Guidelines for agencies using the Information Asset Register · Guidelines for agencies using the...
Transcript of Guidelines for agencies using the Information Asset Register · Guidelines for agencies using the...
NSW Office of Finance & Services Strategic Policy Level 23W, McKell Building 2-24 Rawson Place Sydney NSW 2000 T 02 9372 8132 TTY 1300 301 181 www.finance.nsw.gov.au
Guidelines for agencies using the
Information Asset Register
Friday 20 March 2015
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Table of Contents
OVERVIEW 1
ABOUT THIS DOCUMENT 1
ABOUT THE INFORMATION ASSET REGISTER 1
THE IM FRAMEWORK AND DATA AND INFORMATION CUSTODIANSHIP POLICY
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THE INFORMATION MANAGEMENT FRAMEWORK 2
DFS C2013-3 DATA AND INFORMATION CUSTODIANSHIP POLICY 2
CUSTODIAN AGENCY RESPONSIBILITIES 4
INFORMATION ASSET CUSTODIANSHIP AND RESPONSIBILITY FOR DATASET INFORMATION 4
FILE STORAGE 4
DATA QUALITY STATEMENTS AND OTHER ADDITIONAL INFORMATION 4
AGENCY USER ACCOUNTS 5
WHO CAN CREATE AN ACCOUNT? 5
AGENCY ACCOUNT CREATION 5
USER PERMISSION MODEL 6
METADATA REQUIREMENTS 7
IAR METADATA FIELDS 8
INFORMATION SOURCES 9
METADATA RESOURCES 9
SENSITIVE INFORMATION 10
SENSITIVE INFORMATION 10
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DFS C2013-5 INFORMATION CLASSIFICATION AND LABELLING GUIDELINES 10
HOW TO UPLOAD METADATA 11
HOW TO MODIFY EXISTING METADATA 13
LIST OF APPENDICES 14
ATTACHMENT A – DATA QUALITY STATEMENTS 15
ATTACHMENT B – TERMS AND CONDITIONS FOR USE OF THE IAR 18
ATTACHMENT C – APAIS HIGH LEVEL THESAURUS 22
ATTACHMENT D – DCMI TYPE VOCABULARY 23
ATTACHMENT E - CONTACT AND FURTHER INFORMATION 25
DOCUMENT CONTROL 26
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Overview
About this Document
This document describes the procedures for using the Information Asset Register and
the roles and responsibilities of the agency that created and/or is the custodian of the
information assets.
About the Information Asset Register
The Information Asset Register (IAR) provides searchable metadata and contact
details for a list of core-value information assets held by NSW government agencies, in
order to facilitate their sharing between agencies.
Core-value information assets are those that have one or more of the following
characteristics, in that they are:
Best aligned to NSW Government strategic objectives
Central for the progression and development of the State
Required for frequent use and re-use across Government in support of various functions and services
The IAR does not host data nor does it point directly to information assets. It holds
metadata that describes what the information asset is, and who to contact for access.
The information described in the metadata on the IAR is more sensitive than that held
in the Data.NSW open data portal. For this reason, you must be a designated NSW
Government employee in order to access the IAR.
Metadata contained in the IAR and any information from the datasets listed is not for
public release without the express permission of its custodians.
It is the responsibility of agency representatives to upload and maintain currency of
metadata. Agency representatives can obtain a login that will provide access to the
IAR. There are metadata requirements which agencies must adhere to. These are set
out on page 7.
Agencies using the IAR will abide by Terms and Conditions of use of the IAR, as
specified in Attachment A.
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The IM Framework and Data and Information
Custodianship Policy
The Information Management Framework
A key initiative of the NSW Government ICT Strategy is the development of an
Information Management Framework (the IM Framework) to support the way
government administers and uses data and information.
The Framework is a coherent set of standards, policies, guidelines and procedures
which are implemented either manually or, where possible, automated through
technology. This allows data and other information assets to be managed in a secure,
structured and consistent manner.
It ensures that data and information can be appropriately shared or re-used by
agencies, individual public sector staff, the community or industry for better services,
improved performance management and a more productive public sector.
The development of a directory of key information assets that can be shared across
agencies is an action under the 2014-2015 update to the NSW ICT Strategy, Digital +.
DFS C2013-3 Data and Information Custodianship Policy
The NSW Government Data and Information Custodianship Policy establishes a set of
principles for managing core-value government data and information assets.
The policy requires the identification of custodians for core-value datasets.
Core-value datasets are those defined by agencies as best aligned to the NSW
Government’s strategic objectives; or central for the progression and development of
the state; or required for frequent use and re-use across government in support of
various functions and services.
The information asset register supports the objectives of the Data and Information
Custodianship Policy.
Custodians are responsible for maintaining custodianship records of core value
datasets.
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A circular on the NSW Government Data and Information Custodianship Policy may be
downloaded here: http://www.finance.nsw.gov.au/content/dfs-c2013-3-data-and-
information-custodianship-policy
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Custodian Agency Responsibilities
Information asset custodianship and responsibility for dataset information
Agencies maintain responsibility for the metadata they have provided. Agencies have
the ability to modify metadata for files corresponding to their jurisdiction/area and are
encouraged to correct oversights or previous inaccuracies. Data custodianship remains
with the publishing agency, as described in the NSW Data and Information
Custodianship Policy.
File storage
Custodian agencies are responsible for the storage of datasets for which metadata has
been provided. The IAR does not store data, but provides metadata about information
assets held by NSW Government agencies. The IAR is not responsible for the storage
or availability of datasets for which metadata is provided.
Data quality statements and other additional information
Data quality statements or other additional information about a dataset agencies may
wish to provide can be uploaded as a data resource within the metadata.
To prepare a data quality statement, it is recommended that agencies refer to the NSW
Government Standard for Data Quality Reporting. Attachment A offers guidance for
preparing a Data Quality Statement.
Identifying Information Assets
An information asset is a body of information, defined and managed as a single unit so
it can be understood, shared, protected and exploited effectively.
Information asset can describe resources individually or at an aggregate level. They
include individual datasets and files as well as information processing infrastructure
such as databases, data hubs and other systems and platforms. Agencies should
identify resources of core-value for inclusion on the IAR.
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Agency User Accounts
Agencies play an active role in uploading metadata to the IAR. Agency representatives
can view, upload and edit metadata entries on the platform, depending on their level of
access.
Who Can Create an Account?
The IAR is intended for all NSW Government principal departments, agencies and
state owned corporations.
Agency Account Creation
To request an IAR account:
1. Carefully read the IAR Terms of Use (Attachment A) and Guidelines for Using
IAR in their entirety.
2. Determine what level of user access you require. See page 7 for user
permission model.
3. Fill out the online form at the IAR homepage: http://www.data.nsw.gov.au/iar/.
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4. Wait for confirmation that your account has been activated.
You will not immediately be able to access the IAR; your request will be
reviewed by system administrators and you will receive email confirmation once
your account is active. System administrators may contact you via email during
this process.
User Permission Model
Users can request one of three levels of access to the IAR.
IAR Viewer
IAR Viewers are able to search metadata and see the contact details of custodians.
IAR Viewers will not be able to upload, edit or delete metadata.
Agency Dataset Creator
Agency Dataset Creators will have the same rights to search metadata as IAR Viewers;
however, they will also be able to create metadata entries on behalf of their agency.
Agency Dataset Manager
Agency Dataset Manager will have the same as Agency Dataset Creators; however,
they will also be able to edit and delete metadata on behalf of their agency.
Assignation of access levels will be on a case-by-case basis, taking into consideration
the needs and specific requirements of each user and agency.
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Metadata Requirements
The IAR requires metadata that is compatible with the AGLS metadata standard. The
schema used in the IAR has been developed to be of minimal burden for agencies in
the upload process. When uploading a dataset:
1. Complete all mandatory fields
2. Complete optional fields where possible
3. Check entries for accuracy
4. Submit for moderation and publishing
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IAR metadata fields
Metadata field name Description
Title* A name given to the resource
Description* An description of the content of the resource
Tags
Tags should be taken from key words within the title and
description of the metadata. Tags are a convenient way
to link your entry to others on the IAR. Use the APAIS
Thesaurus at Attachment C.
Organisation* Custodian agency/entity primarily responsible for the
resource content.
Type Eg. XML, HTML, XLS, RSS, CSV, PDF, Other
Frequency of change How often the resource is refreshed or updated
Quality statement
A description of the characteristics of the data to help
them determine whether it will be fit for their specific
purpose.
Indicate high, medium or low. See Attachment A.
Access & Restrictions* Factors that may limit publication or re-use of the
resource, e.g. copyright, privacy, commercial property
Date of registration*
Typically, Date will be associated with the creation or
availability of the resource. Recommended best practice
for encoding the date value is defined in a profile of ISO
8601 and follows the YYYY-MM-DD format. Example:
Date issued 2008-10-09.
Name of custodian contact /
position*
An individual primarily responsible for the resource
content. Include business unit.
Custodian email*
Custodian phone*
* Required fields
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Information Sources
The following documents provide the controlled lists for use in the relevant metadata
fields as described in the table above:
APAIS High-Level Thesaurus (see Attachment C)—Tags
Archives Investigator Function Set (see Attachment E)—Groups
DCMI Type Vocabulary (see Attachment F)
Metadata Resources
AGLS Usage Guide
http://www.agls.gov.au/pdf/AGLS%20Metadata%20Standard%20Part%202%20Usage
%20Guide.PDF
AGLS Reference Description
http://www.agls.gov.au/pdf/AGLS%20Metadata%20Standard%20Part%201%20Refere
nce%20Description.PDF
NSW Government Standard for Data Quality Reporting
http://finance.nsw.gov.au/ict/sites/default/files/NSW%20Standard%20for%20Data%20Quality%20Reporting%20FINAL_1.pdf The National Archives (United Kingdom) Identifying Information Assets and Business Requirements http://www.nationalarchives.gov.uk/documents/information-management/identify-information-assets.pdf
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Sensitive Information
Sensitive Information
The IAR is intended for use by NSW Government agencies as a catalogue of
information assets that are too sensitive for public release, but could be shared
between NSW Government agencies. It is the responsibility of agencies to determine if
their information is too sensitive for the Data.NSW open data platform and appropriate
for the IAR.
Individual agencies themselves are best placed to determine the sensitivity of the
information resources the hold base on the Government Information (Public Access)
Act 2009 (NSW) (GIPAA), the Privacy and Personal Information Act 1998 (NSW)
(PPIPA), the Health Records and Information Privacy Act 2002 (NSW) (HRIPA) and the
State Records Act 1998 (NSW).
DFS C2013-5 Information Classification and Labelling Guidelines
The NSW Government Digital Information Security Policy outlines the NSW
Government’s commitment to transitioning to a system for classifying and labelling
sensitive information in a manner that is consistent with the Commonwealth security
classification system.
The NSW Government Information Classification and Labelling Guidelines provides
advice for implementing consistent methods of classification and labelling that allows
sensitive information to be securely shared between agencies and across jurisdictions,
with confidence that the information will be handled and protected according to its
sensitivity.
The IAR supports the Information Classification and Labelling Guidelines by providing a
catalogue of sensitive information that could be shared between NSW Government
agencies.
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How to Upload Metadata
Step 1: Go to http://data.nsw.gov.au/iar/ and login with your user account details. You
will need to be an Agency Dataset Creator or Agency Dataset Editor make an entry.
Step 2: Navigate to Datasets page and click on the red ‘Add Dataset’ tab.
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Step 3: Fill in all required fields and all suggested fields where possible.
Step 5: Click “save” at the bottom right corner of the page.
Your entry will be subject to review by system administrators.
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How to Modify Existing Metadata
Step 1: Select the metadata and click ’manage’.
Step 2: Update the necessary fields and click “Update Data Set.”
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List of Appendices
A. Data Quality Statements
B. Terms and Conditions for use of the IAR
C. APAIS High-Level Thesaurus
D. DCMI Type Vocabulary
E. Contact and Further Information
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Attachment A – Data Quality Statements
Data quality statements
Data quality is determined by whether or not the data is suitable for its intended use.
This is generally referred to as being “fit-for-purpose”. Data is of sufficient quality if it
fulfils its intended use (or re-use) in operations, decision making or planning.
However, it is not always possible for data producers, stewards or custodians to predict
the needs of all users and the various ways in which their data might be used; a data
quality statement, then, should provide users with a description of the characteristics of
the data to help them determine whether it will be fit for their specific purpose.
A data quality statement should address 5 quality dimensions: Institutional
Environment, Accuracy, Coherence, Interpretability and Accessibility.
Institutional Environment refers to the institutional and organisational factors which may
have a significant influence on the effectiveness and credibility of the agency producing
the statistics.
Accuracy refers to the degree to which the data correctly describe the phenomenon
they were designed to measure.
Coherence refers to the internal consistency of a statistical collection, product or
release, as well as its comparability with other sources of information, within a broad
analytical framework and over time.
Interpretability refers to the availability of suplementary information to help provide
insight into the data.
Accessibility refers to the ease of access to data by users, including the ease with
which the existence of information can be ascertained, as well as the suitability of the
form or medium through which information can be accessed.
The data quality statement should include an assessment of each of these dimensions
of quality as Low, Medium or High.
In order to determine the quality level, the following checklist should be used.
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DATA QUALITY STATEMENT CHECKLIST
The data quality level for each dimension of the data quality statement is based on a
score from 1 to 5. Each dimension contains a five-point checklist and the quality level
of LOW, MEDIUM or HIGH is based on how many of these points apply to the dataset.
A score of 0-1 is considered LOW quality. A score of 2-3 is considered MEDIUM
quality. A score of 4-5 is considered high quality HIGH quality.
Institutional Environment LOW / MEDIUM / HIGH
Agency is the registered custodian of the data
Organisation has and Active Data Quality Framework in place
Quality control responsibility for this data is clearly assigned
Data collection is authorised by law, regulation or agreement
Agency has no commercial Interest or conflict of interest in data
Accuracy LOW / MEDIUM / HIGH
Data has been subject to a quality assurance process
Data is revised and publicised if errors are identified
The impact of any adjustments or other changes are reported
There are no known gaps in the data
Any factors impacting validity are reported
Coherence LOW / MEDIUM / HIGH
Standard concepts, classifications and categories are used
Elements within the data can be meaningfully compared
This data is consistent with other data sources
A time series is available for this data
This data is consistent with previous releases
[OR the dataset is a single collection, not part of a series]
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Interpretability LOW / MEDIUM / HIGH
A data dictionary is available to explain the meaning of data elements, their
origin, format and relationships
Information is available about the sources and methods of data collection. (eg.
Instruments, forms, instructions)
Information is available to help users evaluate the accuracy of the data and any
level of error
Information is available to explain concepts, help users correctly interpret the
data and understand how it can be used
Ambiguous or technical terms are explained
Accessibility LOW / MEDIUM / HIGH
Data is available online with an open licence if appropriate
Data is available in machine-processable, structured form (eg. CSV format
instead of an image scan of a table)
Data is available in non-proprietary format (eg. CSV, XML)
Data is described using open standards (eg. RDF, SPARQL) and universal
resource identifiers (URIs)
Data is linked to other data where appropriate to provide context
For more information on preparing a data quality statement, it is recommended that
agencies use the NSW Government Standard for Data Quality Reporting. This
standard provides a method for agencies to create simple data quality statements that
describe their datasets for secondary users.
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Attachment B – Terms and Conditions for
Use of the IAR
These Terms of Use are published on the IAR and are reproduced here. All users of
the IAR are required to agree to these terms and conditions.
Terms of Use for the IAR
1. General
The State of NSW (NSW office of Finance and Services (“OFS”) promotes the sharing
and use of government data to allow other agencies to access information which may
be useful for service delivery or evidence-based policy decisions.
OFS reserves the right to amend these Terms of Use at any time without notice. Both
the IAR and users will be subject to the Terms of Use current at the time of use, as
published on the IAR.
Activity that may violate these Terms of Use should be reported to
2. Interpretation
These Terms of Use are governed by, and are to be interpreted in accordance with, the
laws of the State of NSW, Australia. Users of the IAR agree that the courts of the State
of NSW have non-exclusive jurisdiction with respect to any matter arising from these
Terms of Use or the IAR.
If any provision of these Terms of Use is held to be invalid or unenforceable that
provision may be:
read down to the extent necessary to make it valid and enforceable; or
severed and the remaining provisions of these Terms of Use enforced.
A reference to OFS in these Terms of Use is understood to include any person or body
appointed by OFS to operate the IAR.
The inclusion of any email addresses on the IAR does not imply consent to receiving
unsolicited commercial electronic messages or SPAM.
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3. Use
Data and information obtained from or associated with the IAR must not be used to
create, send, access or store any form of data or information that:
a) damages the good standing of the IAR or misrepresents the IAR;
b) involves or could lead to victimisation, discrimination, harassment or vilification;
c) is sexually suggestive, offensive, obscene, threatening, abusive or defamatory;
d) is misleading or deceptive;
e) is in breach of any Australian State or Federal law;
f) may damage, destabilise or compromise the security of information or
technology of the IAR or any other person, business, government body or
organisation (e.g. sending a virus, using password cracking tools);
g) infringes the copyright or other intellectual property rights of any third parties;
h) may compromise the confidentiality, security or privacy of employees, persons,
businesses, government bodies or other organisations (e.g. by re-identifying
previously de-identified data or making it possible for others to do so);
i) impersonates or falsely claims to represent a person or organisation; or
j) otherwise causes, or may cause, damage to the IAR or impairment of the
availability or accessibility of any part of the IAR.
4. User accounts
Users agree that:
a) he or she is individually responsible for maintaining the confidentiality of his or
her password and account;
b) he or she is individually responsible for all activities that occur under his or her
password or account;
c) he or she will immediately notify [email protected] of any
unauthorised use of his or her password or account or any other breach of
security;
d) he or she will immediately notify [email protected] if their
employment status with the NSW Government changes, including a change of
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agency or termination of employment, and he or she will cease to access the
IAR;
e) any accounts that have been inactive for an extended period of time may be
permanently deleted without notice, including any files or content remaining on
the account;
f) The IAR may preserve or disclose content on your account if:
i. required to do so by law.
ii. in good faith such disclosure is reasonably necessary to protect the
rights, property, personal safety or business interests of the IAR, users
of the IAR or the public.
iii. in good faith such disclosure is reasonably necessary to enforce these
Terms of Use or to respond to any complaints relating to these Terms of
Use.
g) technical processing of the IAR and transmission of content, including individual
user content, may involve various networks, and content may be translated to
conform and adapt to technical requirements of connecting networks or
devices.
5. Exclusion from Data.nsw
OFS reserves the right to determine, at its own discretion, whether a breach of these
Terms of Use has occurred. OFS may take such action as OFS deems appropriate to
deal with a breach of these Terms of Use, which may include permanently deleting any
files or content on a user account and/or barring any further access by a user to IAR
files or to the IAR.
OFS reserves the right to exclude any user from the IAR at any time.
6. Liability
OFS gives no warranty or guarantee in relation to the IAR or in relation to any data or
information provided through or associated with the IAR in any way. OFS accepts no
liability, whether arising directly or indirectly, in relation to:
a) the IAR or any of the web pages or systems that comprise the IAR;
b) any breach of these Terms of Use;
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c) any decisions by or actions on the part of OFS to exclude users of the IAR or
others from access to the IAR; or
d) any reliance for any purpose on data or information provided through, linked to
or associated with the IAR in any way or
e) the quality, operability, interoperability or accuracy of the data or metadata.
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Attachment C – APAIS High Level Thesaurus
See http://www.nla.gov.au/apais/thesaurus/about.html for more information.
Aboriginal studies
Accounting
Agriculture- economic,
social, political aspects
Anthropology
Archaeology
Architecture
Archives
Arts
Banking
Communications
Computer applications
Conservation
Crime
Cultural affairs
Defence
Drug abuse
Economics
Education
Employment
Environment
Ethnic groups
Family
Finance
Geography
Government
Graphic arts
Health
History
Industrial relations
Industry
Labour issues
Language
Law
Libraries
Linguistics
Literature
Local government
Management
Music
Occupational Health
Philosophy
Politics
Psychology
Public administration
Religion
Science
Scientific and industrial
research-social;
economic; Legal;
political and cultural
aspects
Social aspects of
medicine
Social issues
Sociology
Taxation
Technology
Theatre
Town planning
Transport
Urban affairs
Welfare
Women
Youth
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Attachment D – DCMI Type Vocabulary
The DCMI Type Vocabulary is the AGLS-approved encoding scheme for the “type”
metadata element. See http://dublincore.org/documents/2000/07/11/dcmi-type-
vocabulary/ for more information.
1. Collection
Name: Collection Label: Collection
Definition: A collection is an aggregation of items. The term collection means that the
resource is described as a group; its parts may be separately described and navigated.
2. Dataset
Name: Dataset Label: Dataset
Definition: A dataset is information encoded in a defined structure (for example, lists,
tables, and databases), intended to be useful for direct machine processing.
3. Event
Name: Event Label: Event
Definition: An event is a non-persistent, time-based occurrence. Metadata for an event
provides descriptive information that is the basis for discovery of the purpose, location,
duration, responsible agents, and links to related events and resources. The resource
of type event may not be retrievable if the described instantiation has expired or is yet
to occur. Examples - exhibition, web-cast, conference, workshop, open-day,
performance, battle, trial, wedding, tea-party, conflagration.
4. Image
Name: Image Label: Image
Definition: An image is a primarily symbolic visual representation other than text. For
example - images and photographs of physical objects, paintings, prints, drawings,
other images and graphics, animations and moving pictures, film, diagrams, maps,
musical notation. Note that image may include both electronic and physical
representations.
5. Interactive Resource
Name: InteractiveResource Label: Interactive Resource
Definition: An interactive resource is a resource which requires interaction from the
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user to be understood, executed, or experienced. For example - forms on web pages,
applets, multimedia learning objects, chat services, virtual reality.
6. Service
Name: Service Label: Service
Definition: A service is a system that provides one or more functions of value to the
end-user. Examples include: a photocopying service, a banking service, an
authentication service, interlibrary loans, a Z39.50 or Web server.
7. Software
Name: Software Label: Software
Definition: Software is a computer program in source or compiled form which may be
available for installation non-transiently on another machine. For software which exists
only to create an interactive environment, use interactive instead.
8. Sound
Name: Sound Label: Sound
Definition: A sound is a resource whose content is primarily intended to be rendered
as audio. For example - a music playback file format, an audio compact disc, and
recorded speech or sounds.
9. Text
Name: Text Label: Text
Definition: A text is a resource whose content is primarily words for reading. For
example - books, letters, dissertations, poems, newspapers, articles, archives of
mailing lists. Note that facsimiles or images of texts are still of the genre text.
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Attachment E - Contact and Further
Information
More information, questions and queries about the IAR feel free to contact:
Digital Archives State Records Authority NSW NSW Office of Finance& Services T 02 9673 1788 E [email protected] Information Team Strategic Policy NSW Office of Finance & Services T 02 9372 9034 E [email protected]
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Document Control
Document History
Date Version
No.
Description Author
June 2014 0.1 Initial draft Adam Spivakovsky
June 2014 0.2 Revised draft Adam Spivakovsky
July 2014 1.0 Final draft Adam Spivakovsky
March 2015 1.1 Document revision Alexander Cobb
Document Custodian
Name Signature
Dawn Routledge
Executive Director
Strategic Policy
Office of Finance and Services