The first step in designing and implementing a computer filing system is to understand that the basic concept for filing paper records is the same as for electronic records — it all comes down to knowing how the records will be referenced and retrieved. Just as you create paper folders labeled with names and file them alphabetically, the same holds true for electronic folders. Think of your computer folders as an
electronic file cabinet. Although this sounds logical, most people do not draw the parallels between paper and electronic filing.
Electronic filing does offer more filing flexibility. It’s easier to create folders and subfolders, add additional identifying information, and then
Figure 4-13:
Main folder structure.
retrieve information. Although this is an advantage, it can become a filing and records management challenge. Think it through: A paper filing system is an established and controlled process; you can see the files in the file cabinets. It would be obvious if an employee decided to purchase a new file cabinet and began to file a department’s records by using a new and unapproved method.
It’s not that obvious with electronic filing. In most organizations, employees have the ability to create ad hoc folders and subfolders, either on their hard drive or on a network drive, and file information in them as they see fit. This may occur for a prolonged period of time before it’s discovered — if it ever is discovered.
Because of the ease with which folders can be created, guidance and
accountability have to be imposed from above when it comes to electronic filing systems. This includes guidelines on how to name folders and files (I review these items later in this chapter).
When creating an electronic filing system, it’s important that you determine where your records are to be filed. For organizations with a local-area network (LAN), departments are usually assigned a specific drive for their use. After this has been determined, the next step is deciding on the main folders you need to establish.
The main folders you create need to encompass the primary record types, functions, or processes of the department. Think of the main folder as the highest-level category. For example, the Human Resources department may create a main folder structure that mirrors what you see in Figure 4-13.
Figure 4-14:
Electronic subfolders.
Figure 4-15:
Uh-oh.
In addition to establishing a department’s main folders, electronic filing allows you to easily create subfolders related to each main topic, as shown in Figure 4-14. This provides the ability to refine the filing and retrieval process.
Always make sure that each file gets assigned to a folder. That means whenever you open a main folder, you generally never see individual files, but rather subfolders. (Refer to Figure 4-14.) The one exception here is those cases where the main folder is really all there is — no additional subfolder refinement needs to take place. Figure 4-15
illustrates what you want to avoid when opening a main folder or high- level subfolder.
Individual files haven’t been assigned to separate subfolders.
In the scenario shown in Figure 4-15, you see a bunch of individual files that represent a bewildering variety of topics. Instead of throwing them all into one pot, it would be better to group them in related subfolders for
organizational purposes. Files saved in this manner will increase retrieval time due to lack of organization.
Establishing a predefined folder structure — one that encompasses the main functions of your department, plus additional subfolders that you can use to refine filing and retrieval — helps to ensure that
employees don’t create their own folder structures, which can reduce filing and retrieval efficiencies for other employees.
After the filing structure has been developed and implemented, employees should be made aware that no new folders should be added (or existing
folders deleted) without appropriate approval. In addition, you should let your employees know that you expect them to store any business-related records or information of business value on the local network rather than on their
(individual) hard drives. Saving records and information on hard drives
(individual) hard drives. Saving records and information on hard drives prevents others from having access to content that may be needed for processing or decision-making.
When creating computer folders and subfolders, be aware of the following concept:
“Instant filing, forever retrieval — Forever filing, instant retrieval”
This means that you can create an electronic filing structure so simplistic that it allows you to immediately file a document. Picture a paper file cabinet drawer with one super-sized hanging folder. Regardless of the record type you’re dealing with, you stick that document in the hanging folder — instant filing. However, when it comes time to retrieve the document, you may have to sift through the entire contents of the hanging folder to locate what you need — forever retrieval.
The same issue can happen with electronic filing. If you have a significant amount of electronic documents — documents of very different record types to boot — and yet create only the one folder for all that you have, yes, you can save the documents very quickly, but you’ll spend ages retrieving what you’ve saved. Conversely, you can create an electronic filing structure with so many subfolders that it takes too long to file, but you can immediately pinpoint its location for retrieval. The ideal electronic filing solution is a balance of simplicity and good organization.