Hurley's Common Practice Rules for the Documentation of Provenance Corporations Natural Persons Activities Roles

Chris Hurley

Hurley's Common Practice Rules for the Documentation of Provenance Corporations Natural Persons Activities Roles

Application Template for HCPR-DEP-2001:01

By Chris Hurley

This template contains all of the Common Practice Rules for Provenance, without the accompanying textual commentary and examples. It can be downloaded and turned into "in-house" Implementation Rules by (1) keying in new text under each Common Practice Rule to reflect local usage and (2) eliminating those rules not used locally (either by deletion or strike-through). It is suggested that the rule numbering remain undisturbed in local applications to enable ready reference back to HCPR on the web-site.

DRAFT ONLY - NOT FINALLY SETTLED

Table of Contents

P 1.0.0 INTRODUCTION
P 2.0.0 IDENTITY
P 3.0.0 DESCRIPTION
P 4.0.0 RELATIONSHIPS
EXAMPLES

 

P 1.0.0 INTRODUCTION

Provenance shows the context of records by establishing relationships between records and an entity responsible for one or more defined recordkeeping or business activities documented within the records. These relationships establish the provenance of the records. Two kinds of provenance entity have been identified :-

• artificial persons (corporations) including -
  - corporate bodies (government and private)
  - sole corporations;
  - social, religious, cultural, commercial or political groups; and
  - bodies or offices not incorporated in law.
• natural persons (persons) : "an ordinary flesh-and-blood human being" Australian Encyclopaedia (1963) 7-70a. Persons hold offices to which they succeed and from which they depart. Such offices should be treated as corporations (sole corporations) even if there is only ever one occupant. Thus the office of Prime Minister is a corporation held by a succession of persons.

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 and New Zealand communities (which they would have to face in any case) are discussed in R 1.2.0 and R 2.1.0. The development and application of a system of repository codes requires co-operative action on the part of the recordkeeping community(ies).

 

P 1.2.0 IDENTITY OF CORPORATIONS

Types of Corporation

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

(a) The Crown
Examples include the Crown Imperial, the Crown in Right of Australia, and the Crown in right of each of the States.

(b) Corporations Established by Royal Charter, etc.
Examples include the Royal Historical Society of Victoria.

(c) Corporations Established under the Constitution Acts
Examples include the several Parliaments, the Executive Councils, the High Court and the Supreme Courts.

(d) Executive Government Bodies
Examples include government departments and offices.

(e) Corporations Established by Statute
Examples include statutory bodies, government enterprises, universities, local government authorities.

(f) Corporations Established under Statute or Common Law
Examples include partnerships, corporations set up under companies the laws, incorporated clubs and associations, and political parties.

(g) Unincorporated Artificial Persons
Examples include unincorporated clubs and associations.

• tba
  

Rules for establishing the identity of natural persons may be added in a later version.

The possibility exists that functional ideas may be established as provenance entities.

 

P 2.1.1 ELEMENTS OF A REFERENCE CODE

AREA

A unique identifying number or code is given to distinguish a corporation or person identified from -

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

P 2.0.0 IDENTITY cont'd P 2.2.0 : Title	CATEGORY OF DATA Type of Data
Citations - SPIRT RKMS03; RKMS14; RKMS25 ISAAR(CPF) - Hague Draft : 1.2; 1.3; 1.4; 2.1.2; and 2.2.2 The title documents the identifying description of a corporation or the personal name of a natural person.

P 2.2.1 NAMING CORPORATIONS AND PERSONS

AREA

P 2.2.1a Give the provenance a preferred name

Common Practice Rule

P 2.2.1b Don't use the same name twice

Common Practice Rule

P 2.2.2 ALTERNATIVE FORMS OF TITLE/NAME

AREA

P 2.2.2a Use a corporation's "official" name

Common Practice Rule

P 2.2.2b Use a person's birth-name

Common Practice Rule

P 2.2.2c Use a corporation's most recent form of name

Common Practice Rule

P 2.2.2d You can include alternative forms of name in the title

Common Practice Rule

P 2.2.2e If you don't, put them somewhere else

Common Practice Rule

P 2.2.3 SEVERAL CORPORATIONS TREATED AS ONE

AREA

P 2.2.3a The title should refer to all

Common Practice Rule

P 2.2.4 ABBREVIATIONS/ACRONYMS

AREA

P 2.2.4a Avoid abbreviations etc.

Common Practice Rule

P 2.2.5 INCLUSION OF GEOGRAPHICAL DATA IN TITLES

AREA

P 2.2.5a Use geographic information if you want

Common Practice Rule

P 2.2.6 INCLUSION OF INFORMATION FROM OTHER FIELDS : AMBIENCE

AREA

P 2.2.6a Don't include data on ambience

Common Practice Rule

P 2.2.6b Put a parent body in the name of a branch or division

Common Practice Rule

P 2.2.7 INCLUSION OF INFORMATION FROM OTHER FIELDS : DATES

AREA

P 2.2.7a Don't repeat dates in the title

Common Practice Rule

P 2.2.7b Unless it is necessary for comprehension

Common Practice Rule

P 2.2.8 PERSONS - PRENOMINALS/POSTNOMINALS

AREA

P 2.2.9 PARALLEL ENTRIES

AREA

P 2.2.9a Say what it is

Common Practice Rule

P 2.2.9b Say what language it is in

Common Practice Rule

P 2.0.0 IDENTITY cont'd P 2.4.0 : Control Data	CATEGORY OF DATA Type of Data
Citations - ISPIRT - RKMS01; RKMS12; RKMS23 ISAAR(CPF) - Hague Draft : 3.1, 3.2, and 3.3 Control data enables an archival documentation programme to manage its documentation and control its use internally. It has potential for managing aspects of networked data.

P 2.4.1 LEVEL OF DOCUMENTATION

AREA

P 2.4.1a Identify the level of description

Common Practice Rule

P 2.4.2 STATUS OF DOCUMENTATION

AREA

P 2.4.2a Say what stage your description has reached

Common Practice Rule

P 2.4.3 SOURCE OF DOCUMENTATION (INTERNAL)

AREA

P 2.4.3a Say who amongst you has described the entity

Common Practice Rule

P 2.4.4 SECURITY CODES

AREA

P 2.4.4a Say who can see your data output

Common Practice Rule

P 2.4.4b Say who can access your system

Common Practice Rule

P 2.4.5 OTHER DATA MANAGEMENT CODES

AREA

P 2.4.5a Name the person who described the provenance

Common Practice Rule

P 2.4.5b Say when it was done

Common Practice Rule

P 2.4.5c Say when it was (or will be) revised

Common Practice Rule

P 2.4.5d Show status codes if any

Common Practice Rule

P 2.4.5e Say what descriptive rules were used

Common Practice Rule

P 2.4.5f Say anything else you want

Common Practice Rule

P 3.0.0 DESCRIPTION P 3.1.0 : Related Legislation	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS05; RKMS16; RKMS27 ISAAR(CPF) - Hague Draft : no reference Separately formatted information is given about legislation or legal instruments concerning the existence or activities of the provenance entity.

Use for separately formatted data on legislation or other instruments affecting the creation/abolition or functioning of an agency or which are administered by an agency.

P 3.1.1 CORPORATIONS - CREATION/ABOLITION

AREA

P 3.1.1a Say what legislation establishes/abolishes a corporation

Common Practice Rule

P 3.1.2 CORPORATIONS - ACTIVITIES

AREA

P 3.1.2a Describe related legislation

Common Practice Rule

P 3.1.3 MANDATE

AREA

P 3.1.3a Describe the mandate

Common Practice Rule

P 3.0.0 DESCRIPTION P 3.2.0 : Abstract	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS08; RKMS20; RKMS31 ISAAR(CPF) - Hague Draft : no reference The abstract summarises the "Note" (P 3.4.0) and other relevant fields.

An abstract allows a concise textual summary to be separately formatted.

P 3.2.1 SUMMARY DESCRIPTION

AREA

P 3.2.1a Summarise the description in P 3.4.0

Common Practice Rule

P 3.2.2 INFORMATION FROM OTHER FIELDS

AREA

P 3.2.2a You may repeat other information here if you want

Common Practice Rule

P 3.2.2b Index the title

Common Practice Rule

P 3.0.0 DESCRIPTION cont'd P 3.3.0 : Address/Location	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS06; RKMS17; RKMS28 ISAAR(CPF) - Hague Draft : 2.1.4 and 2.2.4 Formatted data on address/location identifies and describes geographic associations.

These rules are for separately formatted geographiacl or location data.

P 3.3.1 ADDRESS OF CORPORATIONS

AREA

P 3.3.1a Identify the geographical area

Common Practice Rule

P 3.3.1b Give the address

Common Practice Rule

P 3.3.2 DOMICILE OF PERSONS

AREA

P 3.3.2a Give the address

Common Practice Rule

 

P 3.0.0 DESCRIPTION cont'd P 3.4.0 : History/Description	CATEGORY OF DATA Type of Data
Citations - ISAAR(CPF) - Hague Draft : 2.1.6 and 2.1.7 A "Note" comprises unformatted text describing the provenance entity or recounting its history.

The "Note" is a text field.

P 3.4.1 FUNCTIONS AND ACTIVITIES

AREA

P 3.4.1a Describe functions and activities in the "Note"

Common Practice Rule

P 3.4.2 HISTORY AND RELATIONSHIPS

AREA

P 3.4.2a Describe commencement and cessation in the "Note"

Common Practice Rule

P 3.4.2b Describe relationships in the "Note"

Common Practice Rule

P 3.4.2c Include other significant information in the "Note"

Common Practice Rule

P 3.4.3 LEGISLATION

AREA

P 3.4.3a Describe related legislation in the "Note"

Common Practice Rule

P 3.4.4 STRUCTURE

AREA

P 3.4.4a Describe a corporation's internal structure in the "Note"

Common Practice Rule

P 3.4.5 ADDRESS/LOCATION

AREA

P 3.4.5a Give the address of a corporation in the "Note"

Common Practice Rule

P 3.4.6 SOURCES

AREA

P 3.4.6a Say in the "Note" what sources you have used

Common Practice Rule

P 3.4.7 PROBLEMS

AREA

P 3.4.7a Use the "Note" to state your doubts and difficulties

Common Practice Rule

P 3.4.8 OTHER DATA

AREA

P 3.4.8a You can include other data in the "Note"

Common Practice Rule

P 3.4.8b You can say here if records are held by others

Common Practice Rule

P 3.0.0 DESCRIPTION cont'd P 3.5.0 : Function/Competence	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS07; RKMS18; RKMS29 ISAAR(CPF) - Hague Draft : no reference This is separately formatted data dealing with the responsibilities, occupation, and sphere of activity of a provenance entity.

P 3.5.1 DOCUMENTING FUNCTIONS

AREA

P 3.5.1a Describe functions/activities

Common Practice Rule

P 3.0.0 DESCRIPTION cont'd P 3.6.0 : Subject	CATEGORY OF DATA Type of Data
Citations - ISAAR(CPF) - Hague Draft : no reference This shows associated subject terms which have been separately formatted.

P 3.6.1 DESCRIBING SUBJECTS

AREA

P 3.6.1a Show related subjects

Common Practice Rule

P 3.0.0 DESCRIPTION cont'd P 3.7.0 : Associations	CATEGORY OF DATA Type of Data
Citations - ISAAR(CPF) - Hague Draft : 2.1.8 and 2.2.7 This information documents connections between this provenance entity and others which have not themselves been documented.

These rules describe connections with corporations and persons which have not themselves been described as part of the same archival documentation programme.

P 3.7.1 CONTROLLED/CONTROLLING ASSOCIATIONS

AREA

P 3.7.1a Say if one entity supervises another

Common Practice Rule

P 3.7.2 PREVIOUS/SUBSEQUENT ASSOCIATIONS

AREA

P 3.7.2a Say if an entity precedes this one

Common Practice Rule

P 3.7.2b Say if an entity succeedes this one

Common Practice Rule

P 3.7.3 OTHER ASSOCIATIONS

AREA

P 3.7.3a Say if there are other associated corporations

Common Practice Rule

P 3.7.3b Say if there are associated records

Common Practice Rule

P 3.7.4 CITATIONS

AREA

P 3.7.4a Give name of an associated body or person

Common Practice Rule

P 3.7.5 HOW TO EXPRESS ASSOCIATIONS

AREA

P 3.7.5a Give a date for each association

Common Practice Rule

P 3.7.5b Show how each entity is associated

Common Practice Rule

P 3.0.0 DESCRIPTION cont'd P 3.8.0 : Not Otherwise Classified	CATEGORY OF DATA Type of Data
Citations - ISAAR(CPF) - Hague Draft :2.1.7; 2.1.9; and 2.2.8 Information about the provenance entity not accommodated elsewhere in the description may be included in a separate field.

P 3.8.1 LOCATION OF RECORDS

AREA

P 3.8.1a Give the whereabouts of records

Common Practice Rule

P 3.8.1b Say if records are held by others

Common Practice Rule

P 3.8.2 INTERNAL ADMINISTRATIVE STRUCTURE

AREA

P 3.8.2a Describe the structure of a corporation

Common Practice Rule

P 3.8.3 SOURCES

AREA

P 3.8.3a Say what sources you have used

Common Practice Rule

P 3.8.4 ANYTHING ELSE

AREA

P 3.8.4a Put down anything else you want to say

Common Practice Rule

P 3.0.0 DESCRIPTION cont'd P 3.9.0 : Language	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS10; RKMS21; RKMS32 This shows the language in which the description is written.

P 3.9.1 LANGUAGE EMPLOYED

AREA

P 3.6.1a Say what language is used in the description

Common Practice Rule

P 3.0.0 DESCRIPTION cont'd P 3.10.0 : Business Rules	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS11; RKMS22 Information about the business rules to which a function gives expression may be documented.

P 3.10.1 BUSINESS RULES

AREA

P 3.10.1a Say what rules apply

Common Practice Rule

P 3.10.1b Say when they have applied

Common Practice Rule

P 3.10.1c Say what they are

Common Practice Rule

P 4.0.0 RELATIONSHIPS P 4.1.0 : Provenance to Ambience	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS08; RKMS19; RKMS30 ISAAR(CPF) Hague Draft : no reference Show a link between each corporation/person and contextual entities - viz. group, organisation, controlling agency, family, function.

P 4.1.1 ORGANISATION OR FAMILY

AREA

P 4.1.1a Say if a corporation supervises another

Common Practice Rule

P 4.1.1b Say if a corporation belongs to an organisation

Common Practice Rule

P 4.1.1c Say if a corporation belongs to a jurisdiction

Common Practice Rule

P 4.1.1d Say if a person belongs to a family

Common Practice Rule

P 4.1.2 FUNCTIONAL AMBIENCE

AREA

P 4.1.2a Say what functions a corporation carries out

Common Practice Rule

P 4.1.3 HOW TO EXPRESS RELATIONSHIPS WITH AMBIENCE

AREA

P 4.1.3a Give dates for each relationship

Common Practice Rule

P 4.1.3b Corporations may belong to more than one ambience

Common Practice Rule

P 4.0.0 RELATIONSHIPS P 4.2.0 : Provenance to Provenance	CATEGORY OF DATA Type of Data
Citations - SPIRT - RKMS08; RKMS19; RKMS30 ISAAR(CPF) Hague Draft : 1.5 Show a relationship between each corporation or person and other corporations or persons - viz. preceding, succeeding, and related.

These rules describe relationships between corporations (and persons) which (who) have themselves been documented in the same archival description programme.

P 4.2.1 PREVIOUS/SUBSEQUENT RELATIONSHIPS

AREA

P 4.2.1a Say if a corporation precedes another

Common Practice Rule

P 4.2.1b Say if a corporation succeedes another

Common Practice Rule

P 4.2.1c Say if a person is descended from another

Common Practice Rule

P 4.2.2 OTHER RELATIONSHIPS

AREA

P 4.2.2a Say if a person is connected with a corporation

Common Practice Rule

P 4.2.3 CITATIONS

AREA

P 4.2.3a Give related reference codes and titles

Common Practice Rule

P 4.2.4 HOW TO EXPRESS RELATIONSHIPS

AREA

P 4.2.4a Give a date for each relationship

Common Practice Rule

Example
CORPORATION DATA SET

 

IDENTITY DATA
	Code : P 2.1.2
Preferred Name : P 2.2.1 {also P 2.2.3 to P 2.2.8}
Alternative Name : P 2.2.2 {also P 2.2.3 to P 2.2.8}
Parallel Entry : P 2.2.9 {also P 2.2.3 to P 2.2.8}
Start Date : P 2.3.1 to P 2.3.3 {P 2.3.6}	End Date : P 2.3.1 & P 2.3.4 to P 2.3.6
Where we are : P 2.1.3a	Who we are : P 2.1.3b
CONTROL DATA
Level of Documentation : P 2.4.1	Date done : P 2.4.5b
Date due for revision : P 2.4.5c	Date revised : P 2.4.5c
Version : P 2.4.5c	Author : P 2.4.5a
Author's Notes : P 2.4.5f	Rules Used : P 2.4.5e
DESCRIPTIVE DATA
Summary Text : P 3.2.1 P 3.2.2 P 3.5.1 P 3.6.1
Full Text : P 3.4.1 to P 3.4.8
Geography : P 3.3.1 & P 3.3.2
Legislation : P 3.1.1 & P 3.1.2
Sources : P 3.8.3
Associations/Connections : ---: Previous/Subsequent P 3.7.2 {P 3.7.4 & P 3.7.5} ---: Superior/Subordinate P 3.7.1a {P 3.7.4 & P 3.7.5} ---: Jurisdictions(s) P 3.7.1b {P 3.7.4 & P 3.7.5} ---: Function(s) P 3.7.1c {P 3.7.4 & P 3.7.5} ---: Other P 3.7.3 {P 3.7.4 & P 3.7.5}
RELATIONSHIP DATA
Ambience : P 4.1.1b P 4.1.1c P 4.1.1d {P 4.1.3}
Previous/[Subsequent] : P 4.2.1 {P 4.2.3 & P 4.2.4}
Superior/[Subordinate] : P 4.1.1a {P 4.1.3}
Otherwise Related : P 4.2.2a {P 4.2.3 & P 4.2.4}
Records owned :