Chapter 4: File Management

Section 1: Organizing Files

Overview and General Principles
Most department offices already have organized file arrangements or file plans in place
for hard copy records. This chapter addresses general file organizational principles to
employ when the need arises to

 create, revise or overhaul a filing system;

 develop and apply file management techniques and procedures to electronic

documents and records;

 develop or revise a file plan index to files; or

 establish procedures to review files in all media for storage and disposition.

The principles apply to files in any medium.

Organizing for Retrieval

Organize files for easy and intuitive retrieval of information. Organization is typically
hierarchical, moving from broad categories through subcategories to specific contents
such as individual folders or documents. The usual need is to retrieve a specific
document. In hard copy file systems organization through the folder level is ordinarily
sufficient. In an electronic file system organization techniques may extend to specific
criteria to identify individual documents.

Proper organization enables both efficient retrieval of individual documents and the
efficient management of the record series to which they belong through the record life
cycle.

Basic Arrangements
The three basic types of file arrangement are

 alphabetical - using names, subjects, geographic locations, etc.;

 numerical – using numbers in various combinations, such as date, control-section

and job, etc.; and

 alphanumerical – using a combination of letters and numbers.

Hierarchical Groupings
Typical file organization moves from broad groupings of files through progressively more
specific groupings to particular files or documents.

Chapter 5: Electronic Records

Section 1: Definition and Overview
Definition of Electronic Record
An electronic record is any information created, used and retained in a form that only a
computer can process. Electronic records include email, text messages, disaster
recovery backup tape, and records that exist on portable media, such as memory sticks,
BlackBerry devices, or PDAs. Records related to department work that may be produced
or kept on personal devices away from the office are considered state records, and are
not the employee's personal property.

Any state record may be created or stored electronically. Certified output from
electronically digitized images or other electronic data compilations is accepted as
original state records by any court or administrative agency of this state unless barred by
a federal law, regulation, or rule of court.

The definition of a record can range from a single document to entire files of different
types of applications and media related to the conduct of official business. In this
chapter, the term record and file may be used interchangeably to describe official
records, as distinguished from the use of these terms to describe specific data sets in the
computing environment.
Chapter Overview
This chapter

 defines electronic records,

 summarizes requirements for managing electronic records,

 discusses practical procedures and best practices for managing electronic records
during the inactive portion of their life cycle,

 discusses management of email records,

 discusses records management planning in the development of electronic document

management systems, and

 discusses risk management and electronic records.