1. Creation of a process-oriented file plan

A process-oriented file plan is a system for managing documents that focuses on the workflows in an organisation. It determines which documents are needed for certain processes and organises them into categories.

The plan helps to quickly find information, ensure compliance with legal requirements and provides clear document traceability. The goal is to design documentation in a way that effectively supports daily work processes and preserves valuable knowledge.

2. Development of clear guidelines

Clear guidelines for document naming are crucial to ensure consistency and findability. These guidelines should include specific formatting requirements, such as the use of dates, abbreviations and project names.

• On document control
  To ensure consistent and complete file management, provisions for documents and their flow are necessary. The guidelines should clearly state which documents are necessary for a complete file and when a file can be closed.
• For file naming
  It is helpful to provide examples of common naming conventions. For example, a document for a contract could be named as follows: ‘Contract_Customer_2024-10-01’. Such conventions should be designed in a way that is easy for both humans and machines to understand. Furthermore, a consistent scheme should be established for all employees to use to avoid confusion.
• For retention periods
  Setting retention periods is crucial to meeting legal and business requirements. These periods may vary depending on the document type. For example, tax-related documents may be retained for ten years, while internal reports can be deleted after five years. The deadlines should be regularly reviewed and updated to reflect changes in legislation. 
• For training
  Training is particularly important during the on-boarding phase to ensure that new employees find their way around the organisation and feel comfortable. As new practices and tools are introduced, it is necessary to support employees in the form of training.

3. Implementation of a system for monitoring and compliance

An effective system for monitoring retention periods is necessary to ensure that documents are archived or destroyed in a timely manner. This can be done through automated reminders in the document management software or through regular audits. Clear documentation of processes and decisions is also important to ensure traceability.