Records Management File Plan Template

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Writing the Records Management File Plan Template document

File Plan

As part of Company Name's Records Management Program, all documents created from business activities and transactions will be managed and disposed of according to a File Plan. The File Plan will ensure Company Name's records are effectively maintained and compliant with regulatory audits, and will also increase business efficiency and retain the continuity of corporate knowledge. The File Plan is used to provide a foundation for organizing the company's documents and records using a controlled vocabulary or taxonomy for the management of content throughout the document's life cycle.

Refer to the Taxonomy template to outline your Records Management Taxonomy. A File Plan can be just a few pages listing the recordkeeping requirements of core business records or a detailed map of the organization's classification scheme for the management of all content. Use it to create a basic or expanded records retention schedule which can be customized to meet specific regulatory, jurisdictional, and organizational needs and to describe your organization's outline for managing the life cycle of business content and records.

File Plan:

Basic File Plan

Document Set: Insert type of documents (Administration, Legal, Financial, etc). Description: Description of document set. Medium: Storage medium used, such as electronic, paper, etc. Retention Period: How long must this document set be stored.

Document Set: Insert type of documents (Administration, Legal, Financial, etc). Description: Description of document set. Medium: Storage medium used, such as electronic, paper, etc. Retention Period: How long must this document set be stored.

The Basic File Plan retention schedule categorizes documents and records into Record Series that group together documents by common functions and activities. The Description is the activity or transaction source of the document. The Medium is the physical attribute of the document, and Retention Period is the suggested time to keep the record before disposal.

Expanded File Plan

Record Title: Title of the document or document set. Description: Description of document set. Department: The department the document is for (admin, HR, accounting, etc).

Vital Record: Y/N

Historic Record: Y/N

Cut-Off: Cut-off date that counts down to disposal. Retention Period : How long must this document set be stored. Regulatory Reference: Who sets the regulations for this particular document. Storage Medium: Storage medium used, such as electronic, paper, etc.

Contact: Who to contact regarding this record. Record Title: Title of the document or document set. Description: Description of document set.

Department: The department the document is for (admin, HR, accounting, etc).

Vital Record: Y/N

Historic Record: Y/N

Cut-Off: Cut-off date that counts down to disposal. Retention Period : How long must this document set be stored. Regulatory Reference: Who sets the regulations for this particular document. Storage Medium: Storage medium used, such as electronic, paper, etc.

Contact: Who to contact regarding this record. The Expanded File Plan categorizes the record's metadata in a scheme for increased accuracy and control. The metadata fields for vital or historical records, location of content, and identifying the owner of records improves governance and demonstrates compliance with regulatory audits and controls. Organizations with high risk of litigation and large volumes of content should use the Expanded File Plan.

Vital records require special protection, such as redundant backups, and refer to the set of records that are critical to the organization's existence. Historical records may have great importance in the future and may need to be retained indefinitely. The Cut-Off field is the condition that triggers the countdown for Disposal.

Defining the location of stored content across the enterprise will direct the disposal authority or researcher to the location of the object for disposal or discovery. Cataloging the personnel responsible for the authorization of the disposal of the content demonstrates that the organization's Records Management Program is managing the complete lifecycle from creation to destruction.