Hurley's Common Practice Rules for the Documentation of Records Series

Chris Hurley

Hurley's Common Practice Rules for the Documentation of Records Series

Application Template for HCPR-DER-2001:01

By Chris Hurley

This template contains all of the Common Practice Rules for Series, 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 - HCPR (Records)

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

 

R 1.0.0 INTRODUCTION

AREA

In this version, HCPR deals with the description of original records in traditional format.

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)

The rules developed under ISAD(G) for description of records contemplate the use of country and "repository codes" for data exchange and other purposes. The development and application of a system of repository codes requires co-operative action on the part of the Australian archives community.

R 2.0.0 IDENTITY R 2.1.0 : Reference Code(s)	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.1.1 ABN-MARC : NOG; NOIL Keeping Archives 2 1993 : field 2 The reference code uniquely identifies the records entity and distinguishes it from all other entities.

 

R 2.1.1 ELEMENTS OF A REFERENCE CODE

AREA

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.
  
  

R 2.0.0 IDENTITY cont'd R 2.2.0 : Title	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.1.2 ABN-MARC : TILAO Keeping Archives 2 1993 : field 3 The title names the records entity and conveys some idea of its contents.

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.

R 2.2.1 NAMING RECORDS

AREA

R 2.2.1a Give the records a name

Common Practice Rule

R 2.2.1b Use the name of the records if they have one (transcribed title)

Common Practice Rule

R 2.2.1c Otherwise, make one up (composed title)

Common Practice Rule

R 2.2.1d Explain terms not in general use

Common Practice Rule

R 2.2.2 INCLUSION OF INFORMATION FROM OTHER FIELDS

AREA

R 2.2.2a Usually, the title will not include references to other records

Common Practice Rule

R 2.2.2b You may include information on Provenance if you want

Common Practice Rule

R 2.2.2c Don't repeat dates in the title

Common Practice Rule

R 2.2.2d The title may refer to physical format

Common Practice Rule

R 2.2.2e The location of the records should not usually be included

Common Practice Rule

R 2.2.3 PARALLEL ENTRIES

AREA

R 2.2.3a Say what it is

Common Practice Rule

R 2.2.3b Say what language it is in

Common Practice Rule

R 2.0.0 IDENTITY cont'd R 2.4.0 : Control Data	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.1.4 Keeping Archives 2 1993 : fields 13 and 14 Control data enables the source archives to manage its documentation and control its use internally and has the potential for managing networked data.

R 2.4.1 LEVEL OF DOCUMENTATION - ISAD(G)

AREA

R 2.4.1a Use ISAD(G) rules to identify level of documentation

Common Practice Rule

R 2.4.2 STATUS OF DOCUMENTATION

AREA

R 2.4.2a Say what stage your documentation has reached

Common Practice Rule

R 2.4.3 REPOSITORY CODES (INTERNAL)

AREA

R 2.4.3a Say who amongst you described the records

Common Practice Rule

R 2.4.4 SECURITY CODES

AREA

R 2.4.4a Say who can see your data output

Common Practice Rule

R 2.4.4b Say who can access your system

Common Practice Rule

R 2.4.5 OTHER MANAGEMENT CODES

AREA

R 2.4.5a Name the person who described the records

Common Practice Rule

R 2.4.5b Say when it was done

Common Practice Rule

R 2.4.5c Say when it was (or will be) reviewed

Common Practice Rule

R 2.4.5d Say who reviewed it last

Common Practice Rule

R 2.4.5e Show format codes if any

Common Practice Rule

R 2.4.5f Show data management codes (if any)

Common Practice Rule

R 2.4.5g Say what descriptive rules were used

Common Practice Rule

R 2.4.5h Say anything else you want

Common Practice Rule

R 3.0.0 DESCRIPTION R 3.1.0 : Quantity	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.1.5 ABN- MARC : COL Keeping Archives 2 1993 : field 5 The quantity statement describes the physical extent (quantity) of the unit of description as a whole, incorporating (where necessary) a description of physical form. It is not used to describe physical characteristics (size, format) of the record "items" which make up the unit of description.

R 3.1.1 QUANTITY IN CUSTODY

AREA

R 3.1.1a Say what quantity you hold

Common Practice Rule

R 3.1.2 QUANTITY OUT OF CUSTODY

AREA

R 3.1.2a Say what quantity you don't hold

Common Practice Rule

R 3.1.3 QUANTITY IN EXISTENCE

AREA

R 3.1.3a Say what the quantity totals

Common Practice Rule

R 3.1.4 QUANTITY STATEMENT FORMAT : 1 - NUMBER AND FORM

AREA

R 3.1.4a You can say how many items make up the total

Common Practice Rule

R 3.1.5 QUANTITY STATEMENT FORMAT : 2 - LENGTH OR VOLUME

AREA

R 3.1.5a Or you can use a shelf length or cubic measure

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.2.0 : Content/Abstract	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.3.1 (formerly 3.2.9) ABN-MARC : SUT-L; CRO; GAC; SOC-S; SUPSL; SUCNL Keeping Archives 2 1993 : fields 7 and 12 Content/abstract statements summarise the subject of the records, their function or purpose, and any other characteristics which help convey to the reader an idea of the information the records contain.

R 3.2.1 INFORMATION ON SUBJECT, CONTENT, OR FUNCTION

AREA

R 3.2.1a Summarise what's in the records

Common Practice Rule

R 3.2.2 INCLUSION OF DATA FROM OTHER FIELDS

AREA

R 3.0.0 DESCRIPTION cont'd R 3.3.0 : Disposal Action

CATEGORY OF DATA Type of Data

Citations - ISAD(G) - Stockholm 1993 : 3.3.2 (formerly 3.2.6) Keeping Archives 2 1993 : no reference Information on disposal action tells the reader whether the unit of description is complete and, if not, indicates how and to what extent records have been culled, discarded or otherwise disposed of. These rules may include custody aspects of disposal, but the location of records held by other "repositories" are dealt with elsewhere.

R 3.3.1 CURRENT DISPOSAL STATUS AND DISPOSAL HISTORY

AREA

R 3.3.1a Summarise what has or will be destroyed

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.4.0 : Accruals	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.3.3 (formerly 3.2.7) Keeping Archives 2 1993 : no reference These rules provide for information about prospective additions to records in custody.

R 3.4.1 FUTURE ACCRUALS

AREA

R 3.4.1a Say if you expect more transfers

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.5.0 : System of Arrangement	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.3.4 (formerly 3.2.8) ABN-MARC : OAR Keeping Archives 2 1993 : field 8 Information on the system of arrangement describes the internal structure of the unit of description - the order given to the material (items) which makes up the unit of description by the records-maker.

R 3.5.1 SYSTEM(S) OF ARRANGEMENT & CONTROL : RECORDS

AREA

R 3.5.1a Say how the records are arranged

Common Practice Rule

R 3.5.2 SYSTEM(S) OF ARRANGEMENT AND CONTROL : CONTENTS

AREA

R 3.5.2a Say how the information in the records is arranged

Common Practice Rule

R 3.5.3 IMPOSED ORDER OR CONTROL

AREA

R 3.5.3a Tell people if you have arranged the records

Common Practice Rule

R 3.5.4 RANGE OF CONTROL SYMBOLS

AREA

R 3.5.4a Say what the first and last numbers are

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.6.0 : Legal Status	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.4.1 (formerly 3.2.5) Keeping Archives 2 1993 : no reference Information on legal status identifies records affected by statutory, testamentary, or contractual provisions (e.g. whether public records or private deposit).

R 3.6.1 OWNERSHIP, CUSTODY OR DISPOSAL

AREA

R 3.6.1a Say what legal obligations apply to you

Common Practice Rule

R 3.6.2 ACCESS/COPYRIGHT

AREA

R 3.6.3 AUTHORITIES

AREA

R 3.6.3a Cite legislation/authorities affecting creation of the records

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.7.0 : Access Conditions	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.4.2 (formerly 3.3.3) ABN-MARC : NOU Keeping Archives 2 1993 : field 10 (see also R 3.8.0) Access conditions specify whether records are available for inspection and use and whether restrictions or limitations apply. Do not include copyright status and availability for reproduction.

R 3.7.1 RESTRICTIONS ON ACCESS TO INFORMATION

AREA

R 3.7.1a Say whether access to information in the records is restricted

Common Practice Rule

R 3.7.2 RESTRICTIONS ON USE OF RECORDS

AREA

R 3.7.2a Say whether originals are too fragile to be used

Common Practice Rule

 

R 3.0.0 DESCRIPTION cont'd R 3.8.0 : Copyright and Reproduction	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.4.3 (formerly 3.3.4) ABN-MARC : NTT Keeping Archives 2 1993 : field 10 (see also R 3.7.0) The statement on copyright and conditions governing copying gives information on further restrictions on use of records which are available under access conditions.

R 3.8.1 RESTRICTIONS ON COPYING

AREA

R 3.8.1a Say whether there are legal obstacles to copying

Common Practice Rule

R 3.8.1b Say whether originals are too fragile to copy

Common Practice Rule

R 3.8.2 RESTRICTIONS ON USE OF COPIES

AREA

R 3.8.2a Say whether copies can be published

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.9.0 : Language	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.4.4 (formerly 3.3.1) ABN-MARC : NOL; LAN Keeping Archives 2 1993 : no reference Information on language describes the predominant language(s) of the records, distinctive alphabets, scripts, symbol systems, or abbreviations.

R 3.9.1 LANGUAGE ETC.

AREA

R 3.9.1a Say what language the records are in

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.10.0 : Physical Characteristics	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.4.5 (formerly 3.3.2) ABN-MARC : TYMAT; NOG Keeping Archives 2 1993 : field 6 Format, size, and physical dimensions affecting use are described.

R 3.10.1 PHYSICAL FORMAT

AREA

R 3.10.1a Say what the records look like

Common Practice Rule

R 3.10.2 SIZE

AREA

R 3.10.2a Describe length, breadth, and height of the items

Common Practice Rule

R 3.10.3 CHARACTERSTICS AFFECTING USEABILITY/PRESERVATION

AREA

R 3.10.3a Say what physical details limit use of the records

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.11.0 : Finding Aids	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.4.6 (formerly 3.3.5) ABN-MARC : NOMF Keeping Archives 2 1993 : no reference The existence of finding aids specific to the unit of description are noted. Do not use these rules for showing relationships with other records.

R 3.11.1 EXISTENCE OF FINDING AIDS

AREA

R 3.11.1a Tell people what finding aids exist

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.12.0 : Location	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.1.1(?); 3.5.1 (formerly 3.4.1) ABN-MARC : NOOH Keeping Archives 2 1993 : no reference The records are located by citing current custody arrangements (do not use for previous custody arrangements cf R 4.2.0). Locations of originals/copies are noted where different.

R 3.12.1 RECORDS IN CUSTODY

AREA

R 3.12.1a Use a code to tell people if you have any of the records

Common Practice Rule

R 3.12.1b Say what part of the archives holds the records

Common Practice Rule

R 3.12.2 RECORDS NOT IN CUSTODY

AREA

R 3.12.2a Say where records not yet transferred are held

Common Practice Rule

R 3.12.2b Say if some of the records are held by others

Common Practice Rule

R 3.12.3 LOCATION OF ORIGINALS (WHERE COPIES ARE DESCRIBED)

AREA

R 3.12.3a If you have copies, say where the originals are

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.13.0 : Existence of Copies	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.5.2 (formerly 3.4.2) ABN-MARC : NOP Keeping Archives 2 1993 : no reference Where copies of the records being described exist, their existence and availability is noted.

R 3.13.1 EXISTENCE OF COPIES

AREA

R 3.13.1a If you have originals, say whether copies exist

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.14.0 : Associations	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.2.1; 3.2.2; 3.2.4 ; 3.2.5 ; and 3.5.4 ABN-MARC : MEPS; AEPSA; NTB; NTM; NOCC; NTR Keeping Archives 2 1993 : field 1 This information is used to document connections with ambience, provenance, other records, or contents when those things have not themselves been documented as entitites. For connections with documented entities use R 4.0.0 or T 4.3.0.

HCPR treats as a relationship any connection between the records being described and another documented entity (i.e. where a description has its own identity - code, title, dates, etc.). When a connection of is made with an undocumented entity (i.e. where a description has not, or has not yet, been made in the form of a descriptive identity - code, title, dates, etc.), it is treated in HCPR as an association.

R 3.14.1 ASSOCIATIONS WITH AMBIENCE

AREA

There are no known examples of data pertaining to an undocumented ambient entity which is formally incorporated into records description as a separate field.

R 3.14.2 ASSOCIATIONS WITH PROVENANCE

AREA

R 3.14.2a Say who made the records (creation)

Common Practice Rule

R 3.14.2b Say who the records belong to if different (control)

Common Practice Rule

R 3.14.2c Say who held the records if different (custody)

Common Practice Rule

R 3.14.2d Say who has held on to the records if different (possession)

Common Practice Rule

R 3.14.3 ASSOCIATIONS WITH OTHER RECORDS

AREA

R 3.14.3a Describe related records (not documented)

Common Practice Rule

R 3.14.4 ASSOCIATIONS WITH CONTENTS

AREA

R 3.14.4a Describe the contents (if not documented elsewhere)

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.15.0 : Publication Note	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.5.5 (formerly 3.4.5) ABN-MARC : SUPSL | adt Keeping Archives 2 1993 : no reference Any publications based on the use, study or analysis of the unit of description are identified.

R 3.15.1 PUBLICATION NOTE

AREA

R 3.15.1a Say which authors have used the records

Common Practice Rule

R 3.0.0 DESCRIPTION cont'd R 3.16.0 : Not Otherwise Classified	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.6.1 (3.5.1) ABN-MARC : NOA; NOD; NOIL; CPC Keeping Archives 2 1993 : field 11 The "Note" provides for all information about the records not accommodated elsewhere in the description.

The "Note" is usually a free-text prose description.

R 3.16.1 ADDITIONAL INFORMATION

AREA

R 3.16.1a Use a "Note" to say anything else you want

Common Practice Rule

R 3.16.2 INCLUSION OF DATA FROM OTHER FIELDS

AREA

R 3.16.2a In the "Note" you can repeat information from elsewhere

Common Practice Rule

R 4.0.0 RELATIONSHIPS R 4.1.0 : Records to Ambience	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : no reference Keeping Archives 2 1993 : no reference Context relationships establish links between the records and its ambience.

Most Australian "series" systems relate records to ambience indirectly through provenance. They do not require (or indeed allow) provision for establishing relationships directly between records and ambience. This section of HCPR (Records) is established to meet three possible contingencies :

• Australian fonds-based descriptive systems which might allow for levels of description "above" the fonds;
• developments in series-based systems which provide for direct linkage between records and context (e.g. functions);
• development of a national data structure (recommended in 1987 ACA Report on Standardisation) with provision for direct linkage between records and fonds/groups.
  

R 4.0.0 RELATIONSHIPS cont'd R 4.3.0 : Records to Records	CATEGORY OF DATA Type of Data
Citations - ISAD(G) - Stockholm 1993 : 3.5.3 Keeping Archives 2 1993 : field 9 Records relationships establish links between the records entities and other records entities described (documented) in the same archival documentation programme. Do not use to describe undocumented records.

R 4.3.1 RELATED RECORDS ALREADY DOCUMENTED

AREA

R 4.3.1a Describe related records which you hold

Common Practice Rule

R 4.3.1b Describe related records (not held)

Common Practice Rule

R 4.3.1c Describe all related records regardless of custody or survival

Common Practice Rule

R 4.3.2 HOW TO EXPRESS RELATIONSHIPS BETWEEN RECORDS

AREA

R 4.3.2a Identify related records

Common Practice Rule

R 4.3.2b Say when the relationship existed

Common Practice Rule

Example
SERIES DATA SET

 

IDENTITY DATA
	Code : R 2.1.2
Preferred Name : R 2.2.1 {also C 2.2.2}	Parallel Entry : R 2.2.3
Start Dates : R 2.3.1 & R 2.3.2	End Dates : R 2.3.1 & R 2.3.2
Where we are : R 2.1.3a	Who we are : R 2.1.3b
CONTROL DATA
Level of Documentation : R 2.4.1a	Date done : R 2.4.5b
Date due for revision : R 2.4.5c	Date revised : R 2.4.5c
Documentation Status : R 2.4.2	Author : R 2.4.3a & R 2.4.5a & R 2.4.5d
Security Code(s) : R 2.4.4	Format : R 2.4.5e
Entity Status : R 2.4.5e	Rules Used : R 2.4.5g
DESCRIPTIVE DATA
Summary Text : R 3.2.1 & R 3.2.2	Full Text : R 3.16.0
Quantity : R 3.1.1 to R 3.1.5	Location : R 3.12.0
Disposal Action : R 3.3.1	Future Accruals : R 3.4.1
System of Arrangement : R 3.5.0	Legal Status : R 3.6.1 & R 3.6.2
Legislation : R 3.6.3	Access : R 3.7.1 & R 3.7.2
Copying Restrictions : R 3.8.0	Existence of Copies : R 3.13.0
Language of Records : R 3.9.0	Finding Aids : R 3.11.0
Physical Characteristics : R 3.10.0	Sources : R 3.16.1
Publication Note : R 3.15.0
Associations/Connections : ---: Previous/Subsequent R 3.14.3 ---: Controlled/Controlling R 3.14.3 ---: Agency(ies)/Person(s) R 3.14.2 ---: Other R 3.14.4
RELATIONSHIP DATA
Provenance : R 4.2.1 to R 4.2.3
Previous/[Subsequent] : R 4.3.1 & R 4.3.2
Controlling/[Controlled] : R 4.3.1 & R 4.3.2
Accession(s) owned :	Item(s) owned :