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

Transcription

1 Pre-Session Handouts Business Card Slides File Plan Worksheet Creating a File Plan Wess Jolley, CRM Dartmouth College Management What is a File Plan and why should I care? 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! 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 creation and disposal of records and, where possible, the management of security of and access to those records. Adapted from: [email protected] 1

2 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) A Seven Step Process 1. Gather Information 2. Identify 3. Identify 4. Identify 5. Document the File Plan 6. Implementation and Migration 7. Maintenance This process may take anywhere from a few hours to a few weeks Three Key Design Criteria 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. Adapted from: Structuring a File Plan Hierarchical, by FUNCTION, ACTIVITY, and CLASSIFICATION Sub-classifications possible, but only for very complex entities. FUNCTION ACTIVITY CLASSIFICATION Broad, cohesive high-level aggregate of activities. Major responsibilities, managed by the organization to fulfill its goals. 10 or fewer functions. Ideally Seven plus or minus two Major pieces of work performed to accomplish each function. Individual work processes, workflows, or filing systems within the larger functional classifications. As many activities as necessary to accurately describe the functions. But ideally, no more than 10 per function. If more, consider additional functions. 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. As many as necessary, but if surpassing 10, consider additional activity functions or activities. [email protected] 2

3 1. Gather Information 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 2. Identify are high-level department or work group undertakings that often feature in mission statements, budgets, websites, strategic plans, and objectives. May be either Administrative or Mission functions 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. Administrative Function Examples Administrative are common to most or all organizations: Human Resources Finance Policy Development Information Management and Technology Facilities Outreach and Public Relations Mission Function Examples Example 1: A Department of Health Public Health Policy Hospital Administration Research and Development Hospital Services Pharmaceutical Services Etc. Mission are specific to the stated purpose of your department, organization, or unit. Example 2: A Police Force Crime Prevention Crime Investigation Traffic Control Firearms Licensing and Control Community Safety Etc. Adapted from: [email protected] 3

4 EXERCISE: What are Your? Let s take three to five minutes 3. Identify are 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 EXERCISE: What are Your? Pick TWO. Another three to five minutes 4. Identify are 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- Using the same HR example, the Recruitment activity may be composed of the following classifications or tasks: Advertising Receiving Applications Conducting Interviews [email protected] 4

5 Function Activity Classification Record Samples Series Retention Finance Procurement Purchasing Card -Invoices -Statements Vendor Files -Correspondence Human Resources Customer Service Project Files Simplified Example of a Departmental File Plan Recruitment Advertisement -Job Description -Selection Criteria -Advertisement Receive Applications -App. Forms -Cover Letters Conduct Interviews -Correspondence -Interview Notes Training Attendance -Invitations -Signed Rosters Review & Promotion Annual Review Process -Meeting Notes -Signed Reviews Circulation Daily Requests -Call Slips - Requests Overdue Customers -Overdue Notices Course Support -Correspondence -Faculty Orders Departmental Procurement Job Description Files Unsuccessful Applicants Active Employee Circulation Course Support 7 yr. / destroy 1 yr. / destroy 3 yr. / destroy 1 yr. after term. / destroy 2 yr. / destroy 3 yr. / archive Website Planning and research -Content Drafts Website Archives 15 yr. / archive Website Archives -Annual Snapshot -Project Plan Project Files 7 yr. / archive -Meeting Minutes EXERCISE: What are Your Record Types? Brainstorm the types of documents that might be filed into one of your more complex or Let s take three to five minutes 5. Document the File Plan 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) [email protected] 5

6 Find these templates in a Word document at: The File Plan in Action! Implement it wherever you manage and store information! Departmental servers Physical files Individual workstations SharePoint Management system Physical Central file rooms Position coding Color coding [email protected] 6

7 Digital 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 Within applications, via a drop down or hierarchical menu Integration into content and document management systems Integration into desktop applications as metadata 6. Implementation and Migration Work with RM for coding into 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 Before Migration: Cleanup 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 [email protected] 7

8 Migration Options 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 Management s consulting if you need assistance! 7. Ongoing Maintenance 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 What We Have Learned The purpose of a File Plan Requirements for success A methodical approach to File Plan creation, and The necessity to document the File Plan Implementation and migration issues 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? How can we help? [email protected] 8

9 Resources PDF Forms and Handouts College and University File Plan Examples Texas A&M University of Toronto Robert Gordon University Other good examples of general file plans U.S. Department of Agriculture State of Michigan Resources 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. 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. Drafting a Function-Based File Classification Plan. Excellent Article from ARMA. Cayman Islands National Archive Workbook. UK Business Classification Scheme Design Guidance. Sections 5-9 are especially helpful. [email protected] 9