Disposal

Disposal

Disposition is the operation that consists of identifying and removing from the current operations those records that are used occasionally or that are no longer useful for the administration of an organization, in accordance with the retention rules that are attached to them. In Constellio, the closing of files requires the creation of a closing list and all transfers from one state to another requires the creation of disposal lists which are carried out in the record management section. The record management of the navigation menu is therefore useful for creating closing lists, creating disposal lists for folders, creating and consulting containers as well as generating various reports on document management tools.

By default, only users with Document Manager or Administrator roles can start the decommissioning process. While users with a Manager role can approve the disposal and manage the containers. However, it is possible to change these role settings in "Manage Roles" in "Management."

Definitions of terms related to decommissioning operations: 

• Downgrading: general operation to move files from one status to another: 
  • Active to semi-active.
  • Active to be destroyed.
  • Assets to be deposit.
  • Semi-active to be destroyed.
  • Semi-active to be deposit.
  • Destruction: The process of eliminating or deleting records and files according to the retention schedule.
  • Transfer: Operation of transferring files from active to semi-active.
  • Deposit : The process of placing permanent records in an archive (internally or externally acquired).
  • Preservation: Permanent preservation, to constitute a historical archive.

The disposition is done according to the dates of payment and destruction assigned to the files. To calculate this scheduled transfer to semi-active or inactive, Constellio is based on the actual dates of the records. If a file has an actual transfer date equal to 2018-12-18, it will be transferred according to this schedule.

However, if no real transfer date is assigned, Constellio will calculate the transfer according to the opening date of the file and the rule of the classification plan item that is attached to it. This feature can be selected in the Configuration menu, in the Administration section. 

1. Management of disposition lists

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";

The first tab of the disposition lists, "Create a List", allows the creation of several downgrade lists: List of folders without a closing date and Folder disposition.

When lists are generated, they are displayed in one of the other tabs according to their status: 

• Generated lists: displays generated lists.
• Lists to be validated: lists that a user must validate.
• Validated lists: lists that are validated.
• Lists awaiting approval: lists awaiting approval by a Manager.
• Lists to approve: lists that a user with a Manager role must approve.
• Approved list: lists that have been approved by a Manager.
• Processed lists: lists whose decommissioning is completed.

Note that adding an item to a disposition list is not done automatically. It is possible to choose whether or not the folder is included in the planned disposal. To do so, simply select Yes/No in the "Included" column of the list. However, this functionality must be activated in the environment control configurations (Disposition list with table, Selected folders).

1.1 File closure

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select a type of closure list to create (the operation is identical for the three choices);
4. Conduct a search to identify folders that need to be closed. At least one administrative unit must be selected. Then click on "Search";
5. Select the records to be closed and click on "Generate a disposition list."

1. Create a title and a description for the disposition list and click on "Save";
2. In the window, click on "Process";

It may be mandatory to have the case closure list approved by the business unit manager before processing is initiated. This is the case if the "Require approval for closure" setting in the disposition configurations is enabled. 

At the level of the record of closed files: 

• The current date is entered in the folder's closing date metadata.
• The value Closing Date is automatically assigned to the documents attached to the file.
• Generation of the Planned Transfer Date and Planned Removal Date or Planned Destruction Date fields.

1.2 Generate a disposition list

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select a type of decommissioning list to create (the operation is identical for all choices);
4. Conduct a search to identify files that need to be downgraded. At least one administrative unit must be selected. Then click on "Search";
5. Select the records and click on "Generate a disposition list." 

1. Create a title and a description for the disposition list and click on "Save";
2. In the window, it is possible to perform several actions that are explained in the "Actions on a disposition list" section. The available actions vary depending on the status of the disposition list, the media, etc.

1.3 View a disposition list

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab where the downgrade list to be consulted is located;
4. In the desired tab, click on the magnifying glass to the right of the name of the downgrade list you wish to consult. 

Depending on the tab, and therefore on the status of the disposition list, it is also possible to modify the list label (notepad icon) and to delete it (X icon). Otherwise, these actions are also available in the consultation window of the disposition lists (except for the processed lists). When disposition folders that are only electronic, the association of a container is not available, since it is not necessary.

1.4 Edit the wording of a disposition list

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab where the downgrade list to be consulted is located;
4. Click on the view icon to the right of the disposition list name;
5. In the window, click on "Edit";
6. In the "Edit Disposition List" window, change the title or description of the list and click "Save".

2. Actions on a disposition list

2.1 Add folders to the list

Before, during and after validation as well as before approval of the disposition list, it is possible to add items to the disposition list. 

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab where the disposition list to be consulted is located;
4. Click on the view icon to the right of the disposition list name;
5. In the disposition list, click on "Add folders to the list." 
6. In the next window, search for records to add to the disposition list. Click on "Search";
7. In the search results, select the folders you want to add and click on "Add to the list."

2.2 Remove selection from list

Before, during and after validation as well as before approval of the disposition list, it is possible to remove items from the disposition list.

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab where the disposition list to be consulted is located;
4. Click on the view icon to the right of the disposition list name;
5. In the disposition list, select the items to be removed from the list and click on "Remove selection from list". Confirm the removal of the items. This option is good for removing multiple items from the list.

1. View a list of disposition;
2. Check "Yes" or "No" in the "Included" column to designate whether or not the folder is included in the list. This option is good for removing one or two items from the list.

2.3 Sort the elements of the disposition list

In a disposition list, items are automatically assigned a sequential number that indicates their positions in the list as well as in the container.

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab where the disposition list to be consulted is located;
4. Click on the view icon to the right of the disposition list name.
5. It is possible to change the order of the items in the disposition list. To do this, click on "Sort";
6. In the window, change the order of the items with the arrows and click on "Save." 

2.4 Start a validation request

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

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 disposition list name;
5. Click on "Request validation";
6. In the window, complete the metadata and click on "Send."

Metadata request validation
Name of the field		Description	Image
To	Obligatory	Search for the name of one or more users and click on "Add."
Add a comment to the disposition list	Optional	Check this box to add the comment to the disposition list.
Comments	Optional	Enter the 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 and 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 disposition list before it is possible to make a request for approval. It is possible to make other validation requests following modifications or to delete the validation request for a user. After validation by the user(s), the disposition list is now in the "Validated lists" tab. 

2.5 Validate a disposition list

When you receive a validation request for a disposition list. You can validate the items in the disposition 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 validate" tab;
4. Click on the view icon to the right of the disposition list name;
5. Make changes, if necessary. To do this, use the Yes and No options in the "Included" column. The "Yes" option to include the folder in the list of folders ready to be processed and the "No" option to exclude the folder, which is directed to an "Excluded folders" section;
6. To validate the list that is currently being validated, click on "Validate";
7. Confirm the validation of the disposition list by clicking on "Yes";
8. After validation by the user(s), the disposition list is now in the "Validated lists" tab.

2.6 Start an approval request

The approval of the disposition 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 where the disposition list to be consulted is located;
4. Click on the view icon to the right of the disposition list name;
5. In the disposition list, click on "Request Approval";
6. In the "Request Approval" window, select one or more managers to approve the list, then click on "Submit."

2.7 Approve a request for approval

When someone sends you a request for approval of a disposition list. You must validate the items in the disposition 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 be approved" tab;
4. Click on the view icon to the right of the disposition list name;
5. Make changes, if necessary. To do this, use the Yes and No options in the "Included" column. The "Yes" option to include the folder in the list of folders ready to be processed and the "No" option to exclude the folder, which is directed to an "Excluded folders" section;
6. To approve the disposition list, click on "Approve";
7. Confirm the approval of the list by clicking on "Yes." The list is now approved and is therefore displayed in the "Approved lists" tab. It is possible to start processing.

2.8 Processing a disposition list

In order to be able to process a disposition list, it is likely to be mandatory to have performed 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 disposition 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.

2.9 Print the list

Regardless of the status of the list, if it contains folders, it is always 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 where the disposition list to be consulted is located;
4. Click on the view icon to the right of the disposition list name;
5. In the window for viewing a disposition list, click on "Print the list";
6. In this window it is possible to download the report or to print it.

2.10 Delete a disposition list

It is not possible to delete a processed list.

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. In the "Disposition List" window, click on the X next to the list of your choice;
4. In the confirmation window, click on "Yes."

3. Manage containers in decommissioning lists

3.1 Containing the elements of a list

There are several ways to containerized records in a disposition list, including "Create a box," "Search a box" and "Assign box." However, when declassifying records that are only electronic, the association of a container is not available, since it is not necessary. 

1. Click on "Record management" in the navigation menu;
2. Then click on "Disposition";
3. Select the tab where the disposition list to be consulted is located;
4. Click on the view icon to the right of the disposition list name.

There are three choices for containing physical files: 

1. Create a box;
2. Search a box;
3. Assign box.

3.2 Create a container

If no container exists or there is no suitable container for this disposition list, this option will create a container.

1. Click on "Create a box";
2. In the window, complete the metadata for the creation of a box and click on "Save";
3. Back in the "View Disposition List" window, the create box is now available in the drop-down menu that offers all create, search or assign boxes;
4. Select the elements to be added to a box, select the box and click on "Place in box." It is also possible to select the container in which the item should be placed via the "Box" column. The items are then moved to the "Folders ready to process" section and their containers are indicated.

Metadata for the creation of a container
Name of the field		Description	Image
Type	Obligatory	The type corresponds to a type of container that must first be created in the value area named "Box Types."
Temporary identifier	Obligatory	The organization's box number.
Identifier	Optional	The number of the container.
Disposition type	Obligatory	Specify the type of transfer in progress: transfer to semi-active, deposit or destruction.
Storage space	Optional	Select a location for the container, depending on the capacity available in the different locations, only those with sufficient space will be suggested. The "Suggested" button lists the first location that contains enough space for the container.
Full	Optional	Allows to indicate if the container is full.
Description	Optional	Allows to add a description of the container.
Position	Optional	If the location metadata is not used or is complementary, it is possible to add a position to the container.
Capacity (cm)	Optional	Capacity in cm of the container. If the chosen container type already has a default capacity (30 cm, 18 cm, 15 cm...), this metadata will be added automatically. Suggested: when capacities are defined in the different storage spaces (location) as well as for the container, this option allows Constellio to automatically suggest the first storage space that offers the necessary space for the container.
Administrative units	Obligatory	Select the administrative unit(s) associated with the records in the container. It is not possible to file only files belonging to the owner of administrative units. It is possible to create mixed containers if this configuration is activated in the control/configuration.

3.3 Search a box

This option allows you to search through all existing containers to add one or more containers to the disposition list.

1. Click on "search a box";
2. Enter search criteria (all the metadata related to the container to perform a search) and click on "Search";
3. Select the containers to be added to the disposition list and click on "Add selected boxes";
4. Back in the window, "View Decommissioning List," the selected container(s) are available in the drop-down menu that offers all containers, create, search and assign;
5. Select the elements to be added to a container, select the container and click on "Place in the box". It is also possible to select the container in which the item should be placed via the "Box" column. The items are then moved to the "Folders ready to process " section and their containers are indicated.

3.4 Assign box

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

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

3.5  Modify the containers used

To modify the containers used, simply select the items and click on "Remove from container". Afterwards, it is possible to select a new container for the document or folder.