Kiran S 9014 Files and Records A systematic approach to filing is essential if an office is to run smoothly and efficiently. It is important to set up a filing system that will serve the practice over a long period and can be expanded as its workload grows. Administrative
Administrative documents are typically produced in-house
and will be mainly to do with practice organisation, finance, staff matters, publicity and premises management. There will be a wide range of miscellaneous topics and related paperwork which may need temporary filing and which should be ruthlessly pruned out of the system if and when it becomes redundant. Project records
Project records usually consist of paper items
(correspondence, contract documents, forms, reports, instructions) and drawings, photographs and models. Some of these items are bulky and/or need special storage, and Figure 24 demonstrates a classified arrangement of project files that takes account of this. Many disputes arise simply because there are inadequate written records. Good records, systematically stored and easily retrievable, are an essential part of risk management. Records should be made and kept of all meetings, the advice given by consultants, including the architect, and of the considerations which influenced the many decisions taken during the design process. Architects constantly have to make difficult judgements and consider compromise solutions, and must be able to justify their decisions on the basis of contemporary records. Job and office diaries should be compiled legibly and systematically and kept with other project records for as long as the practice retains any liability for a project. Databases
In-house computer databases for the storage and
retrieval of information are widely used for job lists, job records, lists of clients, lists of contractors, indexes (of reports, files), library catalogue, etc. They may be part of an integrated management information system but it must be made clear who is responsible for their compilation and maintenance. External databases can be accessed via various commercial on-line services or purchased CD-ROMs. Reference databases include bibliographic information, sometimes with abstracts, catalogues of library stock or library network, and directory information, e.g. names and addresses of organisations. Source databases contain the original source material in machine- readable form, e.g. newspaper stories, statistical surveys and company annual reports. Promotional material
In a small practice, responsibility for publicity and PR will need
to be designated and may be included as part of library duties. Whatever the arrangement, there should be a separate budget allocation, and cost-effectiveness should be kept under review. Archives
The storage of records that are no longer active needs special
consideration. A policy should be developed as to how this is to be done and for what time period, and who is to be responsible for making such decisions. Some may need to be kept for a specified period for reasons of liability; some may be intrinsically valuable and need carefully preserving. Storage is always a problem for architects, because each project generates a large quantity of documentation - drawings in particular, which are large and unwieldy. Most practices are short of storage space, and consideration may need to be given to storage out of house, or on computer or microfilm. There are many specialist firms offering secure storage, although they tend to be expensive. Storage on computer will suit some items, but duplicate hard copies will often be needed, and should be stored well away from the computer area in a fire-proof .From the management point of view, it is essential that archived material can be accessed without difficulty when and if it is needed. This means developing clear procedures for indexing and the accessing and return of material. COMMUNICATION
Channels of communication In offices, oral and written communications often have to pass through various people and processes, and can easily become distorted in transit. If they are not clearly formulated at source and properly directed, they will have little chance of being received and understood, let alone acted upon. In management, it is essential to be certain of the following: what information is needed; who needs it; what form it should take; that it will be understood. Telephones , faxes and e - mails
A record should be made of all telephone calls that
relate to the administration of projects within the office, and of most other calls which relate to business or professional matters. With projects, the simplest method is to make a note of the date and time of the call, the person to whom the call was made or from whom it was received, and the main points agreed, and to file this in the job file for the project. If important matters were discussed, these should be confirmed by letter. Some office management packages for computers have direct dialling facilities, which allow the user to search for the number in the computer's files and then use it to dial out. The call will then be logged, and there may be provision for noting the details of the conversation. These should be transferred to the job file on a regular basis. Careful thought should always be given to whether the telephone is the best means of communication in any situation Faxes are invaluable for sending information that is needed very urgently, for example for sending drawings to site. A computer package which sends and receives faxes direct is a great help as it avoids paper copies and fax machine breakdowns, and it also keeps a record of transmissions. Nevertheless, faxes should always be followed by a copy sent by post, as it is likely that the fax will not be accepted as evidence of the communication for legal purposes. Some practices tend to send everything by fax with a copy by post. This should be avoided because of the.duplication of paperwork and possible confusions that could arise, and it is generally better to keep faxes for matters of real urgency. E-mail is undoubtedly the most exciting recent development in communication. It is possible to send very large amounts of information virtually instantaneously, and to send it simultaneously to many recipients. The information can be in a very wide variety of formats, and can include text and drawings. Thought should be given before sending as to whether the sender wishes the receiver to be able to alter the document. Sometimes this is acceptable, but if this is not the case there are now a variety of ways of 'fixing' the information, such as the formation of 'pdf files from drawings. It appears that in the near future the development of 'electronic signatures' may make the need for posting hard copies redundant, as the transmission will be accepted as evidence in court, but in the meantime all documents should also be sent by 'snail mail'. Dealing with the post It is important for this to be handled systematically. One person only should open all the post and deal with it as appropriate. There should be a set of procedures drawn up for receipt and distribution and these should be complied with by all staff. They should be set out in the office or quality management manual, and regularly audited to make sure they remain effective (see Figure 27). In small practices a principal usually opens the post, but in larger practices the task may be delegated to a practice administrator. Whoever is responsible must be capable of identifying important and urgent items that need immediate attention. Professional practices get inundated with letters and literature of all kinds, much of it speculative, and it is important that whoever deals with the daily post is not side-tracked by irrelevant items and can be relied upon to discard time-wasting rubbish. An incoming letter should be read, initialled and date-stamped, and a decision made whether it needs immediate action, whether it can or should wait, or whether it can be filed. Figure 27 (Dealing with incoming and outgoing mail)
Incoming
Procedures should be put in place to ensure that:
letters, packets, parcels, etc are opened, date-stamped, and recorded; items are marked for action and distributed as appropriate; drawings received are entered in the appropriate register; courier deliveries are signed for and logged, with receipts retained, and recipients alerted about arrival; faxes are photocopied and the originals destroyed; items marked 'personal' or 'confidential' are given unopened to addressees, but are returned for logging, etc if practice-related; invoices are passed promptly to accounting staff. Outgoing
Procedures for controlling outgoing mail should ensure that items:
are checked and signed by originators; have the right enclosures or attachments; are correctly franked or stamped; are collected for postal or courier transmittal as appropriate; achieve intended delivery dates and times, are logged as despatched in the correct list or register. Writing letters Check through the letters after typing or processing and make sure that all enclosures or attachments have been prepared for posting, and appropriate copies made and marked up. Figure 29 is a checklist. A compliments slip with the name of the intended recipient should be attached to copies that do not show the office address and other details. Note that compliments slips should not be used where transmittal needs to be recorded, particularly in the case of drawings. The issue, description and despatch of drawings should be carefully recorded in the appropriate register. After signing the letter, initial all the copies including the file copy. This is always advisable with formal correspondence and is a good habit to cultivate as a matter of risk management. The writer's name and status should be typed under his or her signature. Lastly, read through the letter and consider it from the recipient's point of view. Is its purpose clear? Is it well expressed? Will they know what action, if any, they should now take? Figure 29 - Checklist before despatch of letter
1 . Does it include correct title, name, address of recipient references (theirs and yours) job number, date? 2 . Is the mode correct formal/informal? 3 . Have I referred correctly to their letter date, heading? 4 . Have I said what I wanted to say clearly , concisely and appropriately? Will they know what I am talking about? what they have to do now? whether I expect a response and, if so, when? 5 . Should I remind or reassure them about anything before I sign off? Is the final greeting correct and appropriate? Have the proper enclosures been added? Has the letter been copied to the right people? at the right addresses? 6 . Has the letter been properly laid out? Is it pleasing to look at? Has the spelling been checked? Have necessary corrections been made? 7 . Is the file copy exactly the same as the despatched version? 8 . Have I signed the letter and initialled the copies?
