Question

Records Management for Documents Created Daily

Records Management

Updated January 30

asked on January 23

Hello,

So I'm trying to fully implement records management (for various reasons, our previous records series/folders have been essentially placeholders) in Laserfiche starting with one department and one type of record, and I've hit a wall in my understanding.

The Situation: The department I am working with is using Laserfiche to store a type of record that is created every day. These records are then uploaded to the repository and need to be kept for six months, and then deleted.

My problem is that I can't figure out how to implement a records management solution within LF that works and is intuitive. This situation is common, though, so I can't help but think there must be one. My understanding is that I have to start with a record series, onto which I can apply a code, name, description, cutoff instruction, retention schedule, check whether or not the records are vital records, and note disposition authority. I can then make record folders, which can have filing dates, cutoff instruction, retention schedule, and check whether or not the records are vital records, but I can't add a code, name, or description (or, at least, all I can do to indicate those things is edit the folder name). The filing date can be edited at that folder level, but all the records within the folder will inherit that filing date and it cannot be edited individually. Also, records cannot individually be placed within a record series, and must reside within a record folder.

So, retention is calculated from the filing date, which must be set at the folder level. So what is the best way to manage records that are being created daily and cycled out on a rotating basis? Do I need to automate the creation of a new folder with a new filing date every time a record is uploaded on a new day? Is there an obvious better solution that I'm overlooking? I really feel like I'm missing something simple, or like I'm deeply misunderstanding something. Help!

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Replies

replied on January 24

Generally speaking you wouldn't want to apply codes/descriptions to record folders (which is why the option is not there). If we're thinking in terms of physical records, think of a record series like a drawer in a filing cabinet and record folders like the paper folders. You use the record folders to contain the files themselves, but the record gets all its cutoff/retention information from the record series, which is what has the codes. The folders themselves do not need them but if you really want a code system on the folders, just put it in the name of the folder.

For your scenario, I would create a record series with the code that corresponds to your classification scheme and then apply the corresponding cutoff and retention schedule on that. What you use for cutoff/retention depends on if you want the records to be active or inactive during the six months you're keeping them. If you want them inactive, create and apply a cutoff of type interval and set it to 0 months so that it's eligible for cutoff immediately, and then give it a retention schedule of destroy after 6 months. If you want them active during that 6 month period, create and apply an interval cutoff of 6 months and a retention of destroy after 0 months. Then for your record folder, you would want a new record folder for each day, so that the files within can be destroyed after 6 months precisely. Cutoff and disposition actions are applied on the record folder level so those really are required. You could potentially automate the creation of these folders depending on how you're creating/importing the files in question. Cutoff can also be automated so that could help so that someone isn't required to go in every day and cut them off. Destruction cannot be automated.

Hope that helps!

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replied on January 24

That absolutely makes sense re: codes and record folders, and I appreciate you pointing it out. I realize now that the way I worded that part was a bit confusing - I'm not actually worried about not being able to apply codes/descriptions to record folders, I just wanted to lay out what I understood about how records series and folders functioned to hopefully make it more obvious if I was fundamentally misunderstanding something.

Your solution makes a lot of sense to me and matches some of what I was already setting up. I do have a question, though - if the records need to be active for the entire six months, would there be any disadvantage to instead not setting a cutoff and then just setting the a retention schedule of destroy after six months?

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replied on January 27

It does not appear so - your record will still be eligible for destruction based on the filing date, so as long as those are accurate you should be ok.

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replied on January 27

That's great - thank you, I really appreciate your help!

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replied on January 30

We use simplified records management without record series and sometimes without record folders, and have no trouble using destruction under RM. They do not go to the recycle bin and you can keep the metadata if you wish.

Additionally, you may want to try using an event type cutoff (e.g. Filed) which you can date with today and cutoff immediately to start your six month retention. I have found that timer type cutoffs have very limited utility.

When it comes to creating retention schedules, I recommend not creating them based on duration, but by record type. If I create a retention schedule called "Two Years" and then a record has its retention changed by the record authority, then I have to find those records and un-cutoff them, assign them a new retention schedule, and cut them off again. If I have a retention schedule called "Financial Aid" and the retention changes to three years, then I change the retention period to three years.

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replied on January 23

It is possible to implement Records Management without using the records series folders. I have this set in one of my repositories and am using workflow to assign the records management properties to individual files when they are created.

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replied on January 24

That might be a good option. Would you say that there are any disadvantages to not using record series/records folders in this type of scenario?

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replied on January 24

One big disadvantage I can see with not using record series/record folders is that it won't undergo proper record destruction. Deleting them only sends them to the recycle bin where they can be recovered (based on how long your recycle bin is set to hold onto entries) versus destruction where it is wiped from existence. Technically just deleting and sending to the recycle bin doesn't count as record destruction and you could not create a certificate of destruction by doing that. So legally that's a disadvantage.

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replied on January 24

That's a great point, thank you!

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Records Management for Documents Created Daily

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