Records Management: When does a document become a record?

The answer is simple: “A document becomes a record when the description of the document’s contents can be found in the company’s official records retention program.” To be more precise, “an original document becomes an official record when the content of a document matches the words and phrases of the company’s official records retention program.” Note that a copy of an official record is called an unofficial record.

Note the words “original”, “official” and “copy”. Ah, for the tough decisions of a records manager. Now you can start to see the challenges of being a records manager. For example, if the official (original) record is destroyed or deleted, the copy becomes the official record and must be properly protected and stored. But what if the original is destroyed and 10 copies were produced? One of those 10 copies is the original, but which one? In the ideal situation, the records manager keeps track of all electronic and physical documents and records. Ideally, the records manager should be able to communicate with people in possession of known copies when the original is destroyed.

Complicated? Yes, it is. And I don’t know of ANY records manager who has been able to successfully follow the paper proof of a document from creation to use to disposal. It is now possible to strictly control these documents and records if the records manager has a large staff, if the company is small, and if funds are unlimited. If anyone has a good solution, please visit my website and email me.

Is there a way to declare a document as a record? Of course, many people will call a record a document when the content has legal, fiscal, operational, historical, or commercial value, but this is too vague for me. Using this method, too many records managers have a tendency to declare all documents as records and be done with it. And lo and behold, now you know why there are often thousands and thousands of “extra” records that are stored off-site or even on-site. Why do you ask? Because now, when the filing cabinets fill up, all unofficial documents, records and records are stored offsite. If you agree with the first method that a document is only considered a record when it can be found on the records retention schedule, then the only record you need to be concerned with is the original official document. All others must be given a short life and destroyed.

Conclusion: Documents only become records when they meet two key characteristics: (1) the content matches the descriptions in the company’s official records retention schedule; and (2) the documents are original. All other documents are copies and may be destroyed when they are no longer frequently referenced.

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