To Dispose Records, including sending records for Disposal Approval, you need to be assigned to the Application Administrator or Records Manager role in Records365. For more information, see User Roles Disposal Approvers need to be a member of a Security Profile that includes the Approve Disposals action. For more information, see Security Profiles
Disposal is a key part of a Record’s lifecycle and properly controlled and defensible disposal is one of the primary goals for a compliant Records Management function.
Records365 leverages the Rules engine to Classify your content and assign each Record the required Retention Schedule. This, in turn, dictates how and when Records should be Disposed.
Disposal in Records365 is managed in a few steps:
- Records Managers identify records that are due for disposal in the Unactioned view.
- The records are Actioned for disposal, either by direct approval from the Records Manager or by sending them to a separate Disposal Approver as required.
- Once approved for disposal, Records Managers execute the disposal of the records and the content is Destroyed in the relevant source system.
The default view of the Disposal page is the Unactioned View, which provides a view of all items that have reached the end of their retention period and have not yet been actioned. Once items have been sent for Disposal Approval or directly disposed by a Records Manager, then items will no longer appear in this view.
Within the different views of the Disposal page, you can click on the Advanced Search dropdown at the top right of the page to perform powerful searches within the records due for disposal to assist working with large volumes of records to be disposed. The search experience is consistent with Advanced Search elsewhere in Records365 and allows searching on record properties from both Records365 and the content source. This then allows the expired items to be grouped together and actioned for approval or destruction accordingly.
Send for Approval
Records will appear in this view 1 day after the date listed in the ‘Disposal Due’ field.
Many organizations require approval from one or more users prior to destruction. You can select one or more items in the Unactioned View and Send for Approval, assigning Approvers by their email address or by their Security Profile in Records365. When sending Unactioned records for Approval, the process is as follows:
- A draft email is created using the default mail client for the currently logged in user to all of the specified approvers. The draft can then be refined and tailored to meet the Records Manager’s needs. A link will be included in the draft to take the Approvers directly to the My Disposal View in order to complete the Disposal Approval process.
- All of the selected items will be assigned the specified approvers and will only be available to those users for approval. Record Managers can override the approval – this will mean that they will then be tracked as the Approver.
Assigning Disposal Approvers does not automatically grant those users access to Records365. Users need to be added to Records365 with the Disposal Approver role in order to complete the approval process. See Adding Users for more information.
To send records for Disposal Approval:
- Select the records that are ready to be sent for approval using the checkbox at the left of the row. Using the checkbox in the header row of the grid will select all items on that page. You may wish to use the Advanced Search bar to filter the results.
- Click on the Send for Approval icon.
- The side panel will open to the right of the screen for you to select either an email address or a Records365 Security Profile for the Disposal Approver. To fill out additional approvers, click Add Approver again. Any of the Approvers listed by email address or any member of a Security Profile listed can complete the disposal approval process for these records. Click on the Manage Users & Groups link underneath a Security Profile to see the list of users and groups that are members of this security profile.
- Click Save. A draft email template will open in the default email client set up on your computer, with the link to the Disposal Approval page and the approvers you entered listed in the ‘To:’ field. The example below is for Windows 10 Mail, but this may open up in Outlook or another default email client you have set up.
- Edit the email template, then send it to your Disposal Approvers when ready.
- In Records365, a success message will appear showing the status of the records you have sent for disposal approval.
For smaller organizations or exceptional cases, approval by additional users may not be required for record disposal. In this case a Record Manager may wish to proceed to disposal without approval. When the approval step is skipped the user performing the Dispose operation will audited as the approver.
- Select items to dispose and click on Dispose.
- Enter Disposal Comments and tick the checkbox confirming that any physical records have been destroyed, then click ‘Save’. Disposal Comments are required to proceed with final disposal.
- A message will appear confirming that the Records have been submitted for Disposal.
The disposal action triggered will depend on the disposal action of the records selected – for example, Destroy.
Disposal of Records can take time to complete, so you might still see Records in the Disposal view for a short period of time. Once complete, the Record will be marked with the Previous Disposal Action, Date and Audit events for the Disposal will be generated.
The actioned view revolves around tracking and managing outstanding approvals and disposals. Some common scenarios include:
- An item was sent for approval months ago and no action has been taken, how do I follow that up?
- What items have been rejected for disposal, and what reason was recorded, so that appropriate actions can be taken.
- As a Record Manager, I have been assigned items for approval, how do I see just my items.
- The Approver has left the organization, how do I send their items to someone else for approval?
The Actioned View provides a few features to help manage the scenarios described above.
Filtering and Sorting – Each item can be tracked by its Disposal Status throughout the disposal process, the available statuses are:
- Pending – Has been sent for approval, and has not been approved/rejected yet.
- Approved – Has been approved for disposal. The Approver column will display the user that approved it.
- Rejected – The item has been rejected for disposal, the reason can be found in the Quick Summary.
Other columns that may be useful to sort on in the Actioned View are:
- Last Approval Action – The date the Disposal Approval for an item was last actioned, which includes sending for approval. This may be helpful for triaging outstanding approvals.
- Approver – The email address of the user who approved/rejected the item for disposal. When multiple people have approved it, the last user is displayed in this column. When no value is present, it indicates that it has not been actioned for approval.
Quick Summary – To get a visual representation of an item throughout the disposal process flow there is a Quick Summary available for every item by clicking on the row in the results grid for that item. The quick summary will also show any comments for rejected items, all users listed as an approver for items pending approval and the Record Category assigned to the item. If further information is required, the Title column is a clickable link through to the record details.
View – By default, the Actioned tab displays all items that have been sent for approval. Records Managers can also have items assigned to themselves for Disposal Approval, to filter down to just these items, use the ‘View’ icon at the top right of the results grid.
Send for Approval – Some items will need to be re-sent for approval – for example if an outstanding approval has taken too long, the approver has left the organization, or if rejected items have been remediated and are ready for disposal. ‘Send for Approval’ from the Actioned tab will reset the list of approvers for these items and re-send the disposal approval email.
Dispose – Approved items can be disposed using the ‘Dispose’ button. Enter disposal comments and confirm that any physical records have been destroyed, then click ‘Save’. When disposing items that are either in ‘Pending’ or ‘Rejected’ states, you will be recorded as the Disposal Approver.
Reschedule – Items waiting for Disposal can also be Rescheduled to another Record Category. Please note that this may mean they are no longer eligible for disposal if they are rescheduled to a Record Category with a different Retention Schedule.
After records have been sent for disposal, you can check the status by clicking the Details link on the Disposal Status column as shown here. Alternatively, you can click on the document and navigate to the Disposals view.
The Disposals view displays a range of information, such as:
- Disposal Status: In Progress, Completed or Failed.
- Record Information: Disposal Related information for your record.
- Events: A table with post disposal submission events. This allows greater visibility if there is a failure, as well as being able to track the progress of submissions.