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© 1998 Records Continuum Research
Group, Monash University. All Rights Reserved. |
Hurley's
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Hurley's
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| 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 |
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 d C 2.2.7 |
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 b C 2.3.4 |
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 |
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 |
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 |
Place : Location Identify the geographical area |
|
C 3.4.0 b C 3.4.5 C 3.4.6 |
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 b b |
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 |
| 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 |
: 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 :-
| 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.
|
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 |
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
(b) formal announcement
(c) change in name
(d) change in internal structure
(e) change in function or purpose
(f) change in composition or personnel
(g) change in structural relationships
(h) change in status
(j) change in composition through devolution or merger
|
| C 1.1.5 |
It is permissible to treat successive entities as a single body. Example |
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
(b) regional arrangements
(c) separate records
(d) different function or purpose
(e) split jurisdiction
(f) exceptions
|
| C 1.1.8 |
Co-terminous entities may be treated as one or more than one. This
may particularly involve -
|
| 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 : |
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HCPR
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Level
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Item
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Change
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| 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 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 -
To achieve this, an identifier will need to be made up of three components.
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 - 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 - Dates show the chronological span of existence and/or activity. |
|
Date ranges of ambient entities can be shown to represent :
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
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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
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Dates are expressed using one or more of the following components according to dating and timing conventions currently in use in Australia :-
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
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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
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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
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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
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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
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Dates are used to describe the relationship between organisations and -
and to describe the relationship between jurisdictions and
and the relationship between ambient functions and
There is a dating element also in
| R 2.0.0 IDENTITY cont'd C 2.4.0 : Control Data |
CATEGORY OF DATA
Type of Data |
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Citations -
Control data enables an archival documentation programme to manage its documentation and control its use internally and in a networked environment. |
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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 |
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| C2.4.1a Identify the level of description |
Common Practice Rule
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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
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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 |
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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
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Show the standard of documentation
| C 2.4.3 SOURCE OF DOCUMENTATION (INTERNAL) |
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| C 2.4.3a Say who amongst you described it |
Common Practice Rule
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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 |
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| C 2.4.4a Say who can see your data |
Common Practice Rule
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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
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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
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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
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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 |
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| C 2.4.5a Name the person who described the entity |
Common Practice Rule
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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
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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
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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
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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
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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
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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 |
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Citations - Separately formatted information is given about legislation or legal instruments concerning the existence or activities of the entity. |
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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 |
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| C 3.1.1a Say what authorises establishment/abolition |
Common Practice Rule
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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
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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 |
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Citations - The abstract summarises the "Note" (C 3.4.0) and other relevant fields. |
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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 |
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| C 3.2.1a Summarise the description in C 3.4.0 |
Common Practice Rule
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Concisely summarise information about an entity.
| C 3.2.2 INFORMATION FROM OTHER FIELDS |
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| C 3.2.2a You may repeat other information here if you want |
Common Practice Rule
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Concisely summarise information given elsewhere
In addition to abstracting the History/Description (C 3.4.0), give data on -
| C 3.2.2b Index the title |
Common Practice Rule
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Indicate index keywords from title
| C 3.2.2c Index anything else |
Common Practice Rule
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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 |
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Citations - Formatted data on address/location identifies and describes geographic associations. |
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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
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| C 3.3.1a Identify the geographical area |
Common Practice Rule
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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
may be repeated and/or expanded upon here.
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".
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
Describe the establishment of an entit | ||||||||||||