Records management keeps evidence of an organization’s activities identifiable, usable and subject to the appropriate controls. Begin by finding the responsible records officer or policy owner and documenting what each record series contains. Retention and disposition decisions require the rules that actually apply to that organization and activity.
Establish the applicable authority
This guide provides a planning workflow. Its federal examples refer to the United States; private businesses, state and local bodies and organizations elsewhere need their own applicable laws, contracts and approved policies. A software label or historical product certification does not determine a retention period.
NARA's inventory, scheduling and disposition guide is written for federal agency records-management staff and describes the scheduling and approval process. General Records Schedules supply disposition authority for common federal records within their scope. Confirm the applicable schedule and item with the responsible records function rather than copying a period from an unrelated example.
Identify the authoritative record, convenience copies, working material and any related evidence. Their treatment depends on purpose and policy; a filename or file extension alone cannot settle their status. Keep unresolved classification questions visible until the responsible person decides them.
Build a file plan around activities
| Field | Record explicitly | Question it answers |
|---|---|---|
| Activity and series | Business function and the records documenting it. | What happened and why was this information created? |
| Owner and location | Accountable team, system and repository path. | Who can explain and retrieve it? |
| Scope and access | Included material, date range and authorized roles. | Which records and people are covered? |
| Authority | Applicable schedule or policy, item and version. | What authorizes the retention and disposition rule? |
| Trigger and rule | Defined event, period and final action from the authority. | When can a disposition review begin? |
| Holds and approval | Active constraints and required decision-makers. | What must be resolved before action? |
Group records by an activity and common treatment, then confirm the grouping with the policy owner. Similar filenames can conceal different obligations. Email, attachments and collaboration messages may supply context needed to interpret a transaction.
Record stable identifiers and relationships so the inventory remains useful when content moves. Store the evidence supporting a rule as well as the calculated date; a date without its trigger and authority is difficult to audit.
Separate eligibility from permission to act
Translate the approved rule into a testable process. Identify the triggering event, who confirms it, the authoritative event date and the rule version. Decide how missing dates and exceptional cases enter a review queue. Have the responsible records and legal functions resolve ambiguous or conflicting requirements.
A hold can suspend otherwise scheduled disposition. NARA's own records-hold policy is an example of a documented agency process for legal, audit or investigative needs. Follow the hold and release instructions issued by your organization's authorized function. Do not destroy records under an active hold.
Specify the evidence a system must preserve
NARA's Universal Electronic Records Management Requirements separates program and system requirements and organizes them around capture, maintenance and use, disposal, transfer, metadata and reporting. It is a starting point for federal agencies to tailor with records, acquisition and IT staff.
For your implementation, ask how the system preserves identifiers, access decisions, rule versions, hold status and action history. Test authorized retrieval and denied access. Check whether exports preserve the metadata and evidence needed for continued management in another system.
Backups support recovery, while a records program defines authoritative copies and their treatment. Coordinate the two so recovery procedures, replicas and exports are handled under the applicable policy. A scanned image or a successful migration does not by itself authorize removal of its source.
Record the completed disposition decision
Before an authorized action, assemble the item or series identifiers, applicable authority, trigger evidence, hold check, required approvals and intended action. For a transfer, document the receiving party and acceptance. For destruction, record the approved method and evidence that the specified scope was handled.
Record actual completion, exceptions, operator and date. Reconcile the result to the approved scope and preserve the decision record under its own applicable rule. If the expected action fails, keep the exception open rather than marking the batch complete.
Download the records decision worksheet. It is a blank planning aid with the fictional example and source links. Use it with the responsible records function to identify missing authority and evidence; it supplies no retention periods or authorization to delete.