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Hurley's
COMMON PRACTICE RULES
for the
DOCUMENTATION of AMBIENCE

HCPR-DEC-2002:01


Chris Hurley





Hurley's
COMMON PRACTICE RULES
for the DOCUMENTATION of
AMBIENCE

HCPR-DEC-2001-01


version :

17 March, 2002 (01.01)

Documentation of Ambience should be read in conjunction with -

  • HCPR-DEA-2002:01(Introduction)
  • HCPR-DEP-2002:01 (Provenance of Records)
  • HCPR-DER-2002:01 (Description of Records)
  • HCPR-DET-2002:01 (Contents of Records) in preparation

DRAFT ONLY - NOT FINALLY SETTLED

HCPR is work in progress. This version does not represent a finished product.

These Common Practice Rules derive from the latest edition of the Australian Common Practice Manual produced under auspices of a project mandated by the Australian Society of Archivists. In 1997, the ASA decided to withdraw from the project. Under the Agreement subsisting between ASA and the author, rights in the Project reverted to ASA and rights in the Work (ACPM) reverted to the Author. Under that Agreement, the author's publication rights over The Work become absolute after ASA failed to take up its option to publish within a specified period after termination of the Agreement.

This version of The Work continues to build upon information given by archives programmes chosen to participate in the Project. Their assistance is gratefully acknowledged and they are listed below. The Author has removed all reference to them from HCPR. Some of the examples are still based on material they supplied. They have, however, had identifying codes and references removed in HCPR, though their origin may still be recognisable. These examples should be regarded in the light of characters in a Hollywood film. No resemblance to real documentation programmes (living or dead) is intended.

Participants in the Australian Common Practice Manual Project

Australian Archives (subsequently National Archives of Australia)
National Library of Australia
Australian War Memorial
Northern Territory Archives Service
City of Sydney Archives
University of Sydney Archives
Queensland State Archives
City of Adelaide Archives
Public Record Office of Victoria
State Archives of Western Australia (subsequently State Records)

Table of Contents - HCPR (Ambience)

C 1.0.0 INTRODUCTION
C 1.1.0 : Identity of Ambient Entities
C 1.2.0 : What's New in Version 2002.1
C 2.0.0 IDENTITY
C 2.1.0 : Identifier
C 2.2.0 : Title
C 2.3.0 : Date
C 2.4.0 : Control Data
C 3.0.0 DESCRIPTION
C 3.1.0 : Mandate
C 3.2.0 : Abstract
C 3.3.0 : Place
C 3.4.0 : Description
C 3.5.0 : Function/Competence
C 3.6.0 : Subject
C 3.7.0 : Associations
C 3.8.0 : Not Otherwise Classified
C 3.9.0 : Language
C 3.10.0 : Business Rules
C 4.0.0 RELATIONSHIPS
C 4.1.0 : Ambience to Ambience
  ORGANISATION DATA SET
JURISDICTION DATA SET
FUNCTION DATA SET

SYNOPSIS HCPR (AMBIENCE - IDENTITY) 2001:01
C 2.0.0 IDENTITY

C 2.1.0
C 2.1.1
C 2.1.2
a
C 2.1.3
a
b
c

Identifier
: Elements of an Identifier
: Local Programme Codes
Give the entity a number or code
: Data Exchange
Say where you are
Say who you are
Say what you are

C 2.2.0
C 2.2.1
a
b

C 2.2.2
a
b
c

d
C 2.2.3
a
C 2.2.4
a
C 2.2.5
a
C 2.2.6
a
b

C 2.2.7
a
b

C 2.2.8
a
b

Title
: Naming Ambient Entities
Give the entity a name
Don't use the same name twice

: Alternative Forms of Title/Name
Use an "official" name
Use the most recent form of name
You can include alternative forms of name in the title
If you don't, put them somewhere else

: Several Entities Treated As One
The title should refer to all
: Abbreviations/Acronyms
Avoid abbreviations, etc
: Inclusion of Geographical Data in Titles
Use geographic information if you want
: Inclusion of Information From Other Fields : Ambience
Don't include data on ambience
Put a parent body in the name of a branch or division

: Inclusion of Information From Other Fields : Dates
Don't repeat dates in the title
Unless it is necessary for comprehension

: Parallel Entries
Say what it is
Say what language it is in

C 2.3.0
C 2.3.1
a
C 2.3.2
a

b
c
d
e

C 2.3.3
a

C 2.3.4
a
b
c
d
e

C 2.3.5
a
C 2.3.6
a
b
c
d

C 2.3.7

Dates
: Dating Ambience
Give dates for each entity
: Dates of Existence : Commencement
Say when an entity is legally or formally established
Statute-based entities begin with legislation
Some entities begin with a decision
Some entities are reconstituted
Say when a family was founded

: Dates of Activity : Commencement
Say when activity is different from establishment date
: Dates of Existence : Cessation
Say when an entity is formally or legally abolished
Some entities end with legislation
Some entities end with a decision
Some entities are reconstituted
Say when a family becomes extinct

: Dates of Activity : Cessation
Say when activity is different from cessation date
: Expression of Dates
Use a range of dates to show beginning and end
Use an open date range if still current
Use a single date where appropriate
Show doubt or uncertainty if you don't know

: Dates of Relationships

C 2.4.0
C 2.4.1
a
b
C 2.4.2
a
C 2.4.3
a
C 2.4.4
a
b

c
d

C 2.4.5
a
b
c
d
e
f

Control Data
: Level of Documentation
Identify the level of description
Identify the type of description
: Status of Documentation
Say what stage your description has reached
: Source of Documentation (Internal)
Say who amongst you described it
: Security Codes
Say who can see your data output
Say what level of access they have
Say who can use your data
Say what kind of use they can make

: Data Management
Name the person who described the entity
Say when it was done
Say when it was (or will be) revised
Show status codes if any
Say what descriptive rules were used
Say anything else you want

 

SYNOPSIS HCPR (AMBIENCE - DESCRIPTION) 2001:01
C 3.0.0 DESCRIPTION
C 3.1.0
C 3.1.1
a
b
Related Legislation
: Creation/Abolition
Say what authorises establishment/abolition
Say what authorises action

C 3.2.0
C 3.2.1
a
C 3.2.2
a
b
c

Abstract
: Summary Description
Summarise the description in C 3.4.0
: Information from Other Fields
You may repeat other information here if you want Index the title
Index anything else

C 3.3.0
C 3.3.1
a

Place
: Location
Identify the geographical area

C 3.4.0
C 3.4.1
a
C 3.4.2
a

b
c

C 3.4.3
a
C 3.4.4
a

C 3.4.5
a
b

C 3.4.6
a
C 3.4.7
a
C 3.4.8
a
b

Description
: Functions and Activities
Describe functions and activities in the "Note"
: History and Relationships
Describe commencement and cessation in the "Note"
Describe relationships in the "Note"
Include other significant information in the "Note"

: Mandate
Describe related legislation in the "Note"
: Structure
Describe an organisation's internal structure in the "Note"

: Place
Give the address of a corporation in the "Note"
Give the area of activity or responsibility in the "Note"

: Sources
Say in the "Note" what sources you have used
: Problems
Use the "Note" to state your doubts and difficulties
: Other Data
You can include other data in the "Note"
You can say here if records are to be found elsewhere
C 3.5.0
C 3.5.1
a
Function/Competence
: Documenting Functions
Describe functions/activities of an organisation
C 3.6.0
C 3.6.1
a
Subject
: Describing Subjects
Show related subjects

C 3.7.0
C 3.7.1
a

b
c
d
e

C 3.7.2
a
C 3.7.3
a

b
C 3.7.4
a
C 3.7.5
a

Associations
: Control
Say if an organisation owns or encompasses another entity
Say if a jurisdiction supervises another entity
Say if a function is carried out by an entity
Say if a family belongs to a clan or tribe
Say which individuals make up a family
: Previous/Subsequent Associations
Say if an entity precedes another

: Other Associations
Say if there are other associated corporations (not records)
Say if there are associated records
: Citations
Give name of associated entity
: How to Express Associations
Give a date for each association
C 3.8.0
C 3.8.1
a
b

C 3.8.2
a
C 3.8.3
a
C 3.8.4
a
Not Otherwise Classified
: Location of Records
Give the whereabouts of records
Say who holds the records

: Internal Structure
Describe the structure of an organisation
: Sources
Say what sources you have used
: Anything Else
Put down anything else you want to say
C 3.9.0
C 3.9.1
a
Language
: Language Employed
Say what language is used in the description
C 3.10.0
C 3.10.1
a
b
c

Business Rules
: Business Rules
Say what rules apply
Say when they have been applied
Say what they are

 

SYNOPSIS HCPR (AMBIENCE - RELATIONSHIPS) 2001:01
C 4.0.0 RELATIONSHIPS
C 4.1.0
C 4.1.1
a
b
c
Ambience to Ambience
: Controlled/Controlling
Say if an entity owns
Say how they are related
Say when they are related

C 4.1.2
a
b
c

: Sequence
Say if an entity precedes another
Say how they are related
Say when they are related

SYNOPSIS HCPR (AMBIENCE - EXAMPLES) 2001:01

Example

: Organisation
: Jurisdiction
: Function

C 1.0.0 INTRODUCTION

C 1.0.1

Ambience shows the context of Provenance by establishing relationships between an entity responsible for one or more defined recordkeeping or business activities and the larger context of which it forms a part. Four kinds of ambience are presently contemplated in the formulation of these Rules :-

  • Organisations -
    - corporations controlling business units undertaking records-related activities
    - whole governments controlling agencies;
  • Families
    - natural persons bound together by family relationships (however defined);
  • Jurisdictions
    - areas of responsibility assigned within an organisation (e.g. a Government portfolio)
  • Ambient Functions
    - the responsibility of a jurisdiction or provenance entity within an organisation
C 1.1.0 IDENTITY OF AMBIENT ENTITIES

C 1.1.1

An entity which is ambient in one context may operate as provenance entity in a different context. Ambience is not a defining characteristic of an entity. Rather it is the characteristic of one kind of relationship which can subsist between a certain kind of contextual entity and another. The Draft Data Model is scaleable, so that an entity which is ambient in one context, may not be ambient in another.

Example
"New South Wales" may be treated as an organisation by the archives authority of that state, as a jurisdiction by the archives authority of the national government and as an "agency" (provenance) by the archives authority of the Commonwealth of Nations.

Types of Ambient Entity

C 1.1.2

The following categories (the list is not exhaustive) have been considered in setting out the rules which follow :-

(a) Realm/Republic/State
(b) Colonies/Dominions/Federated States
(c) International Organisations/Empires
(d) Unincorporated Artificial Organsiations
(e) Tribes, Families, Clans
(f) Ministerial Portfolios and other jurisdictional areas within Government
(g) Ambient Functions

Establishment and Dissolution

C 1.1.3 Commencement and termination establishes identity in time. Entities may exist discretely (without a predecessor or successor) or they may come into existence by separation from a pre-existing entity or by merging into another entity (new or pre-existing at the time of merger). The "tests" used to establish the identity of an entity (below) are not mutually exclusive - e.g. a change of name often accompanies a change of status.
C 1.1.4

Rules for establishing whether changes to an entity's character involve a change in identity involve consideration of many issues, including :-

(a) change in legal basis for existence

Example
In 1901, under the newly proclaimed constitution, the six Australian Colonies became States within a newly proclaimed federation - the Commonwealth of Australia.

(b) formal announcement

Example
In 1776, thirteen American colonies declared themselves independent of Great Britain

(c) change in name

Example
In 1855, Van Dieman's Land became Tasmania

(d) change in internal structure

Example
In 1801, the United Kingdom of Great Britain (formed in 1707 by the union of England and Scotland) became the United Kingdom of Great Britain and Ireland.

(e) change in function or purpose

Examples
In nineteenth century Victoria, the Ambient Function of "mental health" involved classification of those with mental disabilities into legally defined categories (e.g. imbecile, lunatic) and institutionalisation; today it means providing treatment and support, as far as possible, in community based programmes.
In England, the Jurisdiction of (Lord High) Chancellor evolved from being royal chaplain, keeper of the royal seal, and general secretary in charge of secular matters into a minister responsible for the judiciary and presiding officer in the House of Lords.

(f) change in composition or personnel

Example
In 1990, East Germany (DDR) collapsed and was absorbed into West Germany (GDR) which thereafter functioned as a single entity.

(g) change in structural relationships

Example
After 1867, under the Khedives, Egypt became effectively independent in management of its internal affairs, while remaining nominally subordinate to Turkey but increasingly dominated by occupying powers and the United Kingdom (in particular) during the 1880's.

(h) change in status

Example
In 1949, the Irish Free State became the Republic of Eire.

(j) change in composition through devolution or merger

Example
In the 1990's, the U.S.S.R. dissolved into its component parts.

 

C 1.1.5

It is permissible to treat successive entities as a single body.

Example
The United Kingdom of Great Britain was formed in 1707 with the Act of Union (between England and Scotland). In 1801, a union with Ireland was effected by the abolition of the Irish Parliament, after which the kingdom was referred to as the United Kingdom of Great Britain and Ireland. In 1922, the Irish Free State was established as a Dominion and the Kingdom became the United Kingdom of Great Britain and Northern Ireland. From 1707 to date, it would be possible to show these changes as internal to one entity or as successive entities.

Structural Identity

C 1.1.6

The independence or separateness of one entity in relation to others existing in the same time-frame establishes its identity structurally. Separate entities may be related to each other (e.g. superior or subordinate) or they may be treated, for convenience, as one. The "tests" used to establish the identity of an entity (below) are not mutually exclusive - e.g. a regional office will often have a separate record keeping system.

C 1.1.7

Establishing whether entities are one or more involves consideration of issues which include :-

(a) legal basis for existence

Example
The semi-autonomous status of the Egyptian Khedives was conferred by the Sultan in Constantinople.

(b) regional arrangements

Example
It may be convenient to establish a single Jurisdiction for municipalities because they represent similar activities spread regionally.

(c) separate records

Examples
French colonies, though part of Metropolitan France, kept separate Archives.
An Organisation may have one Archive or many.

(d) different function or purpose

Example
Canada may be differentiated from te Government of Canada

(e) split jurisdiction

Example
From 18 January, 1701, the Elector of Brandenburg (a sub-entity within the Holy Roman Empire) was also King of Prussia, although in practice a single administration evolved.

(f) exceptions

There is practice in some programmes of varying rules applying to most agencies to deal differently with occasional instances or types. Unless such variations are applied extensively, they are treated here as exceptions which do not compromise the integrity of the general rule(s) - e.g. C 2.0.7.

C 1.1.8

Co-terminous entities may be treated as one or more than one. This may particularly involve -
(a) Provinces or States within a Country
(b) Subsidiary Corporations
(c) Families within a Tribe or Clan
(d) Tertiary Education Institutions and Hospitals

Example
Victoria began as a District within New South Wales in 1836. It became an independent Colony in 1851, having operated semi-autonomously under a Superintendent from 1838. Its existence between 1836 and 1851 can be regarded as "independent (i.e. as a separate Organisation) or as an integral part of the Colony of New South Wales.

 

C 1.2.0 WHAT'S NEW IN VERSION 2002.1

C 1.2.1 This version eliminates all other citations and makes cross-references to the SPIRT Project : Recordkeeping Metadata set. The description of an Ambient Entity is itself an information resource. No distinction is made in these rules between the thing itself and the description of the thing. Thus, the description of an Ambient Entity is, for the purposes of the supporting system, the thing itself. On this principle, the relevant supplies the requisite metadata tag. For example, the "Title" for the Ambient Entity serves as the RKMS metadata tag "Title for the documentation (RKMS 03, 14, 25, 35). Metadata particular to the management of the record will be found under C 2.4.0 (Control Data).
C 1.2.2 The following significant changes have been made :

 

HCPR
Level
Item
Change
C 2.1.0 Type Identifier rename
C 2.1.3 a Rule Say what you are new
C 2.4.1 a Rule Identify the type of description new
C 2.4.4 b Rule Say what level of access they can have new
C 2.4.4 c Rule Say who can use your data new
C 2.4.4 d Rule Say what kind of use they can make new
C 3.1.0 Type Mandate rename
C 3.1.1 b Rule Say what authorises action renumbered
C 3.1.2 Heading Activities deleted
C 3.2.2 c Rule Index anything else new
C 3.3.0 Type Place rename
C 3.4.0 Type Description rename
C 3.4.5 b Rule Give the area of activity or responsibility in the "Note" new
C 3.7.1 d Rule Say if a family belongs to a clan or tribe new
C 3.7.1 e Rule Say which individuals make up a family new
C 3.10.1 a Rule Say what rules apply new
C 3.10.1 b Rule Say when they have been applied new
C 3.10.1 c Rule Say what they are new
C 4.1.1 Heading Ownership new
C 4.1.2 Heading Sequence new


R 2.0.0 IDENTITY
C 2.1.0 : Identifier
CATEGORY OF DATA
Type of Data

Citations - SPIRT
: RKMS 02 Business. Identifier;
: RKMS 13 Business-Recordkeeping. Identifier;
: RKMS 24 Agents (People). Identifier;
: RKMS 34 Records. Identifier.

The identifier provides a unique reference code and distinguishes an entity from all others


Version and dating information about the documentation should nor be given here - go to C 2.4.0. Show your address and other contact details under C 2.4.0.

C 2.1.1 ELEMENTS OF AN IDENTIFIER
AREA

A unique identifying number or code is given to distinguish an ambient entity from -

  • other descriptive entities within a documentation programme, and
  • those in other archival documentation programmes.

To achieve this, an identifier will need to be made up of three components.

  • The first of these is a programme specific identifier, reference code, control number, or other unique specification which distinguishes an entity from other entities documented in the same documentation programme.
  • Additionally, provision may be made for a country code and a programme code which distinguish an entity described in one archival documentation programme from descriptions of documented in other programmes.

To ensure unique and unambiguous identification, identifiers may be cancelled but should not be re-used. A note should be kept of cancelled identifiers to enable information to be relocated and understood from superseded citations.

C 2.1.2 LOCAL PROGRAMME CODES
AREA

C 2.1.2a Give the entity a number or code
Common Practice Rule

Assign a discrete number or code to each entity

The local code identifies entities within a documentation programme and distinguishes them from other entities described within that programme.

C 2.1.3 DATA EXCHANGE
AREA

This data refers to the manager of the documentation. Data on anyone else involved in creating, maintaining, or using the record is under C 2.4.0.

C 2.1.3a Say where you are
Common Practice Rule

Assign a country code in accordance with ISO 3166

This conforms to the data structure imposed by the International Council on Archives' ISAD(G) on records. A similar convention has been included for ICA's ISAAR(CPF).

Show your address or other contact details

C 2.1.3b Say who you are
Common Practice Rule

Identify the documentation programme responsible for managing the entity

This is a statement about the identity of the documentation programme which is the source of information about the organisation, jurisdiction, family, or function - not about the location of records associated with those entities or the location of the entity.

Data exchange codes may be used to identify entities emanating from one documentation programme and distinguish them from other entities documented in other programmes.

C 2.1.3c Say what you are
Common Practice Rule

Identify the type of documentation programme

This data describes the role and activity of the manager of the record. This data is not necessary if the manager of the record is documented in this or another documentation programme. Unless your documentation programme is identifiable as an entity within your own documentation of Provenance, some indication of the ambiance within which you yourself operate can be given here.

R 2.0.0 IDENTITY cont'd
C 2.2.0 : Title
CATEGORY OF DATA
Type of Data

Citations -
: RKMS03 Business. Title;
: RKMS14 Business-Recordkeeping. Title;
: RKMS25 Agents (People). Title;
: RKMS35 Records (Title).

The title provides an identifying description or name.



C 2.2.1 NAMING OF AMBIENT ENTITIES
AREA

C 2.2.1a Give the entity a preferred name
Common Practice Rule

A title/name identifies and describes the entity. The title may be formally assigned by someone else or assigned by the documentation programme based on familiarity (best known form of name). If a title is assigned, it should stand meaningfully alone to give some indication (in conjunction with knowledge of date range and context) of the ambit and kind of activity likely to have been undertaken.

Use a title which uniquely distinguishes an entity

C 2.2.1b Don't use the same name twice
Common Practice Rule

The use of reference codes may provide sufficient differentiation. Other methods include adding a distinctive number or letter -

e.g. Roman Empire I (for the Latin Empire)
Roman Empire II (for the Byzantine Empire)
Roman Empire III (for Holy Roman Empire)
Roman Empire IV (for Russian Empire)

In the case of families, tribes and clans, geographic or jurisdictional descriptors may be added entities of the same name -

e.g. Stuarts of Appin
Smiths of Genoa
Bourbons of Naples
Coburgs of Belgium

Distinguish between entities with the same name or title.

A title may be augmented to assist clarity

Examples include the distinction to be made between successive organisations called "New Zealand" e.g. Dominion of New Zealand (1907-1947) succeeded by Realm of New Zealand (1947-ct)

C 2.2.2 ALTERNATIVE FORMS OF TITLE/NAME
AREA

A preferred name should be chosen and alternatives may also be assigned using the following rules :

C 2.2.2a Use an "official" name
Common Practice Rule

An assigned or designated name, derived from establishing legislation or other primary sources (e.g. annual reports, directories), should be documented as well as commonplace, colloquial, shortened, or better known forms of name, acronyms or abbreviations.

A formally assigned or designated name or title should be given as well as better known alternatives

Examples
New Zealand may be referred to successively as the Dominion of New Zealand (1907-1947) and as the Realm of New Zealand (1947-ct).
The acronym for Land Information New Zealand (LINZ) is well-known and both should be given.

C 2.2.2b Use the most recent form of name
Common Practice Rule

Successive names should only be incorporated into a single title when confusion would otherwise result.

Prefer the most recent to earlier forms of title or name

Example
The preferred name for the Spencers, Dukes of Marlborough, is Churchill.

C 2.2.2c You can include alternative forms in the name or title
Common Practice Rule

Alternative names can be included in the title if you wish, but it is not recommended. Where two or more titles which have been used in succession are given, the chronology should be indicated in the title.

Example
Victoria (State since 1901, formerly Self-Governing Colony) where it is decided to merge the State and S/G Colony into a single entity

Do not include former or later names belonging to separate entities.

Alternative forms of name may be included in a name or title

C 2.2.2d If you don't, put them somewhere else
Common Practice Rule

Make provision for alternative forms of name or title (not incorporated into the preferred title). Otherwise, alternatives should be referred to in the "Note" - see C 3.4.8a(i).

Alternative forms not included in a name or title should be documented elsewhere

C 2.2.3 SEVERAL ENTITIES TREATED AS ONE
AREA

C 2.2.3a The title should refer to all
Common Practice Rule

A title should be chosen which adequately describes the entity.

Example
Do not use "England" where the United Kingdom is meant

Where successive entities have been treated as one, the successive phases may be reflected in the title by adding qualifying dates and phrases.

Example
New Zealand (Colony 1840-1907; Dominion 1907-1947; Realm 1947-ct)

However, if a change in the primary appellation occurs, multi-part title may be preferred.

Example
United Kingdom of Great Britain (1707-1801)
United Kingdom of Great Britain & Ireland (1801-1921)
United Kingdom of Great Britain and Northern Ireland (1921-ct))

Where component parts are not separately identified, the plurality of the jurisdiction may be reflected in the title.

Example
Holy Roman Empire
The component Crowns could be referred to in an extension of the title, eg "incorporating Kingdoms of Germany, Italy, and Arles".

Use the title to indicate where successive entities have been treated as one

Use the title to indicate where several coterminous entities have been treated as one

C 2.2.4 ABBREVIATIONS/ACRONYMS
AREA

C 2.2.4a Avoid abbreviations etc.
Common Practice Rule

Avoid abbreviations, acronyms, shortened, and colloquial forms of title/name

Examples
United Kingdom of Great Britain and Northern Ireland not United Kingdom
Union of Soviet Socialist Republics not U.S.S.R.
Former Yugoslav Republic of Macedonia not F.Y.R. Macedonia

Exception : Use abbreviations/acronyms in specified cases

Example
ANZAC not Australian and New Zealand Army Corps

C 2.2.5 INCLUSION OF GEOGRAPHICAL DATA IN TITLES
AREA

C 2.2.5a Use geographic information if you want
Common Practice Rule

Include location details as part of the title when needed to aid identification

Examples
Education, Otago (not Education, Otago Province - cf. C 2.2.6a)
Defence Forces (Overseas)

C 2.2.6 INCLUSION OF INFORMATION FROM OTHER FIELDS : AMBIENCE
AREA

C 2.2.6a Don't include data on ambience
Common Practice Rule

Do not include data on other ambient entities

Avoid incorporating elements describing other documented entities into the title.

Examples
Education, Otago not Education, Otago Province (Jurisdiction within Organisation)
Education not Education, New Zealand (Function within Organisation)
Kingdom of Arles not K.of Arles, Holy Roman Empire(Organisation within Organisation)

C 2.2.6b Put a parent body in the name of a branch or division
Common Practice Rule

Include a reference to a superior entity in the title of a subordinate entity

Where two entities are alike, and the name of the one is not distinctive or meaningful without the other, reference can be made in the title of one to the other.

Examples
Otago Province, New Zealand

Otago Province is a subordinate Organisation to New Zealand.

Exception : Exclude a reference to a superior legal entity if the title stands alone

Examples
Otago Province, New Zealand

C 2.2.7 INCLUSION OF INFORMATION FROM OTHER FIELDS : DATES
AREA

C 2.2.7a Don't repeat dates in the title
Common Practice Rule

Example
Commonwealth of Australia (not Commonwealth of Australia, 1901-ct)

C 2.2.7b Unless it is necessary for comprehension
Common Practice Rule

Dates may be included as qualifying phrases to clarify meaning.

Examples
Kingdom of Jerusalem (Acre after 1191)
Post-Secondary Education (to 1971)

C 2.2.8 PARALLEL ENTRIES
AREA

A parallel entry is made when the name/title is represented in another form to the one given in C 2 1.0. This is not an alternative name or variant (e.g. New Holland instead of Australia) - cf. C 2.2.2. A parallel name is a second preferred name or alternative rendering of the preferred name. A common instance of parallel name is in programmes employing two or more official languages - e.g. English and Maori.

C 2.2.8a Say what it is
Common Practice Rule

Give the parallel name of an entity

Example
New Zealand Parallel Name : Aotearoa

C 2.2.8b Say what language it is in
Common Practice Rule

State the language used for the parallel entry

Example
New Zealand - Parallel Name : Aotearoa (Maori)

 

R 2.0.0 IDENTITY cont'd
C 2.3.0 : Date
CATEGORY OF DATA
Type of Data

Citations -
: RKMS04 Business. Date;
: RKMS15 Business-Recordkeeping. Date;
: RKMS26 Agents (People). Date;
: RKMS36 Records. Date

Dates show the chronological span of existence and/or activity.


Date ranges of ambient entities can be shown to represent :

  • dates of existence (analogous to life span of a natural person)
  • dates of activity, operation, or influence (usually less than existence dates)
  • dates of records (created, surviving, controlled, used, or held),
  • dates of earliest and latest members actually documented (entities within families, organisations, jurisdictions, or functions).

Cases exist where entities are brought into existence "legally" or formally but remain inactive (or which are inactive long before they are legally abolished). Less usual, but not unknown, are cases where activity precedes formal or legal establishment.

C 2.3.1 DATING AMBIENCE
AREA

C 2.3.1a Give dates for each entity
Common Practice Rule

Give the date (or range of dates) for commencement and cessation of an entity

Approximate dates where they cannot be ascertained

The dates for commencement and cessation of an entity the corresponding dates of existence for any controlled entities

C 2.3.2 DATES OF EXISTENCE : COMMENCEMENT
AREA

C 2.3.2a Say when an entity is legally or formally established
Common Practice Rule

A corporation is established when it is brought into existence by legal or administrative action

See C 1.2.3 for examples of legal or administrative action affecting existence

C 2.3.2b Statute-based entities begin with legislation
Common Practice Rule

An entity established by or under statute commences when the relevant statutory provisions come into effect

The date of commencement of the provisions establishing a statutory entity (which may be fixed by a commencement provision in the Act, royal assent, or proclamation) is normally the commencement date given for the entity.

Example
Commonwealth of Australia (1901-ct) came into existence in 1 January, 1901, in accordance with the Act of the Imperial Parliament passed in 1900 giving effect to the Commonwealth Constitution.

C 2.3.2c Some entities begin with a decision
Common Practice Rule

An entity established by executive action commences when the decision takes effect

Example
The Kingdom of Portugal came into existence in 1140 when Alfonso Henriquez proclaimed himself King (or, arguably, in 1143, when this was recognised by Leon and Alfonso placed Portugal under the protection of the Holy See).

C 2.3.2d Some entities are reconstituted
Common Practice Rule

Entities are not necessarily abolished and recreated when they are reconstituted

Examples
In the Carolingian period, the title and honours of count were not initially heritable, but could be re-assigned to someone other than an heir. As the hereditary principle was established, this became a formality and was eventually discarded, so that titles and honours passed in succession without being re-created or re-assigned.
Similarly, until the establishment of the principle of "dignitas not moritur", feudal relationships (and, arguably, the entities which they supported) had to be reconstituted whenever one of the parties to the feudal oath died.

See also C 2.3.4d.

C 2.3.2e Say when a family was founded
Common Practice Rule

Give the date of birth of the founding member

C 2.3.3 DATE OF ACTIVITY : COMMENCEMENT
AREA

C 2.3.3a Say when activity is different from establishment date
Common Practice Rule

The commencement date for an entity may pre-date its formal establishment if there is evidence of prior activity

Ambient entities may be active before the event which is recognised as formally establishing them. This distinction may be recognised as "de facto" and "de jure". With ambient functions there is often a period during which an organisation is empowered (or competent) to do something before it actually undertakes it. The same issue arises when a more recent view of the world triggers activity previously not undertaken - e.g. modern government activity in the area of ecology, biosecurity, and environmental protection were within the competence of most governments long before anything was actually done about them apart from protecting fauna and flora and establishing parks and reserves. A prior date (if the gap is significant) should be shown wherever the pre-existence of the entity is not located within a predecessor entity (e.g. a functional competence documented as part of another predecessor function).

Example
The Holy Roman Empire is reckoned to have begun with the coronation of Charlemagne in by Pope Leo III. The term "sacrem Romanum imperium", however, dates from the 13th century. The Empire is sometimes regarded as having formally begun with the coronation of Otto I in 962. Before their coronation by the Pope, Emperors were styled "King of the Romans" and were not regarded as having succeeded to the imperial office.
Louis XVIII dated his reign from the death of his nephew in 1797, but he did not assume sovereignty de facto until 1814. Where legislation merely confirms or formalises an entity's existence, its commencement date will be earlier.

Where legislation merely confirms or formalises an entity's existence, its commencement date will be earlier.

The commencement date for activity may post-date its formal establishment if evidence of activity is lacking

Where there is a significant interlude between formal establishment and commencement of activity, the latter date may be given as commencement. Activity of a statutory corporation may post-date proclamation of an establishing Act if evidence of activity is lacking.

Give date of commencement of activity separately from date of commencement of existence

Give date of commencement of records-creation separately from date of commencement of existence

Give date of earliest survival of records separately from date of commencement of existence

C 2.3.4 DATE OF EXISTENCE : CESSATION
AREA

C 2.3.4a Say when an entity is formally or legally abolished
Common Practice Rule

An entity is abolished when it is terminated by legal or administrative action

See C 1.2.3 for examples of legal or administrative action affecting the existence of corporations.

C 2.3.4b Some entities end with legislation
Common Practice Rule

An entity abolished by statute ceases when the relevant statutory provisions come into effect

The date of commencement of the provisions abolishing a statutory corporation (which may be fixed by a commencement provision in the Act, royal assent, or proclamation) is normally the abolition date for the corporation.

C 2.3.4c Some entities end with a decision
Common Practice Rule

An entity abolished by executive action ceases when the decision takes effect

Examples
In 1804, the Holy Roman Emperor, Francis II, declared himself hereditary Emperor of Austria, and two years later resigned the old imperial dignity with effect from 6 August, 1806.
On 3 July, 1997, the British Colony of Hong Kong (1841-1997) ceased to exist when sovereignty reverted to China in accordance with the provisions of the Treaty of Nanking (1842).

C 2.3.4d Some entities are reconstituted
Common Practice Rule

Entities are not necessarily abolished and recreated when they are reconstituted

Example
In 1900, the Commonwealth of Australia was established by Act of the Imperial Parliament, Each of the six federating Self-Governing Colonies was formally abolished and recreated as States of the newly established Commonwealth. Some systems show the States of the reconstituted pre-existing Self-Governing Colonies. Alternatively, it would be possible to show the Colonies continuing through that change :-

  • Victoria (Self-Governing Colony from 1856, State from 1901) 1856-ct Victoria (Crown Colony) 1851-1856

Instead of :-

  • Victoria (State) 1901-ct succeeded to Victoria (Self-Governing Colony) 1856-1901
    Victoria (Self-Governing Colony) 1856-1901 succeeded by Victoria (State) 1901 - ct

See also C 2.3.2d.

C 2.3.4e Say when a family becomes extinct
Common Practice Rule

Give the date of death of the last person belonging to the family

C 2.3.5 DATE OF ACTIVITY : CESSATION
AREA

C 2.3.5a Say when activity is different from cessation date
Common Practice Rule

The cessation date for an entity may post-date its legal or formal termination if there is evidence of later activity

Formal commencement or termination may not correspond to actual activity. In such cases three possibilities arise : the date of the entity may be extended to include activity, the rule requiring subordinate or dependent entities to fall within the dates may be relaxed, or an alternative rule allowing them to fall within activity dates (rather than dates of existence) may be developed.

Examples
The Society of Jesus I (Jesuits) was founded on 15 August, 1534, and authorised by Pope Paul III in 1540. It was suppressed on 21 July, 1773, by Clement XIV and reconstituted as Society of Jesus II by Pius VII on 4 August, 1814. During the interregnum, members of the Society continued to live in informal association. Unless the interregnum period is ignored or made the basis for a separate entity, the dates either side may be extended.

The cessation date for an organisation may pre-date its legal or formal termination if evidence of activity is lacking

The formal existence of an entity may be insisted upon in clear defiance of the facts. Such issues affect decisions on identity, but may also be reflected in the dating.

Example
Hungary owed a "doubtful" allegiance to the Holy Roman Empire from the days of Otto I. "After Frederick II, by whom it was recovered from the Mongol hordes, no imperial claims were made for so many years that at last they became obsolete, and were confessed to be so by the Constitution of Augsberg, AD 1566" (Bryce
, The Holy Roman Empire, London, 1968, p. 180)

Give the date of cessation of activity separately from the date of cessation of existence

Give the date of cessation of records-creation separately from the date of cessation of existence

Give the date of records survival separately from the date of cessation of existence

C 2.3.6 EXPRESSION OF DATES
AREA

Dates are expressed using one or more of the following components according to dating and timing conventions currently in use in Australia :-

  • year
  • month
  • day
  • time of day

There are no agreed conventions for dealing with time zone variations. Chronological data is normally ordered as day-month-year

Examples
12 June, 1954
12/06/1954

C 2.3.6a Use a range of dates to show beginning and end
Common Practice Rule

Use a date range to show the lapse of time between the commencement (birth) and cessation (death) of a corporation (person)

Examples
12 June 1954 - 31 Dec 1978
2/06/1954 - 31/12/1978

C 2.3.6b Use an open date range if still current
Common Practice Rule

Use an open ended date range if cessation or death has not yet occurred

Examples
12/06/1954 -
12/06/1954 - ct

C 2.3.6c Use a single date where appropriate
Common Practice Rule

Use a single date if the date of commencement (birth) and the date of cessation (death) are the same

Examples
Where only the year is shown and an entity commences and is abolished in a single year -
• 1943
In computerised systems, however, it may be necessary to repeat the date to differentiate a single date from an open date range -
• 1943-1943

C 2.3.6d Show doubt or uncertainty if you don't know
Common Practice Rule

Modify dates to indicate doubt or difficulty

Examples

by : where an event is known to have occurred by the date specified but may have occurred earlier;
c. : "circa" - where an event is believed to have occurred on or about the date specified;
? : where there is some likelihood that the event occurred on or about the date specified but the matter is doubtful;
fl. : "flourished" - where it is known that a person (or corporation) was active at a date (during a period) but there is reason to believe this does not correspond exactly to the range of dates of existence.

 

C 2.3.7 DATES OF RELATIONSHIPS
AREA

Dates are used to describe the relationship between organisations and -

  • other organisations (previous and subsequent)
  • other organisations (subordinate and superior)
  • jurisdictions exercised within the organisation
  • agencies (subordinate)

and to describe the relationship between jurisdictions and

  • other jurisdictions (previous and subsequent)
  • other jurisdictions (superior and subordinate)
  • ambient functions carried on within a jurisdiction
  • agencies operating within the jurisdiction

and the relationship between ambient functions and

  • other ambient functions (previous and subsequent)
  • business functions carried out in furtherance of an ambient function
  • agencies having primary carriage of the ambient function
  • other agencies having carriage of the function

There is a dating element also in

  • geographic location
R 2.0.0 IDENTITY cont'd
C 2.4.0 : Control Data
CATEGORY OF DATA
Type of Data

Citations -
: RKMS01 Business. Category Type;
: RKMS12 Business-Recordkeeping. Category Type;
: RKMS23 Agents (People). Category Type;
: RKMS 33 Records. Category Type.

(for managing the documentation as a record)
: RKMS44 Records. Documentary Form;
: RKMS45 Records. Appraisal;
: RKMS46 Records. Control;
: RKMS47 Records. Preservation;
: RKMS48 Records. Retrieval;
: RKMS49 Records. Access;
: RKMS50 Records. Use;
: RKMS51 Records. Event History.

Control data enables an archival documentation programme to manage its documentation and control its use internally and in a networked environment.


This data documents and enables management of the documentation as a record. It describes the documentation itself, not the thing being documented. The Level of Documentation (C 2.4.1) is the Category Type of the thing being documented.

C 2.4.1 LEVEL OF DOCUMENTATION
AREA

C2.4.1a Identify the level of description
Common Practice Rule

The kind of entity being documented should be indicated - organisation, family, jurisdiction, or ambient function.

Say whether the entity is an organisation, jurisdiction, family, or ambient function

C2.4.1b Identify the type of description
Common Practice Rule

This data can be used to say if the documentation is a registration or a publication.

Say whether a registration or a publication view is being provided

Show if the view being provided is partial

C 2.4.2 STATUS OF DOCUMENTATION
AREA

A code may be used to indicate whether documentation is provisional, draft, or final. This code indicates the status of the documentation - not the status assigned to the entity being described (for which, see C 2.4.5d).

C 2.4.2a Say what stage your description has reached
Common Practice Rule

Show the standard of documentation

C 2.4.3 SOURCE OF DOCUMENTATION (INTERNAL)
AREA

C 2.4.3a Say who amongst you described it
Common Practice Rule

This data identifies the source of the documentation within an archival documentation programme (e.g. where documentation is done in sections, branches, divisions, or regional offices). It should not be confused with data showing the location of the entity being described (C 3.3.1a). It should not be used to identify who is responsible for approving and managing the documentation (C 2.1.3). This code is "internal" to the documentation programme; it can extend, however, to identifying other sources for data within the programme (e.g. in a national register, union list, or manuscripts commission catalogue). The Australian War Memorial, for example, which has its own documentation programme, submits data to the Australian Archives RINSE programme and is given a code (for this purpose) in sequence with codes for Australian Archives' regional offices. A distinction can be made between who prepared the documentation and who approved it. May be distinguished from authorship (C 2.4.5a).

Identify the author, section, branch, division, or regional office responsible for the preparation.

Identify the approver, branch, or regional office responsible for registration.

C 2.4.4 PERMISSIONS
AREA

C 2.4.4a Say who can see your data
Common Practice Rule

This data indicates access restrictions to the data (staff, public, or external).

Show if access to information about the entity is restricted to authorised users

Access to ambient registrations may be restricted to authorised users.

Indicate by what authority access is restricted or allowed

C 2.4.4b Say what level of access they have
Common Practice Rule

This data indicates what kind of access is available to authorised users. Different levels of access may be available for different users.

Show access permissions

Access permissions include rights to see, create, open, alter, migrate, preserve, and delete the record. Data management controls (permissions for on-line access : read only/modify data) may also be dealt with here.

C 2.4.4c Say who can use your data
Common Practice Rule

This data indicates restrictions on use of the data (staff, external, or public).

Show if use of information about the entity is restricted to authorised users

Use of ambient registrations may be restricted to authorised users.

Indicate by what authority use is restricted or allowed

C 2.4.4d Say what kind of use they can make
Common Practice Rule

This data indicates what kind of use may be made by authorised users. Different levels of use may be available for different users.

Show use permissions

Use permissions include rights to copy, publish, or mirror.

C 2.4.5 DATA MANAGEMENT
AREA

C 2.4.5a Name the person who described the entity
Common Practice Rule

Do not use unless the identity of the author is different from the source (C 2.4.3).

Identify the author of the documentation

C 2.4.5b Say when it was done
Common Practice Rule

This data records create actions undertaken by the author (C 2.4.5a), the source (C 2.4.3), or the manager (C 2.1.3).

Show the date on which the information was entered

Includes access involving create permissions (C 2.4.4). To document use of other access permissions see C 2.4.5f.

C 2.4.5c Say when it was (or will be) revised
Common Practice Rule

This data records modify and delete actions undertaken by the author (C 2.4.5a), the source (C 2.4.3), or the manager (C 2.1.3).

Show the date(s) on which the information was revised or deleted Includes access involving modify or delete permissions (C 2.4.4).

To document use of other access permissions see C 2.4.5f.

Show review date(s)

Say which version it is

C 2.4.5d Show status codes if any
Common Practice Rule

These status codes are used to categorise instances of the same entity by type. They indicate status assigned to the entity being documented - not the status of the documentation about the entity (for which, see C 2.4.2). Example : to distinguish jurisdictions which are based on portfolio arrangement from those which are not.

Use a code to categorise jurisdictions

Example
Ministerial or Non-Ministerial

C 2.4.5e Say what descriptive rules were used
Common Practice Rule

Use C 3.10.0 when documenting Business or Recordkeeping.

Cite the rules or conventions used to prepare the documentation

Example
HCPR-DEC-2001:01

Give the date and version of the rules used

C 2.4.5f Say anything else you want
Common Practice Rule

Give data pertinent to the maintenance of the record

The author (C 2.4.5a) or the manager (C 2.4.3) of the record may make any notes appropriate to the maintenance of the record.

Example
This documentation should be updated by reference to the Annual Report of ....

Say when the documentation was accessed or used

This documents an event history (access to and use of your data), if required. Do not use to log creation, modification, or deletion - for which see C 2.4.5b and C 2.4.5c.

Say by whom the documentation was accessed or used

This documents access to and use of your data, if required.

Say what access or use was made

This documents access to and use of your data, if required. Do not use to log creation, modification, or deletion - see C 2.4.5b and C 2.4.5c.

Say how those involved in access or use of the record may be contacted

This allows contact to be made with those identified in C 2.1.3, C 2.4.3, C 2.4.4, or C 2.4.5a and may include address or other contact details.

Say what language is being used to document this entity

Do not use until the distinction between description and entity is clarified - see C 3.9.0.

Say what medium or format the description has

Say where the record is held within the documentation programme

This locates the description of the entity physically or within a computerised system (e.g. document name, application).

C 3.0.0 DESCRIPTION
C 3.1.0 : Mandate
CATEGORY OF DATA
Type of Data

Citations -
: RKMS05 Business. Mandate;
: RKMS16 Business-Recordkeeping. Mandate;
: RKMS27 Agents (People). Mandate;
: RKMS37 Records. Mandate.

Separately formatted information is given about legislation or legal instruments concerning the existence or activities of the entity.

Use for separately formatted data on legislation or other instruments affecting the creation/abolition or functioning of an entity or to say what legislation/instruments are administered by the entity.

C 3.1.1 MANDATE
AREA

C 3.1.1a Say what authorises establishment/abolition
Common Practice Rule

This data may be repeated in C 3.4.3a which should be used in preference to this rule if the data is not separately formatted.

Cite legislation or instrument(s) which created/abolished an entity.

C 3.1.1b Say what authorises action
Common Practice Rule

This data may be repeated in C 3.4.3a which should be used in preference to this rule if the data is not separately formatted.

Cite legislation or instrument(s) administered by or affecting the operation of an entity.

C 3.0.0 DESCRIPTION
C 3.2.0 : Abstract
CATEGORY OF DATA
Type of Data

Citations -
: RKMS08 Business. Abstract;
: RKMS20 Business-Recordkeeping. Abstract;
: RKMS31 Agents (People). Abstract;
: RKMS41 Records. Abstract.

The abstract summarises the "Note" (C 3.4.0) and other relevant fields.

An abstract allows a concise textual summary to be separately formatted. The abstract can be used in circumstances where the greater length of the "Note" (C 3.4.0) would preclude searching or display. Even if the "Note" is separately searched or displayed, it may be useful to provide a summary for easy scanning. The abstract might also include summary data from other fields.

Do not use for functions and activities (cf. C 3.5.0) or for subject analysis.

C 3.2.1 SUMMARY DESCRIPTION
AREA

C 3.2.1a Summarise the description in C 3.4.0
Common Practice Rule

Concisely summarise information about an entity.

C 3.2.2 INFORMATION FROM OTHER FIELDS
AREA

C 3.2.2a You may repeat other information here if you want
Common Practice Rule

Concisely summarise information given elsewhere

In addition to abstracting the History/Description (C 3.4.0), give data on -

  • creation and abolition (C 2.2.0)
  • relationships with other corporations (C 4.2.0)
  • functions (C 3.5.0)
C 3.2.2b Index the title
Common Practice Rule

Indicate index keywords from title

C 3.2.2c Index anything else
Common Practice Rule

Indicate index terms and/or keywords from any other part of the record

C 3.0.0 DESCRIPTION cont'd
C 3.3.0 : Place
CATEGORY OF DATA
Type of Data

Citations -
: RKMS06 Business. Place;
: RKMS17 Business-Recordkeeping. Place;
: RKMS28 Agents (People). Place;
: RKMS38 Records. Place

Formatted data on address/location identifies and describes geographic associations.

These rules are for separately formatted geographiacl or location data. For unformatted data in the "Note" use C 3.4.5.

C 3.3.1 LOCATION
AREA

C 3.3.1a Identify the geographical area
Common Practice Rule

Use a code or descriptor to show the geographical area(s) in which a corporation exists or has existed

Example -

Australian Capital Territory ACT
Western Australia WA
New South Wales NSW
Northern Territory NT
Victoria VIC
Papua New Guinea PNG
Queensland QLD
Elsewhere NOC
South Australia SA
Tasmania TAS
New Zealand NZ
Australia AUS

These codes show the location of the entity being described and should not be confused with data management codes showing the source of the documentation (C 2.4.3a). While location codes or descriptors ma be assumed within the documentation programme, they will be useful when documented entities are made available in cyberspace (e.g. Internet or data sharing).

Example
It would be appropriate to show the jurisdiction of the British Privy Council as a court of appeal from overseas jurisdictions. As this varies from time to time, it may be convenient to use a single code (e.g. NOC) and to explain variations over time in the "Note".

Show the geographical area(s) within which an entity operates or has operated

Give the address of an organisation

Show the geographical area(s) within which an entity has or has had jurisdiction or authority

C 3.0.0 DESCRIPTION cont'd
C 3.4.0 : Description
CATEGORY OF DATA
Type of Data

A "Note" comprises unformatted text describing the entity or recounting its history.


The "Note" provides an opportunity to format data that is otherwise allowed for in formatted fields to be documented in a free-text field and to capture data not provided for elsewhere. Data which is separately formatted, eg

  • related legislation (C 3.1.0)
  • address/location (C 3.3.0)
  • functions (C 3.5.0)
  • internal structure (C 3.8.0)

may be repeated and/or expanded upon here.

C 3.4.1 FUNCTIONS AND ACTIVITIES
AREA

Where data on the functions (responsibilities) assigned to an organisation or jurisdiction is separately formatted use "Function/Competence" (C 3.5.0). Data from that area may be repeated in the "Note".

C 3.4.1a Describe functions and activities in the "Note"
Common Practice Rule

Document the functions and activities undertaken by an organisation

Information on functions and activities may be recorded in the "Note" and may repeat separately formatted data from C 3.5.0.

Document the functions exercised within a jurisdiction

C 3.4.2 HISTORY AND RELATIONSHIPS
AREA

C 3.4.2a Describe commencement and cessation in the "Note"
Common Practice Rule

Describe the establishment of an entit