1. Document &Record Control/Management Workshop Presenter: Gail Nelson Coffee Industry Board July 18,2008 Email: gnelson@ciboj.org Central St. Catherine Coffee Cooperative

2. Agenda Welcome &Prayer --- 10:00 a.m. Welcome &Prayer --- 10:00 a.m. Introductions --- 10:15 a.m. Introductions --- 10:15 a.m. Presentation and Practice --- 10:35 a.m. Presentation and Practice --- 10:35 a.m. Lunch --- 12:00 a.m. Lunch --- 12:00 a.m. Review & Closing --- 1:00 p.m. Review & Closing --- 1:00 p.m.

3. What is a Document? A document is simply an instrument conveying information. A document is simply an instrument conveying information. This is a very wide definition and covers a range of instruments for information capture such as written information, tapes information and even pictures! This is a very wide definition and covers a range of instruments for information capture such as written information, tapes information and even pictures!

4. Types of Documents Procedures Procedures Agreements* Agreements* Certificates Certificates Technical bulletins Technical bulletins Contracts* Contracts* Presentations Presentations Forms* Forms* Maps Maps Drawings Drawings

5. What are the documents used in your organization?

6. What is a Record? A type of document that provides permanent evidence of past events, activities or agreements. A type of document that provides permanent evidence of past events, activities or agreements. Any recorded information regardless of physical form or characteristics. Any recorded information regardless of physical form or characteristics. Can be recorded on paper, tapes, sound recorders, pictures. Can be recorded on paper, tapes, sound recorders, pictures. A record must be verifiable A record must be verifiable

7. What kind of records can be found in your organization?

8. Document Cycle 1. Creation or Receival 2. Use & Distribution 3. Storage/Archiving 4. Disposal

9. Why Control Documents? “The biggest fear is perhaps the loss of a vital or irreplaceable document.” “The biggest fear is perhaps the loss of a vital or irreplaceable document.” Protection from disasters or environmental conditions. Disasters of any kind (natural or manmade) can also play a part in the loss of important documents. Protection from disasters or environmental conditions. Disasters of any kind (natural or manmade) can also play a part in the loss of important documents. It is not so much so much about managing paper, it is about managing information in whatever form that happens to take.” It is not so much so much about managing paper, it is about managing information in whatever form that happens to take.”

10. Why Control Documents? The Price of Being Disorganized is wasted time. The Price of Being Disorganized is wasted time. “You only have so many hours of the day, so many minutes, and so many seconds in a day.” “You only have so many hours of the day, so many minutes, and so many seconds in a day.” To spend 45 minutes trying to locate a document is significant time away from your core duties. To spend 45 minutes trying to locate a document is significant time away from your core duties.

11. Which Office Would You Rather Work In?

12. What Kind of Document Manager are You? Have a well organized system that is easily understood by everyone. Don’t know East from West! Have a system that only you can figure out!

13. Document Control Ensures that: Ensures that: Documents are properly identified, filed and appropriately stored. Documents are properly identified, filed and appropriately stored. Documents remain legible and readily identifiable. Documents remain legible and readily identifiable. Relevant versions of applicable documents are available at points of use. Relevant versions of applicable documents are available at points of use. The unintended use of obsolete documents is prevented. The unintended use of obsolete documents is prevented.

14. What Do We Mean by Control Measures taken to regulate the: 1. Preparation 2. Review 3. Approval 4. Distribution 5. Access 6. Storage 7. Security 8. Alteration 9. Amendment 10. Disposal

15. Records Management The practice of records management involves: The procedures for creating and approving records The procedures for creating and approving records System for identifying existing and newly created records System for identifying existing and newly created records Coordinating the circulation of records within and even outside of an organization. Coordinating the circulation of records within and even outside of an organization. Classifying and filing records for storage Classifying and filing records for storage Executing a retention policy to archive or destroy records according to: Executing a retention policy to archive or destroy records according to: Company needs, Company needs, Legal requirements Legal requirements Other constraints ( space, financial etc.) Other constraints ( space, financial etc.)

16. Records Management

17. Some Features Every Valid Record Must Have 1. Title 2. Author/authorizing signature 3. Date 4. Version number 5. Numbered pages (where applicable)

18. Why Control Records? Records are stored because they may need to be retrieved at some point. Records are stored because they may need to be retrieved at some point. Retrieving, tracking the record while it is away from the file room, and then returning the record, is referred to as circulation. Retrieving, tracking the record while it is away from the file room, and then returning the record, is referred to as circulation. At its simplest, circulation is handled by manual methods such as simply writing down who has a particular record, and when they should return it. At its simplest, circulation is handled by manual methods such as simply writing down who has a particular record, and when they should return it.

19. Decision #1: What do I Keep? The issue that many people face is the fact that you can’t keep everything. If you do, you will get bogged down by information that isn’t important. The issue that many people face is the fact that you can’t keep everything. If you do, you will get bogged down by information that isn’t important. Documents that serve as evidence of a transaction or activity need to be saved. Documents that serve as evidence of a transaction or activity need to be saved. Vital records (records that can’t be recreated or found anywhere else) should also be saved (a lease, a contract, etc.). Vital records (records that can’t be recreated or found anywhere else) should also be saved (a lease, a contract, etc.).

20. Decision #2: How Long Do I Need to Keep Them? Generally speaking your records must be: Identified Identified Legible Legible Arranged into categories based on the activities documented Arranged into categories based on the activities documented Monitored and tracked with respect to security and access Monitored and tracked with respect to security and access Stored appropriately Stored appropriately Kept accessible and easily searchable Kept accessible and easily searchable Disposed of lawfully. Disposed of lawfully.

21. Decision #3: How Do I Store Them? Records must be stored in such a way that they are both sufficiently accessible and are safeguarded against environmental damage and disasters. Records must be stored in such a way that they are both sufficiently accessible and are safeguarded against environmental damage and disasters. A typical contract or agreement may be stored on ordinary paper in a file cabinet in an office. A typical contract or agreement may be stored on ordinary paper in a file cabinet in an office. Vital records may need to be stored in a disaster-resistant safe or vault to protect against fire, flood, earthquakes and even war. Vital records may need to be stored in a disaster-resistant safe or vault to protect against fire, flood, earthquakes and even war.

22. Some Control Strategies 1. Classify records, as each type will be treated differently: Legal Legal Personnel Personnel Receipts Receipts 2. Label files with record name and period is applicable 3. File records in date order 4. Keep a log of all records in circulation: Who Who What What Where Where When When 5. Keep a master list of all files that are maintained: Name of file Location of file Owner/Responsible person Period for which each file will be retained in active circulation. Review period (for removal to archive/disposal)