CRS Manual - Controlling, controlled and related series

Controlling series

Definition

A controlling series is a series which can be used to gain access to, or confirm the existence of, records in another series, that is, the controlled series. Controlling series are often referred to as 'control records'.

Purpose

The purpose of this field is to indicate to users that, for a particular series, there is another series that acts as a register or index which may help them to identify and locate records or verify information.

For the Archives' purposes, controlling, controlled and related series relationships are those which involve records recorded by agencies as part of their normal recordkeeping processes. They do not include lists of items prepared to accompany transfer of records to the Archives or finding aids prepared by the Archives itself: use the Series Descriptive Note instead, under the subheading Finding Aids.

Relative importance

This field should be completed where applicable, to provide additional context (category 3). It is important in placing the series being registered in its recordkeeping context. Note that it is possible to refer to unregistered controlling series in the unregistered links note.

Sources of information

Information can be obtained from examination of the related records series, consultation with agencies, and analysis of the recordkeeping system to which the series being registered belongs.

Standards for content

A series can have more than one controlling series. The relationship is expressed in the following way: the Controlling Series entry comprises: controlling series number and title; a period of relationship, that is, start date and end date (optional); and comments (optional). The following is a typical example:

For X105, Correspondence files, multiple number series

Controlling series:
01 Apr 1967 - 17 Dec 1979: X104, Subject index cards to X105, Correspondence files, multiple number series

Amendments

Amend the entry as new controlling relationships between series are discovered. Less importantly, amend the entry to complete the period of relationship dates when one of the series ends.

Whenever updating controlling series information, check any unregistered controlling series to determine whether they have subsequently been registered - if so, delete the entry in the Unregistered Links Note and update the controlling series linkage. For data entry purposes it is only necessary to series controlled/controlling relationship once. 

Application notes

Include a controlling series entry in a registration only if you are satisfied that there is a direct link between the series and the controlled series. Make sample cross-checks of the entries in control records such as indexes or registers with corresponding records in the controlled series to confirm relationships. A series may have multiple controlling series at the same time or over a period of time.

Extent of the relationship necessary to establish a link

In some cases, the relationship between two series may affect only a very small portion of each. It is difficult to be precise about the extent of the relationship between two series that is required in order to record a controlling series link. However, you may disregard slight or tenuous relationships if you consider that recording them as controlling series would divert users attention from other entries for more relevant series. Such minor relationships can be recorded as related series (see below) or mentioned in the Series Note under the Relationships with other records subheading. Record more substantial relationships involving portions of series as a controlling series, but add a comment to indicate the extent or nature of the relationship.

Period of relationship

Indicate the period that two series are related to help users identify other series that may be useful to their search. This period should be based on the series (accumulation) date range. A relationship can only begin once both series have been created. Aim to identify the date range of the relationship with accuracy to no more than month and year except where exact dates are easily identified. In some cases the period of relationship may be difficult to determine and it may, if necessary, be omitted. However, the start date of the period of relationship is presently used as a basis for sorting, where there are multiple entries in the element, so attempt to provide the start date if possible.

Expression of dates

All dates in predetermined date fields are subject to validation to facilitate searching, sorting, validations and consistency in reports. It is not necessary to enter day, month and year if the full date is not known. Use a date qualifier only if the year is in doubt. (Unless notes are kept to indicate the part or parts of the date to which a qualifier applies, the use of the qualifier can be misleading, especially when just year ranges and qualifiers are presented in reports.)

Date range conventions

Start date qualifier

(only if year is in doubt)

circa

by

Start date

1952

May 1952

23 May 1952

End date qualifier

(only if year is in doubt)

circa

by

End date

1978

November 1978

23 November 1978

 

It is permissible to have a gap between the end date of one series and the start date of another. For example, an agency created, in 1965, an index to files recorded between 1950 and 1960. In this case, the start date for the period of relationship will be shown as 1965 and the end date would be the date the agency ceased to use the index as an active control record for these files. Showing a start and end date for a non-contemporaneous relationship may cause some confusion but is nevertheless useful in fulfilling the purpose of this field, for example, for A432, Correspondence files, annual single number series, 01 Jan 1929-

Controlling series:
20 Dec 1991-: A8891

Printout of files destroyed under sentencing program for CRS A432

(where the date range of the continuing series A8891 is 20 Dec 1991- )

Use the series note to explain complex relationships. In some cases it is possible to impart the desired information in the series title, eg

File disposal register for immigration records [1935 - 1938] in A1, Correspondence files, annual single number series
(where the series date range of the register is 1961)
Comment

A comment, which would rarely be included, should be restricted to information about the relationship between the two series. For example, where only a portion of the series controls the series being registered, some information can be given about that portion, unless it would duplicate information already given in the series title. Comments should be succinct and make sense in reports for each of the two linked series, eg

Comments: name index cards control portion relating to employment in NT

Where there are many control records for a particular series indicate the relative importance in the comments field for each link to the controlling record or explain the situation in the series descriptive note.

Absence of control records

If, after investigation, there appear to be no extant control records for a series containing high value records, mention the absence in the Relationship with other records subheading in the Series Descriptive Note. Do not document a finding aid prepared for archival purposes as a controlling series.

Documenting unregistered controlling series

Document an unregistered link between series only where knowledge of the unregistered series provides important recordkeeping context, but for some reason it cannot yet be registered, or is outside the Archives' sphere of operations, for example, a State Government series that controls a top-numbered portion of a Commonwealth Government series, but remains with the State Government.

Do not enter details into the Unregistered Links Note entries to save time or to avoid the registration process for series that should be registered according to the Archives' policies. Nor should the Unregistered Links Note be used for information that is unconfirmed: a more appropriate area for this sort of information is the Relationship with other records subheading in the Series Descriptive Note, where an explanation may be given.

Relationship to ISAD(G): 3.5.3

 

Controlled series

Definition

A controlled series is a series which is controlled by another series, that is, the controlling series.

Purpose

The purpose of this field is to indicate to users that the series being registered or viewed, controls (acts as a register or index for) another series (the controlled series).

For the Archives purposes, controlling, controlled and related series relationships are those which involve records recorded by agencies as part of their normal recordkeeping processes. They do not include lists of items prepared to accompany transfer of records to the Archives or finding aids prepared by the Archives itself: use the Series Note instead, under the subheading Finding Aids.

Relative importance

This field should be completed where applicable, to provide additional context (category 3). It is important in placing the series being registered in its recordkeeping context. Note that it is possible to refer to unregistered controlled series in the unregistered links note.

Sources of information

Information can be obtained from examination of the related records series, consultation with agencies, and analysis of the recordkeeping system to which the series being registered belongs.

Standards for content

A series can have more than one controlled series. The relationship is expressed as follows: the controlled series attribute comprises controlled series number and title; a period of relationship, that is, start date and end date (optional); and comments (optional). For example:

For X104, Subject index cards to X105, Correspondence files, multiple number series

Controlled series:
01 Apr 1967 - 17 Dec 1979: X105, Correspondence files, multiple number series

Amendments

Amend the entry as new relationships between series are discovered. Less importantly, amend the entry to complete period of relationship dates, often when one of the series ends.

Whenever updating controlled series information, check any unregistered controlled series to determine whether they have subsequently been registered - if so, delete the entry in the Unregistered Links Note and update the registered controlled series linkage. For data input purposes the controlled/controlling relationship need only be entered once.

Application notes

A controlled series will usually be the main component of a recordkeeping system, for example, a series of files. Include a Controlled Series entry in a registration only if you are satisfied that there is a direct link between the series and the controlling series. Make sample cross-checks of the entries in control records such as indexes or registers with corresponding records in the controlled series to confirm relationships.

Extent of the relationship necessary to establish a link

In some cases, the relationship between two series may affect only a very small portion of each. It is difficult to be precise about the extent of the relationship between two series that is required in order to record a Controlled Series link. However, you may disregard slight or tenuous relationships if you consider that recording them as controlled series would divert users attention from other entries for more relevant series. Such minor relationships can be recorded as Related Series (see below) or mentioned in the Series Descriptive Note under the Relationships with other records subheading. Record more substantial relationships involving portions of series as a controlled series, but add a comment to indicate the extent or nature of the relationship.

Period of relationship

Indicate the period that two series are related to help users identify other series that may be useful to their search. This period should be based on the series (accumulation) date range, that is, a relationship can only begin once both series have been created. Aim to identify the date range of the relationship with accuracy to no more than month and year except where exact dates are easily identified. In some cases the period of relationship may be difficult to determine and it may, if necessary, be omitted. However, the start date of the period of relationship is presently used as the basis for sorting, where there are multiple entries in the element, so attempt to provide the start date if possible.

Expression of dates

All dates in predetermined date fields are subject to validation to facilitate searching, sorting, validations and consistency in reports. It is not necessary to enter day, month and year if the full date is not known. Use a date qualifier only if the year is in doubt. (Unless notes are kept to indicate the part or parts of the date to which a qualifier applies, the use of the qualifier can be misleading, especially when just year ranges and qualifiers are presented in reports.)

Date range conventions

Start date qualifier

(only if year is in doubt)

circa

by

Start date

1952

May 1952

23 May 1952

End date qualifier

(only if year is in doubt)

circa

by

End date

1978

November 1978

23 November 1978

 

It is permissible to have a gap between the end date of one series and the start date of the other. For example, an agency created, in 1965, an index to files recorded between 1950 and 1960. In this case, the start date for the period of relationship will be shown as 1965. The end date would be the date the agency ceased to use the index as an active control record for these files. Showing a start and end date for a non-contemporaneous relationship may cause some confusion but is nevertheless useful in fulfilling the purpose of this attribute. For example, for A8891, Printout of files destroyed under sentencing program for CRS A432, 20 Dec 1991-,

Controlled series:
20 Dec 1991-A432

Correspondence files, annual single number series

Use the series note to explain complex relationships.

Comments

A comment, which would rarely be included, should be restricted to information about the relationship between the two series. Comments should be succinct and make sense in reports for each of the two linked series, eg

Comments: name index cards control portion relating to employment in NT

Where there are many controlled series it is desirable to indicate their relative importance and usefulness. However, this cannot be done here until a separate comment can be made for each series in the relationship, otherwise the comment will be ambiguous in reading the corresponding Controlled Series field. So, explain the relative importance and usefulness of control records for a series as necessary in the Relationship with other records subheading in the Series Descriptive Note.

Documenting unregistered controlled series

Document an unregistered link between series only where knowledge of the unregistered series provides important recordkeeping context, but for some reason it cannot yet be registered, or is outside the Archives' sphere of operations; for example, a State Government series is controlled by a portion of a top-numbered Commonwealth Government controlling series, but remains with the State Government.

Do not use the Unregistered Links Note to save time or to avoid the registration process for series that should be registered according to the Archives' policies. Nor should the Unregistered Links Note be used for information that is unconfirmed: a more appropriate area for this sort of information is the Relationship with other records subheading in the Series Descriptive Note, where an explanation may be given.

Relationship to ISAD(G): 3.5.3

 

Related series

Definition

A related series is a series that has a relationship with another series, other than a previous, subsequent, controlling or controlled relationship.

Purpose

The purpose of this field is to indicate to users that there is a series that relates directly, either administratively or as part of the recordkeeping system, to the activity or functions recorded by the series being described.

For the Archives purposes, controlling, controlled and related series relationships are those which involve records recorded by agencies as part of their normal recordkeeping processes. They do not include lists of items prepared to accompany transfer of records to the Archives or finding aids prepared by the Archives itself: use the series note instead, under the subheading Finding Aids.

Relative importance

This field should be completed for significant registrations; and may be completed in other cases (category 4). It it important in placing the series being registered in its recordkeeping context. Note that it is possible to refer to unregistered related series in the unregistered links note.

Sources of information

Information can be obtained from examination of the related records series, consultation with agencies, and analysis of the recordkeeping system to which the series being registered belongs.

Many controlling and controlled series relationships can be found in the related series attribute.

Standards for content

A series can have more than one related series. The relationship is expressed in the following way: the Related Series attribute comprises related series number and title; a period of relationship, that is, start date and end date (optional); and comments (optional). A typical example is:

For X1367, Correspondence files, annual single number series, 20,000 block [Australian Milk Research Grants Applications],1965 -1988

Related series:
1973 - 1988X3000

Correspondence files, annual single number series

Amendments

Amend the entry when significant new relationships are identified. Less importantly, amend the entry to complete period of relationship dates, often when one of the series ends.

If usage of a series would be significantly improved delete any controlling or controlled series in the related series attribute and describe the relationship under the appropriate controlling and controlled series attribute. For data input purposes it is only necessary to enter this information on one occassion.

Application notes

This field should be used to indicate close relationships such as between separate series of case files and policy files dealing with the same function or activity. Indicating such relationships in the Related Series attribute can assist users to locate the records they seek. However, it is desirable also to explain the nature of the relationship in the relevant series note, as follows:

Policy matters relating to the Australian Milk Research Grants cases documented in this series were recorded in the Department's main correspondence series (X3000).

In exceptional circumstances controlling records may be related to each other through the related series attribute. For example, a subject index and a list of indexable headings controlling a series of correspondence files would be related. Registers, subject indexes and name indexes, although related in the same recordkeeping system, should not be cross-referenced as related series. To do so unnecessarily complicates the registration documentation when, in theory, each series is independently cross-referenced to a 'main' series. Therefore, when the registration for the main series is viewed, it should contain all references to the controlling and related series.

Period of relationship

Indicating the period that two series are related may help users identify relevant series. This period should be based on the series (accumulation) date range, that is, a relationship can only begin once both series have been created. Aim to identify the date range of the relationship with accuracy to no more than month and year, except where exact dates are easily identified. In some cases the period of relationship may be difficult to determine and it may, if necessary, be omitted. However, the start date of the period of relationship is presently used as the basis for sorting where there are multiple entries in the element, so attempt to provide the start date if possible.

Expression of dates

All dates in predetermined date fields are subject to validation to facilitate searching, sorting, validations and consistency in reports. It is not necessary to enter day, month and year if the full date is not known. Use a date qualifier only if the year is in doubt. (Unless notes are kept to indicate the part or parts of the date to which a qualifier applies, the use of the qualifier can be misleading, especially when just year ranges and qualifiers are presented in reports.)

Date range conventions

Start date qualifier

(only if year is in doubt)

circa

by

Start date

1952

May 1952

23 May 1952

End date qualifier

(only if year is in doubt)

circa

by

End date

1978

November 1978

23 November 1978

 

Comment

A comment, which would rarely be included, should be restricted to information about the relationship between the two series. Comments should be succinct and make sense in reports for each of the two linked series, for example, where a group of items from one series relate specifically to another series documenting a particular function,

Comments: items 74/1854 - 74/1864 of A1690 relate to A3610

In general it is preferable to use the Relationship with other records subheading in the Series Descriptive Note to explain relationships of this nature between series.

Documenting unregistered related series

Document an unregistered link between series only where knowledge of the unregistered series provides important recordkeeping context, but for some reason it cannot yet be registered, or is outside the Archives' sphere of operations; for example, a State Government series that is directly related to a Commonwealth Government series, but which remains with the State Government.

Do not use the Unregistered Links Note to save time or to avoid the registration process for series that should be registered according to the Archives' policies. Nor should the Unregistered Links Note be used for information that is unconfirmed: a more appropriate area for this sort of information is the Series Note, where an explanation may be given.

Relationship to ISAD(G): 3.5.3