Essential guide to filing and records management

Records management (RM) is the supervision and

administration of digital or paper records,
regardless of format.
Records management activities include the
creation, receipt, maintenance, use and disposal of
records.
Documentation may exist in paper (hard copy) or
digital records, Paper records are filed and stored in
cabinets while Digital records are stored on the
computer system in different formats.
The goal of records management is to help an
organization keep the necessary documentation
accessible for both business operations and audit
compliance. In some small to mid-sized
businesses, spreadsheets are used to track where
records are stored, but larger organizations may
find records management software for
classification and records retention schedule, it is
also capable of helping an organization to manage
both records and ordinary content.
Reliable filing and record-keeping systems
provides you with access to the information you
need, when you need it – helping to save time,
money, and effort.
There are established ways to manage and store
information. As well as ensuring information is
accessible, filing systems ensure data is safely
stored and that you comply with all legislation.
1. Important things to note about filing
• You need one single filing and records system to ensure
that people can find the information they need, when
they need it. (Centralized and decentralized)
• Decide the main categories for your filing system and
give each a code
• For example, sales/marketing (SA/MKT), accounting (AC),
human resources (HR) and administration (Admin).
• Have a Project Files category (PF) for anything that falls
outside of your main categories.
Methods of filing
• There are 5 methods of filing:
• Subject/Category
• Alphabetical order
• Numerical order
• Geographical order
• Chronological order (Order of event)
2. Managing the filing and records system
Give one person overall responsibility for your filing and records
system
• Make each manager and individual responsible for managing
information within the context of their job.
• Records should only be available to staff who need them to carry out
their work (with appropriate and necessary safeguards for personal
and sensitive information).
• Communicate the basics of information management to all
employees.
Good indexing and titling are essential for effective information storage
• Each file's title must be meaningful and must accurately reflect its
contents
• Anyone who knows your system ought to be able to find the right file
immediately.
• If the nature of the contents changes you should leave the old file alone
and create a new one.
Develop a clear tracking system for files
• Any files that are removed from their normal locations should be signed
out, so that they can be traced.
• Do not allow files that spring up around projects to undermine the system
• Discourage personal filing of documents. Not only is this unprofessional,
it is also unsafe.
3. Making filing and records management work
• For a paper filing system, write file names on the back of folders
• Write from the top downwards. Consistency means all the titles on a shelf
can be read quickly.
• If it is not obvious, put a summary of the contents on a record sheet in
front of each file
• Include dates for each update.
• Use colour to make different types of file easier to spot
• Use coloured dividers to separate sections.
• Use coloured paper (or mark the top right corner with a highlighter pen)
for important documents. For example, an invoice, a contract, or a progress
summary of a project.
• Do not let working files get too fat
• Papers in a file will start to be damaged once it is more than about
3cm thick. Close the folder (insert a sheet saying: 'Folder closed, see
Part 2'), mark it 'Part 1' and open a new folder for the same file
(marked 'Part 2').
Electronic Filing Systems
• Whether you are storing files on your computer's hard drive or on a
networked drive, it is important to establish a system that allows you
to access your files, avoid duplication, and that can be backed up. A
good place to start is to develop a logical folder structure. The
following tips should help you develop such a system:
Use folders/directories
• Group files within folders so that all information on a particular topic
is located in one place.
Adhere to existing procedures
• Check for established approaches in your team or department which
you can adopt.
Name folders/directories appropriately
• Name folders after the areas of work to which they relate and not
after the employees creating and using them. This avoids confusion in
shared workspaces if an employee leaves, and makes the file system
easier for new staff or subsequent projects to navigate.
Be consistent
• When developing a naming scheme for your folders it’s important
that once you’ve decided on a method, you stick to it. It's okay to
change a system that you establish if it doesn't work for you or your
coworkers, but once you've settled on a scheme, always use it. If you
can, try to agree on a naming scheme within your department or
before a shared project so that everyone uses and understands the
scheme.
Structure folders/directories hierarchically
• Start with a limited number of folders for the broader topics and then
create more specific folders within these.
Separate ongoing and completed work
• As you start to amass lots of folders and files, it is a good idea to
separate your old documents from those you are currently working
on. You might create a folder with the same name as the original and
add the word "Archive" or a destruction date to the end.
Backup
• Ensure that your files, whether they are on your local drive or on a
network drive, are backed up regularly.
Review records
• Assess materials regularly or at the end of a project to ensure files are
not kept needlessly. Put a reminder in your calendar so you don't
forget!
4. Filing and records security
• In any business, some information needs to be kept confidential.
Personal data must be protected, with access restricted only to
employees who require it for their roles.
• Physical files and digital files that need to be shared outside of the
organization pose a particular security risk. Your staff must understand
these risks and their responsibilities to protect company data.
• Confidential documents must be kept in locked cupboards or filing
cabinets
• Have a simple way of classifying and marking confidential files. For
example, by adding an asterisk after the file's name.
• Confidential material in computer files can be given appropriate
protection
• Protect files with strong passwords. Use a combination of letters,
numbers and special characters.
• You should have back-up systems in case of loss, theft or damage to
files
• Back-up copies of important files should be stored in a secure, off-site
location.
• Install virus protection to safeguard information stored on computer
• Computers connected to the internet should also be protected from
any unauthorized person attempting to access it with a security
'firewall'.
• Dispose of old files and computers containing confidential information
in a secure manner
• Paper records should be shredded or disposed of through a
recognized waste contractor
• Hard drives on redundant computers should be physically destroyed
or securely 'wiped' to make all the data on them irretrievable. Unless
you do this, data may remain accessible.
Filing and records management in the longer term
• Be clear about how long you want to keep different types of files
• Consider your business needs and legally how long you must keep
data.
• Keep paper records in good condition by storing them in boxes. Scan
paper files into computer files if possible.
• Move old records out of the main filing system and into an
archive to keep your filing system efficient and uncluttered.
• Encourage people to get rid of material as soon as it isn’t
essential for performing their role or is no longer useful.
How long is long-term?
• Accounting and tax
• Accounting and tax records for an ordinary limited company
may be retained for at least six years after the end of the tax
period they relate to. This should be determined by the MD
VAT
• VAT records and documents may be kept for six years.
Contracts
• Contracts should be kept for six years after the contract ends, though
contracts under seal (such as deeds) should be kept for 12 years.
Health and safety
• Health and safety records should be kept for at least three years.
• Records relating to hazardous substances may need to be kept longer.
• Employers' liability insurance
• Employers may display their certificate of insurance at each place of
business. The certificate can be made available to all employees
electronically.
 THANK YOU
MIRIAM EMMANUEL