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Minnesota Recordkeeping Metadata Standard:
Management History Element

ELEMENT 15: MANAGEMENT HISTORY

Definition: The dates and descriptions of all records management actions performed on a record from its registration into a recordkeeping system until its disposal.
Purpose: To act as a cumulative control record of all movements and management actions which are carried out on a single record or record series over time. Provides a historical log of the records management and control actions performed on a record or record series.
Rationale: Agencies are required under Minnesota Statute 15.17 to "carefully protect and preserve government records from deterioration, mutilation, loss, or destruction."
Obligation: Mandatory
Applicability: Applicable at the record and/or record series level.
Use Conditions:

Use each time a records management action is performed on a record or record series.

Only recordkeeping, auditing, and information technology staff should have full access to this element.

This element shall be used in conjunction with element 1. AGENT to document the agent responsible for performing or authorizing the action (see Comments under 15.3 Event Description for information on linking to/capturing agent details). Certain sub-elements shall be used in conjunction with 2. RIGHTS MANAGEMENT, 7. RELATION, 14. RECORD IDENTIFIER, 18. LOCATION, and 19. DISPOSAL.

This element shall be linked to elements 12. AGGREGATION LEVEL and 14. RECORD IDENTIFIER.

Repeatable: No

Sub-Elements

(Name,
Obligation,
Schemes):

Name Obligation Schemes
15.1 Event Date/Time Mandatory ISO 8601 standard for date/time encoding
15.2 Event Type Mandatory Minnesota Recordkeeping Metadata Standard, agency-defined schemes
15.3 Event Description Mandatory Free text, agency-defined schemes
Comments: The element 15. MANAGEMENT HISTORY forms a record in its own right and may require permanent retention if it is used officially for destruction reporting and retention scheduling. Records management staff will need to work with information technology staff to ensure that the MANAGEMENT HISTORY record is properly migrated and converted as appropriate so that continued access is possible.

15.1 EVENT DATE/TIME

Definition: The date and time at which a defined management event occurs.
Purpose:

To provide system validation of management actions carried out on records.

To restrict or facilitate access to records based on dates pertaining to particular management actions.

Obligation: Mandatory
Use Conditions: The system shall assign the date/time of the event when the corresponding Event Type (sub-element 15.2) is selected by the agent from a pick list of the assigned values—i.e., the selection of the event by the agent is the trigger for the date/time to be generated by the system.
Assigned Values: -
Default Value: Current system date/time.
Repeatable: Yes
Assigned By: System-assigned.
Schemes: ISO 8601 standard for date/time encoding.
Comments: -

15.2 EVENT TYPE

Definition: An event which relates to the management or control of a record.
Purpose: To provide a finite (but extensible) set of defined management events which can be used to describe the management of the record or record series over time.
Obligation: Mandatory
Use Conditions: The following events are not to be used as Assigned Values in this element: 'Record Creation' (covered by element 10. DATE, sub-element 10.1 Date/Time Created), and 'Transacted' (covered by element 10. DATE, sub-element 10.2 Other Date/Time).

Assigned Values:

(Value Name,
Definition)

Value Name Definition
Access Reviewed: Record examined, both initially and at later times, to identify any not-public material it may contain under the Minnesota Government Data Practices Act (MGDPA) and other applicable access conditions.
Audited: Record scrutinized by an authorized internal or external auditor to check agency compliance with various recordkeeping mandates, such as legislation and standards.
Closed: All activities and transactions documented by a particular record series have ceased, and no further items are to be associated with that record series.
Custody Transferred: Record is placed under management of another organization. If transferred to a new storage location, use of this value shall result in the sub-elements under element 18. LOCATION being updated.
Disposal Action Changed: The disposal action for a record is changed. Use of this value shall result in element 19. DISPOSAL, sub-element 19.3 Disposal Action being updated.
Disposal Hold Placed: Record disposal actions are suspended indefinitely. Use of this value shall result in element 19. DISPOSAL, sub-element 19.4 Disposal Due Date being set to "Null".
Disposal Hold Removed: Record disposal actions are no longer suspended. Use of this value shall result in element 19. DISPOSAL, sub-element 19.4 Disposal Due Date being set to its former value prior to the hold or to another value as set by an authorized agent.
Disposed: Application of the relevant disposal action to a record identified as belonging to a particular record series.
Identifier Changed: The primary identifier of a record is changed and a new one assigned, for example, in order to incorporate an older record into a current recordkeeping system. Use of this value shall result in another identifier being assigned to the record under element 14. RECORD IDENTIFIER.
Location Changed: Record is moved to another location/office (either local or remote). Different from 'Custody Transferred', in that the agency retains management control of the record. Use of this value shall result in the sub-elements under element 18. LOCATION being updated.
MGDPA Classification Changed: Classification of a record is changed with respect to the Minnesota Government Data Practices Act (MGDPA). Use of this value shall result in element 2. RIGHTS MANAGEMENT, sub-element 2.1 MGDPA Classification being updated.
Other Access Condition Changed: An access condition (resulting from, in addition to, or in exception to the requirements of the Minnesota Government Data Practices Act (MGDPA) ) is added, removed, or changed. Use of this value shall result in element 2. RIGHTS MANAGEMENT, sub-element 2.2 Other Access Condition being updated.
Published: Record is formally published—for example, on the agency's website.
Received: Record is received from an external source.
Redacted: Only limited parts or sections of the record are released.
Registered: Record is captured into the recordkeeping system, coming under its management and control. The date and time a record comes under formal records management control can be crucial in proving the authenticity and integrity of that record.
Related: Record is related in some way to another record or to an information resource (this event is used in conjunction with element 7. RELATION).
Released: Record is released to an individual or party as the result of a request under the Minnesota Government Data Practices Act (MGDPA) or other access condition.
Released with Limitations: Record is released to a limited (agency-defined) audience only.
Retention Period Changed: The retention period assigned to the record is changed.
Scheduled: Record examined to assess value, and to determine where and for how long it should be kept.
Usage Condition Changed: A usage condition is added, removed, or changed. Use of this value must result in sub-element 2.4 Usage Condition being updated.
Default Value: -
Repeatable: Yes
Assigned By: Authorized agent.
Schemes: Minnesota Recordkeeping Metadata Standard, agency-defined schemes.
Comments:

Each time a particular event occurs, it will change the current values displayed in one or more other sub-elements (the specific details of this are listed as part of the description for each event and cross-referenced to the relevant elements/sub-elements). Details of the old values and other information shall be entered under sub-element 15.3 Event Description.

15.3 EVENT DESCRIPTION

Definition: The specific details of the event, including information about the original status, the changes made to it, the reasons for the changes, and authorization for the changes.
Purpose:

To ensure the visibility and auditability of agency records management decisions and actions.

To ensure accountability for agency recordkeeping.

Obligation: Mandatory
Use Conditions: The old value of the particular record status being changed by the event shall be recorded in this sub-element.
Assigned Values: -
Default Value: -
Repeatable?: No
Assigned By?: Authorized agent
Schemes: Free text, agency-defined schemes.
Comments:

It is strongly recommended that this information be structured in some way, rather than being entered as free text. Use of templates will enable the information to be entered in a structured way, as well as allowing certain pieces of information to be automatically generated by the system rather than manually entered by the agent—e.g., required information about the agent could be automatically assigned to the template.

Information about the agent performing the action shall be associated with the event itself. A decision will need to be made by individual agencies as to whether this association is implemented through links to separately held agent information, or whether agent information is automatically captured through the use of templates and stored as part of the Event Description.

This element is meant to be implemented as a history 'log'. As such, it will need to incorporate linked information about agents and (depending on the implementation) the records themselves. Which particular information about agents and record IDs/titles etc is incorporated into this log is a system design decision that must be made by the agency.

MANAGEMENT HISTORY Examples

15.1 Event Date/Time 1999-01-01T11:00-6:00 Scheme: ISO 8601
15.2 Event Type Disposed
15.3 Event Description Shredded per annual records destruction

15.1 Event Date/Time 2001-09-23T13:23-6:00 Scheme: ISO 8601
15.2 Event Type MGDPA Classification Changed
15.3 Event Description Changed from private to public

Minnesota Recordkeeping Metadata Standard: Version 1.1, July 2002.


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