In the ever-evolving landscape of information management, the establishment and implementation of a robust records management file plan have become essential. As organizations struggle with an exponential growth in data, the need to efficiently organize, retain, and dispose of records has taken center stage.
A records management file plan is a structured document specifying an organization’s systematic approach to the creation, classification, retention, retrieval, and disposal of records. It serves as a strategic guide to ensure regulatory compliance and facilitating the organized lifecycle management of information within an entity.
From creation to eventual disposition, this comprehensive document not only ensures compliance with regulatory requirements but also enhances operational efficiency, mitigates risks, and facilitates informed decision-making.
An RMFP is created based on the needs and requirements of an organization to ensure effective records management. It is usually created after conducting a record inventory or audit which provides an overview of what types of information exist within the organization at any given point in time. Once it is created, it should be reviewed regularly by all employees to make sure that it is still relevant for today’s needs.
Benefits of using a Record Management File Plan
A records management file plan offers several significant benefits for organizations:
Benefit #1- Regulatory compliance
It ensures that the organization adheres to legal and regulatory requirements for recordkeeping which will reduce the risk of non-compliance and associated penalties.
Benefit #2- Efficient organization
The plan provides a structured framework for creating, classifying, and organizing records to help organizations improve efficiency in information retrieval and workflow processes.
Benefit #3- Risk mitigation
By outlining procedures for data security and privacy, the plan helps mitigate the risk of unauthorized access, data breaches, and other security threats.
Benefit #4- Consistent record handling
The plan establishes standardized practices for creating and storing records to ensure consistency across the organization and reducing the likelihood of errors.
Benefit #5- Facilitates audits and reviews
Having a clear file plan makes it easier to undergo audits or reviews, as the organization can demonstrate adherence to recordkeeping policies and regulatory requirements.
Creating a File Plan
Here are the steps needed to create a records management file plan:
Step #1- Prepare the team
This process involves equipping team members with the necessary knowledge and skills to understand the significance of record management, RM lifecycle, its regulatory implications, and the specific requirements of the organization.
Involving team members in the early stages ensures that diverse perspectives are considered, leading to a more comprehensive and tailored file plan.
Step #2- Identify types of records
Understanding and categorizing the various types of records an organization generates is essential for tailoring a file plan to meet specific needs. It allows for the differentiation between vital records that require long-term preservation and those with a defined retention period.
By comprehensively classifying records early in the planning stage, organizations can implement targeted policies and procedures for each category, ensuring a more efficient and compliant records management process that aligns with the organization’s objectives and regulatory requirements.
Step #3- Create an inventory of records
This process involves systematically documenting all existing records within an organization in order to have a comprehensive overview of the information landscape.
The inventory serves as a baseline to enable a clear understanding of the types, volumes, and locations of records. This knowledge is essential in crafting a file plan that is not only tailored to the organization’s specific needs but also reflective of its current information ecosystem.
How to Implement an Effective RMFP?
Implementing an effective Records Management File Plan involves a systematic process.
Here’s a step-by-step guide:
1- Leadership support and commitment:
- Gain support from organizational leaders to ensure commitment to the implementation process.
- Establish a dedicated records management team with assigned responsibilities.
2- Team education and training:
- Provide comprehensive training to the team on the importance of records management.
- Familiarize team members with the components and objectives of the file plan.
3- Utilize technology for management:
- Implement record management software or systems to streamline tracking and accessibility.
- Leverage technology for efficient organization, retrieval, and monitoring of records.
4- Train staff on implementation:
- Educate staff on the new policies and procedures associated with the file plan.
- Ensure that employees understand their roles in adhering to the established guidelines.
5- Monitoring and Auditing:
- Establish regular monitoring mechanisms to ensure ongoing compliance.
- Conduct internal audits to assess the effectiveness of the file plan, identify related risks, and identify areas for improvement.
What are the Key Features for an Effective Records Management Plan?
To effectively manage records, it is important that you have a clear understanding of the key features of an effective records management plan.
With a goal of increasing efficiency and reducing costs, organizations are turning to digitization. This has led to increased demand for records management professionals who can help with digital record-keeping and compliance.
The following are the key features of an effective records management file plan:
1) Define the purpose of the plan
2) Establish a target audience
3) Develop a strategy
4) Establish policies and procedures
5) Establish goals and objectives
6) Develop a timeline
7) Reap the benefits of records management
What is File Plan Structure?
File plan structure is a standardized approach to organizing the documentation of records in a systematic and methodical way. This can be done by creating files or folders and moving them in an orderly manner.
An example of file plan structure would include creating one folder for each year, one folder for each month, one folder for each month type, and so on.
A typical organization scheme for any records manager would have these elements:
– File plan structure: One folder per year, one folder per month, etc.
– Organization scheme: One folder per department or work unit
A typical file plan includes four main components: physical records, digital records, offsite storage, and disposal.
The physical records usually contain paper files that are stored at a specific location.
Digital records are typically files that were created digitally and stored on-premise or off-premise storage such as online storage or someone’s personal computer.
Offsite storage is typically the backups of digital files on hard drives, tapes, or other media that can be accessed off of the premises.
Disposal is when the physical and digital documents are destroyed completely after they have served their purpose. In addition to these four components, there are often additional elements including retention schedules for both electronic RM systems and paper.
