixes • Abbreviations • Acronyms • Controlled vocabulary-avoid synonyms • *Document/index your choices* Sample Abbreviations Document TypeName Draft # 3 DFT003 Final Copy FNL Memorandum MEMO Contract CTR Schedule SCD Month Jan or 01 Year 2007 or 07

Naming Conventions-Summary • Once again, the specific scheme is not as important as consistency and documentation • Create a plan and stick to it: different people will come up with different names, so conventions need to be laid out and followed • Try to match your electronic names as closely as possible to the paper file names • Chronological filing can be accomplished through naming conventions, thus assisting in disposition

Implementing a New Filing System • Ease into a new system slowly…set up major (primary) categories, one file series at a time • Weed unnecessary files according to the relevant records schedule entries • Choose a natural starting point • End of fiscal year • End of an audit • End of the school year (more time, less interruptions)

Contacting Records Management • Interpreting the records schedule • Transferring permanent records to the archives • In-office records consultations • Customized training and instruction • Office moves and cleanups • Large-scale scanning or digitization projects • Michael DelloIacono, University Records Manager • Suffolk University Archives • 617.305.6255617.305.6275 (fax) • mdelloiacono@suffolk.edu

Organizing and Managing Your Files