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:

  1. 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;
  2. existing control instruments (lists, schedules, indexes, cross references, etc.);
  3. office of primary responsibility;
  4. location;
  5. retention needs;
  6. access needs;
  7. 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:

  1. the current identifier of the records, their nature and purpose, medium and form, inclusive dates, physical extent, relationships with other aggregations, and arrangement;
  2. existing control instruments (lists, schedules, indexes, cross references, etc.);
  3. office of primary responsibility;
  4. type and frequency of use;
  5. rate of accumulation;
  6. location;
  7. retention needs;
  8. access needs;
  9. 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:

  1. 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;
  2. existing control instruments (lists, schedules, indexes, cross-references, etc.);
  3. competent office;
  4. rate of accumulation;
  5. location;
  6. retention needs;
  7. access needs;
  8. 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:

  1. identifying how long records of each class are needed for business purposes;
  2. identifying the medium in which they need to be retained based on frequency of use, location of use, reference time, and retrieval time;[2]
  3. identifying the legal retention requirements for each class of records (per statutes and regulations);
  4. identifying classes of records which should be retained indefinitely;
  5. 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
  6. 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:

  1. 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);
  2. 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;
  3. 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:

  1. the space in which records are made;
  2. the space in which records are received;
  3. the space in which records may be revised, modified or otherwise altered;
  4. the space in which records can be individually destroyed;
  5. the space in which records will be classified;
  6. the space in which records will be registered;
  7. the space in which originals are stored;
  8. the space in which the retention schedule is implemented; and
  9. 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:

  1. 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]
  2. 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
  3. 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]

j) define the required fields of the record profile for each record within the electronic system. The research team recommends the following:

  1. every record made in the individual space, in order to be saved in that space, must include in its record profile at least:
  2. 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);
  3. 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:
  4. 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:
  5. 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;
  6. 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);
  7. 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);
  8. no record can be made in the general space;
  9. 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);
  10. 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]
  11. 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:

l) establish procedures for registration which determine:

  1. whether certain types of internal records will be registered and what types of internal records will be registered;
  2. who will be responsible for registering the records;
  3. when the records will be registered;
  4. where the data to be recorded in the register are to be taken from;[42]
  5. what data is to be recorded in the register;[43]
  6. the time span of the register;[44]
  7. the access privileges for the register;
  8. 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:

  1. Any record that has not been transmitted is a draft;[49]
  2. Any record transmitted to the general space is received as an original;
  3. 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;
  4. Any record received from outside the agency is received as an original;
  5. Every record received in the group space is received as an original but can be altered and transformed into a draft of another record;
  6. 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;
  7. 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:

  1. 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;
  2. assigning to the records office the competence for authenticating copies of records which reside within the central records system;
  3. establishing the authentication procedure for each form of conversion of records;
  4. identifying the method of authentication for every record medium; and
  5. 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:

  1. identifying confidential classes of records;
  2. identifying the method for protecting confidentiality for every record medium;
  3. assigning responsibility for implementing the methods and rules; and
  4. identifying methods of ensuring confidentiality of transmissions within and outside the agency;

p) establish rules for copying by:

  1. identifying the need for generating records in multiple copies in any medium on the exclusive basis of working needs and vital records needs;
  2. 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
  3. 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:

  1. recording in the electronic system the location of non-electronic records belonging in the same aggregation as the electronic records in the system;
  2. 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;
  3. establishing a system which allows access to these views by class;
  4. 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;
  5. 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];
  6. 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:

  1. instituting charge-out procedures for all the records preservation units (e.g., folder, volume, tape, disk) which are not contained within the electronic system;
  2. when a closed dossier is removed from the system, assigning a location which is recorded within the electronic system according to class;[53] and
  3. 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:

  1. 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;
  2. instituting a procedure for indexing the records using descriptors drawn from the thesaurus;
  3. indexing all the fields of the record profile;
  4. building in the capability, within the group and individual spaces, of searching records by class code and keyword; and
  5. determining the means of retrieving information from the protocol register;

t) establish audit procedures by:

  1. maintaining an audit trail of access to the records system to control the administration and use of access privileges; and
  2. 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:

  1. providing the electronic system with the capability to restrict access to the backup procedures to authorized personnel;
  2. prescribing that backup copies of records and their profiles be made periodically;[55]
  3. 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;
  4. maintaining a system backup that includes system programs, operating system files, etc.;
  5. 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;
  6. 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:

  1. planning upgrades to the agency's recordkeeping technology base;
  2. ensuring the ability to retrieve and use stored records when components of the electronic system are changed; and
  3. migrating records;

w) establish procedure for taking records out of the central records system for preservation purposes by:

  1. identifying the officers authorized to remove records from the system;
  2. determining storage medium and location for records removed from the system;
  3. determining what has to be removed along with the records (e.g., indexes, data directories, data dictionaries, profiles, register entries, etc.);
  4. using the retention schedule to implement the transition of records from active to semi-active status and from semi-active to inactive status; and
  5. 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:

  1. forecasting rate of accumulation of active and semiactive records by medium;
  2. determining space and climate control requirements; and
  3. 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:

  1. functional requirements;
  2. national and international documentation and communication standards;
  3. metadata of the electronic system;[57]
  4. office applications and communication software to be used to create, handle and preserve records; and
  5. 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:
  1. the component actions;
  2. the records that must be used in relation to each action;[69]
  3. the records that must be made, received, and handled in the course of each action[70] and by whom;
  4. how the records are to be classified, audited, and disposed;
  5. the level of confidentiality of the records; and
  6. 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:

  1. determine the modifications needed; and
  2. 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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