Guidelines forusingGeneral

RecordsAuthority(31)

forsource (includingoriginal)

records aftertheyhave been copied,converted or migrated

September 2012

This is an accurate reproduction of the authorised guideline content, created for accessibility purposes

CONTENTS

1.EXECUTIVE SUMMARY3

2.KEY TERMS USED3

3.HOWTO USE THEAUTHORITY IN YOURAGENCY4

3.1APPLICABILITYTOSOURCE RECORDS5

3.2MANAGING THEREPRODUCTIONS ASAGENCY RECORDS7

3.3MANAGINGREPRODUCTION PROJECTSORPROCESSES9

3.4TRANSFERS OFRNA RECORDS TO NATIONAL ARCHIVES9

4.CONTACTINGTHE NATIONALARCHIVES10

5.RELATED DOCUMENTS10

6.FLOWCHART:USINGTHEAUTHORITY11

7.CHECKLIST12

8.DETERMINING INTRINSIC VALUE14

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1.Executive summary

Theseguidelinessupplement theGeneral Records Authority(31)-GRA (31)- for source(including original)recordsafterthey havebeen copied, convertedormigrated. Theguidelinesaredeveloped toassist agencies implementing theGRA(31). The September 2012 revision of the guidelinesupdates hyperlinks in the Guidelines to referred resources: No other substantive change has been made .

TheGRA(31) coversallagencyrecordscreatedon orafter1 January2000 and all pre-2000temporaryrecords,subjecttosome exclusionsand conditionsand permits destruction ofin-scope sourcerecords, including original recordsfollowingsuccessful copying,conversion or migration.

TheAuthorityrelatesto records, including original recordsthat have beencopied, converted ormigratedresulting in two or morerecords, atminimumtheoriginal and a reproduction.

Theoriginal record isknown as the sourcerecord and continuesto exist aftera reproduction hasbeen created.

Theseguidelinesprovide:

the basisforagenciestodecide whethertheAuthorityallowsdestruction ofsource recordsaftertheyhave been copied, convertedfromoneform toanotheror migratedfromonesystem to another;and

practical information about the useofthe Authority. This includes issuesfor consideration,aflowchartandchecklist,andrelated informationonreproduction projectsand programs.

Theseguidelinesemphasise that reproductionsreplacingsourcerecordsbecome agencyrecordsandtheymustbemanaged accordingly.

When planning digitisation projectswhich include recordsidentified asRetain as National Archives (RNA) orRetainPermanently(RP),youmustagreeformatstandards and verification procedures with the National Archives ofAustralia before commencing yourproject. Thisistoensurethat yourdigital imagescan bepreserved bythe

National Archivesforfuturegovernmentand publicaccesspurposes.Please referto

the National Archives ofAustralia guidance on Digitising accumulatedphysical records.

2.Keytermsused

Intrinsicvaluerelatestoqualities or characteristicsofarecordthat normallyrequires therecordtoremain in itsoriginalform.Forexample,a copyofanartworkwould have a muchlowerintrinsicvalue thanthe original. Theintrinsicvalue mayalsorelatetothe record’srelationshipto asignificantperson,event orplace, forexample adocument signed byaPrimeMinister.The intrinsicvalue ofa recordmaybe separatefrom its information value and maybe lostifreplacedbya reproduction. Refer toSection 8for moredetails.

Records actions:1

Copied–producinganidentical copywithin the sametype ofmedium (paper/microfilm/electronic)ortheproduction ofbackupcopies of electronic records.Wheretherecord is beingcopied,the sametype ofmediumthiswould

1 Adaptedfrom:AustralianStandardASISO 15489-2002,RecordsManagement

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entail a recordbeing copiedfrompaper topaper, microfilm tomicrofilm,etc.Where a back-upcopyoftherecordisbeing created,it can also bemadeon adifferent kind ofelectronicmedium.

Converted–changingrecordsfrom onemediumtoanotheror fromoneformat to another.Conversion involves achangeoftheformatoftherecordbut ensuresthat therecordretainsthe identical primary information (content). Examples include microfilming or digitalimagingofpaper records,and a changetocharacter sets.

Migrated–the processofsystematicallymoving recordsfromonesystemto another,while maintaining therecords’ authenticity,integrity, reliabilityand useability. The purposeofmigrationis topreserve theintegrityof therecords and toretainthe abilitytoretrieve,displayand otherwise usethem. Migration usually occurswhen hardwareand/or softwarebecomesobsoleteortomove electronic recordsfromonefileformattoanother.

Note:forthedefinitionsofanyother termsmentioned within the Authorityorthese guidelines,pleaseseethe National Archives ofAustraliaGlossary,availablefrom the National Archives website.

3.Howtousethe Authorityin youragency

Thedecision tousetheAuthority in youragencyshouldform partofyour agency’s recordsand informationmanagement framework. A documentedand planned approach shouldbetaken when undertakinganycopying,conversion or migration project.

Beforecommitting toa recordsconversion or migration project, therearetwo fundamentalquestions to beconsidered:

aretherecordscoveredbythe Authority?

can youragencymeetthe requirementsforuse of theAuthority?

Theanswerstothesequestionsmayfundamentallyaffect thebusinesscasefor proceeding.

There arethenthreemajorquestionsto consider when usingthis Authority:

how will youragencymanagethesourcerecord?

how will youragencymanagethereproduction (the record)?

how will youragencymanagereproductionprograms?

Ifyou arenotina seniorrecordsand informationmanagement role,please consult youragency informationmanagementor recordsmanagement specialistsbefore applying the Authority.

Ifyou areunsurewhether thisAuthority isappropriateforyourrecordsmigration,or you areunsurewhether the intendedmigration programmeetstherequirementsofthe Authorityplease contact National Archives to discuss.

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3.1Applicabilityto sourcerecords

a.Is youragencythe ‘owner’orthe agencyresponsibleforthesource records?

Ifyouragencyhascollectedorismanaging the sourcerecordsfromanotheragencyor on anotheragency’sbehalf,you needtoobtaintheirpermission tomigrateorconvert records,or to destroytheirsourcerecords.

b. Does youragencyconsiderthe sourcerecordtohave intrinsic value?

Intrinsicvalue relatestoqualities orcharacteristicsofarecordthat normallyrequires therecordtoremain in itsoriginalformat. If arecordhas intrinsicvalue,youragency needs todecideifareproduction would have thesameintrinsicqualities or characteristicsoftheoriginal record.Pleaserefer tothe definition ofintrinsicvalue in Section 2andfurtherdetailson determiningintrinsicvalue in Section 8.

Agencies are advisedtodiscuss any intendedmigration of recordswith intrinsicvalue orsuspectedintrinsicvalue with National Archives priortocommencing.

TheAuthoritydoes notallowdestruction ofsourcerecordsthat have intrinsicvalue and arecategorisedas Retain asNational Archives (RNA)orRetain Permanently(RP), or meet thecriteria ofRNAin“WhyRecordsare Kept: Directionsin Appraisal”(Exclusion

g). Agenciesaretoavoid amigrationprocesswhichhasthepotential to damagethe intrinsicvalue ofthese sourcerecords.

c.Are the recordsaudiovisualrecords?

TheAuthoritydoes notallowthe destruction ofanyaudio visual records thatare not identifiedastemporaryvalue recordsunderacurrent RecordsAuthority issued bythe National Archives ofAustralia (Exclusion b intheAuthority). Inotherwords,only

temporaryvalue audio visual records are covered,irrespective oftheirage.Audio visual recordsthat are identified asRNA or RP,orhave not beensentenced (and hence arepotentially RNA)areout ofscopeanddestruction isnot authorised. This

newexclusion isbased on experiencegained with suchrecords. Ifyou areundertaking a migration ofaudio visual recordsplease discussyourapproach with National

Archives beforecommencing.

Thisisa newexclusion.Somedestruction which was permittedunder theprevious

Authoritywill notbepermittedafterthe date ofeffectofthenewAuthority. You will

need toseek theauthorisation of the National Archives to destroynon-temporaryaudio visual records ona casebycase basis.

d. Isthereanyrelevantlegislationthatspecifiesthat theoriginal form ofrecords is required?

Somelegislation requires recordstobekeptintheiroriginalformat. For example, there maybe legislation requiring somerecordstobe keptin paper formatsoastoinclude the original signature(wetsignature). Ifyou areunsure about therequiredformat for therecords,pleaseobtain andretain advicefrom youragency’slegal advisorsbefore proceeding.

e. What happensif thereis adisposal freezeonthe records?

A records disposalfreeze preventsthedestruction ofagroup of records.Inmost cases2,aftercopying, conversion or migrationthesourcerecordmaybe replaced by

2 Attimeofissueofthe GRA31,sourcerecordssubjecttothe disposalfreezenamed“PostCornwellCase Litigation– Processingof AdditionalClaims”area specificexclusion.Thesesourcerecordsarealso excludedbyexclusion(e)coveringrecordsreasonablylikely tobe requiredasevidence.

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thereproduction asthebusinessrecord. If thisoccurs, thereproduction becomesthe business record andwillbe subject tothedisposalfreeze rather thanthe source record.At thisstage,youragencymayapplytheAuthoritytodispose of the source recordsprovided that thetermsofthe disposalfreeze donot specificallyexclude application ofthe Authority.

Agencies are advisedtocontact the National Archives iftheyhave questionsor concernsregarding anyrecords disposalfreezes inforce at thetimetheyintendto use the Authority.

f. Are the recordsreasonablylikelyto be required asevidencefora currentor future judicial proceeding?

Exclusion (e)

Wheretheagencyknowsitisreasonably likelythatasourcerecordmaybe required as evidence in:

 a current judicial proceeding (this includes alegal proceedingorinquiry);or

 afuturejudicial proceeding thatwill be commenced orwill likelybe commenced, you mustconductariskassessmentbeforethe sourcerecordisdestroyed.The

riskassessment shouldconsider:

 the agency’sbusiness;

 cost/benefit analysis to retain or destroythesource record;

 publicperceptionthat mayarisefromdestruction ofthesourcerecord;and

 whetheranycurrentor futurecopying, conversionormigrationofthesource record will impacttheadmissibilityofthe recordas evidence.

You should consult your agency’slegaladvisoraspartof thisprocess.

Wheretheagencydeterminesthat thesourcerecordisreasonably likelyto be required, thesourcerecordmustnot bedestroyed until afterthejudicial proceeding hasbeenfinalised.

Theagencyshould regularlyreviewthe status ofsourcerecordsretainedas aresult of riskassessments.

g.Are the recordsreasonablylikelyto be subjecttoacurrentapplication for access underFreedomof Information Act,ArchivesActorotherlegislation?

Exclusion (f)

Wheretheagencyknowsitisreasonably likelythatasourcerecordmaybe subject to a current applicationforaccessunder theFreedomof Information Act1982,Archives Act1983orotherlegislation,you mustconductariskassessmentbefore the source recordisdestroyed.

Theriskassessment should consider:

 the agency’sbusiness;

 cost/benefit analysis to retain or destroythesource record;and

 publicperceptionthat mayarisefromdestruction ofthesourcerecord.

You should consult your agency’slegaladvisoraspartof thisprocess.

Wheretheagencydeterminesthat thesourcerecordisreasonably likelyto besubject to acurrent applicationforaccess, thesourcerecordmustnotbedestroyed until after the applicationforaccesshasbeenfinalised.

Theagencyshould regularlyreviewthe status ofsourcerecordsretainedas aresult of riskassessments.

h.Isthereabusiness need tokeepthe source record?

You will need to liaise with thebusinessarearesponsiblefortherecordstoascertain if thereisa needtokeepthe records intheir originalform. It should bekept in mindthat keepingcopies ofrecordscan beexpensive regardless ofwhether theyare hardcopy orsoftcopy.

TheAuthoritypermitsdestruction ofsourcerecords thathave neverbeenthe principal formatoftherecordused or relied on inthenormal courseofbusiness. Forexample, where inwardpaperisroutinelyscanned onreceipt forprocessing in digitalformatand the paper then playsnofurtherpart in businessprocesses.

Examples ofreasonswhysomerecordsmayneed tobekeptinoriginalform:

a special legislative requirement relating tothe businessarea;

business rulesthatindicateahardcopyrecord mustbekept forannotation;or

possible re-useof graphic materialsinthefuture.

3.2Managingthereproductionsas agencyrecords

Reproductionsmustbeatleastfunctionallyequivalenttothesourcerecordsfor businessand legal purposes andmustbemanaged asofficial agencyrecordsifthe intention isto destroythesourcerecords(Condition b of the Authority).

a.Have the reproductions been capturedwithsufficientcontextual information to ensuretheyarevalidated asrecords?

Contextual information or metadata allows records tobe understood andfacilitates accessandretrieval.Itis important that thereproductionscanbe validated asrecords bytheir metadata(datadescribing therecord),whether theyarebeing managedin a recordsmanagementsystem,byanother IT systemorin ashared drive.

b.Can thereproductionsbe relied upon asrecords oftheagency’s business?

Toensurethereproduction isareliable substitutefor the sourcerecord,you mustbe satisfiedthat thereproduction is:

authentic–thereproduction processiscontrolledand documented;

complete–thereproduction hasbeenproducedusing qualityassurance measures that ensurethere isno alteration,andhasall the information ascontainedin the sourcerecord;

accessible–thereproduction isavailable and readable overthelifeoftherecord;

and

useable– thereproduction isableto serve thesame businesspurpose asthe sourcerecord.

It isdesirabletomaintainanyevidence ofaudit logs, testing ofequipment and proceduresand anypre- orpost-reproductiontesting.These will enable youragencyto demonstratethatthereproduction isfunctionallyequivalenttothesourcerecordif required.

c. Are thereappropriatestrategiesimplemented toensurereproductions are retainedandremain accessibleforaslongasrequired?

Recordsthat have beencreatedbycopying, conversion or migration will inherit the access, destruction or transferarrangementsthatapplytothesourcerecords. However,youragency will need toreplace its information systemsatsomepoint.This will impactonrecords, since somerecordswill berequiredbeyond thelifeofthe systemtheyarecurrentlymanagedbyorstored in.

Toensureaccesstothese recordsforaslong astheyarerequiredbytheagency, appropriatemigration strategies needtobe implemented. Thesystemsmayalso need to be included in anydisaster recoverystrategiestoensurethat therecords remain secure andaccessible.Plansforreplacement orupgrade projectsaffectingthese systemsneedtobediscussed with thebusinessand IT area.

d. Have steps beentakentodocument the destructionofthesourcerecords?

Document youractionsso thatit isclearthat source recordsdestructionhas been carried out.Thisdocumentation canbeatquite ahigh level such asmaking anote in a destructionregistertoconfirm that thesourcerecordnolongerexists. For migration projects,appropriatedocumentationmayinclude afinalmigrationreport.

Ifyouragency isundertakingareproduction project, sourcerecordsshould not be destroyed untilqualityassurance processesare satisfied.

e. Maintenanceofreproductionsas agencyrecords

Agenciesmustensurethat reproductionsaremanagedas agencyrecords.Thisshould include ensuring that:

thereproduction isretainedfor the sameretentionperiodthat applied tothe source record;

thereproductionsarekeptin accordancewith relevantrecordsmanagement standardsandguidelinespromulgated bythe National Archivesfor Australian Governmentuse;

thereproductionsare accessible and useable overtime;

thereproductionsare included in anydata back-up processes employed bythe agency;

thereproductionsare protectedtoavoid breachesin securityand privacy as well as to ensuretheyare not vulnerable to alteration ordeletion;

proceduresare in placeto identifyand preventriskeventsaswell as to check that recordshave not been compromised;

authorisationissought fromthe National Archivesfor the destruction or transferof anyrecordsthatare not coveredbythisAuthorityorother recordsauthorities;and

arrangementstoprovidepublicaccesstothereproductions should bethesameas thosethat applied tothesourcerecords.

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f.Business systemsandreporting of thereproduction of Retainas National

Archives (RNA)records

Agenciesshould ensurethat theycanmaintainthe records inan accessible location and readable conditionforaslong asrequired. Thisisparticularlyimportantwhere the reproductionsare digital.Inmostcases, thisisbestaccomplished byabusiness systemwhich hasthe necessarycontrolsanddetailed recordsdescriptors.

Theagencymustadvisethe National Archives asearlyas possible if,for somereason, itcan nolongermaintain thesystemsthat supportRNArecords.

Wheretherecordsthathave been reproduced are eligiblefor transfer tothe National Archives asRNA, theyshould be managed byanagencysystemwith adequate controls.

3.3Managingreproductionprojects orprocesses

When planning digitisation projectsforrecords identified asRNA or RP,you must agreeformatstandardsand verification procedures with the National Archives before commencing yourproject.Thisisto ensurethatyourdigital imagescanbepreserved bythe National Archives forfuturegovernmentand publicaccesspurposes.Please refer totheNational Archives guidance on Digitising accumulatedphysical records.

Anycopying,conversionormigrationprojectcarries acertainamountof risk. There is the chancethat recordscould have theircontent and structuresignificantlyaltered, which could affectthefunctional equivalence ofthe reproduction withthesource record.Duetothisrisk, reproduction projectsorprocessesshould bewellplanned and implementedtoensurethe reproduction isappropriateforbusinesspurposes.

Agenciesshould document the processesusedto reproducerecords. Bydocumenting thisprocess,thereproductionscanbe demonstratedto befunctionallyequivalentto the sourcerecords. Assuch, theycan carryfurtherweightas admissibleevidence.

Agenciesshould ensurethat:

1. Proceduresfor the processofcopying, conversion or migration (forexample scanning procedures)are comprehensive,includingqualityassuranceandquality control;

2. Records intendedto bereproduced are not missed.Decisionsnot tocopy,convert ormigratecertainrecordsormetadataelementsneed tobe documented. Correctionstoerrorsanddefectsinthereproductionsoranydataclean up performedshould bedocumented;

3. Thereproduction processselected issuitablefor the natureofthesourcerecords with considerationsmadeforessential characteristics;

4. Theprocessselected does not damagethe intrinsicvalue ofRNA or RP source records(Exclusion a inthe Authority);and

5. Proceduresaddresshowthereproductionswill be managedovertime.

3.4Transfersof RNArecords toNationalArchives

Wheremigration programsare being conductedas aproject,atransferof a copyof the migratedRNA recordstoNational Archives maybe appropriateasaproject

deliverable.Please discuss the proposedtransfer, including theformatandtransfer

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mediumwith National Archives.In certaincircumstances,suchasrecordswith intrinsic value,itmayalso beappropriatetotransferthe sourcerecordsto National Archives.

4.ContactingtheNationalArchives

Additional supportfor making the decision touseand advice onhowto use the Authority isprovided in theform ofa decisionflowchartand checklistat the end of this document.

Ifin doubt on howtousetheAuthority,please contact theNational Archives.

5.Related documents

The General RecordsAuthority(31) forsource(including original)recordsafter theyhavebeencopied, convertedormigrated

Digitising accumulatedphysical records

  • Records in evidence

6.Flowchart:usingtheAuthority

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Weretherecords createdonor after

1January2000?

Yes

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No

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Aretherecordsathigh risk of unplannedloss becauseofunstable mediaorold technology?

Yes

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No

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Aretherecords includedin a currentRecords Authority?

Weretherecords

NoeverreliedonbyNo theagencyfor

businessuse?

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Yes

Yes

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Aretherecords classifiedasRNA, RPormeetthe RNAcriteria?

Yes

Notcoveredby theAuthority, contactNAA

Covered

bytheAuthority

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YesNo

Arethe conditions satisfied?

Yes

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No

No

Aretherecords subjecttothe exclusionslistedin theAuthority?

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7.Checklist

Questionstocheckbeforedestroyingsource records / Guidelines
1.Are therecordscoveredbythe scopeof the Authority(temporaryrecordsofany age,RNArecords created onorafter1
January2000, etc.)? / NoIfno,you are not authorisedtodestroythe records. / Yes
2.Ismyagencyresponsiblefor the
records? / NoIfno, you requirethe
permission of therecords “owner”before you can destroytherecords. / Yes
3.Are therecordson loanfromthecareof the National Archives? / YesIf so,you arenot authorisedtodestroythe records. / No
4.IfthesourcerecordsareRNA,or RP
records,or meet the criteriaforRNA records,doesyouragencyconsiderthem to have intrinsicvalue in theiroriginal format? / Yes Ifso,you arenot authorisedtodestroythe records. / No
5.Are thesourcerecordsaudiovisual
recordsthathave notbeen identified as temporaryvalue recordsunderacurrent Records Authority issuedbyNAA? / YesIfso,you arenot authorisedtodestroythe records / No
6.Do legalrequirements, relevant
legislation or applicable disposal authoritiesrequiretherecordsto be retained intheir originaloraspecific format? / YesIf so,you arenot authorisedtodestroythe
records. / No
7.Isthereagovernment policyordirective
requiring retentionoftherecords? / YesIf so,you arenot authorisedtodestroythe records. / No
8.Do therecordsrelatetoa current or
futurejudicial proceeding or arethey subject to acurrent applicationfor accessunderFOI, Archives orother legislation and aretheyreasonably likely toberequiredasevidence? / YesIfso,you arenot
authorisedtodestroythe records. / No
9.Do thereproductionshave the required functional equivalence necessaryto
substituteforthesourcerecordsfor businessand legal purposes? / NoIfno,you are not authorisedtodestroythe
records / Yes
10.Istherea businessneedtoretain the recordsintheiroriginalform? / YesIfso,you should reconsider thedecision to
destroy. / No
11.Are RNA or RPrecordsto bedigitisedas part ofa project? / YesIfso,you must agree formatstandardsand verification procedures with
NAA beforecommencing. / No

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12.Are controlsinplace tomaintainthe reproductionsin placeofthesource recordsforaslongas requiredin any currentRecords Authoritycoveringthe sourcerecords? / NoIfno, thisshouldbe undertakenorplannedfor. / Yes
13.Istheresufficient documentation available to demonstratethat the
methodsusedroutinelyproduce accurate
and reliable reproductions?Thiscould includedocumenting thefollowing:
whowas authorisedto do the reproduction?
when did the reproduction process occur?
whatequipmentandprocesseswere used?
whatpolicies and procedureswere followed?
what qualitycontrol measureswere in place?
were the resultsof thetesting processsatisfactory? / NoIfno, thisshould be undertakenorplannedfor. / Yes
14.Are appropriateprocedures and strategies in placetoensurethat the reproductionsremain accessibleforas longasrequired? / NoIfno, thisshould be undertakenorplannedfor. / Yes
15.Have stepsbeentakento document the destruction ofsourcerecords? / NoIfno, thisshouldbe undertakenorplannedfor. / Yes

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If you cannotcomplywith thetermsof theGRA (31)but would liketo use it, please seekfurther advicefrom the National Archives.

Ifyou have ticked all the boxes in this column, you complywith the termsof GRA (31).

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National Archives of AustraliaGuidelines forusingGeneralRecordsAuthority (31)

8.DeterminingIntrinsicValue

Assessingtheproportionofthephysicalorintellectualvalueoftherecordthatmaybelostiftransferredtoanothermediumwhichincludeintangible symbolic,talismanicorartisticqualitiesas wellastheirinformationcontent.

Qualities of “Intrinsic Value”in RNArecords

Assessing the “Intrinsic Value”inRNAsource records

Doestheoriginalhaveintrinsicvalue?No

Originalrecordnotrequired?

Yes

Willintrinsicvaluebesignificantly degradedbymigrationprocess?

Yes

Revisitbusinesscaseformigration. Avoiddegradingintrinsicvalue. DiscusswithNAA.

Isconditionof originalrecordahigh riskforlossordeterioration?

NoRetainoriginalrecord–migratedcopy foraccessanoption

Yes

Considercost/valuetrade-offfor preservationand/ormigration

Preservation? Migration?

Migrationandpreservation?

Completemigrationand/orpreservationstepstomaintain“intrinsicvalue”oftheRNA

sourcerecord.

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