Creating a File Plan. Pre-Session Handouts. File Plan Policy. What is a File Plan and why should I care?

Pre-Session Handouts

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Business Card

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Slides

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File Plan Worksheet

Creating a File Plan

Wess Jolley, CRM

Dartmouth College Records Management

• A File Plan is a written schema that classifies records in some way (usually according to business function) across a working group, department, or entire organization.

• The purpose of a File Plan is to…

• Provide links between records that originate from the same activity or from related activities

• Determine where a record should be placed in a larger aggregation of records (either physically, or conceptually)

• Assist users in retrieving records

• Assist users in interpreting records

• Assign and control retention periods

• Assign and control access rights and manage security

• Ensure the historical preservation of records with enduring value

• File plans are required for ERM and ECM repositories!

What is a File Plan…

…and why should I care?

Adapted from: http://www.acarm.org/publications/Leaflets/ACARM%20RM%20leaflet%204-%20Records%20creation.pdf

“The departmental file plan should be recognized as the principal intellectual instrument in records management activities.

It should be devised and implemented to support the management of the creation and disposal of records and, where possible, the management of security of and access to those records.”

File Plan Policy

“The departmental file plan should be recognized as the principal intellectual instrument in records management activities.

It should be devised and implemented to support the management of the

creationand disposalof records and, where possible, the management of

To ensure success…

Engage management support

Engage staff support

Appoint a file plan coordinator

Take a methodical approach

Establish a collaborative process

Allocate necessary resources (including adequate time for development, implementation, training, and maintenance)

1. Gather Information

2. Identify Functions

3. Identify Activities

4. Identify Classifications

5. Document the File Plan

6. Implementation and Migration

7. Maintenance

This process may take anywhere from a few hours to a few weeks

A Seven Step Process

1. Simplicity.The file plan must…

• Reflect functions, activities and tasks that are easily recognizable by users. • Align itself with existing visions, policy statements, business plans, aims and

objectives.

• Make it obvious into which file or folder a document should be placed.

2. Consistency. The file plan must…

• Have rules and guidelines that ensure all staff/users follow the same procedures.

• Address inconsistencies that cause problems such as duplicate files/folders, documents on the same activity being separated, and misnaming of documents.

3. Flexibility.The file plan must… • Be adaptable.

• Be designed so that new files and folders can be fitted in as required, while still adhering to the organizational schema.

Three Key Design Criteria

Adapted from:

http://www.acarm.org/publications/Leaflets/ACARM%20RM%20leaflet%204-%20Records%20creation.pdf

• Hierarchical, by FUNCTION, ACTIVITY, and CLASSIFICATION

• Sub-classifications possible, but only for very complex entities.

Structuring

a File Plan

FUNCTION ACTIVITY CLASSIFICATION

Broad, cohesive high-level aggregate of activities. Major responsibilities, managed by the organization to fulfill its goals.

Major pieces of work performed to accomplish each function. Individual work processes, workflows, or filing systems within the larger functional classifications.

May also be tasks, transactions, and/or sub-activities. This is where the documents “live”, and where retention and disposition policies are typically applied. Sub-classifications possible. 10 or fewer functions. Ideally

“Seven plus or minus two”

As many activities as necessary to accurately describe the functions. But ideally, no more than 10 per function. If more, consider additional functions.

As many as necessary, but if surpassing 10, consider additional activity functions or activities.

Functions Activities

• File directory structures

• File lists

• Retention Schedules

• Descriptions of the Organization’s mandate, mission, services, program areas, responsibilities, and reporting relationships

• Annual reports and other publications

• Organizational Charts

• Strategic Plans

• Subject matter experts

• Surveys and interviews

1. Gather

Information

Functions Activities

Classifications

• Functionsare high-level department or work group undertakings that often feature in mission statements, budgets, websites, strategic plans, and objectives.

• May be either Administrativeor Missionfunctions

• The number of functions is NOT based on organization size!

• Larger organizations don’t usually have more functions

• It is very rare for any department or work group to have more than SEVEN major functions. Many will have only two or three. Occasionally, only one.

2. Identify

Functions

Functions Activities Classifications

Administrative

Function Examples

Administrative Functions

are common to most or

all organizations:

• Human Resources • Finance • Policy Development • Information Management and Technology • Facilities

• Outreach and Public Relations Functions Activities Classifications

Mission

Function Examples

• Example 1: A Department of Health • Public Health Policy • Hospital Administration • Research and Development • Hospital Services • Pharmaceutical Services • Etc. • Example 2: A Police Force • Crime Prevention • Crime Investigation • Traffic Control

EXERCISE:

What are Your Functions?

Functions

Activities

Classifications

Let’s take three to five minutes…

• Activitiesare often those pieces of work that are undertaken by teams, units and sections within the organization in order to achieve each major function.

• In planning, start with the function you best understand

• Staff involvement is critical at this stage

• Conduct interviews with line staff

• Example: The Human Resources function could have the

following example activities:

• Recruitment

• Training

• Review and promotion

3. Identify

Activities

Functions Activities Classifications

EXERCISE:

What are Your Activities?

Functions

Activities

Classifications

Pick TWO Functions.

Another three to five minutes…

• Classificationsare typically tasks or processes undertaken by individuals or smaller teams and units, in support of specific activities.

• These are not “subjects”, “record types”, or “document types”!

• They may be: Transactions, Tasks, or Sub-Activities

• Using the same HR example, the

“Recruitment” activity may be composed of the following classifications or tasks:

Function Activity Classification Record Samples Series Retention

Finance Procurement Purchasing Card -Invoices -Statements

Departmental Procurement

7 yr. / destroy

Vendor Files -Correspondence Human

Resources

Recruitment Advertisement -Job Description -Selection Criteria -Advertisement

Job Description Files

1 yr. / destroy

Receive Applications -App. Forms -Cover Letters

Unsuccessful Applicants

3 yr. / destroy

Conduct Interviews -Correspondence -Interview Notes Training Attendance -Invitations

-Signed Rosters

Active Employee Records

1 yr. after term. / destroy Review &

Promotion

Annual Review Process -Meeting Notes -Signed Reviews Customer

Service

Circulation Daily Requests -Call Slips -e-Mail Requests

Circulation Records

2 yr. / destroy

Overdue Customers -Overdue Notices Course

Support

-Correspondence -Faculty Orders

Course Support 3 yr. / archive

Website Planning and research -Content Drafts Website Archives 15 yr. / archive Website Archives -Annual Snapshot

Project Files -Project Plan -Meeting Minutes

Project Files 7 yr. / archive

Simplified Example of a Departmental File Plan

EXERCISE:

What are Your Record Types?

Brainstorm the types of documents that

might be filed into one of your more

complex Functions or Activities

Let’s take three to five minutes…

• The three word rule

• Document all columns from previous

slide, PLUS a SCOPE NOTE for each Function and Activity

• Pay special attention to what each DOES and DOES NOT include

• Analyze each for Record Series, and

Retention Requirements

• Document in a distributable format (i.e., Word or Excel, or an a website)

5. Document

the File Plan

Functions Activities

Find these templates in a Word document at:

http://tinyurl.com/DartmouthRMForms

• Implement it wherever you manage and store information!

• Departmental servers

• Physical files

• Individual workstations

• SharePoint

• Records Management system

• E-mail

The File Plan in Action!

• Central file rooms

• Position coding

• Color coding

Classify through (for example):

• A mapped drive or folder on your computer

• “Drag and Drop”

• “Save As…” within applications • Uploading to RM, SharePoint, or other system • A step in a workflow

Digital

Records

• Within applications, via a drop down or hierarchical menu

• Integration into content and document

management systems

• Integration into desktop applications as metadata

Digital

Records

• Work with RM for coding into Records Management System, SharePoint, etc.

• Organize physical filing around the new plan

• Organize digital filing around the new plan

• Training and achieving buy-in from staff

6. Implementation

and Migration

• Removal of transitory material (non-records) with short term value that are no longer needed

• Disposition of records whose retention periods have expired (per existing retention schedules)

• Deletion of empty folders

• Consolidation of folders where possible

• Renaming of folders to be migrated to conform to the File Plan

1. Migrate all files

2. Migrate the current year, plus one or more previous years

3. Migrate on a go-forward basis

• Migrate older materials into the new system as used

Utilize Records Management’s consulting if you need assistance!

Migration Options

• Maintain “File Plan Administrator” role as staff transition

• Define procedures and authority to make changes

• Prevent ad-hoc changes to at least the top two levels without serious consideration or controlled process

• Communication of changes to staff

• Tracking drafts and versions

• Documenting and maintaining naming

conventions

• A word on assessment…

7. Ongoing Maintenance

• The purpose of a File Plan

• Requirements for success

• A methodical approach to File Plan creation

• Functions, Activitiesand

Classifications

• The necessity to document the File Plan

• Implementation and migration issues

What We Have Learned…

Questions and Discussion

My questions to you:

• What is your next step?

• Are you ready, organizationally, to take on this seven step process?

• Are you ready to move toward digital filing?

• PDF Forms and Handouts http://tinyurl.com/DartmouthRMForms • College and University File Plan

Examples

• Texas A&M

http://tinyurl.com/TAMFilePlan • University of Toronto

http://tinyurl.com/TorontoFilePlan • Robert Gordon University

http://tinyurl.com/RGUFilePlan

Resources

• Other good examples of general file plans

• U.S. Department of Agriculture http://tinyurl.com/USDAFilePlan • State of Michigan

http://tinyurl.com/MichiganFilePlan

• National Archives of Australia, DIRKS Manual: Step B – Analysis of Business Activity. This is a good, methodical, and comprehensive guide to creating a File Plan. It is specific to the National Archives of Australia, but the methodology applies well to any organization.

http://tinyurl.com/NAADIRKSStepB

• Government of Barbados: Developing a Filing Plan/File Key. Biased toward paper filing, and with some odd quirks. But a good overview with a generic administrative file plan.

http://tinyurl.com/BarbadosFilePlanning

• Drafting a Function-Based File Classification Plan. Excellent Article from ARMA.

http://tinyurl.com/ARMAFilePlanArticle • Cayman Islands National Archive Workbook.

http://tinyurl.com/CaymanIslandsFilePlanWorkbook • UK Business Classification Scheme Design Guidance.

Sections 5-9 are especially helpful.

http://tinyurl.com/UKBCSToolkit