Chapter 5: File Plan

Section 1: Overview on File Plans

The
Texas Government Code 441.183
et. seq. requires state agencies to establish and maintain a Records Management Program on a continuing and active basis. All TxDOT Districts and Divisions are required to submit and updated File Plan annually to TxDOT Records Management. Records Administrators must verify the accuracy of their District and Divisions File Plans to TxDOT Records Management. The File Plan can be updated at any time during the year and resubmitted to TxDOT Records Management to ensure the latest version of the File Plan is on file. Records Management is the Office of Primary Responsibility (OPR) for all District and Division File Plans. File plans will be retained three years after they have been superseded. For example, CE 2022 File Plans will be superseded when the updated CE 2023 annual File Plans are submitted to Records Management. The CE 2022 File Plans will have met retention at the end of CE 2025 and will be eligible for destruction.
District and Division Records Administrators should maintain a current File Plan for their work unit to aid compliance efforts related to legal discovery and open records requests.
At its most basic, a File Plan is a roadmap to the files in your work unit which:
  • Describes files and where they are located.
  • Identifies the status of files, which helps determine:
    • Which files are kept per the Records Retention Schedule.
    • Which files are kept for convenience or reference purposes.
    • Special handling requirements.
    • Which files are essential to continue business in the event of a disaster.
Training course (
EL2032 -Building and Using a File Plan
) introduces the File Plan Concept and provides an overview of the use of File Plans at TxDOT, including how File Plans can be created and used as a tool to support records management compliance.
A File Plan is also a convenient tool to help with the policy compliant management of the records created and maintained by your work unit.
A File Plan:
  • Describes the name of the files/records.
  • Describes the files/records physical or electronic location.
  • Identifies the required minimum retention period as published in the TxDOT Records Retention Schedule.
  • Identifies the specific item number in the Records Retention Schedule to use in completing documentation related to records storage and/or destruction.
After initial construction of the File Plan, the Records Administrators, Records Custodians and Records Coordinators can manage record life-cycle procedures with assurance that they are retaining and destroying official records appropriately.
The benefit is that a small amount of up-front work results in a tool that is easy to maintain, reduces confusion and uncertainty in file/records management processes going forward, and supports business continuity.
The File Plan should be available at a central location (SharePoint) for all work unit employees to access. It is recommended to keep the File Plan visible at the at the location where the paper/physical files reside. Be sure your work unit employees know where the File Plan is located.