• records have unique numbers affixed to them, such aspreprinted invoice numbers and check numbers
• records have been assigned code numbers that havesome significance. For example, the number on aninsurance policy might contain digits that signify thenumber of the regional office and the year of issuance.
• records must be protected from unauthorized access.Examples include personnel/human resources recordsthat are filed by employee number, social securitynumber, or social insurance number.
What happens when my files are nolonger active?
Files become inactive when we no longer need them for fre-quent access, such as when an employee terminates, a loan ispaid off, or a contract expires. This active period is defined inour retention schedule. These files then become inactiverecords and are retained for an additional period of time spec-ified in our retention schedule. When records become inactive,we follow our records management procedures for their con-tinued retention or disposition.
What else should I know?Our records retention schedule is the definitive source for spec-ifying what records are to be retained and how long they are tobe retained, as well as how they should be destroyed or whetherthey should be sent to an archival facility.
Questions about active files? Contact:
13725 W. 109th Street, Suite 101 Lenexa, KS 66215800.422.2762 www.arma.org
The files that we reference on a frequent basis and that need tobe available for immediate access are called “active files.” They areusually kept onsite and as near as possible to those who need towork with them. A good filing system will facilitate proper filestorage and easy accessibility by those who need the informationthe files contain. When these files are managed well, we ensure thatthe right information gets to the right person at the right time.
In addition, good file management also helps us save
• time – We reduce time spent looking for misplaced files.
• space – We don’t waste space storing duplicate or out-of-datefiles.
• money – We reduce the personnel, equipment, and supplycosts associated with managing unneeded files.
• The equipment is appropriate for the volume of files: open-shelffiles for large file collections and either lateral or vertical drawerfile cabinets for smaller collections.
• The file folders are appropriate for the filing equipment in use:side-tab files for shelf filing and top-tab folders for drawer filing.
• File folders are appropriate for the volume of information theycontain: heavy folders, such as pressboard or pocket folders, forlarger files and lighter-weight manila folders for smaller files.
• The files are arranged in an appropriate manner for the infor-mation they contain.
• Duplicate files are avoided.
• Files are kept in the system only as long as they are needed perthe retention schedule for their record series.
How do we select the correct arrangement forour files?
There are three primary ways that we can arrange our files. Eachmethod is appropriate for different kinds of information.
1. Alphabetic filing is a file system in which files and documents arearranged in alphabetic order from A to Z by some commondenominator. It is recommended for use when:
• records are retrieved by personal, organization, or govern-ment agency names such as names of people, organizations,firms, projects, publications, products, or things usually filedin alphabetic order
• no code number of significance is applied to the records
2. Subject filing is a file system in which each document relates to aspecific subject matter and is arranged in alphabetic order bysubject. It is often used when:
• the range of topics is wide, such as correspondence, reports,clippings, catalogs, research data, product developmentplans, and inventory lists
• records are retrieved by subject
• the result should be the filing of all material on one topic intoone file
• a series of documents cannot be filed by any other single fil-ing feature or document characteristic
3. Numeric filing is any classification system for arrangingrecords that is based on numbers. These numbers may coin-cide with their creation or receipt or stem from numberspre-assigned by a specific system, such as loan numbers,purchase order numbers, or social security numbers. It isrecommended for use when:
• the system contains an exceptionally large volume of records
What do managed files “look like?”Well-managed filing systems have the following characteristics:
• Files are located as near as possible to the people who usethem.
• The security level is appropriate for the information theycontain. For example, confidential files will be in a secure,locked environment, while multi-user files will be in an open,easily accessible location.
• The space is organized to facilitate user access. File drawers canbe opened completely and are not blocked by other cabinets orcrammed into too small a location.
