File Plan Maintenance Tool/Solution

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I am looking for any recommendation for a tool/solution to maintain our File Plan, other than the SharePoint online or any Records management solution for SP. We are looking for better ways to track any changes made, who did it, what are the reasons for the change, who approved, how, links to the approval email/documents, etc. Compliance is key for our organization and we need a tight tracking for those change in addition to make sure that the most updated and approved version of the file Plan remains available for our client. We are currently using Excel spreadsheet with a lot of duplication/copies.

Regards

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Bessem Khouaja
Information Policy & Standards Analyst
Bank of Canada
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Bessem,

For a bit more clarity; are you using SPO (SharePoint Online) as the File Plan host?  And is it your prime repository for records?

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Thank you Lorne for considering my question. We are using SPO as the primary repository for records but SPO is not where the File Plan is hosted. the need is more around a tool to maintain and keep all the transactions around File Plan decisions. The official approved version will end-up in SPO or any other Records Management solution connected to SPO.

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Bessem Khouaja
Information Policy & Standards Analyst
Bank of Canada
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OK, but without knowing where the plan itself exists, pretty tough to provide any viable options.

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Bessem,

I agree with Lorne, it is important to know where the file plan is managed.
That said, it sounds like you are using spreadsheets to manage the File Plan.
You can do the following with SPO:
1. Host the spreadsheet on SPO
2. Restrict access to a select few who are responsible to manage the File Plan and enable versioning
3. Implement a simple workflow (assuming this functionality is available in SPO) to request and approve changes to the File Plan
Again these are very high level thoughts with limited information available. Hope this helps.
Rupak Bhatia
Solutions Architect – Digital Business Automation
Datamatics Global Services Inc.


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Hello Rupak,

Thank you for your answer. Indeed, we are using spreadsheets to manage our File Plan. We have a master copy that is only used by the IM/RM team. In addition, we are creating a snapshot by year and by departments so we can create a link in our Intranet to provide access to the departmental file plan. All those spreadsheet versions are currently managed in SPO with access permissions. No workflows are attached to the spreadsheets yet. This might be a good idea to explore.

Thanks

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Bessem Khouaja
Information Policy & Standards Analyst
Bank of Canada
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Hello Bessem,
I have a good option for you to consider.  Have you looked at the Virgo solution www.infogovsolutions.com?  It does everything that you are looking for and it provides a continuous update on the laws and regulations for compliance in the areas you operate.  It also has integration capabilities to publish retention labels to Microsoft365, build real time connectors, or simply publish information in an exported spreadsheet.  There is a full audit trail for all changes and role-based access.

Let me know if you would like to set up a look at Virgo!

Thanks,
Cynthia Alsup
cynthia.alsup@…

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Cynthia Alsup
Access Information Management Shared Services LLC
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Bessem,

We are using ASSAI for Document Control and Livelink for the Document management in Oil & Gas EPC project, to maintain all version/revision control and audit trail of documents throughout project life cycle, and also for workflow management as per organization RACI matrix, so end user will get only latest revision based on RACI matrix on single click.

No idea about Banking industry are using such kind of tools ? Other similar tools are like Aconex, Alfresco, Documentum, Sharepoint etc. which provide similar functionality.

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BHAVESH JOSHI
GALFAR ENGINEERING & CONSTRUCTION
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Thank you Bhavesh for your reply. Good suggestions. I will explore the tools you suggested.

Best Regards

Bessem

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Bessem Khouaja
Information Policy & Standards Analyst
Bank of Canada
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Hi Bessem,

I feel your pain.  Using Excel to track changes to the file plan is very labor intensive and time consuming.  We have found many of our clients are dealing with the same “pain point” from a compliance perspective.  The THEMIS CS suite from HELUX has tools for managing your file plan, tracking changes to the file plan, and ensuring the latest version is available. As well, the tool can integrate the file plan with information architecture for records management and improve compliance.  The THEMIS CS suite also uses artificial intelligence for auto-classification by “learning” the file plan’s retention and disposition rules.  THEMIS CS works with SharePoint and O365, and now recently with GCdocs (Content Server).  HELUX (www.heluxsystems.com) is based in Ottawa.  We work with many GC clients and non-governmental clients. If you are interested in learning more, then please reach out to me at amitabh@….

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Amitabh Srivastav, CIP, IGP, PMP
VP, Operations & Governance
HELUX
amitabh@…
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Thank you Amitabh for your recommendation. We are already using a tool for applying retention in  SPO.
All the best

Bessem

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Bessem Khouaja
Information Policy & Standards Analyst
Bank of Canada
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Hello Cynthia,

Thank you so much for your suggestion. Virgo solution seems to be what we are looking for. I will spend some time to explore this tool and see if all the requirements we are looking for are covered. We have already a solution for tracking the laws and regulations for compliance. Having a single system to do both is a plus for sure.

Regards

Bessem

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Bessem Khouaja
Information Policy & Standards Analyst
Bank of Canada
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