Decision / Approval Record

Decision and record identifier assignment

The identifier that designates the decision, the authority that mints it, and the separation between the identifier of the decision act, the identifier of the record and any governed global identifier such as an ECLI.

1. Which identifier scheme designates this decision, and which body governs and issues values in that scheme? identity
2. Does the identifier designate the decision act, the record documenting it, or both, and how is the other one identified? identity
3. When an authoritative master-system number, a governed global identifier and a locally minted UUID/ULID all exist, which is canonical for citation and which are aliases? identity
4. How is an identifier minted for a decision taken without a meeting, a case number or a hearing — for example a delegated sign-off or unanimous written consent? identity
5. Are any date-bearing tokens inside the identifier being relied on as the decision date, and if so how is that dependency removed? constraint

Version, expression and manifestation identity

How successive language versions, corrected texts, consolidated texts and published formats of the same decision are distinguished without fragmenting its identity.

1. At which identity level does each stored item sit — abstract decision (work), a specific version or language (expression), a format (manifestation), or a single file (item)? composition
2. Which expression is the authentic or authoritative text, and what governs divergence between language versions? authority
3. When a text is corrected, is a new expression created or is the existing one edited, and how is the superseded expression preserved? lifecycle
4. Does an anonymised or redacted published expression exist alongside a full internal expression, and are they explicitly linked? privacy

Title, language and alternative names

A short noun-phrase title representing the problem and chosen solution, plus language and any alternative citations. DCMI title and alternative apply; Nygard and MADR require a short representative heading.

1. What short title names this decision in terms of the problem solved and the outcome chosen? definition
2. In which language or languages is the authoritative text of the decision expressed? classification
3. What alternative names, docket numbers or popular citations should retrieve the same record without becoming identifiers? identity

Decision type and binding character

Classification of the record along the axes that change how it must be handled: decision family, binding versus advisory, interim versus final, and positive versus negative outcome.

1. Which decision family does this record belong to — administrative decision, judicial judgment, corporate resolution, delegated approval, gate or change approval, or retained machine authorization decision? classification
2. Is the instrument binding, or is it an opinion, recommendation or advice that does not itself dispose of the matter? classification
3. Is this an interim, partial, recommended or final decision, and if not final what does it leave undecided? state
4. Where an external decision vocabulary is used, is it the canonical classification or an alignment, and what does not map? interoperability

Subject matter and scope of application

What the decision is about and how far its effect reaches — addressees only or a general class, which territory or jurisdiction, and which organisational or asset scope.

1. What subject matter does the decision concern, and against which classification scheme is that subject expressed? classification
2. Does the decision bind only named addressees, or does it apply generally to a class of persons, cases or objects? constraint
3. Which jurisdiction, territory or organisational unit does the decision operate in, and is its effect limited to that boundary? spatial
4. Is the decision intended to have precedential or policy effect beyond the instant matter, and who may rely on it? authority

Question put for decision

The precise question, proposal, motion or request the decision resolves, including how it was framed and by whom it was brought.

1. What exact question, motion or proposal was put, and in what wording was it put to the deciding body? definition
2. What triggered the decision — an application, a referral, a statutory duty, a scheduled review or an own-initiative act — and who initiated it? process
3. Which stakeholder concerns, requirements or criteria was the decision required to address? requirement
4. Was the question amended, split or reframed before decision, and is the final wording distinguishable from the original? lifecycle

Outcome and disposition

The operative determination: the outcome value, the order or relief granted or refused, and any non-outcome such as deferral, withdrawal or inability to decide.

1. What is the operative outcome value, and from which controlled vocabulary is it drawn? decision
2. How are non-dispositive results represented — deferral, adjournment, withdrawal, no quorum, tie, not applicable or unable to determine? exception
3. Which part of the record is the operative determination, and which parts are reasoning that does not bind? composition
4. Where the decision grants in part and refuses in part, how is each element of relief and refusal separately expressed? composition
5. If an external four-valued authorization vocabulary is used, which administrative outcomes have no equivalent and how is that recorded? interoperability

Conditions, obligations, advice and implementation duties

What must happen for the decision to take or keep effect, what the decision obliges parties to do, what is merely advisory, and which implementation and enforcement duties follow.

1. Which conditions must be satisfied before the decision takes effect, and which conditions if breached end its effect? constraint
2. Which attached requirements are binding obligations that must be discharged and which are advice that may be disregarded without invalidating the outcome? requirement
3. Who is responsible for implementing and enforcing the decision, and what happens if it is not implemented? process
4. Is effectiveness deliberately deferred to a later date or a future event, and is there a maximum permitted deferral? temporal

Statement of reasons

The reasoning that justifies the outcome, whether giving reasons is legally required for this decision, and whether the reasons form part of the operative instrument or a separate document.

1. Is there a legal or policy duty to give reasons for this decision, and what instrument imposes it? requirement
2. Do the reasons address all material issues of fact, law and discretion presented, and how is that completeness checked? validation
3. Are the reasons part of the operative instrument, an annexed statement, or a separately requestable document? composition
4. Where reasons are abbreviated, standardised or omitted, what justifies that and is a fuller statement available on request? exception

Options considered and rejected

The alternatives evaluated, the criteria and weights applied, and the recorded justification for rejecting each alternative not chosen.

1. Which alternatives were formally considered, and is the list complete relative to what the deciding body was given? evidence
2. Against which criteria and weights were the alternatives assessed, and were those criteria fixed before assessment? measurement
3. For each rejected alternative, what is the recorded reason for rejection? decision
4. Was the status quo or 'take no action' option explicitly assessed, and on what basis was it set aside? decision

Evidence relied upon and findings of fact

The inputs the decision-maker used, the facts found from them, submissions received, and any communications that a rule requires to be placed on the record.

1. Which specific inputs did the decision-maker use, and are they retained and resolvable at the version actually relied upon? provenance
2. What facts were found, and which input supports each finding? evidence
3. Was the affected party heard before an adverse measure, and what submissions were received and considered? process
4. Were any prohibited or off-record communications received, and were they placed on the record as required? exception
5. For machine-evaluated inputs, which attribute sources supplied values and were any required attributes missing? provenance

Completeness of rulings and confirmation of implementation

APA requires the record to show the ruling on each finding, conclusion or exception. MADR confirmation describes how implementation or compliance will be checked. Completeness is a quality property of the decision record; implementation evidence may live in sibling operational models.

1. Does the record contain a ruling on every material issue and every exception presented, and which items are missing? quality
2. How will compliance with the decision be confirmed, and by whom? validation
3. Has implementation been confirmed, with what result and evidence? evidence

Decision authority and legal basis

Which body or role held competence to take this decision, the instrument conferring that competence, and the rules of composition it had to satisfy.

1. Which body, office or role took the decision, as distinct from anyone who prepared, recommended or merely signed it? authority
2. Which instrument and provision confer competence to take this decision, and was it in force at the decision time? authority
3. What composition, quorum or qualification rules applied to the deciding body, and what is their source? constraint
4. How is it verified that the decision falls within the conferred competence, and what happens if it does not? validation

Delegation, sub-delegation and approval limits

Where the decision was taken under delegated power, the delegation chain, its thresholds and exclusions, and its validity at the decision time.

1. Who delegated the power, to whom, and is there a sub-delegation chain back to the original holder of competence? authority
2. What monetary, categorical or risk thresholds bound the delegated power, and does this decision fall inside them? constraint
3. Which matters are expressly excluded from delegation and reserved to the delegating body? constraint
4. Was the delegation in force at the decision time, and had it been revoked, suspended or lapsed? temporal

Participation, quorum and vote result

Who took part and how, whether quorum was met, how votes or consents were counted, and how decisions taken without a meeting are represented.

1. Was quorum required and met, counted against which denominator, and who determined that? validation
2. How were votes cast and counted — in favour, against, abstaining, absent — and what majority did the outcome require? measurement
3. If the decision was taken without a meeting, how was consent collected, when did it become effective, and where is it filed? process
4. Did any participant attend by remote communication, and does the governing rule count that as presence? constraint
5. Where approval is multi-step, were the steps sequential or parallel, and was any step skipped, escalated or auto-approved on timeout? process

Dissent, recusal and conflicts of interest

Recorded disagreement with the outcome, withdrawals from participation on interest grounds, and declared conflicts affecting the decision's soundness.

1. Did any participant dissent or issue a separate opinion, and is that text part of the published record? evidence
2. Did any eligible participant recuse themselves, on what stated ground, and at what point in the process? process
3. What conflicts of interest were declared, by whom, and how were they managed? quality
4. What control detects an undeclared conflict after the decision, and what remedy applies if one is found? exception

Signature, seal, time-stamp and integrity evidence

How the record is signed or sealed, how its content is fixed by digest and third-party time attestation, and how a later verifier can re-establish that it has not changed.

1. Who signed or sealed the record, in what capacity, and with what kind of signature or seal? provenance
2. Is there a third-party attested time of existence for the record content, and how does it differ from the asserted signing time? evidence
3. Which content was hashed, with which algorithm, and does the digest cover the reasons and annexes as well as the operative part? validation
4. When was verification last performed, by whom, with what verdict, and what is the re-verification interval? validation
5. At which lifecycle point does the record become unalterable, and what mechanism enforces that? lifecycle

Decision event timeline

The distinct, separately recorded moments in a decision's life — taken, consented, signed, issued, served, published, in force — plus the observation time at which each was recorded.

1. Which distinct times exist for this decision, and which one is the authoritative 'decision time' for citation and for computing deadlines? temporal
2. Are the time the event occurred and the time it was recorded or ingested stored separately, and how far apart are they? provenance
3. Does every stored time carry an explicit UTC offset or Z, and how is an unknown local offset represented? constraint
4. For action taken by consent rather than at a sitting, what rule fixes the moment the decision was taken? temporal
5. When was the decision served on or notified to each addressee, and does that start a challenge period? temporal

Validity window, retroactivity and expiry

The period during which the decision is valid, whether effect reaches backwards in time, and how expiry, renewal and suspension of validity are represented.

1. From when until when is the decision valid, and is the end open, fixed, conditional or event-driven? temporal
2. Does the decision take effect from a date earlier than it was taken, and what authorises that retroactivity? temporal
3. Can validity be suspended without being ended, and what events suspend and restore it? state
4. Is the decision renewable or subject to periodic review, and does renewal create a new decision or extend this one? lifecycle
5. How does a consumer ask whether the decision was valid at a specific past instant, and what does the answer depend on? validation

Status model and finality

The permitted states of a decision record, the transitions between them, and the point at which the decision becomes final and the record unalterable.

1. What is the complete set of permitted states, and which are terminal? state
2. Which transitions are permitted, who may trigger each, and what preconditions guard them? lifecycle
3. When does the decision become final in the substantive sense — no longer open to ordinary challenge — and is that different from the record becoming unalterable? lifecycle
4. At what point does a draft or proposed decision become a record subject to management, and how are pre-record drafts handled? lifecycle
5. Which operations remain permitted after finality, and how is each recorded without altering the fixed content? constraint

Supersession, amendment, corrigendum and revocation

How a later act changes or displaces this decision, distinguishing correction of the text from amendment of the substance and from withdrawal of the decision itself.

1. Which change type applies — corrigendum to the text, amendment to the substance, replacement by a new decision, or revocation without replacement? lifecycle
2. Which decision replaces this one and which does this one replace, expressed as explicit bidirectional links? relationship
3. Does the change affect the whole decision or only identified parts, and does the remainder stay in force? composition
4. Who is competent to revoke or amend this decision, and must it be the same or a higher authority? authority
5. From when does the change take effect, and does it disturb acts already taken in reliance on the original? temporal

Challenge, appeal, review and annulment

The routes by which the decision can be contested, the time limits and suspensive effects that apply, and how the outcome of a challenge is recorded against the original.

1. What challenge routes exist — internal review, administrative appeal, judicial review, ombudsman — and which apply to this decision? process
2. What is the time limit for challenge, from which event does it run, and can it be extended? temporal
3. Does lodging a challenge suspend the decision's effect, and if not can suspension be requested separately? state
4. How is the outcome of a challenge recorded — upheld, varied, quashed, remitted — and does it alter, replace or annul the original? lifecycle
5. Where a decision is annulled, does the annulment operate from the original date or only from the annulment, and what happens to acts done meanwhile? temporal

Adjudicative grade and conclusiveness

In hearings under APA § 557, a presiding employee may issue an initial decision that becomes the agency decision unless appealed or reviewed; otherwise a recommended or tentative decision may be required, except where the agency finds on the record that due and timely execution of its functions imperatively and unavoidably requires omission.

1. Is this an initial, recommended, tentative or final agency decision, or does that grading not apply? classification
2. Did the deciding body preside at the reception of the evidence, and if not, who is the presiding or recommending employee? process
3. Was the recommended or tentative decision omitted because the agency found on the record that due and timely execution of its functions imperatively and unavoidably required it? exception

Relationships to matter, occasion and other decisions

Typed links to the case or matter, the meeting or consent process that produced the decision, and prior, related, implementing and cited decisions.

1. Which case, matter, project or programme contains this decision, and is containment exclusive? relationship
2. Was the decision produced at a meeting or by a consent process, and which agenda item or consent round does it correspond to? relationship
3. Which other decisions does this one implement, rely on, cite, contradict or depend on for its validity? relationship
4. What happens when a linked decision is revoked, annulled or destroyed under a retention rule — is this decision's validity affected? exception

Addressees, affected parties and subject objects

Who the decision is addressed to, who else it affects, and which concrete objects — assets, applications, permits, budgets, systems — it operates on.

1. Who are the formal addressees of the decision, and how are they identified authoritatively rather than by name alone? identity
2. Which parties are affected without being addressees, and do they acquire procedural rights such as being heard or challenging? relationship
3. Which objects does the decision operate on, and are they identified at a specific version or state? relationship
4. Does the decision produce legal or similarly significant effects on a natural person, and does that trigger additional safeguards? privacy

Generating activity, used entities and derivation

A decision record is a PROV entity generated by a deciding activity that used submissions, evidence, prior decisions, models or meeting records. Derivation and revision relate a later record to an earlier one without implying that usage alone is sufficient. Bundles support provenance of provenance.

1. Which activity generated this decision record, and over what interval did that activity run? provenance
2. Which evidence, submissions, prior decisions, models or other entities were used in making the decision? provenance
3. From which prior records or drafts is this record derived or revised, and is a PROV bundle available for those assertions? provenance

Decision mode and system attribution

Whether the decision was human, system-assisted or solely automated, and which system, model, policy version and inputs produced or shaped the result.

1. Was the decision human-made, system-assisted or based solely on automated processing, and who assessed that classification? classification
2. Which system, model or rule engine produced or recommended the result, at which version and configuration? provenance
3. Which policy, rule set or decision logic was applied, and is that exact version retained and retrievable? provenance
4. What execution logs were generated, what do they contain, and for how long are they kept? evidence
5. Where a human signed off a system-generated result, was that review substantive enough to displace 'solely automated' status? validation

Human oversight, explanation and contestability

The oversight measures applied to an automated or assisted decision, the explanation owed to the affected person, and the mechanisms for intervention and contest.

1. What human oversight measures applied, who exercised them, and did the overseer have authority and competence to change the outcome? authority
2. What explanation of the logic and of the significance and consequences is owed and provided to the affected person? requirement
3. How can the affected person obtain human intervention, express a point of view and contest the decision, and what are the time limits? process
4. Were any overrides of the system result recorded, by whom and on what stated ground? event

Publication, notification and service

How the decision is made known — published to a register or the public, and served on or notified to addressees — and the proof that communication occurred.

1. Is there a duty to publish, a duty to notify addressees individually, or both, and what instrument imposes each? requirement
2. Through which channel and register was the decision published or served, and in which language versions? process
3. What proof exists that each addressee received the decision, and what is the deemed-service rule where receipt is unproven? evidence
4. What happens if publication or notification fails or is late — does the decision still take effect, and does the challenge clock still run? exception

Access classification, confidentiality and redaction

Who may see which parts of the record, what must be withheld or anonymised, and how a party's right to access their own file is reconciled with confidentiality.

1. What access classification applies to the record as a whole, and do any parts carry a stricter classification? access
2. How does an affected party exercise the right to access their own file, and what may legitimately be withheld from them? access
3. Which content must be redacted or anonymised before disclosure, on what basis, and who performs and approves the redaction? privacy
4. Are deliberative materials — draft reasoning, internal advice, vote-level detail — withheld while the operative decision is disclosed, and under what rule? exception

Retention trigger, disposition and disposal hold

The event that starts the retention clock for a decision, the authorised disposition outcome, and the holds that suspend disposal.

1. Which event starts the retention period — creation, issuance, expiry of validity, exhaustion of challenge routes or closure of the containing case? retention
2. Which disposition authority or schedule governs this record, and what disposition outcome does it prescribe? authority
3. Is any disposal hold in force, who applied it, on what basis, and when is it reviewed? exception
4. When disposal or transfer is executed, what evidence of it is retained after the record itself is gone? evidence
5. Does the decision have enduring evidential, precedential or historical value that requires permanent retention or archival transfer? quality

External alignment, identifiers and exchange projection

How the decision record maps to external identifier schemes and vocabularies for exchange, and which mappings are lossy, conflicting or unsupported.

1. Which external identifier schemes apply to this decision, and is each one authoritative, an alias or merely advisory? interoperability
2. Which external vocabularies is the record projected into for exchange, and which internal elements have no target? interoperability
3. Which mappings are lossy or semantically inexact, and how is that recorded so a consumer is not misled? quality
4. Is conformance to any external standard claimed, and what evidence supports the claim? validation
5. Can an exported projection be re-imported without loss of identity, versioning or attestation, and what is lost if not? interoperability