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."|
|Applicability:||Applicable at the record and/or record series level.|
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.
|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.|
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.
|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.|
|Default Value:||Current system date/time.|
|Schemes:||ISO 8601 standard for date/time encoding.|
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.|
|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 By:||Authorized agent.|
|Schemes:||Minnesota Recordkeeping Metadata Standard, agency-defined schemes.|
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.|
To ensure the visibility and auditability of agency records management decisions and actions.
To ensure accountability for agency recordkeeping.
|Use Conditions:||The old value of the particular record status being changed by the event shall be recorded in this sub-element.|
|Assigned By?:||Authorized agent|
|Schemes:||Free text, agency-defined schemes.|
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|
|15.3||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.