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Developing a fileplan

Learn about developing a file plan, classification schemes, information audits, and clerical activities for sound records management. Discover the benefits and steps to create a structured file system. Lay the foundation for proper information organization.

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Developing a fileplan

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  1. Developing a fileplan Richard Jeffrey-Cook

  2. In-Form Consult Ltd • Clients • Houses of Parliament, Scottish Parliament, Metropolitan Police, European Central Bank • Local Authorities • Mid&WestWales Fire & Rescue Service, East Sussex Fire & Rescue Service • Services • IM & RM Strategy • Procurement • System Design • Implementation Management • Education • Market Research & Whitepapers • Myself • Implementation of bespoke IT applications • Developed document and knowledge management applications • Introduced to records management 4 years ago

  3. Currently supporting • County Councils • Warwickshire • Unitary • Plymouth • Borough/District Councils • Chorley • Eastleigh • Rushmoor • Hinckley & Bosworth

  4. Information Management LearningTraining StandardsISO 15489ISO 17779 BIP 0008 TNA & MoReq KnowledgeManagement Portals VersionControl Searching Document Workflow Customer RelationshipManagement Compliance FOIA DPA EIR RPSI Records Management DocumentManagement Middleware Capture Storage Retention & DispositionAccess Control Publishing Line of BusinessApplications ContentManagement Document ImageProcessing InternetIntranet Enterprise Workflow Information Security Information Audit E-mail Management Business Continuity Classification Schemeand Fileplan

  5. Reasons for classification • Group records into a context • Single record provides little information • Many related records supply a fuller picture • Storage • Browsing for information • Access control • Retention

  6. Distinction between classification and fileplan Classification scheme Fileplan Class Sub-class = Sub-class Folder Benefits Benefit claims HP0000001

  7. Control • Central vs departmental control • Who maintains the classification scheme? • Who creates folders? • Ensure • Easy to maintain • Not free for all

  8. Starting Point • LGCS • Coverage has been patchy • IPSV • Cannot be used as a business classification scheme • Should be cross-referenced to for publication • Retention Guidelines • RMS LGG Retention Guidelines • Cross-reference to classes • Others • LGSL

  9. Information Audit • Objective of audit • Identify what is held, by whom, and where • Current RM practices • Naming and organising records • Disposal practices • Skills level • Carried out by questionnaire, workshop, interviews, physical walk round

  10. Information Audit - outputs • Identifies all records – electronic and paper • Platform for developing a file plan • Initial communication with staff within organisation • Prioritises information management issues

  11. Key Clerical Activities Automated Processes File or retrieve In filing cabinet Set a diary event or log an action manually Clerical re-keying of information Letter generated Work queue: work awaiting action Pending queue: automatically monitored for due date Letter generated Business Analysis 1

  12. BP0 – Benefits Overview BP1 – Benefit ClaimRegistration BP2 – Benefit ClaimAssessment Payment BP3 – DiscretionaryPayment Requestor Appeal BP7 – PaymentReview BP4 – Change ofCircumstance BP5 – Credit orOverpayment Applicant BP6 – Pre-TenancyDetermination Business Analysis 2

  13. BP3 –Discretionary Payment Request or Appeal - Current Request Log application Photocopy support By supervisor Appeal decision unchanged Initiate formal appeal Review request Appeals Service Payment awarded/ appeal granted Calculate level of payment Letter raised in Word to document decision reached Payment processing Business Analysis 3

  14. Developing the fileplan Draft 0.1 Date: 1/6/2005 Author: RJC Leisure and Culture Environment Land & Premises Cultural Events Play Development Sports Development Leisure Facilities Management Parks & Open Spaces Community & Living Yarrow Valley Park Community Centres Community Services

  15. Developing the Fileplan - 2 Yarrow Valley Park (2 of 3) Property Footpaths & bridleways Publicity Finance Projects Environment Photographs Grants & Funding Clayton Pipeline Reservoir Big Lodge Ownership Documentation Footpaths & bridleways Publicity Ponds Small Lodge Contracts Contract costings Lower Burgh Meadows Insurance Green Flag Award Cycles & Motorcycles Big Wood Application 2004 Fish Easement Higher Meadow Reservoir

  16. Classification • Add scope notes • Apply regardless of format • Paper • EDRMS • Network file servers • Outlook folders

  17. Conclusion • Developing a fileplan • Big commitment • Takes time • Foundation for information and records management

  18. Any Questions ? In-Form Consult Ltd www.inform-consult.com

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