Dartmouth College
[DEPARTMENT NAME]
File Plan
[Version Number]
[Authors and/or Records Custodian]
[Date]
[Department] File Plan
[Revision Date]
INTRODUCTION: There are many ways to document your file plan. Below
are three possible formats. Select the one that works best for your department,
and then copy to extend.
The first two examples use a numeric coding scheme. You may elect another
system (alphanumeric, or abbreviations, for instance), or none at all.
EXAMPLE 1:
Table Format (by Function)
Function
1. Human Resources
Managing the employees of the department, through all activities and tasks associated with completing their job
duties
Activities
1.1 Recruitment:
Classifications
1.1.1 Advertisement
Ensure adequate pools
and select the best
candidates for open
positions
[Scope note if necessary]
1.1.2 Receive Applications
[Scope note if necessary]
1.1.3 Conduct Interviews
[Scope note if necessary]
1.2 Training
1.2.1 Attendance
Provide opportunities
for growth and staff
development
[Scope note if necessary]
1.3 Review and
Promotion
1.3.1 Annual Review
Process
Conduct annual reviews
and use those reviews to
retain and promote the
best employees
[Scope note if necessary]
Additional Details
Samples: Job Description, Selection Criteria,
Advertisement
Series: Job Description Files
Retention: 1 year then destroy
Samples: Application Forms, Cover Letters
Series:
Retention:
Samples: Correspondence, Interview Notes
Series:
Retention:
Samples:
Series:
Retention:
Samples:
Series:
Retention:
[Add rows as required]
2
[Department] File Plan
[Revision Date]
EXAMPLE 2:
Outline Format
1. FUNCTION: Human Resouces
SCOPE: Managing the employees of the department, through all
activities and tasks associated with completing their job duties
1.1.
1.2.
ACTIVITY: Recruitment
SCOPE: Ensure adequate pools and select the best candidates for
open positions
1 .1 .1 .
Adv ert i s e me nt
[ Sco p e no te i f n ece s sar y ]
Samples: Job Description, Selection Criteria, Advertisement
Retention: 1 year then destroy
1 .1 .2 .
Rece iv e A pp li ca tio n s
[ Sco p e no te i f n ece s sar y ]
Samples:
Retention:
1 .1 .3 .
Co n d uct I nterv iew s
[ Sco p e no te i f n ece s sar y ]
Samples:
Retention:
ACTIVITY: Training
SCOPE: Provide opportunities for growth and staff development
1 .2 .1 .
1.3.
At t e nda nc e
[ Sco p e no te i f n ece s sar y ]
Samples:
Retention:
ACTIVITY: Review and Promotion
SCOPE: Conduct annual reviews and use those reviews to retain
and promote the best employees
1 .3 .1 .
An n ua l Rev iew Pro c e ss
[ Sco p e no te i f n ece s sar y ]
Samples:
Retention:
[Add entries as required]
3
[Department] File Plan
[Revision Date]
EXAMPLE 3:
Detailed File Plan Table
This may also be constructed in a spread sheet, if preferred.
Function
Human
Resources
Activity
Recruitment
Classification
Advertisement
Record Samples
-Job Description
-Selection Criteria
-Advertisement
Retention
1 yr. / destroy
Receive
Applications
Conduct Interviews
-App. Forms
-Cover Letters
-Correspondence
-Interview Notes
-Invitations
-Signed Rosters
3 yr. / destroy
Training
Attendance
Review &
Promotion
Annual Review
Process
1 yr. after term.
/ destroy
-Meeting Notes
-Signed Reviews
[Add rows as required]
Additional items you may want to track
in your File Plan Documentation
•
Who is your “File Plan Administrator”, and how does that role pass on as staff
change?
•
Define your procedures and authority to make changes. These procedures should
prevent ad-hoc changes at the top two levels of the File Plan without adequate
consideration
•
Communication and posting of the file plan
•
Where it is implemented
•
Procedures for tracking drafts and versions
•
Documenting and maintaining file naming conventions
•
Plans for assessment and periodic review
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