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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.

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,
Obligation,
Schemes):

Name Obligation Schemes
20.1 Mandate Type Mandatory Minnesota Recordkeeping Metadata Standard, agency-defined schemes
20.2 Refers To Mandatory Minnesota Recordkeeping Metadata Standard, agency-defined schemes
20.3 Mandate Name Mandatory Agency-defined schemes, URIs
20.4 Mandate Reference Optional Free text, URIs, agency-defined schemes
20.5 Requirement Optional Free text, URIs, agency-defined schemes
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,
Definition)

Value Name Definition
Legislation: The mandate exists in a piece of legislation.
Regulation: The mandate exists in a piece of subsidiary legislation.
Formal Directive: The mandate exists in government or departmental policy, or in a formal directive.
Industry Regulation: The mandate exists in a mandatory regulation or standard pertaining to a particular industry or type of work.
Best Practice Standard: The mandate exists in a discretionary standard (e.g., the ISO 9000 series of Quality Management standards), which recommends best practice in particular areas.
Internal Business Requirement: The mandate exists in an internal agency policy or procedure, put in place to meet specific business requirements.
Community Expectation: The mandate exists in an expectation by the larger community that particular records will be created and kept.
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,
Definition)

Value Name Definition
Creation: The mandate states that a record shall be created.
Retention: The mandate states that a record shall be kept (it may or may not state for how long).
Access/Usage: The mandate states that certain access/usage rights to or access/usage restrictions on a record shall be allowed or enforced.
Accessibility: The mandate states that a record shall be maintained and stored in such a way that it retains its original functionality, and remains both accessible and readable.
Record Quality: The mandate states that a record shall be maintained and stored in such a way that it retains its original functionality, and remains both accessible and readable.
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.


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