This guidance brings the document register, issue control, file naming and information classification together in one place. It gives staff clear rules for handling files and records.
This guidance document is supplied in fully editable MS Word format and can be easily customised and edited. The document uses pre-defined style formatting throughout, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Guidance number and title
- Information-classification
- Version
- Page number / total pages
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Further guidance on document control and records:
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Management of Files, Documents and Records Guidance
A general guidance document on managing files, documents and records for everyone who creates, uses or stores company information. It explains the document register, issue control and file naming, how information classification affects handling, paper filing, retention, personal data and the information security rules for files.
Topics Covered
- The document register - what F-IMS20 Document Register shows about each record, where it is kept, for how long and who is responsible
- Issue control - marking issue numbers, raising them by one when a template is reissued, and using the Draft and Archive folders
- File naming - the naming pattern for forms, policies, policy procedures and audit checklists, with the category codes for each
- Information classification - the classification levels, where the label sits on a document and how each level affects the handling of records
- Paper filing and retention - labelled filing systems, locked storage for confidential papers, retention times and secure destruction
- Personal data - awareness of data protection requirements and the record of processing activities (RoPA) kept on F-IMS24 Personal Data Register
- Information security - the information assets register, secure transfer of information, encryption, and approved mobile devices and remote access
Who Is It For?
Everyone who creates, uses, files or stores company documents and records, and whoever maintains the document register.
Included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 Toolkits
This guidance is supplied with the TT-1-08 Management of Files, Documents and Records training talk, which is part of the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Using the Guidance
Issue it at induction so everyone follows the same naming, issue control and classification rules, and keep it as a reference with the document register. Record who has received it, for example on the training matrix.
A Treatment Plan for Each Classification
Files are labelled Public, Business Use or Confidential, usually in square brackets in the footer, and anything unmarked is treated as Business Use. Public files can be shared openly. Business Use files are used only for their intended purpose and may need secure destruction. Confidential files are stored with access controls, never emailed or saved to removable media without extra security such as encryption, and securely destroyed.
Adapting the Guidance
Edit the guidance to match your own arrangements - your folder names and file naming conventions, the form and procedure categories you use, your classification levels and treatment plan, and the registers that hold your records, personal data and information assets.
Related Documents
Other documents that work alongside this guidance:
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IMS Manual and Registers Preparation