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How to Create a File Plan in OpenKM

Creating a File Plan in OpenKM gives your organization a powerful framework to control how documents are managed throughout their lifecycle. This plan outlines how to categorize, retain, secure, and dispose of records in accordance with business rules and compliance requirements.

In this article, we’ll walk you through the process of building a file plan in OpenKM. Additionally, we’ll explain how to use metadata, nodes, cataloging, and automation to improve record management and efficiency.

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What Is a File Plan in OpenKM and Why Should You Use It?

A file plan in OpenKM structures the classification and handling of documents. It identifies where files are stored, how long they should be retained, who manages them, and when to archive or delete them. Therefore, this strategy helps you track every document from creation to final disposition.

Moreover, OpenKM allows you to define this structure using document series, metadata groups, and access control layers, which makes it both scalable and secure.

How to Create a File Plan in OpenKM

Before setting up your file plan, start by identifying all document types used across your organization. For example, these may include reports, contracts, emails, or scanned files. Once you’ve defined these, create a classification table using nodes and sections in OpenKM.

Each document series belongs to a section, which groups similar records by department or function. In addition, every series includes metadata, retention schedules, and access rules tailored to the content type. With this foundation, your File Plan in OpenKM begins to take shape.

Understanding Nodes and Document Series

A document series forms the foundation of your file structure. For each one, assign a name, a unique identifier, related record types, and a metadata group. OpenKM supports two types of nodes:

  • Document series nodes, which contain actual documents and metadata.
  • Inheritance nodes, which apply shared properties to multiple child nodes automatically.

You can organize your OpenKM file plan using several actions:

  • Extend: Push property changes to all child series.
  • Extension: Create a new document series under an existing parent.
  • Clone: Duplicate a series and assign it to the same parent node.

Before editing, unlock the document series to allow authorized users to make changes. This ensures controlled modifications and preserves structural consistency across your file plan in OpenKM.

Assigning Metadata and Setting Access Control

Each document series should include a relevant metadata group such as “Training” or “Project Files.” This allows users to input structured information during document creation. In addition, OpenKM provides a Security Access Manager to define permissions based on roles, users, or even metadata values.

For example, you may restrict access when metadata equals “Confidential.” On the other hand, you can allow broader access if the value changes to “Public.” This ensures your OpenKM file plan adapts to both security needs and operational requirements.

Using Cataloging in Your File Plan

Cataloging helps organize your documents logically. You can apply catalog types like “Business Activities” or “Personnel” and choose display options such as Show Code or Show Year. These visual cues improve navigation and classification across your file plan in OpenKM.

Furthermore, OpenKM allows you to customize catalog settings per series, which increases consistency and usability throughout the document management process.

Adding Events and Record Status

OpenKM enables you to trigger specific actions when creating documents. For instance, it can launch a metadata wizard to prompt users for key information. You can also assign a status like Evidence to indicate the record is finalized and locked.

Once a document reaches this status, OpenKM blocks further edits automatically. As a result, you maintain data integrity and improve the long-term reliability of your file plan in OpenKM.

Defining Retention and Final Disposition

Every document should follow a lifecycle policy. Let’s say a file remains in historical storage for two years. After that period, OpenKM can automatically archive or delete it, depending on your configuration.

This retention logic not only reduces manual work but also strengthens compliance within your OpenKM file plan.

Example: Creating a Document Series

Suppose you want to create a document series called “Staff Docs.” First, click New Type and fill out the form with the series name, code, metadata group, and security settings. Once saved, it appears in your classification structure as part of your file plan in OpenKM.

Next, click Extension to add a child series. Complete the required fields and indicate whether the series is closed. A closed series means it’s being edited and cannot be used until finalized.

Using Metadata-Based Security Rules

In some cases, you may need to override default security settings. Let’s say a file contains sensitive content. You can define metadata-based rules that restrict user access dynamically within your OpenKM file plan.

For example, if the metadata equals “Restricted,” user Y cannot access the document. However, if it changes to “Internal,” the system will grant access automatically.

Setting Default Cataloging and Prompts

Within the Catalog Manager, select “Business Activities” and activate the Show Code option. Then, configure OpenKM to request metadata input each time someone uploads a document to this series.

This step ensures consistency in document tagging and supports better searchability across the entire file plan in OpenKM.

Uploading a Document to the File Plan

From the OpenKM desktop, choose the document series and click Create. Upload your file and click Send. Afterward, click Metadata to enter the required information.

Once completed, OpenKM files the document within the correct series, applies the right security rules, and links it to the metadata and catalog settings, making it a fully integrated part of your OpenKM file plan.

By building a File Plan in OpenKM, you gain full control over your document lifecycle. From classification and metadata to retention and automation, this structure ensures transparency, compliance, and operational efficiency.

To explore more features, visit the Document Management System – OpenKM.

Need help implementing your file plan? Contact our team and let us guide you through the process.

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