3.0 STRUCTURE AND ADMINISTRATION AREA

DEFINITION:	This category is used to identify the authorizations, structure, and officers for an organization.
DISCUSSION:	This category provides information that describes its placement in an organization in relationship to other organizational units. This category would include: information on the range of authorizations that establish and change an organization; the organizational structure and changes thereto; and significant officers and incumbents for the organization.
>>Purpose:	Structure and administrative information provides a context for understanding an organization, its mandates, mission, and its operation. This information about an organization will also help understanding of the context in which records were created.
>>Nature:	This information is subject to change over time. These changes may range from very frequent to infrequent. Information on those changes, whatever the frequency, needs to be provided to ensure an understanding of organizational continuity and change.
SOURCES:	Information on structure and administration is most commonly found in organizational documentation, ranging from legal documents to annual reports, organizational charts, organizational manuals, and organizational histories. In some cases, more information sources such as oral interviews may provide the needed information. This information can be obtained at the point of records scheduling (if relevant), appraisal, accessioning or description. It is more likely to be reliable, however, when it is captured at the earliest point possible--particularly when the entity is in existence or when changes have just taken place. Significant information on structure, authorizations, and officers may be lost when identified after records have been received. This is particularly the case with organizations that are going out of business or are defunct. This information may also be assembled apart of acquisition of records in order to support planning for the archival program.
USES:	It also provides contextual information that can be used to interpret records of the organization.
ACCESS:	Direct searchable access to some types of structure and administrative information may be needed by some users. Much of this direct access will probably be to names of predecessor, successor and cooperating organizations with a clear expression of how they relate/are linked; these links must be highly navigable. Similarly, archivists and users will need direct access to names of types of officers and incumbents, again with a clear expression of how they related to/are linked with an organization.
TERMINOLOGY:
EXAMPLES:
INTERCHANGE:	Associations between the subcategories must be maintained during information exchange or data transfer.
RELATIONSHIPS:	This category is closely related to Organizational Scope.
PRACTICE:	Structural and administrative information is a common element of information prescribed for inclusion in archival description for organizations. In practice, this information is fairly regularly reported, but the quantity and coverage of data can vary significantly. This information is not generally structured in typical archival finding aids.
ISSUES:	Structural and administrative information have multi-level and multi-dimensional relationships that need to be clearly described, and/or shown, and provided with as much completeness as necessary to provide the context necessary to understand records. Information available can be incomplete or questionable. Methods for dealing with these issues need to be addressed.

3.1 AUTHORIZATIONS

DEFINITION:	Authorizations give organizations the right to exist and the authority or power to act. Information about authorizations documents the sources of: an organization's authority to act, its scope (i.e., missions, mandates, responsibilities, functions and activities), its structure and method of operation, and any changes thereto.
DISCUSSION:	This definition of information about athorizations focuses on "formal" authorizations. Organizations may, however, exist and act in the absence of formal athorizations, and such situations should also be documented. Information about authorizations frequently consists of --the name or characterization of the person or body responsible for authorization actions --citations to formal authorization documents (e.g., laws, resolutions, orders, constitutions, regulations) --the action authorized (e.g., establishment or disestablishment, assignment or reassignment of functions or activities, specification of operational methods, specification of organizational structure) --associated dates --and possibly other details. The actual text of authorizations might also be considered part of this category.
>>Purpose:	Information about authorizations is maintained by organizations to validate their existence, to justify their actions or operations (both current and past), and to explain their structure. Archives maintain this information about authorizations because organizational actions and operations lead to the creation of records. The historical value as well as the legal standing of records may depend on documentation of organizational authorizations.
>>Nature:	Authorization may be changed or revoked, citations may be revised in source documents (i.e statute revision.)
SOURCES:	Information about authorizations may be identified from authorization documents themselves (e.g., laws, regulations, constitutions, and bylaws); from secondary sources such as annual reports, organizational histories, or similar organizational summaries produced by the organization; or from directories, indexes, or other souces produced outside the organization.
USES:	A citation may refer a user to the source of the text of an authorization. The citation could also provide for automated links to source text, given appropriate implementations.
ACCESS:	In some settings, direct access to authorizations may be needed, especially in a legal or governmental setting. Archivists might use direct access to this in order to retrieve all records related to that authorization for purposes of updating records when the authorization is changed. It may be used for locating other organizations sharing the same authorization. This may be the case in particular for maintaining the archival records of an active, ongoing institution.
TERMINOLOGY:	Established methods for making citations to authorizations need to be followed to assist in retrieval when necessary, and in providing comprehensible citations for users.
EXAMPLES:	Michigan Public Act 57 of 1838 established the State Militia; Public Act 147 of 1846 resulted in the complete reorganization of the Militia. In Laws of 1917, Chapter 161, New York State established a Department of State Police to provide law enforcement in the rural areas of the State.
INTERCHANGE:	Associations between the subcategories must be maintained during information exchange or data transfer.
RELATIONSHIPS:	This category relates to Organizational Scope.
PRACTICE:	Authorizations are a common element of information prescribed for inclusion in archival description for organizations. In practice, this information is fairly regularly reported for establishing authorizations in those descriptions where organizational background information is provided. Information on authorizations for changes after the establishment is less frequently provided.
ISSUES:

3.2 ORGANIZATIONAL STRUCTURE

DEFINITION:	This category identifies the structural patterns for the organization, including: predecessor organizations; successor organizations; superior or subordinate bodies; advisory bodies that have formal relationships to the organization; or cooperative relationships.
DISCUSSION:	This category focusses on the organizational pattern in order to describe relationships between parts of the organization internally, what those patterns of internal organization are over time, and how the organization formally relates with other bodies.
>>Purpose:	The explanation of organizational structure provides descriptive information on the organization, which may also be used to support contextual understanding of an organization's operation. The organizational structure can assist in reaching a better understanding of how an organization is structured to carry out its mission, functions, and activities. It provides information on what structural relationships existed at a given time, and how they have changed over time.
>>Nature:	This information may change at varying rates, depending on the organization. It may also be more or less formally accomplished. This information consists of names of organizations with which the organization is linked, types of links, and relevant dates. Sometimes this information is ambiguous, missing, or misleading.
SOURCES:	Organizational structure may be determined from authorizing documents, annual reports, organizational charts, organizational histories, or summaries. Some information, particularly related to informal relationships, is inferred during research or description.
USES:	Information regarding organizational structures can provide contextual information for researchers that will help in evaluating data in archival records. It also can point researchers to records created by predecessor or successor organizations, to related parts of the organization, or to related and cooperating organizations with which the researcher may not be familiar. This information can be useful in identifying what portion of an organization created records at a given time and what other organizational elements coexisted at the same time. Further, it can identify what predecessor and successor bodies may have been/are involved in the creation of records, or related records
ACCESS:	Direct searchable access to this information will be needed by a number of researchers. Further, the relationships and linkages between components of the organization need to be retrievable and navigable in a manner that reflects multi-level and multi-dimensional relationships.
TERMINOLOGY:	Common standards for forming organizational names need to be followed in order to ensure retrieval of this information. There may need to be standards developed to describe standard types of relationships.
EXAMPLES:	(organizational chart) Agency: Collector of Customs Superior agency: Department of Trade and Customs Department of Customs and Excise Agency controlled: Sub-collector of Customs, Rockhampton Sub-collector of Customs, Sub-collector of Customs, Maryborough
INTERCHANGE:	Associations between the subcategories must be maintained during information exchange or data transfer.
RELATIONSHIPS:	This category relates to Organizational Scope, Functions and Activities.
PRACTICE:	Organizational structures are a common element of information prescribed for inclusion in archival description for organizations. In practice, this information is fairly regularly reported with accuracy for the organization as it existed during the predominant period of records creation. The structures for predecessor organizations and successor organizations may receive less attention.
ISSUES:	Discussion has occurred in the archival profession about the level of description appropriate for organizational structure, that is, how much hierarchy should be identified, and how extensively traced. Methods for presenting this information need to be assessed, particularly since graphical presentation may be helpful.

3.3 OFFICERS AND INCUMBENTS

DEFINITION:	This category identifies the positions within an organization that are critical to describing the organizational structure, its functions, and its records-keeping practices. It also identifies the incumbents who are occupying/have occupied those positions.
DISCUSSION:	This category focusses on the key positions within an organization that have some significant impact on the governance, functions, activities, and thereby on the records created. The names of incumbents can be provided as well. Information should include: dates; method of entry and exit from office; and source of appointment. This information is helpful to understanding how an organization operates by providing information on the officials who govern, administer,and carry out the functions of an organization. The officers and the individuals who serve in an organization can have a significant effect on policy, administration, and the way in which organization's mission is carried out. In some cases, particular individuals have a major influence on the direction of an organization, so information identifying them can be a critical piece of contextual evidence. The identification of incumbents has potential links to biographical information for specific individuals.
>>Purpose:	To provide information that will allow the linking of official capacities to individuals who carried them out.
>>Nature:	This information may change at varying rates, depending on the office and incumbent. It may also be more or less formally accomplished.
SOURCES:	Officers and incumbents may be identified from: annual reports; employment rosters; civil lists; organizational manuals; telephone books or organizational directories; organizational histories or summaries; and from the records themselves.
USES:	Information on officers and incumbents is used to clarify the role of individuals in the operation of an organization, and the influence they may have had on governance, functions,and ultimately records created. Information on officers and incumbents is useful to users in supporting the interpretation of information about an organization's archival records. It is also useful for users interested in certain offices or types of officials, irrespective of the specific organization itself. It is also more peripherally useful to users seeking information about specific individuals.
ACCESS:	Direct searchable access is useful to the titles of positions (when they are generic occupations, perhaps less so when the title is highly unique) and to the names of specific individuals. Access by date of incumbency and method of entrance and exit may also be needed.
TERMINOLOGY:	A common guideline for determination of position names should be used, probably involving the selection of a controlled vocabulary list, including use of hierarchical thesauri to link generic classification with specific and unique titles. Appropriate and relevant standards should be used for forming names.
EXAMPLES:	Position: New York (State). Governor. Incumbents: Alfred E. Smith 1919-20, 1923-28. Nathan L. Miller 1921-22 Franklin D. Roosevelt 1929-32 Herbert H. Lehman 1933-42
INTERCHANGE:	Associations between the subcategories must be maintained during information exchange or data transfer.
RELATIONSHIPS:	This category relates to Organizational Scope.
PRACTICE:	Officers and incumbents are a common element of information prescribed for inclusion in archival description for organizations. Commonly recorded are the names of offices and individuals that appear in actual archival records. It is more common to identify heads of organizations and less common to provide a comprehensive list of all those involved in the organization.
ISSUES:	Some consideration needs to be given to the extent to which information on officers who are not represented in records should be recorded.