澳大利亚文件系列体系的历史演进、思想内核与当代镜鉴

The Historical Evolution, Core Ideology and Contemporary Reflection of the Australian Record Series System

龙家庆

LONG Jiaqing

中国人民大学信息资源管理学院北京 100872

出版日期2025-08-28卷期第39卷第4期页码132-140DOI10.16065/j.cnki.issn1002-1620.2025.04.016

查看 HTML 全文下载 PDF 全文期刊原文页

摘要

文件系列体系被誉为文件连续体模型建构的基石，它通过“文件管控”和“背景管控”实现了文件档案的连续性保管，成为澳大利亚档案学的标志性贡献。20世纪中叶，针对联邦政府机构普遍存在的文档管理脱节问题，澳大利亚档案部门在承袭英联邦登记室制度与证据链保管传统的基础上，采用“文件系列”替代“文件组合”作为档案编目的首要层级。该体系历经三个阶段的演进，最终形成了富有特色的国家档案分类与整理体系，这不仅突破了传统欧美档案话语的垄断，还给国际档案著录标准研制工作带来了实质性影响。步入数字转型时期，该体系通过强化多重来源背景与元数据捕获机制，构建了完整的数字档案保管证据链，促使国际档案界重新审视“来源原则”和“全宗理论”。其蕴含的多维著录理念和背景化管控思想，对中国档案数据化管理亦有借鉴意义。但由于中澳两国在档案管理体制和数字治理生态等方面存在差异，因此在方法借鉴时需强化本土适用性的反思，以助推中国自主的档案学知识体系建设。

关键词：文件系列澳大利亚来源观文件连续体多重来源

Abstract

The record series system is regarded as the cornerstone in the construction of the records continuum model, ensuring the continuity of archival management through "record control" and "context control" making it a landmark contribution to Australian archival studies. In the mid-20th century, to address the widespread problem of disjointed record keeping within Commonwealth government agencies, the Australian archival agency, while inheriting the Commonwealth registry system and the evidence chain of custody, abandoned the "record group" and adopted the "record series" as the primary level of archival description. The system has evolved through three stages, ultimately forming a distinctive national system for record classification and management. This system not only broke the monopoly of traditional European and North American archival discourse but also had a substantial impact on the development of international archival description standards. In the digital transformation era, the system strengthens its focus on multiple-provenance contexts and metadata capture mechanisms, constructing a complete custody chain of digital archive and prompting the international archival community to reconsider the principle of provenance and theory of fonds. The ideas of multidimensional description and context-based control provide valuable insights for China's archival data management. However, due to differences in the archival management systems and digital governance ecosystems between China and Australia, any methods adaptation must consider local applicability, which will promote the development of an autonomous archival science knowledge system of China.

Key words: record series; Australia; concept of provenance; records continuum; multiple-provenance

引用格式

龙家庆. 澳大利亚文件系列体系的历史演进、思想内核与当代镜鉴[J]. 档案学研究, 2025, 39(4): 132-140.

LONG Jiaqing. The Historical Evolution, Core Ideology and Contemporary Reflection of the Australian Record Series System. Archives Science Study, 2025, 39(4): 132-140.

参考文献

展开查看参考文献（31 条）

[1] [13] UPWARD F. In search of the continuum: Ian Maclean's "Australian experience"essays on recordkeeping[M]// MCKEMMISH S, PIGGOTT M. The records continuum:Ian Maclean and Australian archives first fifty years. Clayton: Ancora Press, 1994: 110-130. [2] [18][27] SCOTT P. The record group concept: a case for abandonment[J]. The American Archivist, 1966(4): 493-504. [3] MCKEMMISH S, PIGGOTT M. The records continuum: Ian Maclean and Australian archives first fifty years[M]. Clayton: Ancora Press, 1994: 1-13. [4] 连志英. 一种新范式:文件连续体理论的发展及应用[J]. 档案学研究, 2018(1):14-21. [5] 吕文婷. 文件连续体理论的澳大利亚本土实践溯源[J]. 档案学通讯, 2019(3):12-19. [6] COOK T. The concept of the archival fonds in the post-custodial era: theory, problems and solutions[J]. Archivaria, 1993(1): 24-37. [7] 黄霄羽. 核心概念宜立边界,支柱理论方护根基—“来源观”的演变及其特点和影响评价[J]. 档案学通讯, 2014(5):23-28. [8] 吕颜冰. 文件系列:一种后保管的档案整理与编目方法[J]. 档案学通讯, 2015(5):87-93. [9] [42] CUNNINGHAM A, MILLAR L, REED B, et al. Scott and the Australian series system: its origins, feature, rationale, impact and continuing relevance[J]. Comma, 2013(1): 121-144. [10] International Council on Archives. Records in contexts(RiC)[EB/OL].[2023-12-30]. https://www.ica.org/ica-network/expert-groups/egad/records-in-contexts-ric/. [11] CRS手册全称《联邦文件系列检索系统手册》,1990年首次出版(3卷),于1997年、2000年和2004年先后再版.根据2025年2月官网消息,最新版本的手册处于审查阶段。 [12] [14][41] WHITE H L. The development of the commonwealth archives programme[J]. Australian Journal of Public Administration, 1956(4): 290-304. [13] [16] MACLEAN I. Experience in records and archives management[J]. The American Archivist, 1959(4): 387-418. [14] MCKEMMISH S, PIGGOTT M, REED B, et al. Archives: recordkeeping in society[M]. Amsterdam: Elsevier, 2005: 114-117. [15] SCOTT P. Archives and administrative change. Some methods and approaches(Part 4)[J]. Archives & Manuscripts, 1980(2): 51-69. [16] [21][29][32] WAGLAND M, KELLY R. The series system—a revolution in archival control[M]// MCKEMMISH S, PIGGOTT M. The records continuum:Ian Maclean and Australian archives first fifty years. Clayton: Ancora Press, 1994: 131-150. [17] GRS手册著录规则与国际档案理事会发布的著录标准ISAD(G)和ISAAR(CPF)相衔接,包括采用了法人机构、个人和家族等权威性定义。 [18] National Archives of Australia. Advanced search_Commonwealth record series(CRS)system[EB/OL].[2024-03-22]. https://recordsearch.naa.gov.au/SearchNRetrieve/Interface/SearchScreens/AdvSearchMain.aspx. [19] 这里反映出逻辑上的调整,同时保持原有纸质档案的整理体系。 [20] 20世纪90年代,“职能”逐渐成为背景分析的重要元素,并为后续基于职能分类和鉴定提供了方法论.从历史实践看,这是受到文件保管业务需求驱动的影响,并成为文件系列体系中背景分析的一环。 [21] [30] HURLEY C. The Australian("series")system: an exposition[M]// SUE MCKEMMISH, MICHAEL PIGGOTT. The records continuum:Ian Maclean and Australian archives first fifty years. Melbourne: Ancora Press, 1994: 150-172. [22] HEAZLEWOOD J. Developments in computerised documentation systems at the Public Record Office, Victoria[J]. Archives and Manuscripts, 1989(2): 165-182. [23] RINSE可视为一个“文件信息服务数据库”(records information service data),本质是术语条目的汇集。 [24] FISHBEIN M. Editor's forum(letter to the editor)[J]. The American Archivist, 1967(1): 240. [25] ROPER M. Modern departmental records and the Record Office[J]. Journal of the Society of Archivists, 1972(5): 400-412. [26] VINCENT C R. The record group: a concept in evolution[J]. Archivaria, 1976(1): 3-16. [27] 王英玮, 陈智为, 刘越男. 档案管理学[M]. 北京: 中国人民大学出版社, 2021:60-62. [28] ANDRESEN H. A discussion frame for explaining records that are based on algorithmic output[J]. Records Management Journal, 2020(2): 129-141. [29] SMITH C. The Australian series system[J]. Archivaria, 1995(1): 86-93. [30] CUNNINGHAM A. Describing archives in context: Peter J Scott and the Australian "series" system[M]// VICTORIA L. Building trust in information:perspectives on the frontiers of provenance. Cham: Springer International Publishing, 2016: 49-57. [31] 龙家庆. 档案学视角下“背景”(Context)的概念、构成与功能[J]. 档案学通讯, 2024(3):54-63.

学会介绍

学会资讯

会员服务

学术资源

兰台立方

澳大利亚文件系列体系的历史演进、思想内核与当代镜鉴