Rules for Activities Involved in MANAGE ARCHIVAL FRAMEWORK
RULE A111
SURVEY RECORDS CREATOR
To survey records creator, construct an administrative analysis in
accordance with the following rules:
a) if records creator is a public body, then search information
about records creator for legislative authority, mandate,
functions, business procedures, structure and how these have
evolved over time, and, on the basis of this, write an
administrative analysis;
b) if records creator is a private body, then search information
about records creator for articles of incorporation, mission,
functions, business procedures, structure and how these have
evolved over time, and, on the basis of this, write an
administrative analysis.
RULE A112
SURVEY INACTIVE RECORDS
To survey inactive records, construct an analysis of inactive
records in accordance with the following rules:
a) if there are inactive records kept by the records creator, then
write an analysis of inactive records, describing the following:
- the current identifier of each aggregate of inactive records, its
nature and purpose, medium and form, inclusive dates, physical
extent, relationships with other aggregations, and arrangement;
- existing control instruments (lists, schedules, indexes, cross
references, etc.);
- office of primary responsibility;
- location;
- retention needs;
- access needs;
- relationship to the administrative analysis;
b) if there are inactive records of the records creator kept by a
competent archival body, or by the office of primary
responsibility, then analyze 1 and 2 and write an analysis of
inactive records.
RULE A113
SURVEY SEMIACTIVE RECORDS
To survey semiactive records, construct an analysis of semiactive
records in accordance with the following rules.
For each aggregate of semiactive records, write an analysis describing
the following:
- the current identifier of the records, their nature and
purpose, medium and form, inclusive dates, physical extent,
relationships with other aggregations, and arrangement;
- existing control instruments (lists, schedules, indexes, cross
references, etc.);
- office of primary responsibility;
- type and frequency of use;
- rate of accumulation;
- location;
- retention needs;
- access needs;
- relationship to the administrative analysis.
RULE A114
SURVEY ACTIVE RECORDS
To survey active records, construct an analysis of active records
in accordance with the following rules.
For each office of the records creator write an analysis of active
records describing the following for each aggregate:
- the current identifier of the group of records, its nature and
purpose, medium and form, inclusive dates, physical extent,
relationships with other aggregations, and arrangement;
- existing control instruments (lists, schedules, indexes,
cross-references, etc.);
- competent office;
- rate of accumulation;
- location;
- retention needs;
- access needs;
- relationship to the administrative analysis.
RULE A115
COMPILE RECORDS INVENTORY
Compile an inventory of creator's holdings in accordance with the
following rules:
a) compare the analyses of the inactive, semiactive, and active
records to identify the similarities and differences; then combine
the analyses to eliminate redundancy;
b) draft inventory of creator's holdings on the basis of the
analysis;
c) review inventory with officers of records creator for the
purpose of identifying and verifying retention periods and access
needs; and
d) issue inventory.
A121
CREATE CLASSIFICATION SCHEME
Review inventory of creator's holdings and relate to information
about business procedures to create a classification scheme by:
a) identifying hierarchical classes of records in terms of
agency functions, procedures and acts;
b) naming the hierarchical classes;
c) describing the scope of each hierarchical class and the
arrangement of the records and/or dossiers within it; and
d) selecting coding scheme and expressing class relationships in
terms of coding scheme.
A122
CREATE RETENTION SCHEDULE
Create a retention schedule and integrate it with the
classification scheme in accordance with the following rules:
a) review the classification scheme, the inventory of creator's
holdings, and the information about business procedures in order to
define the active, semiactive and inactive periods of retention[1] of the classes of
records, and the medium and place of their retention, by:
- identifying how long records of each class are needed for
business purposes;
- identifying the medium in which they need to be retained based
on frequency of use, location of use, reference time, and retrieval
time;[2]
- identifying the legal retention requirements for each class of
records (per statutes and regulations);
- identifying classes of records which should be retained
indefinitely;
- associating each class of record with an Office of Primary
Responsibility [3]
(OPR) that will have responsibility for the retention of the
original records; and
- establishing distinct retention periods by class for copies
of non-electronic records existing in different offices than the
OPR;
b) integrate resulting retention periods with the classification
scheme by linking them to the class to which they refer.
A123
DEFINE ACCESS PRIVILEGES
Define access privileges in accordance with the following rules:
a) establish the general access rule (either open or restricted
access for retrieval and viewing) and then specify the exceptions;
b) prohibit the modification[4] of records once they have been
classified;
c) assign access privileges to offices/officers for each class of
records on the basis of their competence;
d) allow the office/officer that creates the records unrestricted
access to them;
e) allow the handling office/officer[5] and the records office/officer to
annotate records;
f) allow access to the records by the records office/officer for
the purpose of classification; and
g) give the records office/officer exclusive authority to access
the records for purposes of transfer or destruction.
A131
DESIGN RECORDKEEPING AND RECORD-PRESERVATION SYSTEM
Design a recordkeeping and record-preservation system in accordance with the following
rules:
a) establish that the recordkeeping and record-preservation system will control all the
records of the agency, both electronic and non-electronic;
b) establish that the integrated control of the records will take
place within the electronic system;
c) define, within the electronic system, boundaries of general,
group and individual space as follows:
- the boundaries of the individual space coincide with the
jurisdiction of the officer to whom it is assigned by the agency.
The address of the individual space includes the formal title of
the office/officer. If the agency wishes, it may assign a personal
space to each employee, along with an address corresponding to his
or her personal name, for his or her own private use (e.g.,
subscriptions to listservs, informal correspondence with fellow
employees). If the individual space is linked to competence it
could allow for the routine carrying out of certain procedures
(according to workflow rules);
- the boundaries of group space coincide with the jurisdiction of
the office/program/team/committee/working group, etc. to which a
specific competence/charge/responsibility/task etc. has been
assigned by the agency. The address of the group space includes the
name of the group;
- the boundaries of general space coincide with the jurisdiction
of the records office which is responsible for the records system
of the agency. The address of the general space is the address of
the agency
d) determine, on the basis of the above-mentioned boundaries:
- the space in which records are made;
- the space in which records are received;
- the space in which records may be revised, modified or
otherwise altered;
- the space in which records can be individually destroyed;
- the space in which records will be classified;
- the space in which records will be registered;
- the space in which originals are stored;
- the space in which the retention schedule is implemented; and
- the right of access to each space, based on access privileges
e) assign exclusive competence to the records office for the
classification, profiling, registration, and consignment to the
central records system of all the incoming and
outgoing non-electronic records;
f) assign exclusive competence to the records office for the
classification, profiling, and consignment to the central records
system of all internal non-electronic records;
g) define rules by which electronic records move inside and outside
the agency by determining:
- what are the components of the record profile for incoming,
outgoing and internal records in accordance with their state of
transmission and the space to which they are communicated;[6]
- the routing of the records received by the agency and sent by
the agency (determining whether records can be received from
outside the agency directly into the individual space or sent
directly from the individual space to outside the agency);[7] and
- the possibility of generating common work spaces, not only
within the agency, but, also, across agencies, and establishing
routines related to them;
h) establish the routine according to which the electronic system
will generate a record profile form[8] in connection with each record.[9] The profile will
serve the purpose of an annotation and be linked inextricably to
the record;[10]
i) design a record profile form that includes the following
fields:[11]
- protocol number[12]
- date of receipt[13]
- time of receipt [14]
- date of transmission[15]
- time of transmission[16]
- date of record [17]
- archival date[18]
- protocol number of sending office[19]
- originator's name[20]
- originator's address[21]
- author's name[22]
- author's address[23]
- writer`s name[24]
- writer's address[25]
- action or matter[26]
- number of attachments[27]
- medium[28]
- handling office[29]
- action taken[30]
- addressee's name[31]
- addressee's address[32]
- receiver's name[33]
- receiver's address[34]
- class code [35]
- dossier identifier[36]
- record item identifier[37]
- mode of transmission[38]
- draft number;[39]
j) define the required fields of the record profile for each record
within the electronic system. The research team recommends the
following:
- every record made in the individual space, in order to be saved
in that space, must include in its record profile at least:
- date of record,
- author,
- addressee,
- action or matter;
- every record made in the individual space, in order to be
transmitted to another individual space or to the group space, must
include in its record profile, in addition to the elements
identified in (1): date and time of transmission, receiver(s),
number of attachments, class code and dossier identifier (if
applicable);
- every record made in the individual space, in order to be
transmitted to the general space, must include in its record
profile all the elements identified in the list in (i) with the
following exceptions:
- in the case of originator and writer, if they are inapplicable
(because they are identical to the author) these fields may be left
empty;
- the protocol number, which will be added in the general space
by the system for outgoing records;
- the record item identifier which will be added in the general
space by the system;
- every incoming record received in the individual space from the
general space, in order to be consigned to the central records
system, must include in its record profile all the elements
identified in the list in (i) with the following exceptions:
- in the case of originator and writer, if they are inapplicable
(because they are identical to the author) these fields may be left
empty;
- the record item identifier which will be added in the general
space by the system;
- every record made in the group space, in order to be saved
and/or transmitted within the group space, must include in its
record profile, in addition to the elements identified in (1), the
names of receivers, the number of attachments, the draft number
and the class code and dossier identifier;
- every record made in the group space, in order to be
transmitted to the individual space, must include in its record
profile all the elements identified in (1) and (2);
- every record made in the group space, in order to be
transmitted to the general
space, must include in its record profile, all the elements
identified in (3);
- no record can be made in the general space;
- every record received in the general space from outside the
agency which is not addressed to a specific office or officer, must
include in its record profile, all the elements identified in the
list in (i);
- no record can be transmitted from the general space to the
individual or group space other than by copying it with its record
profile attached;[40]
- all outgoing electronic records are transmitted from the
general space to the outside after a copy has been made and
consigned, with the record profile, to the central records system;
k) define the required fields for the record profile for each
non-electronic record that is consigned to the central records
system.[41] The
research team recommends the following, as applicable:
- protocol number
- date of receipt
- date of record
- archival date
- protocol number of sending office
- author's name
- author's address
- writer`s name
- writer's address
- action or matter
- number of attachments
- medium
- handling office
- action taken
- addressee's name
- addressee's address
- receiver's name
- receiver's address
- class code
- dossier identifier
- record item identifier
- draft number
l) establish procedures for registration which determine:
- whether certain types of internal records will be registered
and what types of internal records will be registered;
- who will be responsible for registering the records;
- when the records will be registered;
- where the data to be recorded in the register are to be taken
from;[42]
- what data is to be recorded in the register;[43]
- the time span of the register;[44]
- the access privileges for the register;
- the classification code to be assigned to the register and the
retention requirements associated with it;
m) establish status of transmission[45] of electronic records (original,[46] draft,[47] copy[48])and draft
control as follows:
- Any record that has not been transmitted is a draft;[49]
- Any record transmitted to the general space is received as an
original;
- Any record transmitted externally is consigned to the central
record system of the sender as a copy of the last draft and
received by the addressee as an original;
- Any record received from outside the agency is received as an
original;
- Every record received in the group space is received as an
original but can be altered and transformed into a draft of another
record;
- Every comment on drafts received in the group space is an
original and must be capable of being linked to the draft to which
it relates;
- The sequence of the various drafts of the same record
circulating in the group and individual spaces must be numbered;
n) establish methods and rules for authentication of records by:
- linking to the integrated business and documentary procedures
the authentication requirements for specific types of records and
assigning responsibility to officers/offices for implementing the
requirements;
- assigning to the records office the competence for
authenticating copies of records which reside within the central
records system;
- establishing the authentication procedure for each form of
conversion of records;
- identifying the method of authentication for every record
medium; and
- creating a final view of the records profiles of all the records within a dossier or class before removing it from the central records system as instructed in q(5);
o) establish methods and rules for protecting confidentiality by:
- identifying confidential classes of records;
- identifying the method for protecting confidentiality for every
record medium;
- assigning responsibility for implementing the methods and
rules; and
- identifying methods of ensuring confidentiality of
transmissions within and outside the agency;
p) establish rules for copying by:
- identifying the need for generating records in multiple copies
in any medium on the exclusive basis of working needs and vital
records needs;
- identifying the various types of copies (e.g., simple
transcription, imitative copy, copy in the form of original,
authentic copy, insert) and the authority to be accorded to each
type; and
- establishing procedures for routine copying of records which
are needed beyond the life expectancy of their medium;
q) establish an electronic method of showing the connection among
active records in all media which belong in the same aggregation
by:
- recording in the electronic system the location of
non-electronic records belonging in the same aggregation as the
electronic records in the system;
- establishing an electronic link which allows for a complete
view of the descriptions[50] of the records -- and of their
individual profile if needed -- in the dossier or class regardless
of their media;
- establishing a system which allows access to these views by
class;
- in the case of ongoing dossiers that are routinely closed on an
annual basis,[51]
establishing the capability to retain a complete view of the
descriptions of the records that have been removed from the central records
system;
- creating a final view of the record profiles of all the records in each dossier before it is removed from the central records system[52];
- removing each closed dossier, along with the final view of its records profiles, from the central records system;
r) establish a tracking and location system by:
- instituting charge-out procedures for all the records preservation units (e.g., folder, volume, tape, disk) which are not contained within the electronic system;
- when a closed dossier is removed from the system, assigning
a location which is recorded within the electronic system according
to class;[53] and
- establishing a procedure for maintaining up-to-date location
information for all active and semiactive records in all media;
s) establish a retrieval system for active and semiactive records
by:
- developing a thesaurus to the classification scheme[54] and linking the
thesaural descriptors to the class codes to allow for the searching
of records by those descriptors;
- instituting a procedure for indexing the records using
descriptors drawn from the thesaurus;
- indexing all the fields of the record profile;
- building in the capability, within the group and individual
spaces, of searching records by class code and keyword; and
- determining the means of retrieving information from the protocol
register;
t) establish audit procedures by:
- maintaining an audit trail of access to the records system to
control the administration and use of access privileges; and
- maintaining an audit trail of every transmission (date, time,
persons, action or matter) within the records system;
u) establish procedures to prevent loss or corruption of records because of
intentional or inadvertent unauthorized additions, deletions, or
alterations by:
- providing the electronic system with the capability to restrict access to the backup
procedures to authorized personnel;
- prescribing that backup copies of records and their profiles be
made periodically;[55]
- maintaining an audit trail of additions and changes to records
since the last periodic backup. It should contain the information
necessary to provide recovery of records in the event of system
failure and it should be maintained on an electronic system
different from the one containing the records;
- maintaining a system backup that includes system programs,
operating system files, etc.;
- maintaining at least three periodic backups. The oldest backup
copy should be deleted upon successful creation of a new backup
copy. Any audits earlier than the oldest backup copy should be
deleted;
- ensuring that, following any system failure, the backup and
recovery procedures will automatically guarantee that all complete
updates (records and any control information such as indexes
required to access the records) contained in the audit are
reflected in the rebuilt files and will also guarantee that any
incomplete operation is backed up. The capability
should be provided to rebuild forward from any backup copy, using
the backup copy and all subsequent audit trails;[56]
v) establish procedures to prevent the loss of records due to
factors such as technological obsolescence (of hardware, system
software, and storage media such as: storage devices, access
methods, and database management systems) by:
- planning upgrades to the agency's recordkeeping technology
base;
- ensuring the ability to retrieve and use stored records when
components of the electronic system are changed; and
- migrating records;
w) establish procedure for taking records out of the central
records system for preservation purposes by:
- identifying the officers authorized to remove records from the
system;
- determining storage medium and location for records removed
from the system;
- determining what has to be removed along with the records
(e.g., indexes, data directories, data dictionaries, profiles,
register entries, etc.);
- using the retention schedule to implement the transition of
records from active to semi-active status and from semi-active to
inactive status; and
- determining methods of transfer of inactive records from the
agency to the competent archival body and the form in which the
records will be transferred;
x) establish records storage facilities and equipment requirements
by:
- forecasting rate of accumulation of active and semiactive
records by medium;
- determining space and climate control requirements; and
- determining the need for records storage facilities and
equipment (filing cabinets, records servers, etc.);
y) determine requirements for the electronic component of the
recordkeeping system by identifying:
- functional requirements;
- national and international documentation and communication
standards;
- metadata of the electronic system;[57]
- office applications and communication software to be used to
create, handle and preserve records; and
- interoperability requirements of office applications,
communication software, and recordkeeping software;
z) Compile all recordkeeping policies.
A132
DESIGN INTEGRATED BUSINESS AND DOCUMENTARY PROCEDURES
Design integrated business and documentary procedures in accordance
with the following rules:
a) identify all the business procedures within each function;
b) determine, for each procedure,[58] whether the procedure is
constitutive,[59]
executive,[60]
instrumental [61] or organizational;[62]
c) for each procedure within each function, break down procedure
into the 6 phases of a procedure, i.e.,
d) determine, for each phase of each procedure:
- the component actions;
- the records that must be used in relation to each action;[69]
- the records that must be made, received, and handled in the
course of each action[70] and by whom;
- how the records are to be classified, audited, and disposed;
- the level of confidentiality of the records; and
- the methods for ensuring their reliability and authenticity;
e) establish a directory of competences and access privileges
A133
TRAIN OFFICERS
The procedural rules governing this activity have not been developed since such procedures are specific to each agency.
A141
MONITOR RECORDS SYSTEM
To monitor records system, prepare an evaluation report in
accordance with the following process:
a) obtain feedback from officers in accordance with pre-established
procedures;
b) determine compliance of offices/officers with recordkeeping and record-preservation
rules, e.g., profiling, registration, classification, retention,
conversion;
c) evaluate adequacy of storage facilities and equipment;
d) evaluate adequacy of system backup and recovery procedures;
e) identify changes in legal context, business procedures, classes
of records, office of primary responsibility for classes of
records;
f) identify changes in retention requirements for existing classes
of records;
g) determine retention periods for new classes of records;
h) evaluate the impact of technological change on recordkeeping and record-preservation; and
j) produce an evaluation report describing findings
A142
REVISE RECORDKEEPING AND RECORD-PRESERVATION SYSTEM
Revise recordkeeping and record-preservation system in accordance with the following
guideline:
a) for each item in the evaluation report related to the
recordkeeping and record-preservation system, and which indicates a need for change:
- determine the modifications needed; and
- implement them.
A143
REVISE INTEGRATED BUSINESS AND DOCUMENTARY PROCEDURES
Revise integrated business and documentary procedures in accordance
with the following guidelines:
a) determine the impact of changes (if any) in the administrative
and legal context on the integrated business and documentary
procedures, e.g., changes in phases, actions; intellectual form of
the records, office competent for making, receiving, or handling
the records; and
b) for each change, revise the integrated business and documentary
procedures
A144
UPDATE OFFICERS
The procedural rules governing this activity have not been developed since they are specific to each agency.
Endnotes
[1] The status of a
class of records as active or inactive is often equated,
mistakenly, with the status of its component dossiers as open or
closed. It should be pointed out that the level of activity of a
class of records relates purely to the frequency of use of the
records in relation to business purposes, while the closure of
dossiers, or of folders within dossiers, is linked, respectively,
to the closure of the matter to which the dossier relates, and to
the physical management needs of the preservation unit(s) composing
the dossier or series (e.g., folders or volumes). Dossiers may be,
at the same time, open and semi-active or inactive because, while
the matter to which they relate is not concluded, their frequency
of use falls below an established rate. By the same token, dossiers
may be closed but still retain a semiactive status because they
still need to be consulted for business purposes. Furthermore, a
dossier may remain open while its component parts (e.g., the
individual folders composing it) are regularly closed for
management reasons (e.g., at the end of each fiscal year).
[2] Frequency of use
refers to the number of times within a determined time span that a
record needs to be retrieved for use by the competent
office/officer; location of use refers to the place(s) where a
given type of record needs to be consulted; reference time refers
to the amount of uninterrupted time the competent office/officer
needs to consult a given type of record; retrieval time refers to
the amount of time it takes to retrieve the specific record
required by the competent office/officer.
[3] The office of
primary responsibility is the office to which is given formal
competence for the preserve records activity for a given class of
records within the integrated classification scheme and retention
schedule.
[4] Modification of a
record means a change to its content, content articulation or
content configuration. Any annotation which is added to the record,
either in the course of handling it or in the course of managing it
is not to be considered a modification. In the case of electronic
forms, the filling in of the form constitutes the making of a
record not a modification of it. Once all the required fields have been filled
in, the form may be treated as an entity which should not be
modified. It remains understood that, once a field has been filled
in, it should not be modifiable.
[5] The handling
office/officer is the office or officer which is formally competent
for carrying out the action to which the record relates or for the
matter to which the record pertains.
[6] Communication can
take place over time or through space. Communication over time
occurs when a record is saved in the same space in which it was
made, in order to return to it at a later time. Communication
through space occurs when a record is transmitted from one person
to another.
[7] It is recommended
that all electronic incoming and outgoing mail pass through the
general space and that all non-electronic incoming and outgoing
mail pass through the records office. However, it is also
recommended that the electronic incoming mail which contains the
specific address of the individual space proceed directly to it
after receiving a registration number.
[8] A record profile
is one of the manifestations of the conceptual action of setting
aside a document, an action which gives rise to the archival bond
and which transforms the document into a record. For the
definitions of set aside and archival bond, see glossary
[9] It is recommended
that, every time the order to send or close an electronic record or
to consign a non-electronic record to the central record system is
given, a record profile form be generated. For electronic records,
as many of the fields of the record profile as possible will be
filled by the system. The system will prompt the office/officer to
fill in the remaining fields on the form, depending on the space in
which the office/officer is operating.
[10] It is
recommended that all non-electronic records which must be consigned
to the central records system and/or transmitted to the outside be
sent to the records office, which creates for each record a record
profile in the general space of the electronic system, registers it
and consigns it to the central records system. In the case of
incoming and internal records, the original is consigned to the
central records system. In the case of outgoing records, a copy,
containing the registry number and classification code, is
consigned to the central records system.
[11] The fact that
all the fields must be included on the form does not mean that
every field must be filled in for every record made or received.
Only the profiles of the records for which maximum reliability and
authenticity are required would have all the fields filled in. The
records office should be given the authority to designate specific
fields as optional depending upon the status and mode of
transmission of the record, legal requirements, or other relevant
factors. Such designation should be electronically enforced so that
each officer will be prompted to fill in only those fields
required.
[12] The protocol
number is the consecutive number assigned to each incoming or
outgoing record in the protocol register. With non-electronic
records, the protocol number must be copied as a management
annotation onto the record.
[13] Date of receipt
is the date the record is received by the agency to which it was
sent. For both electronic and non-electronic records, it
corresponds to the date on which the record is assigned a protocol
number.
[14] Time of receipt
is the time the record is received by the agency to which it was
sent. This element is not relevant to non-electronic records,
except in very specific circumstances regulated by legal
requirements.
[15] Date of
transmission is the date the record leaves the space in which it
was generated, either to go from one space to another or from the
general space to outside the agency or from the records office to
outside the agency.
[16] Time of
transmission is the time the record leaves the space in which it
generated. This element is not relevant to non-electronic records,
except in very specific circumstances regulated by legal
requirements.
[17] The date of a
record corresponds to the date assigned to it by the author. It
appears in the intellectual form of the record, specifically in the
content articulation.
[18] The archival
date of a record is the date assigned to it by the record office.
For electronic records, the archival date is the date a record is
received into the general space of the electronic system. For
non-electronic records, the archival date is the date that appears
on the date stamp affixed to the record by the records office.
[19] The protocol
number of sending office is the protocol number assigned to the
record by the agency sending it. This element is only relevant in
cases where the sending agency uses a protocol register to control
its incoming and outgoing records.
[20] The
originator's name is the name of the person from whose electronic
address the record has been sent. See First Progress Report, p. 225.
[21] The
originator's address is the electronic address from which the
record has been sent.
[22] The author's
name is the name of the person competent to issue the record or in
whose name or by whose command the record has been issued. See
Luciana Duranti, "Diplomatics: New Uses for an Old Science (Part
III)," Archivaria 30 (Summer 1990), pp. 5-14.
[23] The author's
address is the address of the person competent to issue the record
or in whose name or by whose command the record has been issued.
[24] The writer's
name is the name of the person competent for the articulation of
the content of the record. See Luciana Duranti, "Diplomatics: New
Uses for an Old Science (Part III)," Archivaria 30 (Summer 1990),
pp. 5-14.
[25] The writer's
address is the address of the person competent for the articulation
of the content of the record.
[26] Action or
matter is the fact that triggers the issuing of the record. See
Luciana Duranti, "Diplomatics: New Uses for an Old Science (Part
II)," Archivaria 29 (Winter 1989-90), pp. 5-16.
[27] Number of
attachments is the number of previously autonomous items that have
been linked inextricably to the record before transmission in order
for it to accomplish its purpose.
[28] See glossary
[29] The handling
office is the office competent for treating a matter.
[30] Action taken,
in the case in which the record described in the profile does not
require a written response, is the specific non-written act taken
in response to the receipt of the record. For example, if the
action taken in response to receiving a record is to make a phone
call, that action would be recorded in the Action taken field of
the protocol register. Similarly, if the only action taken in
response to receiving a record is consigning it to the central
records system for reference purposes, the action of consigning it
to the central records system would be recorded in the Action taken
field of the protocol register.
[31] The addressee's
name is the name of the person to whom the record is directed or
for whom the record is intended. See Luciana Duranti, "Diplomatics:
New Uses for an Old Science (Part III)," Archivaria 30 (Summer
1990), pp. 5-14.
[32] The addressee's
address is the address of the person to whom the record is directed
or for whom the record is intended.
[33] The receiver's
name is the name of each person to whom the record is copied for
information purposes.
[34] The receiver's
address is the address of each person to whom the record is copied
for information purposes.
[35] The class code
of the record is that component of the classification code which
corresponds to the code of the class in which the record belongs,
as it appears in the classification scheme.
[36] The dossier
identifier of the record is that component of the classification
code which corresponds to the identifier for the dossier in which
the record belongs. It may be constituted by the name of a person
or organization, a symbol, a progressive number, a date, or a
specific topic within the class's general subject.
[37] The record item
identifier is that component of the classification code which
corresponds to the progressive number of the record within the
dossier (or, in the absence of dossiers, within the specific
class). This identifier is assigned to the record when it is
consigned to the central records system. The record item identifier
is the final component of the classification code.
[38] See glossary
[39] Draft number
is the consecutive number assigned to sequential drafts of the same
record.
[40] When records in
the general space are consulted, they are not transmitted to the
space in which they are consulted, but viewed from there.
Transmission of a record from the general space implies the
creation of a copy of the record in the space in which the record
is consulted. Such copy is, in fact, a new record and may be
modified at will by the person having jurisdiction over the space
in which the copy exists.
[41] See (e) above.
[42] It is
recommended that the registration data be taken from the record
profile fields. In such a case, the fields of the record profile
may be distinguished in three categories:
fields having an identification purpose (e.g., class code),
fields filled for purposes of both identification and registration
(e.g., author, addressee), and
fields filled only for purpose of registration (e.g., protocol
number).
[43] It is
recommended that all the fields listed in (i) or (k), as
applicable, be included in the protocol register.
[44] It is
recommended that a new protocol register be opened at the beginning
of either the calendar year or the fiscal year according to the
needs of the agency, and that its time span be precisely one year.
The first day of each year, the consecutive number would begin with
(1) and each register will be identified by the name of the agency,
the year it covers, and the inclusive numbers within it.
[45] For definition
of status of transmission, see glossary
[46] The original is
the first complete and effective document. In order to be an
original, a document must present three characteristics:
completeness (i.e., its physical form and intellectual form must be
the one intended by its author), primitiveness (i.e., it must be
the first to be produced in its complete form) and effectiveness
(i.e., it must be capable of reaching the effects for which it was
produced).
[47] A draft is a
temporary compilation of a document intended for correction. Drafts
may be in various stages of completion.
[48] A copy is a
reproduction of a record., which may be made from an original
record, from a previous copy or, from a draft.
[49] In an
electronic system any record that has not been transmitted is
considered a draft because the act of transmitting it across
electronic boundaries necessarily adds components to the record
which make it complete.
[50] Description
refers to an abbreviated version of the record profile which
includes only the action or matter and the archival and record
dates.
[51] Subject files
are an example of ongoing dossiers that are routinely closed
annually and then reopened for the next year. The dossier name and
code is identical for all these files, but each one refers to one
year. Student files or other types of case files, on the other hand, are examples of dossiers that remain open until the matter to which they refer is concluded.
[52] If the class
does not contain dossiers, create a final view of all the record
profiles of all the records for each year before removing them from
the system. The creation of a final view is a way of freezing the relationships among the records and thus serves the purpose of authenticating them.
[53] It is
recommended that location information for these records be
controlled by the records office.
[54] It is
recommended that the agency use, as a basis for thesaurus
construction, the appropriate standard, e.g., ANSI/NISO Z39.19-1993
(Guidelines for the Construction, Format and Management of
Monolingual Thesauri), ISO 2788-1986 (Guidelines for the
Establishment and Development of Monolingual Thesauri), ISO
5964-1985 (Guidelines for the Establishment and Development of
Multilingual Thesauri).
[55] The audit trail
is designed to fulfill the sole purpose of audit by the agency
itself or by external auditors. It is expected that, once the audit
is completed, the audit trail is destroyed unless differently
prescribed by law.
[56] The specific
rules governing auditing procedures are based on work done
previously by William E. Underwood, one of the members of the U.S.
DoD research team.
[57] Metadata of the
electronic system are composed of the data which describe the
operating system, the program generating the records, the physical
location of the records in the electronic system (data directory)
and the value of each data element (data dictionary). In contrast,
the metadata of the records are the data which place the record
within its documentary and administrative context at the moment of
creation, the same data which are assembled into the record
profile. For a discussion of the metadata of the records, see
Heather MacNeil, "Metadata Strategies and Archival Description:
Comparing Apples to Oranges," Archivaria 39 (Spring 1995), pp.
22-32.
[58] The reason for
determining, for each procedure, what type it is, is to assess
which procedures require the most control to ensure that the
office/officers will be fully accountable for their actions.
Because constitutive procedures are the ones through which the
agency creates, extinguishes, or modifies the situation of persons
with whom it interacts, they require the most control aimed to
guaranteeing the reliability and authenticity of the records they
produce. On the other hand, instrumental procedures, which do not
directly result in any action, are the most effective when they are
the least controlled.
[59] Constitutive
procedures are those procedures which create, extinguish or modify
the exercise of power of the addressee. Constitutive procedures may
be categorized as procedures of concession, of limitation, or of
authorization, and their purpose is to fulfill the agency's
mandate.
[60] Executive
procedures are those procedures which allow for the regular
transaction of affairs according to rules established by a
different authority, e.g., personnel, finances.
[61] Instrumental
procedures are those procedures which are connected to the
expression of opinions and advice.
[62] Organizational
procedures are those procedures, the purpose of which is to
establish organizational structure and internal procedures and to
maintain, modify or extinguish them.
[63] The initiative
phase comprises those acts that start the mechanism of the
procedure.
[64] The inquiry
phase comprises the collection of the elements necessary to
evaluate the situation.
[65] The
consultation phase comprises the collection of opinions and advice
after the relevant information has been assembled.
[66] The
deliberation phase is constituted by the decision-making.
[67] The
deliberation control phase consists of the control exercised by a
person different from those making the decision on the substance
and/or form of the deliberation.
[68] The execution
phase consists of all the actions that give a formal character to
the deliberation, such as the validation, communication,
notification, or publication of the related record. For the
diplomatic phases of a procedure see Luciana Duranti, "Diplomatics:
New Uses for an Old Science (Part IV)," Archivaria 31 (Winter
1990-91), pp. 14-19.
[69]As can be seen
in the entity model, a procedure is composed of acts (alias action,
see glossary) and each act is identified by a record.
[70] The records are
identified, not only on the basis of their intellectual form, but,
also, on the basis of their function with respect to the action to
which they relate (whether dispositive, probative, supporting, or
narrative. For the meaning of these terms, see glossary).
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