Paper disposal

How to dispose of paper files

It is possible within Constellio to manage its analog files. The disposal module allows these records to calculate the date on which they should move from one state to another. A definite advantage of using Constellio's decommissioning module is the traceability of this approach. Constellio keeps in mind the disposal list, as well as the retention rule that was applied, the files chosen, the time of disposal and the state to which they changed. An important audit to prove that we follow the law on archives and respect our retention schedule. 

The following page will explain how to downgrade your paper from A to Z. Some tips and tricks will be explained. 

1. Creating a disposal list

1.1 By the record management module

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select a type of downgrade list to create;
   The operation is identical for all choices.
   List types

   List of folders without a closing dates: These allow you to apply a closure date to files with a fixed duration, open or to keep their assets until it is replaced. As long as these folders do not have a closing date, they will not appear in the classic lists.
   Folder disposition:  Allows you to move from one stage to another.
   Sorting layout : The folders at the final disposal of "Sort" will automatically appear in the lists to be paid. Since some elements of the file are to be kept, it is logical that the digital file is not destroyed given the elements to be kept. It is then the duty of the archives to sort through the physical file.
   *A configuration allows the folders available Tri to appear in the destruction lists.
4. Conduct a search to identify files that need to be disposed or closed.
   At a minimum, one administrative unit must be selected.
   It is possible to add criteria as in the advanced search.
   Then click on " Search ". You can then apply filter to your search results. 
5. Select the desired folders and click on " Generate a disposal list ". 
   Point of vigilance

   • If you selected Configuration on the Disposal tab "Separately dispose subfolders": "Selecting a folder does not select its subfolders. If your subfolders need to be closed/disposed, select them directly.
   • It is not possible to process files that contain borrowed documents (the option to borrow documents made references to digital documents. Sometimes your paper records can be hybrid so this applies.)
   • Borrowed folders will not be visible in search results.
6. Create the title and a description to the disposal list and click "Save". This will create the list and it will appear on the screen.
   Give your list a clear name, as that name will appear on the list that you can generate later.
   Like what:
   Name of administrative unit - Disposition type - Classification plan heading - Date
   Human Resources - Active to transfer to semi active - Employee Files - June 6, 2020

1.2 By favorites

Sometimes it is possible to receive a box already filled with files or to have filled one beforehand. You can pre-select these folders and add them to a favorite and then create your disposal list. 

1. Search for folders via Constellio's classic search. Select the desired folders and "Add to a favorite". 
2. Go to the favorites.
3. Click on the desired group of favorites.
4. In "Favorites Group Actions", click on "Disposition List". 
5. Create the title and a description to the disposal list and click "Save". This will create the list and it will appear on the screen.
   Selections

   You don't need to select any particular folders. The disposal list action is performed on the entire group of favorites and not some selected folders. 

2. Verification of the disposal list

2.1 Consult a disposal list

If you have left your disposal list: 

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the "Generated Lists" tab;
4. Click on the view icon to the right of the disposal list name. 

The disposal list contains all the metadata referring to them.

Metadata	Description	Image
Title	The label given to the list.
Type	The type of transfer made to the list.
Administrative unit	Represents, as the case may be, a department, division or section of an organization.
Creation date	The date the list was created.
Created by	Identifying the creator of the list
Modification date	Date the list was modified
Uniform heading	Classification Plan Topic
Uniform rule	Retention policy applied to folders
Status	Downgrade list status
Files	Attached files. These can only be consulted from the downgrading list and are not part of the official documents in Constellio. These files can be pre-established lists that help with downgrading.

2.2 Removing Files from the Disposal List

At this stage, despite your pre-selection, you can go through your list of files to be disposed. There are two ways to remove a folder from the list.

Image	Description	Methods
By the metadata 'Included'	This method comes in handy when you have few folders to remove from the list. Click on the "No" radio button in the "Included" column to remove the folder from the list.
By selecting folders	Through the select button, go through your list and select all the folders you want to remove from the list. At the end of the list, you will have the option "Exclude selected folders". This action is also available through the three dots at the top right of the page. In any case, this action will be available only if you have selected folders.

2.3 Add folders to the list

It is possible to add folders to the list through the actions on the "Add folders to the list" disposal list. 

1. Consult the disposal list of your choice.
2. Click on the actions on the list, then " Add folders to the list".
3. The list creation search window appears. Conduct a search to identify files that need to be disposed or closed.
   At a minimum, one administrative unit must be selected.
   It is possible to add criteria as in the advanced search.
   Then click on " Search ". You can then apply facets to your search results. 
4. Select the desired folders and click on " Add to list ".
5. The folders have been added to the list and are located in the "Selected Folders" space.

3. Add to containers

When creating a list such as "Assets to be transferred to semi-assets", you must link your paper files to containers. 

3.1 Create a container via the list

Your containers must match your list type to appear in the selection choices. You can also create a container from the disposal list. 

For more information, see the article "Containers". 

3.2 Associate with containers via the list

There are two ways to link a folder to a container: 

Method

Image	Explanation
By the folder directly	Through the "Container" column, you can directly select the container in which you want to associate your file. By doing so, the file will be added to the "files ready to process" section.
The "Place" action	You select folders, then a container and click "Place". This will automatically place your folders in the chosen container.

As soon as a folder is added to a container, they are found in the "Folder ready to process" section.

3.2.1 List Containers

In each of the treatment lists, as soon as containers are linked to the files, a list appears at the bottom of the page. It is then possible to see the containers used in the disposal list. We find three metadata.

Metadata	Description	Image
Containing	Indicates the identifier of the container used.
Remaining linear length (cm)	Identifies the remaining linear length (cm) when used at the folder level.
Full	Allows you to indicate if the container is full. This will result in no longer being able to add folders to the container.

3.2.2 Associate from the asset

A configuration exists in Constellio to link your files from the asset to a container. When this configuration is enabled, when you create a downgrade list, some folders may already be linked to containers. In these cases, you don't need to link them again. 

1. Go to "Administration". 
2. Then in "Configurations", disposition tab.
3. Check the box "Allow to box active folders".
4. "Save".

You will now be able to add/modify a folder in Constellio link it to a container. 

3.2.2 Assign containers

To use this option, all items in the list must have a linear length (cm). Containers must also have capacities(cm). The option automatically assigns a container that provides enough capacity for items in the disposal list.

1. Add linear lengths (cm) if your elements do not have this information;
2. Click on "Assign containers";
3. Containers are automatically assigned to each item on the disposal list. While the first two options do not achieve the container setting. This option automatically performs the containerization.

4. Request for validation 

4.1 Request for validation

Validation allows you to ask one or more users to validate the items in the disposal list. These users can then add items, remove items, and include or exclude items. The validation request is optional. 

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the "Generated Lists" tab;
4. Click on the consultation icon to the right of the name of the disposal list;
5. Click on "Request validation";
6. In the "Validation request" window, complete the metadata and click "Submit".

Field Name			Description Image
Recipients	Obligatory	Search for the name of one or more users and click "Add".
Add the comment to the disposal list	Facultative	Check this box to add the comment to the disposal list.
Feedback	Facultative	Enter comment

In the section "Users to whom a validation request has been sent", we see the name of the user, the date of the request, whether the request has been validated or not the validation date when it is validated. It is also possible to delete a validation request with the "X" to the right of the user's name.

All users must have validated the downgrade list in order to request approval. It is possible to make other validation requests following changes or to delete the validation request for a user. After validation by the user(s), the disposal list is now in the "Validated lists" tab. 

4.2 Validate a disposal list

When you are sent a validation request for a disposal list. You can validate the items in the disposal list. You can then add items, remove items, and include or exclude items.

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposal";
3. Select the "Lists to validate" tab;
4. Click on the consultation icon to the right of the name of the disposal list;
5. Make changes, if necessary. To do this, use the "Yes" and "No" options in the "Included" column. The "Yes" option to include the file in the list of ready-to-process files and the "No" option to exclude the file, which is directed to an "Excluded files" section;
6. To validate the list that is currently being validated, click on "Validate";
7. Confirm the validation of the disposal list, to do this, click on "Yes";
8. After validation by the user(s), the disposal list is now in the "Validated lists" tab.

5. Application for approval

5.1 Application for Approval

The approval of the disposal list is done by the manager(s) of the administrative unit, the approval is validated directly when one of the managers approves the request. 

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab in which the downgrading list to be consulted is located;
4. Click on the consultation icon to the right of the name of the disposal list;
5. In the downgrading list, click on "Approval request";
6. In the "Request For Approval" window, select one or more managers for the approval of the list, and then click "Send".
   Careful!

   If the "Require approval..." configuration is checked in Pilot -> Configurations -> Disposal tab -> "Require approval..." box, forcing you to request approval to process your list. 

5.2 Approving a Request for Approval

When you are sent a request for approval for a disposal list. You must validate the items in the disposal list. You can then add items, remove items, and include or exclude items.

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the "Lists to approve" tab;
4. Click on the consultation icon to the right of the name of the disposal list;
5. Make changes, if necessary. To do this, use the "Yes" and "No" options in the "Included" column. The "Yes" option to include the file in the list of ready-to-process folders and the "No" option to exclude the file, which is directed to an "Excluded Folders" section further down the page. 
6. To approve the downgrade list, click on "Approve".
7. Confirm the approval of the list by clicking on "Yes". The list is now approved, so present in the "Approved Lists" tab. It is possible to start the treatment. 

6. Processing a disposal  list

In order to be able to process a disposal list, it is likely that it is mandatory to have completed an approval of the list.

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the "Approved Lists" tab;
4. Click on the magnifying glass to the right of the disposal list name;
5. Click on "Process";
6. Confirm the treatment by clicking on "Yes";
7. The list is moved to the "Processed lists" tab, it is still possible to consult it.

Processing of folders

When you process your list, the folders change color as a result of the life cycle they are in! 

7. Processing a list without approval

It is possible to process a disposal list, without going through the approval of it. In this case, you must ensure that in Configurations -> Disposal tab -> Uncheck configurations that require list approval. These are all separated in different configurations, so you might require approval for destruction, but not transfer to the semi-asset.

1. Make sure you have unchecked the "Require approval..." configurations.
2. Follow the instructions above in the Page for Creating the Disposal List, Validating Records, and Adding to Containers.
3. View your disposal list, then click the actions on your list. The "Process" action is available. 
   Container and Process

   The action will only be available once you have placed your papier files in containers.
4. Click on "Process" and confirm the launch by clicking on "Yes". The list is now approved, so present in the "Processed lists" tab. 

8. Print a folder disposal list

Regardless of the status of the list, if it contains folders, it is still possible to print the list of them.

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab in which the downgrading list to be consulted is located;
4. Click on the consultation icon to the right of the name of the decommissioning list;
5. In the window for consulting a downgrading list, click on "Print list";
6. In this window, it is possible to download the report or print it.

If you want to know more about the actions to be performed on a downgrade list, see the "Disposal" page. 

9. Delete a disposal list

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
   1. Via the "Generated Lists" page, click on the red "X" to the right of the list of your choice.
   2. Via the "View disposal list" window, click on "Delete";
3. In the confirmation window, click "Yes".