File plan example

Classifying records by function provides the best method for organizing business records. Function-based file plans organize records based directly on the work that an office performs to fulfill its mandate and goals, its functions. Instead of organizing records by what they are about subject- or topic-based file plans , or who created them position-based file plans , function-based file plans answer the fundamental question of why records are created and used by classifying them based on work processes.

Function-based file plans are also stable and long-lasting. Subjects and positions can change frequently, but what an office does its functions generally stay the same over time. Each group contains a variety of functions identified by a broad alphanumeric code, and a descriptive title. Each function contains a variety of activities identified by a narrowing of the alphanumeric code, and a descriptive title.

Each activity contains one or more records series identified by a two-digit code and a record description. The records series description will contain instructions on retention period and final disposition. The image below illustrates the hierarchical relationship between record groups, functions, activities, and records series:. Begin by gathering together information about the office and the records it manages.

The goal is to recognise the type of work that the office performs, and of principal importance, identify the records that are created and used to support these work processes. For small offices, a general location statement may suffice. Larger offices may need to develop a numbering system for file cabinets and drawers or include a map or layout of the file cabinets with the file plan.

File plans for electronic files may include directory paths and folder names. The following procedure is an easy way to copy and paste files in a shared drive:. Describe how files are organized.

The description may include records and date range s in retention to be updated during annual currency review and certification. Identify record copy files to help file management procedures related to retention and disposition of records.

Enter retention periods for record copy files. Although information and convenience copies need to be retained only as long as needed, some offices include retention periods for them on the file plan if it is important to keep the records for specific periods. For record copy files, the agency item number from the TxDOT records retention schedule is necessary when completing the records destruction log after purging files. Having it on the file plan is a convenient reference.

Link here to a file plan template document. The file plan is a dynamic document that should be revised as needed. When local review is completed, the Records Administrator shall send an email to TxDOT Records Management certifying the currency and accuracy of the file plans within their organization. Keep a copy of the file plan available at a central location for reference by employees. The file plan is the primary records management planning document in SharePoint Server.

Although file plans can differ across organizations, they typically:. This article describes the contents of a file plan and summarizes how to create a file plan for your organization. The article also directs you to a worksheet in which you can record the file plan.

Determining which active documents in your organization might be declarable as records requires the collaboration of records managers, lawyers, compliance officers, and content managers. Note that, even if your enterprise is not in a highly regulated industry, there are general laws that might obligate your enterprise to keep records. Along with general business laws, you must evaluate legal requirements that are specific to your enterprise. It is beyond the scope of this article to provide more than general information about how to determine what is a record in your organization.

Most likely, your enterprise is already doing some form of records management and has filled most of the records management roles that you need, and you might already have a taxonomy of records.

In a collaborative effort across the divisions of your organization, analyze how active documents are used. Develop a list of the kinds of documents that should become records.