Minnesota Recordkeeping Metadata Standard: Mandate Element
ELEMENT 20: MANDATE
| Definition: | A source of recordkeeping requirements. For example, a piece of legislation, formal directive, policy, standard, guideline, set of procedures, or community expectation which (explicitly or implicitly) imposes a requirement to create, keep, dispose of, or control access to and use of a record. | ||||||||||||||||||
| Purpose: |
To document the sources of recordkeeping requirements. To provide a visible link between recordkeeping requirements and the strategies implemented to meet those requirements. |
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| Rationale: | The use of this element will assist agencies to keep track of their recordkeeping requirements and to more easily ensure that they continue to meet those requirements over time. | ||||||||||||||||||
| Obligation: | Optional | ||||||||||||||||||
| Applicability: | Applicable at the record and/or record series level | ||||||||||||||||||
| Use Conditions: |
This element shall be linked to elements 12. AGGREGATION LEVEL and 14. RECORD IDENTIFIER. | ||||||||||||||||||
| Repeatable?: | Yes | ||||||||||||||||||
Sub-Elements (Name, |
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| Comments: |
Much of the information required for this element should normally be collected during the development of agency business classification schemes, records retention schedules, and specific recordkeeping systems and strategies. There could be direct links from the information contained in this element to the agency functions, activities, and transactions to which they apply (i.e., links could be provided from this element to element 9. FUNCTION). Information about mandates could be kept in a separate agency recordkeeping requirements database, or documented, through this element, as part of the agency's overall set of metadata for recordkeeping. |
20.1 MANDATE TYPE
| Definition: | The nature of the resource which, explicitly or implicitly, contains the recordkeeping requirement or mandate. | ||||||||||||||||
| Purpose: | To provide a general indication of the rationale behind the creation, retention, access control and/or disposal of a record. | ||||||||||||||||
| Obligation: | Mandatory | ||||||||||||||||
| Use Conditions: | - | ||||||||||||||||
Assigned Values: (Value Name, |
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| Default Value: | - | ||||||||||||||||
| Repeatable?: | Yes | ||||||||||||||||
| Assigned By?: | Authorized agent. | ||||||||||||||||
| Schemes: | Minnesota Recordkeeping Metadata Standard, agency-defined schemes | ||||||||||||||||
| Comments: | - |
20.2 REFERS TO
| Definition: | The kind of recordkeeping activity to which the mandate, either explicitly or implicitly, refers. | ||||||||||||
| Purpose: | To provide easily accessible justification for how an agency's records are managed, controlled, and used. | ||||||||||||
| Obligation: | Mandatory | ||||||||||||
| Use Conditions: | - | ||||||||||||
Assigned Values: (Value Name, |
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| Default Value: | - | ||||||||||||
| Repeatable?: | Yes | ||||||||||||
| Assigned By?: | Authorized agent. | ||||||||||||
| Schemes: | Minnesota Recordkeeping Metadata Standard, agency-defined schemes | ||||||||||||
| Comments: | These values provide the basis for agency-specific business rules which stipulate how particular records should be managed, and how they can be used and accessed, from creation through to disposal. |
20.3 MANDATE NAME
| Definition: | The name of the resource which contains explicit or implicit recordkeeping requirements or mandates relating to a record. A link to an online resource containing recordkeeping requirements or mandates. |
| Purpose: | To enable the reasons for decisions on managing, controlling and using records to be linked back to the source(s) of the original recordkeeping requirements. |
| Obligation: | Mandatory |
| Use Conditions: | If there is an applicable section of the mandate, that is indicated by using sub-element 20.4 Mandate Reference. If the mandate has no discrete sections or if the entire mandate is applicable, only sub-element 20.3 Mandate Name is used. |
Assigned Values: |
- |
| Default Value: | - |
| Repeatable?: | Yes |
| Assigned By?: | Assigned from a pick list of the agency's most common sources of recordkeeping mandates or manually entered/linked by an authorized agent such as the agency Records Manager. |
| Schemes: | Agency-defined schemes, URIs. |
| Comments: | An agency may assign its most common sources of mandates for recordkeeping, such as the pieces of legislation under which it operates, as values for this sub-element. The following state laws are applicable to all agencies: Minnesota Rules, Chapter 1205 (Department of Administration, Data Practices); Minnesota Statutes, Chapter 13 (Minnesota Government Data Practices Act); Minnesota Statutes, Chapter 15.10 (Records Delivered to Department Heads); Minnesota Statutes, Chapter 15.17 (Official Records Act); Minnesota Statutes, Chapter 138.17 (Government Records Act); Minnesota Statutes, Chapter 138.163 (Preservation and Disposal of Government Records); Minnesota Statutes, Chapter 325L (Uniform Electronic Transactions Act). |
20.4 MANDATE REFERENCE
| Definition: | The actual reference (numeric, paragraph, etc.) within the resource or a link to an online reference, which details the explicit or implicit recordkeeping requirement or mandate. |
| Purpose: |
To enable direct access to the recordkeeping requirements which govern the management, control, and use of a record. To provide a completely visible link between a record and the recordkeeping requirements which govern its management and use. |
| Obligation: | Optional |
| Use Conditions: | The format of the reference will be dependent on the format of the source document from which the mandate reference is taken. |
| Assigned Values: | - |
| Default Value: | - |
| Repeatable?: | Yes |
| Assigned By?: | Manually entered or linked by an authorized agent, such as the agency Records Manager. |
| Schemes: | Free text, URIs, agency-defined schemes |
| Comments: | - |
20.5 REQUIREMENT
| Definition: | Either a direct quote (or link to a direct quote) of any explicit or implicit recordkeeping requirement or mandate contained in the source, or a description of the requirement itself. |
| Purpose: | To provide the specific details of any recordkeeping requirements relating to a record. |
| Obligation: | Optional |
| Conditions: | - |
| Assigned Values: | - |
| Default Value: | - |
| Repeatable?: | Yes |
| Assigned By?: | Manually entered or linked by an authorized agent, such as the agency Records Manager. |
| Schemes: | Free text, URIs, agency-defined schemes |
| Comments: |
This sub-element may also be used to provide details of the agency's own interpretation of an implicit recordkeeping requirement and its reasons for interpreting the requirement in a particular way. In some instances, agencies may want to make this sub-element mandatory. |
MANAGEMENT HISTORY Examples
| 20.1 | Mandate Type | Legislation |
| 20.2 | Refers To | Access/Usage |
| 20.3 | Mandate Name | Minnesota Statutes Chapter 13 (Minnesota Government Data Practices Act) |
| 20.1 | Mandate Type | Legislation |
| 20.2 | Refers To | Creation |
| 20.3 | Mandate Name | Minnesota Statutes Chapter 15.17 (Official Records Act) |
| 20.4 | Mandate Reference | Subdivision 1 |
| 20.5 | Requirement | Must be kept. All officers and agencies of the state, counties, cities, towns, school districts, municipal subdivisions or corporations, or other public authorities or political entities within the state, hereinafter “public officer,” shall make and preserve all records necessary to a full and accurate knowledge of their official activities… |
Minnesota Recordkeeping Metadata Standard: Version 1.1, July 2002.
