This chapter explains how the Records Management File Plan is constructed within Alfresco. In the last chapter, we then saw how documents can be modeled as document types within the Alfresco Content Model and can be configured to store almost any kind of file content and metadata. This chapter focuses on the building of a classification and organizational structure called the File Plan. It is within the File Plan where we will store records.
In this chapter, we will describe:
- The benefits of having a well-designed File Plan
- How to design the best structure for the File Plan to meet the needs of your organization
- How to create a File Plan within the Alfresco Share Records Management site
Alfresco Records Management is built based on the specification of the DoD 5015.2 File Plan. We will see how to create record Series, Categories, and Folders that are compliant with that specification.
At the end of this chapter, in a "How does it work?" section, we will discuss from a developer perspective some of the internals of how the File Plan page within the Share Records Management site was built. We will see how the File Plan page gets bound to the Records Management site, how the Spring-Surf framework is used to lay out the page, and how the YUI client-side user interface library is used to both render the page and to interact with the repository.
The File Plan, also sometimes known as the "Records Classification Scheme", is the basic structure in Records Management that classifies and groups records together with similar characteristics. International standard ISO 15489 describes the File Plan as an essential component of any Records Management program. Many people consider the File Plan to be the crux of their entire Records Management program. The File Plan classification system is similar to that of the folder or directory structure in a filesystem. It is hierarchical, with the upper-most levels of the hierarchy representing very broad categories and with the lower levels becoming increasingly more specific. The File Plan structure provides a consistent scheme for classifying records that can be applied to any type of record media or format.
Note
Strictly speaking, there is more to the File Plan than just the folder structure and the classification. The File Plan provides a comprehensive outline that also includes instructions for file retention and disposition. Transfer, retention, and disposition are File Plan topics of discussion that we will discuss in the next chapter.
The DoD 5015.2 specification defines three tiers for the File Plan: Series, Category, and Folder. Each of these elements is a container that functions in a way similar to a standard filesystem folder, but that has some special restrictions and characteristics.
Note
It's tempting to refer to all types of containers in the File Plan as simply the "folders" for the File Plan, but doing so can lead to ambiguity since containers at the third-level tier are also called Folders.
Series are stored in the first tier or root-level of the File Plan. These kinds of containers are restricted to hold only Category containers. No Folder containers, records, or standard documents can be filed into a Series.
Categories are stored in the second tier of the File Plan hierarchy under Series. Categories have a restriction similar to that of a Series in that only Folder containers can be filed into them. Similar to Series, no records or documents can be filed into them. A unique capability of Categories is that each one is associated with a disposition schedule and retention rules that are inherited by all the Folders and records that are filed under them.
Folders are stored in the third tier of the File Plan under Categories. No other container, whether it is Series, Category, or Folder, can be stored under a Folder. Only records and non-declared records can be stored within a Folder.
The DoD 5015.2 specification describes only these three types of containers. The specification is ambiguous about whether a Folder can contain another Folder. The Alfresco implementation does not allow this. Many in the Records Management community agree with this approach and advocate the use of shallow File Plan hierarchies. Using three levels of containers is fairly standard. Allowing more nested levels to exist under a Category than just Folders could complicate the management of lifecycle rules:
Note
The File Plan is a Records Management term that originated with the management of paper and physical records. 'File' refers to paper documents and 'Plan' refers to the strategy for classifying records. Traditionally, with the management of paper records, documents or files are stored as records in physical folders, that in turn are stored in drawers, and the drawers in turn are part of a larger filing cabinet. In this way, the three tiers of containers used for storing paper records based on a File Plan are: filing cabinet, drawer, and folder.
Working on creating a File Plan that is a good match for the types of records that you will be managing is well worth your time. The benefits of creating a File Plan include:
- Allows staff members to consistently recall File Plan classifications when filing and retrieving records
- Enables compliance with statutory and regulatory requirements
- Provides an audit trail for activities that have occurred in the organization
- Allows records to be disposed of when they are no longer needed
It is useful to look at the structure of the sample File Plan included with the Alfresco Records Management module. This plan is a standard example and actually corresponds to an example that comes along with the DoD 5015.2 specification.
We can install the sample File Plan by going to the Records Management console on the administrator's Share top-level dashboard page. Once there, we can see the option for installing the sample Records Management data. Let's click on that link to start the install process. The install adds the sample File Plan to all other records or containers that you may have already created yourself within the File Plan:
Note
Clicking on the Load Test Data label runs an import of an ACP file into the Alfresco repository. The ACP file with the sample File Plan is located here: tomcatwebappsalfrescoWEB-INFclassesalfrescomoduleorg_alfresco_module_dod5015ootstrapDODExampleFilePlan.acp.
After installing the test data set, we can navigate over to the Records Management site and into the File Plan page. We can see that the test plan consists of four Series, each containing a number of categories:
At this point, it is useful to gain some familiarity with how the File Plan works within Alfresco by navigating through the File Plan structure via both the navigation tree in the left panel and the main display area on the right.
When we are through looking at this sample File Plan and we no longer need it, it is easy to remove it by navigating back to the top of the Plan, selecting all four of the Series, and then choosing Delete from the Selected Items… menu.
Note
Another sample File Plan is available as a data file that accompanies this book. Unlike the example that ships with Alfresco that is based on the DoD-5015.2, the structure of this example has much greater detail than the one from the DoD, and it resembles more closely the File Plan of a typical organization.
There are two files that make up the sample File Plan that can be downloaded from Packt Publishing. The file FilePlan.xlsx is an Excel spreadsheet and describes the File Plan. The file SampleFilePlan.acp is a file in the ACP format that can be imported directly into Alfresco using the Import button on the File Plan page of the Records Management site.
A second ACP file, also named SampleFilePlan.acp, is available as a downloadable file for Chapter 6. That version of the File Plan also includes disposition schedules, as discussed in Chapter 6.