National Archives of Australia
The National Archives of Australia (NAA) welcomes the opportunity to comment on the revision of ISAAR (CPF). The NAA is strongly committed to working with the ICA to help develop an ISAAR standard that is as effective as possible in promoting the creation and provision of standardised descriptions of archival provenance entities. In this context we note the significant recent moves towards the creation of an XML Document Type Definition, called Encoded Archival Context (EAC), for the creation and exchange of machine readable descriptions of archival provenance entities. The NAA urges the ICA to produce a revised ISAAR that is as consistent as possible with EAC, a development that was foreshadowed in paragraph I.11 of the first edition of ISAAR.
We suggest that paragraph I.2 could be redrafted to present a more complete and compelling explanation of the purpose and importance of creating and deploying ISAAR-compliant descriptions of provenance entities. As we see it, the primary purpose of ISAAR is to provide a high level framework for the standardisation and exchange of archival descriptions that document and describe provenance entities in sufficient detail to enable the:
We believe that ISAAR would benefit from a clearer articulation of the relationship between ISAAR-compliant archival provenance descriptions and library authority records. In this context we refer the Committee on Descriptive Standards to the comparison and report prepared in 1998 by Dagmar Parer and Michael Fox on the scope for standardising ISAAR with IFLA's Essential Data Elements for Internationally Shared Resource Authority Records.
In our view it is important for the archival community to be able to share authority data with other information management communities. Indeed, it is our view that archival institutions should be encouraged to become providers of authority data to other communities because above all else archival institutions know how to document the changing roles and activities of individuals and organisations over time.
For our part we can learn from the library community strategies for creating standardised means of uniquely labelling, identifying and distinguishing persons and organisations which have variant names or which are likely to be confused with different individuals or organisations that have the same or similar names.
With this in mind, we believe that the current structure of ISAAR, which separates library-type identification information for the construction of access points into part 1 and archival context description into part 2 is very appropriate. With this structure in mind we recommend that the data elements in part 1 should as far as possible be identical to those articulated in the IFLA document. The rationale for this structure should, however, be made more explicit in the document, especially the fact that ISAAR descriptions go well beyond the scope of library authority records in our aim to document context and provenance and that this additional documentation is outlined in part 2. It is absolutely essential to eliminate any ambiguity or potential for confusion in this area.
The NAA agrees completely with the comments provided by the State Records Authority of New South Wales on the need to provide a specific reference point within ISAAR that can be used to connect descriptions of a provenance entity to descriptions of the records created by that entity. Our preference would be to provide for these linkages in a whole new area of ISAAR, rather than in the existing Authority Area or Information Area.
In our view the relationships elements (2.1.8; 2.2.8; and 2.3.8) should be expanded considerably to enable more structured description of the different kinds of relationships that can exist between provenance entities, such as previous/subsequent, superior/subordinate, etc. The following comments explain the reasons behind the view of the series system that documenting structural links between corporate bodies is a very important element of an archival authority record, the importance of which is under-represented in the current ISAAR. Indeed, such is the importance of documenting these relationships, it is our view that they probably warrant a whole new area of ISAAR, rather than accommodating them as a mere data element in the Information Area. Examples demonstrating the points made below are provided in an appendix to this document.
Archival records are often not only associated with one corporate body, person and family, such as the author or publisher of a manuscript. Archival records can live through a number of associations over time and it is one of the functions of archival description to document these associations. There are many similarities between ISAAR (CPF) rules and those of the National Archives of Australia's CRS System. The comments below focus on areas that should be documented in more depth than is currently suggested in the ISAAR rules.
Corporate bodies in any sector of society are very fluid entities. They are not static in what they do and for how long they have a mandate to carry out functions. It is essential that an authority record can document that fluid state and show clearly what happened to the functions and thereby records for which it once had responsibility. Corporate bodies can have some functions removed from their mandate, without the whole corporation being abolished. In other situations, a corporate body could be abolished and all its functions passed to one or more corporate bodies.
The CRS System provides for comprehensive documentation of relationships between corporate bodies. These relationships are relevant in government, business, education and community bodies. There are three main kinds of relationships that give a rich context to the responsibilities of the bodies and the records they created or managed. The relationships demonstrate what happened to records and functions over time. Corporate bodies are a representation of what they inherited and what they passed on to other bodies or ceased performing.
The most critical relationship that documents what happens to corporate bodies in terms of their mandate and functions is the previous and subsequent relationship. Few corporate bodies are created without inheriting functions from another body. Business mergers where one business takes over another results in one business ceasing to operate and other inheriting mandates, assets and records. This usually happens as the result of a sale and a contract or other legal instrument specifies a date when the formal merger takes place. This could happen when community clubs join together, religious groups merge or schools amalgamate.
In the government arena functions move between corporate bodies at a regular rate. Sometimes a body is abolished and all functions dispersed to one or more new or existing bodies. This means also that an Act of Parliament, which gives corporate bodies their mandate to operate, could be undertaken by one or more bodies. The previous/ subsequent relationship will show the movement of functions and legislation in a more structured way than is possible in a note and if the relationship is shown for both bodies affected, then the information is available from either access point.
The previous/ subsequent relationship will provide one view of the historical picture of who created and were responsible for the records documenting a particular function. A type of frequently asked question in archival institutions is 'Which corporate body is now responsible for the personnel files of an employee who worked in an asbestos building for a company back in 1950?' If that corporate body no longer existed, the previous/ subsequent relationship, when presented in a structured manner will assist archivists to trace through what happened to those functions and therefore who might have responsibility now, should there be litigation.
The administrative hierarchy that often exists between corporate bodies is also important to document in a structured manner to establish responsibility for functions and ownership of records. Many corporate bodies have offices operating with some degree of independence in separate locations, but still belong to the same institution, operating under the same legislation and carrying out similar functions. The links also demonstrate who makes the policy decisions and distributes funding.
Corporate bodies may exist within different administrative structures over time. For example, the National Archives of Australia is a corporate body, however, it has reported to several Ministers over time. Often the smaller, outrider offices are abolished and the functions, and thereby records, are taken over by the main or head office, which could be located in another country or city. Having the relationships in a structured manner will readily identify which corporate body needs to be contacted after a certain date. When a head office is abolished and the mandate and functions (and records) are passed to another corporate body, the subordinate bodies are also abolished and the records passed to a new body, usually a local office of the corporate body gaining the mandate and functions.
The third relationship that can be documented in a structured manner is between individuals and corporate bodies. It is especially relevant where the individual, usually someone prominent in a corporate body, created records in some capacity. This could be as member of a sports' association, a church, a school, a business or government body. The individual may have been associated with several corporate bodies over time and so the links provide an extra layer of context for examining the life of the individual and for the functions of the corporate body with which they were associated. An individual may also have various affiliations/characteristics such as nationality, ethnicity, gender, race, religion, sexual orientation, political orientation, etc that are often worth documenting in a structured manner in an archival description.
The relationship rules should also encourage archivists to document the movement of functions and legal mandates between corporate bodies, such as the abolition of a government agency, mergers of businesses, hierarchical structures between a main or head office and its subordinate offices, usually operating in a separate geographical location, in another city or country. There can also be cross references between an individual who created records in an official capacity in one or more corporate bodies.
We agree with the comments of the State Records Authority of New South Wales that these elements (2.1.3; 2.2.3; and 2.3.3) should be separated into two separate elements, one for dates and another for places of existence/activity.
The NAA agrees with the suggestions made by the State Records Authority of New South Wales that these elements (2.1.6; 2.2.6; and 2.3.6) should be separated into their component parts. Mandate and function/occupation/activity are quite different (though related) concepts and should be documented separately.
The CRS System documents the functions of a corporate body in a structured way in addition to appropriate explanation in the descriptive note. The purpose of the structured presentation of functions using controlled language is to improve consistency of description of corporate bodies and to provide an access point for retrieval of corporate bodies with similar functions. Using the formal structured approach can also enable a history of a particular function over time as it passed through different corporate bodies.
The CRS System uses preferred terms from a thesaurus to attribute to a corporate body and then uses the thesaurus with its broad and narrow terms, related and non-preferred terms to assist retrieval of the relevant corporate bodies. Any list or classification scheme that uses controlled language would be appropriate. Whenever a function is associated with a corporate body, a date range is also included. This is essential to demonstrate that a corporate body may not have carried out a function for the whole time it was in existence.
1.3 Authority Entry - corporate bodies
Department of Primary Industries and Energy, Central Office
CRS System
Department of Primary Industries and Energy, Regional Office, South Australia
CRS System
1.3 Authority Entry - persons
Colonel Sir Jack Keith Murray KBE OBE ED
CRS System
The Rt Hon Andrew Fisher PC
CRS System
1.4 Non-preferred terms
Telecom Australia, Metropolitan Division
See
Telecom Australia, Consumer Division, South Australia
[CRS System]
Agent Orange Royal Commission
See
Royal Commission on the Use and Effects of Chemical Agents on Australian Personnel in Vietnam [CRS System]
2.1.8 and 2.2.8 Relationships
Department of Resources and Energy, Central Office
See previous
Department of National Development and Energy, Central Office - for national development and energy
Department of Trade and Resources - for functions of commercial development, marketing and export of minerals, including uranium and hydro carbon fuels
[CRS System]
Department of Resources and Energy, Central Office
See subsequent
Department of Administrative Services [111] Central Office - for geodesy and mapping functions
Department of Primary Industry and Energy, Central Office - for all functions except geodesy and mapping [CRS System]
Australian Embassy, United States of America
See subordinate
Australian Consulate-General, New York
Australian Consulate-General, Los Angeles
[CRS System]
Australian Embassy, United States of America
See superior or controlling body
Department of Foreign Affairs and Trade
[CRS System]
Prime Minister's Department -
Individual associated with
Malcolm Lindsay Shepherd CMG, ISO - Secretary (1911 - 1921)
[CRS System]
The Rt Hon Andrew Fisher PC
Body associated with
Prime Minister's Department - Prime Minister (1911 - 1913
Department of the Treasury [I], Central Office - Treasurer (1914 - 1915)
[CRS System]
2.1.6 Function
Rule: Record the functions with which a corporate body was associated. Include dates where the function was discontinued or passed to another body. Where possible, the data values should be sourced from controlled vocabulary schemes through a thesaurus, business classification scheme or other index. This will improve consistency of description, hence retrieval and link corporate bodies with similar functions.
Prime Minister's Department (1911 - 1971)
Functions
(extract)Audit (1911 - 1971)
Ceremonial functions (1911 - 1971)
Foreign policy (1916 - 1932)
Migration (1923 - 1925)
Cultural affairs (1966 - 1971)
[CRS System]