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III
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Appraisal Criteria - Items considered for Value decisions
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Ref:IRM/RAM/93-149
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Para
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Pri
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Wei
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Item Title
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Description or Examples
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P
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E
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I
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Time Frame
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Decision/Expl
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A
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RECORD TYPE
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See details below
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A1
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Policy, Precedent
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Policy, Procedure, + exceptions,
legal & precedent setting action/decision
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F=
10 + rev
S=
15 + rev
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A2
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Routine * (Transactional)
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Operational, Administrative,
Financial - commitment of funds, case files, acknowledgement of actions or
requests
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A2a
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Administrative
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Operational, case files,
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F=
4-7
S=
4-7 +rev
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A2b
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Financial
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commitment of funds, case files
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F=
4-10
S=
4-10+rev
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A2c
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Acknowledgement
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of actions or requests
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F= 5
S= 5
+rev
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A3
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Background
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Reference, Product literature,
research notes, hand books and news clippings - usually not organization
produced
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F=1-3
S=3-8+rev
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A4
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Temporary
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Information circulars, and
widely circulated convenience copies - information of short term use]
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F=1
S=1
+rev
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B
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IMPORTANCE OF ACTIVITY
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DOCUMENTED [see details below]
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B1
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Facilitative
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support or promote or make
easier main activities; e.g. housekeeping records [usually include routine
administrative, financial and other such records as ordering supplies and
maintaining accommodations]
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B2
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Substantive
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Areas of primary importance to
agency mandate and mission, such as main programme activities. Have a great potential to be kept
permanently. Usually unique to Agency
and distinguish Agency from other organization with a different mandate.
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C
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MAIN SUBJECTS of Special
Interest
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May be useful where originating
office record has been destroyed or for special events, projects or scholarly
research projects (see also E.2).
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SA
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C1
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SUBJECTS: originals destroyed
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Better records from Substantive
activities may not exist. So
facilitative records may be accepted.
If subject is important enough or in case where all records of country
were destroyed by natural or human disaster.
"Country records"
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SA
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C2
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SUBJECTS: Special Year or
project
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eg. International year of the
Child, World Summit for Children. The
"housekeeping" or administrative - financial records might be
useful in planning for future similar events and therefor may not all be disposed
when their primary value is fulfilled
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SA
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C3
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SUBJECTS: Governmental or other
Cooperation
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for special/scholarly research
projects (see also E.2).e.g.
demonstrates international cooperation, trends in economic development,
Country relations. "Selection of Executive Head", "Corridors
of Peace".
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SA
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C3a
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Emergency Operations
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may necessitate forgo keeping
some records due to danger to staff or other more important records
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C4
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Special Research
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may require keeping operational
records that would usually be disposed. Request may be received from outside
agency. See also F "Research Considerations"
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D
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LEVEL OF OFFICE
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KEEPING THE RECORD [See details
below]
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D1
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Policy Authority
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Relationship of Office to
establish[ed] policy & procedures
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D1a
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Policy Making
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e.g. Head of Office or work unit
assigned responsibility for policy
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D1b
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Policy interpreting
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e.g. work units assigned
responsibility for drafting/implementing procedures or approving exceptions
which may be precedent setting
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D1c
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Implementation
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e.g. operational units
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D1d
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Informational outlets
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e.g. standard distribution or
public inquiry units
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D2
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Position in Organizational
Structure
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Relationship/Influence on main
decision makers. Executive Head and or
governing board. Visibility - perceived influence.
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SA
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D3
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Relative Importance of Function
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To success of main Goals of
Agency and partners
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SA
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D3a
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Political Areas
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Executive Planning, Programmes
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D3b
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Administrative
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Supplies, Logistics, Office
management
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D3c
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Coordination
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Meeting Services, General
Assembly or Governing/Executive Board Affairs
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D3d
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External Relations
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and public
information/publications
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E
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PRACTICAL CONSIDERATIONS
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uniqueness, adequacy,
duplication, preservation cost, arrangement, restrictions
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E1
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Uniqueness
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Relative to content or physical
(see below)
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E1a
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Adequate Document = reflects its
intent
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Content -accurate information
from the specific record including completeness
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E1b
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Adequate Document = Substitution
for another record
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Content - Ability to use the
record to fill in information gaps for other records not available.
[inadequacy of primary sources] e.g.
records that should have been preserved elsewhere. Due to natural or man made disaster or
politics original or other more important records destroyed. e.g. records for
some developing countries
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E1c
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Same Record Kept Elsewhere
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Similar
record may serve purpose if:
a) available
b) desirable arrangement
c) good cost of preservation
d) will be preserved
e) able to validate data
e.g Technical Assistance file......
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E1d
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Summarization - reputable
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Adequate summarization in source
or publication elsewhere
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E1e
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Scarcity
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E1f
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Peripheral material
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E2
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Preservation Cost
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E2a
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Probability continue
preservation
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Organization continue to pay
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E2c
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Information Concentration Ratio
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Ratio
of useful information in record compared to total volume
[see
also probability of converting of useful information]
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E2d
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Age of material
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Condition [deterioration]
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E3
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Arrangement
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and Accessibility of Data.
Showing how this or other data was collected. Validates the process?
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E3a
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Convertible
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Data in form that can easily be
converted to new systems
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E3b
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Conversion probability
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probability that data will be
converted to new systems or old readers etc maintained.
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E4
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Restrictions on Use
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Security?
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E4a
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Personnel Records
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If can't guarantee
confidentiality is it better to destroy?
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E4b
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Conditions of deed or Gift,
mandate.
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Donor
or Authorizing Body conditions imposed.1
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F
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Research Considerations
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F1
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Importance of Research
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F1a
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Research - accessibility?
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Likely hood that research will
be published or made widely available to others
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G
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FORM & FORMAT [media of
storage] Unconventional
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Art, Music, Audio, Video, Film,
Photo, Exhibits and charts, maps,[See also G]
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G1a
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Special Considerations
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for evaluating Art/Music to be
protected/retained
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G1a1
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Conditions of receipt
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Circumstances/Symbolic value
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G1a2
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Relation to goals
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of agency
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G1a2
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Status of Artist/person/group
making/receiving presentation
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G1a3
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Aesthetic Quality of Art work
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G1a4
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Probability of Display/use - how
often
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(compared to cost of
preservation see above)
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G1a5
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Use by External Researcher
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G2
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Considerations due to media
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or specific type of work
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G2a
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Can Work be recorded in
different format
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And retain essential value,
slide of art, CD-ROM for wider distribution?
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G2a1
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Can work be preserved/used
elsewhere
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Can another institution make
better use. Consider offering to
original or donating organization/individual if would be better preserved.
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G2b
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Art
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G2c
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Music
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G2d
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Audio
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G2e
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Video-Film
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H
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BUSINESS MODEL and Information systems planning
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Process, Organization Structure
Function, Entity, Data Classes, Systems, Product [outputs]
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H1
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Process = groups of logically
related decisions & activities required to manage resources of
organization
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An activity which receives,
transforms, and outputs data, represented on a Data Flow Diagram [DFD] by a
rectangular box. A DFD process may be
shown in greater detail by decomposition, i.e. breaking it down in to further
processes.
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H2
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Organizational
Structure
[note
also "D Level of Office keeping
Record"
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Usually linked to Processes and
identified as: a) Major responsibility & decision maker; b) Major
involvement in Process; c) some
involvement in process
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H3
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Function [process group =
similar patterns of data usage]
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A design object which represents
a group of closely related processes within a system. Convenient for
describing system or for analysis work, review, testing [appraisal
decisions?]
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H4
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Entity = Something about which
data can be stored and uniquely identified of lasting interest to an
organization
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Can be internal or external to
Organization: person, place, thing, concept or event. [real-world object or concept, about which
a system maintains some data]
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H4a
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Data Class = a category of
information about an entity or a logical grouping of data related to things
[entities] that are significant to the organization. To assign responsibility for data integrity
classes should be defined as being created by only one process.
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Represent data that must be
available for business activities and decision making. Not represent a particular format [e.g.,
report or display] of how currently being used. [Some may be automated, some automated and
some at present not recorded at all]
Data can be required by a process and can be created by a process.
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H5
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System
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Group of procedures etc. which
support an organization processes
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H6
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Product [outputs] Represents
information from an application being sent to a user (via screen or other
device e.g report on printer
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Data Stores: Design object
represents store of information: non-transient computer maintained data
[curent & historical]; transient data [e.g. batches of transactions or
manually maintained [e.g. manual ledgers]
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J
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CLASSICAL APPRAISAL VALUES
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See definition on Legend page
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J1
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Primary Value
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Derives from Agency need:
Current admin, legal, fiscal and other operating needs
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J2
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Evidential Value
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Allow reconstruction of Agency
history, origins, structure, goals, decisions, procedures, operations &
accomplishments
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J3
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Informational Value
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Persons, places, events &
things in course of agency operations. Exploitability irrespective of
original reason collected.
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