Hurley's
COMMON PRACTICE RULES
for the
DOCUMENTATION
of
RECORDS SERIES

HCPR-DER-2001:01

Chris Hurley

Hurley's
COMMON PRACTICE RULES
for the
DOCUMENTATION
of
RECORDS SERIES

HCPR-DER-2001:01

version :

17 March, 2001 (01.01)

Documentation of Ambience should be read in conjunction with -

• HCPR-DEA-2001:01(Introduction)
• HCPR-DEP-2001:01 (Provenance of Records)
• HCPR-DER-2001:01 (Description of Records)
• HCPR-DET-2001:01 (Contents of Records)

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

Note 1 : The transition from ACPM to HCPR marks a shift from descriptive to prescriptive rules. It should be noted, however, that some of the rules in HCPR are alternatives and that not all rules need be applied. Specification of mandatory rules awaits a later version.

Note 2 : The next transmutation will be from HCPR to GEMMS (General-purpose Extensible Metadata Management Standard). The issues which must be decided before HCPR can be transformed into GEMMS include development of :
(a) version control and use history procedures, and
(b) relationship rules between two or more GEMMS compliant applications. These will be necessary to enable use within one GEMMS compliant application of entities created and maintained inside another.

Table of Contents - HCPR (Provenance)

R 1.0.0	INTRODUCTION
R 1.1.0	: Records Entities
R 1.2.0	: Source Codes (External)
R 2.0.0	IDENTITY
R 2.1.0	: Reference Code(s)
R 2.2.0	: Title
R 2.3.0	: Dates
R 2.4.0	: Control Data
R 3.0.0	DESCRIPTION
R 3.1.0	: Quantity
R 3.2.0	: Content/Abstract
R 3.3.0	: Disposal Action
R 3.4.0	: Accruals
R 3.5.0	: System of Arrangement
R 3.6.0	: Legal Status
R 3.7.0	: Access Conditions
R 3.8.0	: Copyright and Reproduction
R 3.9.0	: Language
R 3.10.0	: Physical Characteristics
R 3.11.0	: Finding Aids
R 3.12.0	: Location
R 3.13.0	: Existence of Copies
R 3.14.0	: Associations
R 3.15.0	: Publication Note
R 3.16.0	: Not Otherwise Classified
R 4.0.0	RELATIONSHIPS
R 4.1.0	: Records to Ambience
R 4.2.0	: Records to Provenance
R 4.3.0	: Records to Records
	EXAMPLES

SYNOPSIS

HCPR (RECORDS - IDENTITY)

2001:01

R 2.0.0	IDENTITY
R 2.1.0 R 2.1.1 R 2.1.2 a R 2.1.3 a b c d	Reference Code(s) : Elements of a Reference Code : Local Repository Codes Give the records a code or number : Data Exchange Codes Use an agreed code to tell people where you are Use another code to tell people who you are Alternatively, use the Australian Bibliographic Network Say what numbers have been assigned in union catalogues
R 2.2.0 R 2.2.1 a b c d R 2.2.2 a b c d e	Title : Naming Records Give the records a name Use the name of the records if they have one (transcribed title) Otherwise, make one up (composed title) Explain terms not in general use : Inclusion of Information from Other Fields Usually, the title will not include references to other records You may include information on provenance if you want Don't repeat dates in the title The title may refer to physical format The location of the records should not usually be included
R 2.3.0 R 2.3.1 a b c R 2.3.2 a b c d	Dates : Records Making Process (Accumulation) Say when the records were made (creation) Say what dates have survived (extant) Say what dates you hold (in custody) : Contents of Records Say when documents in the records were made (contents) Say when what you hold was made (contents in custody) Say when the records were used (transactions) Say when copies, etc. were made (data)
R 2.4.0 R 2.4.1 a R 2.4.2 R 2.4.3 a R 2.4.4 a b R 2.4.5 a b c d e f g	Control Data : Level of Documentation - ISAD(G) Use ISAD(G) rules to identify level of documentation : Status of Documentation : Repository Codes (Internal) Say what part of your archives described the records : Security Codes Say who can see your data output Say who can access your system : Other Management Codes Name the person who described the records Say when it was done Say when it was (or will be) revised Say who reviewed it last Show format codes if any Show data mangement codes (if any) Note other relevant data

SYNOPSIS

HCPR (RECORDS - DESCRIPTION)

2001:01

R 3.0.0	DESCRIPTION
R 3.1.0 R 3.1.1 a R 3.1.2 a R 3.1.3 a R 3.1.4 a R 3.1.5 a	Quantity : Quantity in Custody Say what quantity you hold : Quantity out of Custody Say what quantity you don't hold : Quantity in Existence Say what the quantity totals : Quantity Statement Format : 1 - Number and Form You can say how many items make up the total : Quantity Statement Format : 2 - Length or Volume Or you can use a shelf length or cubic measure
R 3.2.0 R 3.2.1 a R 3.2.2	Content/Abstract : Information on Subject, Content, or Function Summarise what's in the records : Inclusion of Data from Other Fields
R 3.3.0 R 3.3.1 a	Disposal Action : Current Disposal Status and Disposal History Summarise what has or what will be destroyed
R 3.4.0 R 3.4.1 a	Accruals : Future Accruals Say if you expect more transfers
R 3.5.0 R 3.5.1 a R 3.5.2 a R 3.5.3 a R 3.5.4 a	System of Arrangement : System(s) of Arrangement and Control : Records Say how the records are arranged : System(s) of Arrangement and Control : Contents Say how the information in the records is arranged : Imposed Order or Control Tell people if you have arranged the records : Range of Control Symbols Say what the first and last numbers are
R 3.6.0 R 3.6.1 a R 3.6.2 R 3.6.3 a	Legal Status : Ownership, Custody or Disposal Say what legal obligations apply to you : Access/Copyright [do not use - see R 3.8.0] : Authorities Cite legislation or other authorities affecting creation of the records
R 3.7.0 R 3.7.1 a R 3.7.2 a	Access Conditions : Restrictions on Access to Information Say whether access to information in the records is restricted : Restrictions on Use of Records Say whether originals are too fragile to be used
R 3.8.0 R 3.8.1 a b R 3.8.2 a	Copyright and Reproduction : Restrictions on Copying Say whether there are legal obstacles to copying Say whether originals are too fragile to copy : Restrictions on Use of Copies Say whether copies can be published
R 3.9.0 R 3.9.1 a	Language : Language etc. a. Say what language the records are in
R 3.10.0 R 3.10.1 a R 3.10.2 a R 3.10.3 a	Physical Characteristics : Physical Format a. Say what the records look like : Size a. Describe length, breadth, and height of the items : Characteristics Affecting Usability/Preservation a. Say what physical details limit the use of the records
R 3.11.0 R 3.11.1 a	Finding Aids : Existence of Finding Aids Tell people what finding aids exist
R 3.12.0 R 3.12.1 a b R 3.12.2 a b R 3.12.3 a	Location : Records in custody Use a code to tell people if you have any of the records Say what part of the archives holds the records : Records Not In Custody/Possesion Say where records not yet transferred are held Say if some of the records are held by others : Location of Records (Where Copies Are Described) If you have copies, say where the originals are
R 3.13.0 R 3.13.1 a	Existence of Copies : Existence of Copies If you have originals, say whether copies exist
R 3.14.0 R 3.14.1 R 3.14.2 a b c d R 3.14.3 a R 3.14.4 a	Associations : Associations With Ambience : Associations With Provenance Say who made the records (creation) Say who the records belong to if different (control) Say who has been vested with the records if different (custody) Say who has held the records if different (possession) : Associations With Other Records Describe related records (not documented) : Associations With Contents Describe the contents (if not documented elsewhere)
R 3.15.0 R 3.15.2 a	Publication Note : Publication Note Say which authors have used the records
R 3.16.0 R 3.16.1 a R 3.16.2 a	Not Otherwise Classified : Additional Information Use a "Note" to say anything else you want : Inclusion of Infortmation from Other Fields In the "Note" you can repeat information from elsewhere

SYNOPSIS

HCPR (RECORDS - RELATIONSHIPS)

2001:01

R 4.0.0	RELATIONSHIPS
R 4.1.0 R 4.1.1 a	Records to Ambience : Related Functions/Activities Say what function(s) or activity(ies) the records reflect
R 4.2.0 R 4.2.1 a b c d R 4.2.2 a R 4.2.3 a b	Records to Provenance : Related Corporations and Natural Persons Say who made the records (creation) Say who the records belong to if different (control) Say who has held the records if different (custody) Say who has held onto the records if different (possession) : Related Activities Say what activity(ies) the records reflect : How to Express Relationships With Provenance Identify related persons and corporations Say how long the relationship lasted
R 4.3.0 R 4.3.1 a b c R 4.3.2 a b	Records to Records : Related Records Already Documented Describe related records which you hold Describe related records (not held) Describe all related records regardless of custody or survival : How to Express Relationships Between Records Identify related records Say when the relationship existed

Several kinds of records entities may be described :

Fonds - Used by : ICA
The whole of the documents, regardless of form or medium, organically created and/or accumulated and used by a particular person, family, or corporate body in the course of that creator's activities and functions."

Archive :
" (1) The whole body or group of records of continuing value of an agency or individual.
(2) An accumulation of series or other record items with a common provenance, or of a distinct organisation, body or purpose." (Keeping Archives 2)

Record Group
"A theoretical unit for the purpose of archival control used to describe :
(1) All of the records of an agency. See also Archive (1).
(2) A body of archives organisationally and functionally related on the basis of provenance." (Keeping Archives 2)

Collection " (2) An arbitrarily defined unit of records or archives often used for personal papers or record group. See also Papers." (Keeping Archives 2)

Papers :
"The accumulation of an individual's records, also referred to as personal papers. See also Collection (2)." (Keeping Archives 2)

Series
"A series is a group of records which are recorded or maintained by the same agency (or agencies) and which :

• are in the same numerical, alphabetical, chronological, or other identifiable sequence,
• result from the same accumulation or filing process and are of similar function, format or informational content." (National Archives of Australia)

Other definitions of Record Group, Collection, Papers, and Series may be found in Australian Council of Archives, Glossary of Australian Usage of Archival Terminology - Discussion Edition (1993).

The rules developed under ISAD(G) for description of records contemplate the use of country and "repository codes" for data exchange and other purposes. Some of the issues arising for the Australian community (which it would have to face in any case) are discussed in P 2.1.0 and R 2.1.0.

The development and application of a system of repository codes requires co-operative action on the part of the Australian archives community.

A unique identifying number or code is given to distinguish the records entity from -

• all others within the archival documentation programme, and
• entities in other archival documentation programmes here and overseas.

To achieve this in accordance with ISAD(G) 3.1.1, the reference code is made up of two components.

• The first of these is a "local repository specific reference code, control number, or other unique identifier" which distinguishes one entity from another within an archival documentation programme (R 2.1.2).
• Additionally, ISAD(G) 3.1.1 provides for a country code and a repository code which distinguish entities sourced to other archival documentation programmes (R 2.1.3).

To ensure unique and unambiguous identification, reference codes may be cancelled but should not be re-used. A note should be kept of cancelled numbers to enable records to be located from superseded citations.

The entity being documented may not be entirely in the custody of the archives which describes them. When the documentation programme is wholly non-custodial (e.g. national registers, records searches, historic manuscript commissions, etc.) none of it may be in custody. It follows that the "repository code" cannot be used to provide a location for the records. It is, therefore, necessary that reference codes used for data exchange and the merging of data from different sources serve two distinct purposes -

• to control documentation and identify its source (R 2.1.3);
• to control and identify the location of records (R 3.12.0).

In addition, it is necessary to provide for o identifying the source of documentation within the programme (R 2.4.3-Control Data). It is unclear whether or not ISAD(G) intends the reference code R 2.1.3b to locate records. In HCPR, data exchange codes for location of records are treated under R 3.12.1a.

(i) Assign a discrete code or number to each unit of description

The local repository code identifies records within a documentation programme and distinguishes them from other records described within that programme. Identity codes which distinguish records from those in other documentation programmes are dealt with under data exchange (R 2.1.3). This is a registration or identifying code; it is not a location code.

Data exchange codes are additional to local repository codes; they do not replace or substitute for them.

(i) Assign a country code in accordance with ISO 3166 : ICA

Under ISAD(G) 3.1.1, the following elements should be added to the "local repository specific reference code" :

• country code : in accordance with ISO 3166
• repository code : in accordance with the national repository code standard [not yet developed in Australia - see R 1.1.0].

Some reference codes assigned under the series system include a prefix which identifies the "repository" which has registered the series being cited, e.g.

• CRS 1234 : [series registered by Australian Archives]
• VPRS 5678 : [series registered by PRO Victoria].

Not all Australian archives use reference codes and none of those which do incorporate agreed national and international elements.

Local codes are assigned by each archives at its own discretion. Country codes are assigned in accordance with an established international standard. Repository codes, however, can only be developed co-operatively and this task remains to be done.

Three questions need to be addressed, therefore, in relation to "repository codes" :

1. Should repository codes used to identify the sources of documentation about records be the same as or different from codes used to identify the source of documentation about other levels of description (ambience, provenance, contents)?
2. Should repository codes identifying the source of documentation about records be based upon, different from, or a substitute for codes already in use by series system archives (i.e. CRS, G, MR, P, PR, VPRS)?
3. In any case, how and when should a system of repository codes be developed for Australia?
   

(i) Assign a source code in accordance with R 1.2.0 : do not use until source codes are adopted

This data identifies the archival documentation programme which is the source of the records description. HCPR assumes that the "repository code" required by ISAD serves the purpose of identifying the source of the data; consequently do not use for data concerning -

• source of the documentation within the archival programme (e.g. regional offices) - use R 2.4.3
• data exchange codes identifying the archives which has custody of the records being described - use R 3.12.1a
• location of a site or area within the precincts of the archives which has custody of the records - use R 3.12.1b
• location of records not yet in custody - use R 3.12.2
• location of records in other archives - use R 3.12.3
• location of originals (when describing copies) - use R 3.12.4
• location of related records not yet documented described as "Associated Material" - use R 3.14.1
• "shelf location" - use HCPR (Contents).

See also discussion under R 2.1.1.

(i) Assign ABN number

Question : How does ABN fit this model? In addition to identifying the country source, it also provides its own reference code (e.g. abn 93-113825). For the moment, the ABN number will be treated here as an alternative to the data exchange codes provided for in R 2.1.3a and R 2.1.3b.

(ii) Use ABN "repository" and "participant" codes

ABN also provides codes identifying the data source (e.g. ANL:MS and COLLECTION ID:3).

(i) Cite the reference code from the Guide to collections of manuscripts relating to Australia

Additionally, the Guide to collections ... reference number could be regarded as a "Local repository Code" (R 2.1.2a) for a non-custodial documentation programme (i.e. a union list or register of records). See also R 3.11.1a (ii).

In most applications, the code (R 2.1.0) uniquely identifies the entity for citation purposes. But codes are neither memorable nor meaningful. A title which is distinctive and informative is both. The title should briefly describe the records. It is not necessary that the title should be unique.

(i) Assign a title to each records entity

A title may be used :-

1. to distinguish the records being described from other records appearing under the same system of documentation;
2. to convey as much information about the records as may assist a user to decide whether to look more closely at the records, at a fuller description of the records, or at documentation concerning the content of the records.

The titles of literary manuscripts or other named records may be taken (transcribed titles); alternatively a name may be attributed (composed titles).

(ii) Distinguish a transcribed title from a composed title

ISAD(G) leaves it to national or language conventions to distinguish between transcribed and composed titles.

(i) Transcribe a title used by the records-creator in preference to imposing one composed by the archives

ISAD(G) prefers a "formal" title to a composed title and permits abridgment so long as the sense remains. It requires that the title be transcribed exactly in respect of wording, word order, and spelling but allows editorial variation in respect of punctuation and capitalisation.

Others advise making additions [in square brackets] where necessary to clarify or expand upon a transcribed title. To distinguish a transcribed title from a composed title, use may be made of "quotation marks" where -

• the transcribed title `is thought to be unusual or obscure'; or
• the records entity is a publication with a title.

(i) Compose a title which reflects the form, function, activity, subject, location or theme of the records

Although there is no uniformity of approach, the manuals provide examples of standardisation (usually in terminology) -

• physical form or format e.g. correspondence files; name index cards; invoices; refer to R 2.2.2d;
• function, activity of the records e.g. correspondence files; name index cards;
• function, activity, subject or theme of information in the records e.g. invoices on imported goods; letters of Presbyterian missionaries;
• geographical location of activity documented by the records e.g. invoices on imported goods, New South Wales; letters of Presbyterian missionaries in Manitoba.

Any or all of this information might be duplicated in R 3.16.0 (Not Otherwise Classified).

A List of standardised descriptive terms for use in titling may be employed - e.g.

• "Papers" for an individual
• "Records" for an organisation
• "Letters" for one-way correspondence
• "Correspondence" for two-way correspondence etc. etc.

ISAD(G) makes no editorial rules for composed titles. Australian manuals make some attempt to control the content as well as the syntax and vocabulary of composed titles. These rules deal with -

• capitalisation and punctuation;
• what features of (ideas about) records should be included in the title;
• standardisation of words (terms) to deal with frequently used concepts;
• spelling and word order

Question : Is it desirable to specify editorial conventions in titling? Such conventions make for greater data compatibility, clarity, and certainty. Experience suggests, however, that editorial conventions are difficult to apply to shared data and that the desired conformity is seldom obtained. (This is no reason to refrain from editorial guidance, just a warning as to its efficacy.)

(i) Expand and explain local titles, prefixes, abbreviations etc.

Where local titles, prefixes or abbreviations are used, an explanation may be included. Examples :-

• Series 2813 Register of B.C. [Blank Cover] References
• Correspondence files, annual single number series with `S' (Staff) prefix

Data on "controlled" records is sometimes included in a title. Such references would normally repeat data from associated material (R 3.14.0) or records to records relationships (R 4.3.0)

Example -

• Name index cards for correspondence files multiple number Series, …………...

Data on related records may also be included where one series is a microfilm or digital copy of another.

(i) Include provenance data in a composed title at the fonds level : ICA

ISAD(G) permits (and encourages) inclusion of provenance data in a composed title at fonds level, but advises that it should not be repeated in sub-fonds, series, and item level titles.

(ii) Do not include provenance data in a composed title

Repetition of provenance data (R 4.2.0) in the title is usually prohibited where provenance is separately documented and related. However, exceptions are allowed where such references will aid understanding and retrieval.

Examples -

• Personal history cards of officers separating from the service from central office agencies administering works/construction functions
  Where the agency recording is shown as Public Works Department :
• Card Index to General Correspondence Files, Annual Single Number System I (Local Government Branch)
• *General Correspondence Files, Annual Single Number System I (Roads and Bridges Branch 1877-c1888; Local Government Branch c1888-1958)
• *Roads and Bridges Branch (1877-c1888) Local Government Branch (c1888-1958) : General Correspondence Files, Annual Single Number System I
• Child Minding Centre Files, Single Number (Pre-School and Child Development Branch, previously Child and Maternal Welfare Branch)

* alternatives

(i) Do not repeat dates (R 2.3.0) in the title

Exception 1 : where the date range of a controlling series varies from the date range of the series controlled, the date range of coverage may be indicated in the title for the controlling series.

Example :-

• Register of Historic Plan Collection (1802-1963) [Computer Output Microfiche] (compiled : 1987)

Exception 2 : inclusive dates are a mandatory sub-field in the ABN/MARC record.

Exception 3 : where the period to which the records relate is notably different from the records accumulation and records contents dates, it may be included in the interests of clarity.

Example :-

• File disposal register for immigration records (1935-1938) in Series ………, Correspondence files, annual single number series (compiled : 1961)

(i) Data on physical format (R 3.10.1) may be used to compose the title

See example under R 2.2.1c.

(i) Data on location of records (R 3.12.0) may be used to compose the title

Titles of records documented but not yet in custody conclude with the words -
[RECORDS NOT TRANSFERRED].
This practice is not usual.

A parallel entry is made when the name/title is represented in another form to the one given in R 2.1.0. This is not an alternative name or variant. 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.

Give the parallel name of a series

State the language used for the parallel entry

Note on Terminology :

Various manuals use different words for the same thing and the same word for different things. ISAD uses -

• "accumulation" to refer to the process of record-keeping or record-making which in Australia is variously referred to as "series date range", "creation" or "compilation"; and
• "creation" to refer to the date of authorship of the documents or transactions which in Australia is commonly referred to as "contents date range".

(i) Show the dates of the records-making process

The dates of accumulation or compilation show the beginning and end of the record-keeping process used by the record-maker to organise the records being described. Where the process is continuing, an open date range is shown.

Examples :

• (1924 - 1956) (1924 - ) or (1924 - ct)
• (Mar 1924 - Jun 1956) (Mar 1924 - ) or (Mar 1924 - ct)
• (5 Mar 1924 - 3 Jun 1956) (5 Mar 1924 - ) or (5 Mar 1924 - ct)

Where the entire process of accumulation took place at one time, a single date is used instead of a range of dates. (In some applications, there is a requirement to express single dates as a range).

Examples :

• (1924) or (Mar 1924) or (5 Mar 1924)
• (1924-1924) or (Mar 1924 - Mar 1924) or (05 Mar 1924 - 05 Mar 1924)

(i) Show the date range of surviving records

These dates indicate that the records being described are known (or suspected) to be a portion only of a larger accumulation and
(a) the dates of creation (R 2.3.1a) are unknown, or
(b) the dates of the surviving portion are known or suspected to be later than the date of commencement (or earlier than the date of termination) of the creation (R 2.3.1a).

Examples :

• 1924 - 1956 (1935 - 1956 extant)
• Mar 1924 - Jun 1956 (Aug 1935 - Jun 1956 extant)
• 5 Mar 1924 - 3 Jun 1956 (13 Aug 1935 - 3 Jun 1956 extant)

Where the date range of the extant portion has gaps, this can be expressed by giving two or more date ranges or by an indicative phrase.

Examples :

• 1924 - 1956 (extant : 1935 - 1939; 1945 - 1956)
• Mar 1924 - Jun 1956 (extant : Aug 1935 - Sep 1939; Apr 1945 - Jun 1956)
• Mar 1924 - 3 Jun 1956 (extant : 13 Aug 1938 - 2 Sep 1939; 25 Apr 1945 - 3 Jun 1956)
• 1924 - 1956 (portion only extant)
• 1924 - 1956 (extant : 1935 - 1956 with gaps)

The earliest and latest dates for records extant should not fall outside the range of dates for accumulation.

(i) Show the dates for records in custody
Alternatively, use consignments (T 2.3.3) to show dates of records in custody

These dates describe what portion of records created (R 2.3.1) are held by the archives. Unless they are the only dates shown, they must be differentiated from dates of accumulation and records extant even if all surviving records are known or believed to have been transferred to the archives. Where data is aggregated from documentation on Contents see R 4.4.1.

Examples :

• 1924-1956 (1935 - 1939 in custody)
• 1924-1956 (1935 - 1939 in custody) (extant : 1935 - 1956)
• 1924-1956 (portion only in custody)
• 1924-1956 (all extant records in custody)

(i) Show dates of contents

These dates are used to distinguish between the dates of the record-keeping process and the dates of the documents which make up the records.

Example :

• A registration system in use from 1856 to 1889 contains dockets within the range 56/1 to 89/1587. The last registration (89/1587) occurred on 31 December, 1889. Papers (going as far back as 1851) were top-numbered into this system from an earlier system and papers were added to existing dockets until March 1890.
  Date range : 1856-1889 (contents : 1851-1890)

A contents date range is seldom used except in conjunction with date(s) of creation. Contents dates may be used to date original documents so as to distinguish copies and the information in the records.

If a distinction is made between the contents date of a copy and the information in the copy, use R 2.3.4 to date the copy and R 2.3.7 to date the information in the copy.

Example :

• A series of photographs is organised in 1991 & 1992 so that the images can be copied onto laser disk. They will remain as source documents for copies of images selected from the laser disk. The photos were compiled from c.1935 to 1985 and many were taken of historical prints and lithos going as far back as 1835.
  photographs segregated for laser disk project
  (compiled : 1991-1992 contents : c.1935-1985 data : 1835-1985)

If a distinction is made between the contents date of a document and the contents date of annotations, corrections, index entries, file movements, etc., use R 2.3.4 for documents and R 2.3.6 for transactions.

Example :

• A file series is registered between 1956 and 1975. It contains papers top-numbered from 1935 and new papers are added to existing files up until 1978. No new papers are added after 1978, but the files remain in use until 1989 and annotations are made on existing papers until that date. correspondence files
  (compiled : 1956-1975 contents : 1935-1978 transactions : 1956-1989)

(i) Show contents dates for records in custody

These dates show the range of contents dates (R 2.3.2a) for that portion of the records which are in custody. Where data is aggregated from documentation on Contents see R 4.4.1.

(i) Show the dates of writings, annotations, etc.

These dates are used to distinguish between dates of compilation and contents and dates of transactions recorded in the records (e.g. annotations, index entries) - may be included under content/abstract (R 3.2.0).

(i) Show the dates of information transcribed or copied

When records comprise or include material which has been copied, transcribed, imaged, duplicated, or otherwise regenerated, a difference may be recorded between the contents and data.

The data date range shows the currency of the information or data contained in a record which was made or compiled at a later date where it is to be distinguished from contents and should only be used in conjunction with a contents date range.

Examples :-

• Dockets relating to Land Selection dating from the 1850s are photocopied in the 1950s by the Lands Department and ten years later the copies are filed alphabetically by subject as part of a research project.
  Series 9876 Copies of Land Selection Dockets - Alphabetic System
  compilation : 1968 contents : 1958 data : 1853-1859
• Data on seismic surveys was lodged with the licensing authority on magnetic tape during the 1960s and 1970s. Data on surveys of fields opened since 1979 is no longer kept by the licensing authority on this system but the data has not been merged with data on fields opened since 1979. The data on fields surveyed up to 1979 is still maintained, periodically regenerated, and accessed for use in current re-surveys of existing fields; the latest regeneration of the tapes was done in 1991. Moreover, the system provides that where a licensee re-surveys a field opened before 1979, the new survey data is added into this series. No re-surveys of existing fields have been made since 1987.
  Series 8765 Seismic Survey Data Tapes - Onshore
  compilation : 1961-1979 contents : 1991-ct
  transactions : 1961-ct data : 1961-1987

This refers specifically to the identification required by ISAD(G) 3.1.4 which identifies the unit being described as [fonds], series, sub-series, file, or item. This rule should be used exclusively for data included in the description to meet the requirements of ISAD(G) 3.1.4. Codes performing a similar or identical function internally to the archives (or nationally) should be dealt with under R 2.4.2 or R 2.4.5.

Some Australian archives encode documentation to indicate whether it is provisional, draft, or final.

Example : "draft" ; "provisional".

This code relates to the status of the documentation itself and is to be distinguished from those codes which document the status of the entity being described (cf R 2.4.5e and R 2.4.5h).

(i) Show the source of documentation within the programme
? Use region number to locate records (R 3.12.1b)

This code identifies the source of documentation within an archives documentation programme where the registration (descriptive) function is decentralised (e.g. regional offices). This data identifies the source of the documentation within the archival programme. Do not use for data concerning -

• identification of the archival programme which is the source of documentation - use R 2.1.4
• data exchange codes identifying the archival programme having custody of the records being described - use R 3.12.1a
• location of a site or area within the precincts of the archives which has custody of the records - use R 3.12.1b
• location of records not yet in custody - use R 3.12.2
• location of records in other archives - use R 3.12.3
• location of originals (when describing copies) - use R 3.12.4
• location of related records which have not yet been documented and which are described as "Associated Material" - use R 3.14.1
• "shelf location" - use HCPR (Contents).

(i) Show access restrictions on information about the records

This code restricts access to data about records by users of the system (staff, public, or external).

(i) Show access permissions to the documentation system

This code is for data management controls dealing with permissions (determining levels of access (e.g to read only or to modify data).

Use these rules for data concerning access to information about the records. Do not use for data concerning -

• access restrictions on the use of information contained in the records - use R 3.7.1
• access restrictions on the use of the records owing to fragility or physical characteristics - use R 3.7.2
• copyright or other legal restrictions on copying - use R 3.8.1(a)
• access restrictions on copying of the records owing to fragility or physical characteristics - use R 3.8.1(b)
• fragility or other physical characteristics which affect or limit useability - use R 3.10.3

(i) Give the identity of the author of the documentation

(ii) Name the section in which the author works

(i) Give the date on which the documentation was prepared or approved

(i) Give review and/or revision dates

(i) Give the identity of the author of the last revision

These codes document the status of the records being described and are to be distinguished from status code(s) relating to the documentation itself (cf R 2.4.2).

(i) Use codes to indicate the format of the records being described

Special format codes are used to say if the records are copies, transcripts, oral history, etc.

(ii) Use codes to indicate the category of records being described

This may be used to identify and/or distinguish different categories of records (e.g. coreespondence, indexes, registers, ledgers, letter books).

(i) Show system "record number"

(i) Cite the rules or conventions used to prepare the documentation

(ii) Give the date and version of the rules used

(i) Record any other data relevant to the management of the records being described
(ii) Cite the (job) file number
(iii) Alternatively, use an additional "Note" (R 3.16.1) to repeat the file reference

(i) Give quantity of records in custody
(ii) Alternatively, use consignments to record quantity in custody

Use this rule for data input on quantity in custody for the unit of description.

(i) Give quantity of records in existence and out of custody
(ii) Alternatively, use the "Note" (R 3.16.1) to give quantity of records out of custody

(i) Give quantity of records in existence regardless of custody

Show the known extent at a given date; and/or the extent in custody.

(i) Give a physical description of the items and their number

Examples -

• 28 photographs
• 25 volumes

(i) Give the linear or cubic space occupied by the records

Examples -

• 30 metres
• 400 cubic metres

(ii) The number and type may be added in parenthesis

Example -

• 4 metres (ca. 10,200 items)

Use R 3.2.0 (Content/Abstract) for separately formatted summaries of the subject, content, or function of the records. Use R 3.16.0 (Not Otherwise Classified) when such information is included with other data in a free text "Note".

Function terms used as descriptors or authorised headings should not be confused with ambient entities based on ideas about function (R 4.1.1a).

For personal names, see also R 3.14.2 (Description : Associations). Where the option exists of using controlled terms from an authority file, it is indicated by .

(i) Summarise the information in the records (abstract)

This usually applies to a "Summary Note" or "Abstract" which is a precis of the "Note" R 3.16.1.

(ii) Summarise the information in the records (subjects)

(iii) Alternatively, use the "Note" (R 3.16.1) to summarise information in the records (subjects)

(iii) Show chronological period(s) to which the records belong

Australian War Memorial uses `conflict codes' from a related authority file to show period.

(iv) Show geographical associations

Use for MARC record geographical subject heading : SUG-L.

(v) Show occupation(s) of creators/authors

AWN uses rank and name of service unit(s) of which the records-creator was a member - taken from a related authority file.

(vi) Show names of persons and corporations to which records refer

Use for MARC record name descriptors SUPSL and SUCNL which display names as subject. Do not use for MARC record main entry [MEPS] or added entry [AEPSA] - cf. R 3.14.2.

(vii) Name the corporation(s) or natural person(s) responsible for authoring the documents

(viii) Use the "Note" (R 3.16.1) to name authors of documents

Authorship data usually relates to the creation of individual documents contained within the record-keeping system and should not be confused with responsibility for creation - cf. R 4.2.0. Authorship may be relevant to determining limitations on control (R 4.2.3a) and copyright (R 3.8.1a).

ISAD(G) specifies that information already given elsewhere in the description should not be repeated here. Australian manuals contemplate that relevant information (e.g. dates, context) may usefully be repeated here.

(i) Record disposal authority and disposal actions taken

Document whether the records are covered; whether they have been appraised as `complex' or `simple' or as `permanent', `temporary' or `review'; what action has been prescribed; and/or what action has been taken.

(i) Indicate if future accruals, transfers or deposits are expected

Where appropriate, give an estimate of their quantity and frequency. This data should be used to document anticipated future accruals. Actual accruals, transfers, or deposits should be documented under rules for Contents unless data on contents is integrated into the records description - q.v. R 3.14.4 (Description : Associations : Contents).

(i) Describe system of arrangement/control of records

(ii) Use the "Note" (R 3.16.1) to describe arrangement of the records

Document the arrangement given by the records-maker to the items which make up the records being described. Common methods of arrangement include -

• chronological
• alphabetical (random order under first letter)
• lexicographical (word by word or letter by letter filing)
• numerical (single number, annual single number, multiple number, etc.)

(i) Describe the system of arrangement/control of information in the records

(ii) Use the "Note" (R 3.16.1) to describe arrangement of information

Document the arrangement given by the records-maker to the information in the items which make up the records being described. This technique is commonly used when describing registers and indexes -

Example :

• Patient record cards are arranged lexicographically by the name of the patient. Entries on each card are arranged chronologically by visit.

Rules for the processing, arrangement and description of material within the unit of description will be dealt with under HCPR (Contents).

(i) Describe any system of arrangement/control imposed over the records by the archives

(ii) Use the "Note" (R 3.16.1) to describe imposed order

If the records have -

• no system of arrangement, or
• an arrangement has been superimposed by the archives

the nature and extent of the re-arrangenment should be described.

(iii) Archives numbers may be imposed :

• where there is no system to be discerned and the records are re-arranged by the archives
• where a system can be discerned and is left undisturbed, but the archives imposes numbers or symbols because none exist
• where original numbers or symbols exist and the archives imposes an additional "unit" or "piece" number for listing, shelving and retrieval.

(i) Give the first and last control symbol

(ii) Use the "Note" (R 3.16.1) to show range of control symbols

Any numbers or symbols which may be used to identify and/or retrieve records may be given. Where a separate arrangement of records and contents has been noted, the range for both may be cited.

If the material is incomplete or liable to be augmented, this can be indicated by adding a suitable qualifying phrase to the statement of the range of numbers or symbols -

Examples :

• (with gaps)
• (extant)
• (in custody)
• (as at 13 Sep 1983)

(i) Provide information on the legal status of records : ISD

These rules relate to legal requirements affecting custodianship. This data may include a statement of conditions laid down by a donor. This is used for legal rfequirements regarding disposal, not to document disposal action.

Do not use. For legal requirements affecting access use R 3.7.0 and R 3.8.0.

(i) Cite legislation or other authorities under which records were created

(ii) Use the "Note" (R 3.16.1) to cite related legislation/authorities

These rules relate to legal requirements affecting the making of the records. They concern statutory provisions directly pertinent to the creation, maintenance, and/or disposal of the records.

Example :

• provisions requiring - that a register be maintained in legislation establishing a government agency - that a share register be maintained under companies and securities legislation

(i) Say whether or not information contained in the records is restricted from public inspection

(ii) Use Copyright Status (R 3.8.1a) to show access conditions

This rule applies to data on access to the unit of description as a whole. Data on access conditions applying to consignments, items, or other component portions of the unit of description is dealt with under HCPR(Contents).

Access statements may be used to indicate whether the records referred to are -

• wholly open without restriction
• wholly closed without exception
• open with exceptions (part-open)
• access status not yet determined.

Use this rule for data concerning access to information contained in the records. Do not use for data concerning -

• access restrictions on the use of information about the records - use R 2.4.4(a)
• access permissions relating to the documentation system - use R 2.4.4(b)
• access restrictions on the use of the records owing to fragility or physical characteristics - use R 3.7.2
• copyright or other legal restrictions on copying - use R 3.8.1(a)
• access restrictions on copying of the records owing to fragility or physical characteristics - use R 3.8.1(b)
• fragility or other physical characteristics which affect or limit useability - use R 3.10.3

(i) Indicate conservation restrictions etc.

This data documents a decision to restrict access to records (not necessarily the information they contain) because of fragility or likelihood of damage through use - or any other physical characteristics. Do not use for data concerning -

• access restrictions on the use of information about the records - use R 2.4.4(a)
• access permissions relating to the documentation system - use R 2.4.4(b)
• access restrictions on the use of information contained in the records - use R 3.7.1
• copyright or other legal restrictions on copying of records - use R 3.8.1(a)
• access restrictions on copying of the records owing to fragility or physical characteristics - use R 3.8.1(b)
• fragility or other physical characteristics which affect or limit useability - use R 3.10.3

Use these rules for data concerning access restrictions on copying of the records. Do not use for data concerning -

• access restrictions on the use of information about the records - use R 2.4.4(a)
• access permissions relating to the documentation system - use R 2.4.4(b)
• access restrictions on the use of information contained in the records - use R 3.7.1
• access restrictions on the use of the records owing to fragility or physical characteristics - use R 3.7.2
• fragility or other physical characteristics which affect or limit useability - use R 3.10.3

(i) Indicate copyright status and legal restrictions on copying, if any

(ii) Use Access Conditions (R 3.7.1) to show copyright status

(iii) Use Associations with Provenance (R 3.14.2b) to show copyright status

Authorship data (R 3.2.1a) may be relevant here.

(i) Indicate restrictions, if any, on copying owing to fragility or physical characteristics

(i) Indicate restrictions on further reproduction of copies supplied, if any

Use for data documenting restrictions/conditions on :

• reproduction of copies supplied by (or obtained at) the archives;
• publication, broadcasting, etc.

(i) Describe language etc.

(i) Describe the physical format of the materials (items) which make up the records

(ii) Describe the physical format of the materials (items) which make up the records if not original

This may repeat, in greater detail, information on physical characteristics in the title. Where data on physical characteristics is input at the the level of consignment or item under rules for Contents and aggregated as output for the unit of description, use HCPR(Contents).

(iii) Give a code for format type

(i) Describe the physical dimensions of the materials (Items) which make up the records

Measurements are taken of length, breadth, and height.