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Retention Lifecycle

Overview

Document lifecycle management is a critical aspect of records management. The Records Manager Skill implements a comprehensive state-based lifecycle that ensures documents are properly managed according to retention policies, compliance requirements, and business needs.

Retention Lifecycle State Diagram

stateDiagram-v2
    [*] --> Active: Document Upload/Creation

    Active --> Archive Ready: Retention period approaching
    Active --> Archived: Immediate archival (optional)
    Active --> Modified: Document update
    Active --> Superseded: New version created

    Archive Ready --> Archived: Retention period reached
    Archive Ready --> Active: Retention period extended
    Archive Ready --> Modified: Document updated

    Archived --> Delete Eligible: Retention period expired
    Archived --> Extended: Retention period extended
    Archived --> Modified: Document updated

    Delete Eligible --> Deleted: Approved deletion
    Delete Eligible --> Extended: Retention period extended
    Delete Eligible --> Modified: Document updated

    Modified --> Active: Update complete
    Modified --> Archive Ready: Updated document nearing retention
    Modified --> Archived: Updated document archived immediately

    Superseded --> Active: Superseding document created
    Superseded --> Modified: Superseded document updated

    Deleted --> [*]: Final deletion complete

    Extended --> Active: Retention period extended
    Extended --> Archive Ready: Extended document approaching retention
    Extended --> Archived: Extended document archived
    Extended --> Delete Eligible: Extended period expired

    %% State styling with better spacing
    classDef activeState fill:#c8e6c9,stroke:#1b5e20,stroke-width:3px,color:#000
    classDef warningState fill:#fff9c4,stroke:#f57f17,stroke-width:3px,color:#000
    classDef archivedState fill:#bbdefb,stroke:#0d47a1,stroke-width:3px,color:#000
    classDef dangerState fill:#ffcdd2,stroke:#c62828,stroke-width:3px,color:#000
    classDef modifiedState fill:#e1bee7,stroke:#4a148c,stroke-width:3px,color:#000

    class Active activeState
    class Archive Ready,Superseded warningState
    class Archived,Extended archivedState
    class Delete Eligible dangerState
    class Modified modifiedState
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State Descriptions

Active State

  • Description: Document is currently in active use and regularly referenced
  • Characteristics:
  • Full searchability and accessibility
  • Regular access patterns
  • Current retention period applies
  • Subject to normal workflows

Transitions From: * Initial creation/upload * Document update (Modified → Active) * Retention extension (Extended → Active)

Transitions To: * Archive Ready: When retention period is approaching * Archived: For immediate archival (optional) * Modified: When document is updated * Superseded: When a new version is created

Archive Ready State

  • Description: Document is approaching its retention expiration date
  • Characteristics:
  • May have restricted access
  • Automatic notifications sent
  • Ready for archival process
  • Final review opportunity

Transitions From: * Active state (retention approaching) * Archived state (retention extended)

Transitions To: * Archived: When retention period is reached * Active: If retention period is extended * Modified: If document is updated

Archived State

  • Description: Document has been archived but not yet eligible for deletion
  • Characteristics:
  • Reduced accessibility (searchable but may require special access)
  • Long-term storage
  • Compliance maintained
  • Audit trail preserved

Transitions From: * Active (immediate archival) * Archive Ready (retention reached) * Modified (updated document archived)

Transitions To: * Delete Eligible: When retention period expires * Extended: If retention period is extended * Modified: If document is updated

Delete Eligible State

  • Description: Document has reached the end of its retention period and is eligible for deletion
  • Characteristics:
  • Subject to deletion review process
  • May be subject to legal hold
  • Requires explicit approval for deletion
  • Audit trail required

Transitions From: * Archived (retention expired)

Transitions To: * Deleted: When deletion is approved * Extended: If retention period is extended * Modified: If document is updated

Modified State

  • Description: Document is being updated or has been updated
  • Characteristics:
  • Update in progress
  • May have version control
  • Retention period may be recalculated
  • Audit trail of changes

Transitions From: * Active, Archive Ready, Archived, Delete Eligible (document updates)

Transitions To: * Active: When update is complete * Archive Ready: If updated document is nearing retention * Archived: If updated document is archived immediately

Superseded State

  • Description: Document has been replaced by a newer version
  • Characteristics:
  • Historic version
  • May be kept for reference
  • Subject to retention rules
  • Version relationship maintained

Transitions From: * Active (new version created)

Transitions To: * Active: When superseding document is created * Modified: When superseded document is updated

Extended State

  • Description: Document retention period has been extended
  • Characteristics:
  • New retention period applied
  • Compliance documentation required
  • Audit trail of extension
  • Business justification needed

Transitions From: * Archived, Delete Eligible (retention extended)

Transitions To: * Active: Extended period starts fresh * Archive Ready: Document approaching new retention * Archived: Extended document archived * Delete Eligible: Extended period expired

Deleted State

  • Description: Document has been permanently deleted
  • Characteristics:
  • No longer accessible
  • Deletion audit trail complete
  • Compliance requirements met
  • Final state

Transitions From: * Delete Eligible (deletion approved)

Transitions To: * [*] (end of lifecycle)

Transition Triggers

Automatic Triggers

  • Time-based: Retention period expiration

  • System Events: Document upload, modification, version creation

  • Workflow Events: Automated archival processes

Manual Triggers

  • User Actions: Document updates, archival requests

  • Administrative Actions: Retention period extensions, deletion approvals

  • Business Events: New version creation, supersession

Conditional Triggers

  • Compliance Events: Legal holds, audit requirements

  • Business Rules: Departmental policies, project completion

  • System Conditions: Storage optimization, cleanup processes

Retention Policies

Country-Specific Rules

  • Australia: ATO requirements, FTE document retention, Privacy Act compliance

  • United States: IRS rules, state-specific requirements, federal regulations

  • United Kingdom: HMRC guidelines, GDPR compliance, document retention schedules

Entity-Specific Rules

  • Household: Personal document retention, tax document rules

  • Corporate: Business records, financial compliance, audit requirements

  • Trust: Trust deed permanence, FTE documents, distribution records

Document Type Rules

  • Financial: Tax documents, invoices, bank statements (7-10 years)

  • Legal: Contracts, agreements, court documents (10-25 years)

  • Personal: Identification, certificates, personal records (varies)

  • Trust: Trust deeds (permanent), FTE documents (5+ years from FTE)

Compliance Features

Audit Trail

  • State Transitions: Complete logging of all state changes

  • Retention Tracking: Documentation of retention periods and extensions

  • Deletion Records: Comprehensive deletion process documentation

  • Access Logs: Tracking of document access and modifications

  • Immediate Suspension: Prevents deletion during legal proceedings

  • Status Tracking: Visual indicators for documents under legal hold

  • Release Process: Formal process for removing legal hold

  • Notification: Alerts for legal hold status changes

Compliance Reporting

  • Retention Reports: Documents by retention status and expiration

  • Deletion Reports: Records of all deletion actions and approvals

  • Audit Reports: Complete lifecycle audit trails

  • Regulatory Reports: Country and entity-specific compliance documentation

Configuration

Environment Variables

  • MADEINOZ_RECORDMANAGER_RECORDS_COUNTRY: Country for retention rules
  • MADEINOZ_RECORDMANAGER_RECORDS_DEFAULT_DOMAIN: Default entity domain
  • MADEINOZ_RECORDMANAGER_RETENTION_WARNINGS: Warning period before expiration

Customization Options

  • Override Retention: Manual retention period setting

  • Extension Requests: Business process for retention extensions

  • Delegation: Authority levels for different actions

  • Notifications: Configurable alerts and reminders

Integration Points

  • paperless-ngx: Document storage and retrieval

  • Workflow System: Automated lifecycle management

  • Audit System: Compliance tracking and reporting

  • Notification System: Alerts and reminders

Best Practices

Lifecycle Management

  1. Early Classification: Classify documents at upload for accurate retention

  2. Regular Review: Periodic review of retention policies and documents

  3. Automation: Use automated workflows for routine lifecycle transitions

  4. Documentation: Maintain complete audit trails for all lifecycle changes

Retention Period Management

  1. Standard Policies: Implement standard retention policies by document type

  2. Business Justification: Require justification for retention period extensions

  3. Legal Consultation: Consult legal counsel for retention period decisions

  4. Regular Updates: Review and update retention policies regularly

Compliance Considerations

  1. Regulatory Requirements: Stay current with applicable regulations

  2. Industry Standards: Follow industry-specific record keeping standards

  3. Internal Policies: Ensure alignment with internal policies and procedures

  4. International Operations: Consider cross-border document requirements

The retention lifecycle ensures that documents are managed throughout their entire lifecycle, from creation through deletion, while maintaining compliance with legal, regulatory, and business requirements.