University of Michigan/School of Information

SI 629 ACCESS SYSTEMS FOR ARCHIVAL MATERIALS

Fall Term 1999

Meeting Time: Tuesdays 1:00 to 4:00

Location: 409 West Hall

Credits: 3

Prerequisite: SI 503 or Permission of Instructor

Instructor: Margaret Hedstrom

Office: 3082 West Hall

Phone: 734-647-3582

E-Mail: hedstrom@umich.edu

Office Hours: Mondays 1:00 to 3:00

COURSE DESCRIPTION
What this course is about:

This course is about the practice of providing access to archival materials, the theory behind the practice, the tools and technologies that enable access and a vision for how these basic elements can work together in access systems. The course deals with the question of what, who, why, and how.

What are archival materials (or primary sources, or records, or archives) and what are the unique problems in providing access to them? (Keep in mind that the term "archival materials" is defined broadly and includes archives, manuscripts, photographs, film and video, sound archives, oral histories, electronic documents, and other unpublished materials.)

Who uses archives and what do archivists need to know about users’ needs?

Why are the tools and methods used to provide access to archives different from tools for bibliographic systems and databases?

How do archivists use finding aids, cataloging, indexing, and imaging to improve access?

The course combines theory (which we read about and discuss) with practical applications (which we learn through projects and short assignments). There is also considerable emphasis on emerging practices and tools.

The course is divided into four parts:

The first part (Weeks 1-3) covers the basic concepts in access to archives, but mainly focuses on users, uses, and user-centered design.

The second part (Weeks 4-8) focuses on archival concepts and approaches to access (finding aids, EAD, shared databases, MARC) mostly at the collection and series level.

The third part (Weeks 9-12) deals with descriptive standards and access (access points, authority control, and digital imaging as an access tool). We work with tools for description and access at various levels (repository, collection, series, item) and discuss descriptive standards appropriate for different levels of access.

The fourth part (Weeks 13-14) will consider how these tools can work together and how archival access methods harmonize with access systems for other types of information.

Why I teach this course

My biases: The archival profession does not know enough about its users: who they are, what they want from archives, and how they go about finding materials of possible value. Worse yet, some archivists don’t care, and others think there is little or nothing archivists can learn from users. Meanwhile, archival repositories invest a great deal of time and effort in tools and systems for access, but we are never quite sure how to evaluate whether or how these tools help users. Most access tools and systems were designed by archivists, for archivists, which was not such a big problem when a professional archivist mediated all interactions between users and the materials. Human mediation between users and materials is still important and I do not believe that it is going away or diminishing in importance. At the same time, archives are building access tools and systems (shared databases, on-line finding aids, and image databases) that allow some users to access archives with less (and in a few cases) no interaction with the reference archivist. In fact, providing remote and direct access is what these tools are designed to do. (Last year the National Archives served 2.6 million people in person at its various research facilities, but received more than 56 million hits on its web site). I am convinced that access tools and methods designed for use in a repository with assistance available from a professional cannot serve the needs of all of these new types of users.

My practical motivations: During my 20 plus years in the archival profession, I have seen several fads pass through the archival profession. In the 1980s, MARC was the fad and knowing how to "do MARC" gave people entering the profession a leg up. EAD is today’s fad, along with digital imaging to a lesser extent. Established archivists have to go to workshops or struggle on their own to learn EAD, which gives students who learn it in graduate school a leg up in the job market. I don’t mean to suggest the MARC and EAD have not been valuable improvements in access systems, but archival access systems change and evolve, and they are changing rapidly at the moment. We examine the theory and principles behind techniques because I believe that students who understand the principles will be better prepared to adapt to the almost inevitable next generation of access systems.

COURSE OBJECTIVES
Become familiar with current knowledge of user needs and requirements for access to archival materials

Learn how to apply basic concepts in user-centered design to access systems for archives

Develop the ability to assess critically the methods currently used to provide access to archival materials at the repository, collection, finding aid, and document level

Develop basic competence in descriptive standards and rules such as MARC, and Encoded Archival Description (EAD) and learn when to employ particular standards and guidelines

Develop a foundation in current standards and practices for using metadata to enhance access to and management of archives

Learn how to assess when and how digital imaging is a viable tool for improving access to archival materials
 
 

REQUIREMENTS
READINGS
Encoded Archival Description Part 1: Context and Theory. Special Issue of the American Archivist 60:3 (Summer 1997). Order from Society of American Archivists www.archivists.org.

Coursepack: The coursepack is available at Ulrichs.

On-line: Some of the readings are only available or are most easily accessible on the Internet. Internet addresses are provided with each week’s reading assignments.

Reserve: Required readings and the coursepack are also on reserve.

Optional Reading

Archives, Personal Papers and Manuscripts: A Cataloging Manual for Archival Repositories, Historical Societies, and Manuscript Libraries (APPM), Chicago: Society of American Archivists, 1989. This can be purchased from the Society of American Archivists. For ordering information, see the SAA web page: www.archivists.org. Students specializing in archives and records management will find this a useful reference source.

ASSIGNMENTS
1. Complete all required readings and other background preparation and participate in class discussions.

2. Complete Mark-up of a finding aid in Encoded Archival Description (EAD)

3. Create a MARC record (or records) from the Finding Aid and add controlled access points

Select materials for digitization and estimate costs
5. Complete one group project with a group presentation in class. The class will divide into four groups and design an access system for an archival collection from the perspective of 1) middle school students, 2) professional historians and graduate students in history, 3) general public users, and 4) the creating organization.
 
 
DEADLINES
October 19: Finding Aid, Part 1

October 26: Finding Aid, Part 2

November 9: MARC Record, Part 1

November 16: MARC Record, Part 2

November 30: Imaging Assessment

December 14: Group Projects – Presentations in Class

EVALUATION
Evaluation will be based on the following factors:

Preparation and participation in discussion 20%

Finding Aid 15%

MARC Record 15%

Digitization Assessment 20%

Group Project 30%
 
 

COURSE OUTLINE

PART I: ARCHIVAL CONCEPTS AND USER REQUIREMENTS (WEEKS 1-3)

INTRODUCTION AND OVERVIEW: Week 1 (Sept. 14)

Course Logistics

Course Objectives and Requirements

Definition of Archival Materials

Why Finding And Using Archival Materials Is Problematic

Evolution of Access Tools and Systems
 
 

USERS AND USES OF ARCHIVES: Week 2 (Sept. 21)
Who Uses Archives?

How are Archival Materials Used?

What Do We Know about

the Use of Archives?

Recent Trends in Use and Users

Coursepack

James Edward Cross, "Archival Reference: State of the Art," in Laura B. Cohen, ed. Reference Services for Archives and Manuscripts, Haworth, 1997: 5-25.

LeRoy Barnett, "Sitting in the Hot Seat," in Laura B. Cohen, ed. Reference Services for Archives and Manuscripts, Haworth, 1997: 39-53.

Robert Spindler and Richard Pearce-Moses, "Does AMC Mean Archives Made Complicated? Patron understanding of USMARC AMC Catalog Records, American Archivist 56 (Spring 1993): 330-41.

Wendy Duff and Penka Stoyanova, "Transforming the Crazy Quilt: Archival Displays from a Users’ Point of View," Archivaria 45 (Spring 1998): 44-79.
 
 

USER NEEDS AND USER-CENTERED DESIGN PRINCIPLES: Week 3 (Sept. 28)

Overview of User-Centered Design Principles

Applying User-Centered Design to Archives

Coursepack

David Redmond-Pyle, Graphical User Interface Design and Evaluation. Trowbridge: Redwood Books, 1995, 1-42.
 
 

PART II: LEVELS OF ACCESS (WEEKS 4-9)

ARCHIVAL CONCEPTS AND APPROACHES TO ACCESS: Week 4 (Oct. 5)

Intellectual and Physical Access

Levels of Access (Multi-Institutional, Repository, Collection, Series … Item)

The Role of Arrangement and Description

The Role of Context and Provenance in Description and Access

Coursepack

T.R. Schellenberg, "Archival Principles of Arrangement," in A Modern Archives Reader, Edited by Maygene F. Daniels and Timothy Walch, (Washington, D.C.: National Archives and Records Service, 1984): 149-61.

Oliver W. Holmes, "Archival Arrangement--Five Different Operations at Five Different Levels," in A Modern Archives Reader, edited by Maygene F. Daniels and Timothy Walch, (Washington, D.C.: National Archives and Records Service, 1984): 162-180.

David Bearman and Richard H. Lytle, "The Power of the Principle of Provenance," Archivaria 21 (Winter 1985-86): 14-27.

Terry Cook, "The Concept of the Archival Fonds: Theory, Description, and Provenance in the Post-Custodial Era," Archivaria 35 (Spring 1993): 24-37.

FRAMEWORKS FOR DESCRIPTION & ACCESS: Week 5: (Oct. 12)

Standards for Information Systems, Data Structures, Data Contents and Data Values

International Standard for Archival Description (ISAD(G))

On-Line

Society of American Archivists, Working Group on Descriptive Standards, Standards for Archival Description: A Handbook, available http://www.archivists.org/catalog/stds99/intro.html

Read: Introduction. Note: Look carefully at the WGSAD Matrix.

International Council on Archives, "Statement of Principles Regarding Archival Description," and "ISAD(G) <http://www.archives.ca/ica/cds/isad(g)e.html>

Coursepack

Roe, Kathleen D., "From Archival Gothic to MARC Modern: Building Common Data Structures, American Archivist, 53 (Winter 1990): 56-66.

David Bearman, "Documenting Documentation," Archivaria 34 (Summer 1992): 33-49.

CREATING SURROGATES FOR ARCHIVAL COLLECTIONS: FINDING AIDS: Week 6 (Oct. 19)

Purpose of Finding Aids

Components of Finding Aids

Finding Aid Assignment: Part One (Identify Major Structural Elements of a Finding Aid)
 
 

On-Line

Background on the Development of Standards for Finding Aids: SAA WGSAD: Chapter

5, Finding Aids: http://www.archivists.org/catalog/stds99/chapter5.html

EAD Design Principles http://www.loc.gov/ead/eaddsgn.html

American Archivist Special Issue on EAD 60:3 (Summer 1997)

Daniel Pitti, "Encoded Archival Description: The Development of an Encoding Structure for Archival Finding Aids," American Archivist 60:3 (Summer 1997): 268-83.

Steven J. DeRose, "Navigation, Access, and Control Using Structured Information," American Archivist 60:3 (Summer 1997): 298-309.

Janice Ruth, "Encoded Archival Description: A Structural Overview," American Archivist 60:3 (Summer 1997): 310-329.

Kris Kiesling, "EAD as an Archival Descriptive Standard," American Archivist 60:3 (Summer 1997): 344-54.

Coursepack

Chris Hurley, "The Making and Keeping of Records: (1) What are Finding Aids For?" Archives & Manuscripts 26:1 (May 1998): 58-77.

ENCODED ARCHIVAL DESCRIPTION: WEEK 7 (OCT.26)

Evolution and current status of EAD

EAD Applications

Related encoding standards

Finding Aid Assignment: Part Two (Mark-up a Finding Aid)

American Archivist Special Issue on EAD

Michael Fox, "Implementing Encoded Archival Description: An Overview of Administrative and Technical Considerations," American Archivist 60:3 (Summer 1997): 330- 43.

Coursepack

Tim Hutchinson, "Strategies for Searching Online Finding Aids: A Retrieval Experiment, Archivaria 44 (Fall 1997): 72-101.

SURROGATES FOR ARCHIVAL COLLECTIONS: MARC CATALOGING: Week 8 (November 2)

Core Descriptive Elements

Use of the MARC format for sharing descriptive information

Preparation: On-line Search Assignment

Coursepack

Lisa B. Weber, "Archival Descriptive Standards: Concepts, Principles, and Methodologies," American Archivist 52 (Fall 1989): 501-13.
 
 

American Archivist Special Issue on EAD

Steven L. Hensen, "’NISTF II’ and EAD: The Evolution of Archival Description," American Archivist 60:3 (Summer 1997): 284-296

On Reserve

Archives Personal Papers and Manuscripts: APPM, Chicago: Society of American Archivists, 1989.
 
 

PART III: DESCRIPTIVE STANDARDS AND ACCESS (Week 9-12)

ARCHIVAL AUTHORITY CONTROL: Week 9 (November 9)

The Concepts behind Archival Authority Control

Standards for Archival Authorities

Assignment: Create MARC Record from a Finding Aid

Coursepack

Richard H. Lytle, "Intellectual Access to Archives: I. Provenance and Content Indexing Methods of Subject Retrieval," American Archivist 43 (Winter 1980): 64-75.

Richard H. Lytle, "Intellectual Access to Archives: II. Report of an Experiment Comparing Provenance and Content Indexing Methods of Subject Retrieval," American Archivist 43 (Spring 1980): 191-207.

Max J. Evans, "Authority Control: An Alternative to the Record Group Concept," American Archivist 49 (Summer 1986): 249-61.

On-Line

International Council on Archives, "ISAAR (CPF): International Standard Archival Authority Record for Corporate Bodies, Persons, and Families," 1996.
http://data1.archives.ca/ica/cds/isaar_e.html

ACCESS BY SUBJECT, FUNCTION, FORM & GENRE: Week 10 (November 16)

Advantages and problems with subject access to archival materials

Form & genre as access points

Controlled Access terms

Assignment: Add Access Points to MARC Record

Coursepack

Diane Beattie, "Retrieving the Irretrievable: Providing Access to Hidden Groups in Archives," in Laura B. Cohen, ed. Reference Services for Archives and Manuscripts, Haworth, 1997: 83-94.

Avra Michaelson, "Description and Reference in the Age of Automation," American Archivist 50 (Spring 1987): 192-208.

Helen Tibbo, "The Epic Struggle: Subject Retrieval from Large Bibliographic Databases," American Archivist 57 (Spring 1994): 310-326

Zinkham, Helena, Patricia D. Cloud and Hope Mayo, "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques," American Archivist 52 (Summer 1989): 300-19.

David Bearman and Peter Sigmond, "Explorations of Form of Material Authority Files by Dutch Archivists," American Archivist 50 (Spring 1987): 249-253.

Monroe, Alden and Roe, Kathleen, "What’s the Purpose? Functional Access to Archival records," in Beyond the Book: Extending MARC for Subject Access, Boston: G.K. Hall, 1990: 157069.
 
 

IMAGING AND ACCESS: Week 11 (November 23)

Use of digital imaging for item level access

Selection for Digitization

Description and Access Requirements for Digital Images

On-Line

Howard Besser & Jennifer Trant, Introduction to Imaging, Getty Art History Information Program, 1995. http://www.getty.edu/gri/standard/introimages/

(This is a good reference source for digital imaging terminology and concepts. You can also order a hard copy from the Getty Institute: www.getty.edu)

Excerpts from: Selecting Library and Archive Collections for Digital Reformatting: Proceeding from an RLG Symposium held November 5-6, 1995 in Washington, D.C., Research Libraries Group, Inc. 1996: Clifford Lynch, "The Role of Digitization in Building Electronic Collections," pp. 1-9; Samuel Demas, "What Will Collection Development Do?" pp. 13-22; "Selection Exercise and Perspectives," pp. 91-117.

DESCRIPTION AND ACCESS TO IMAGES (Week 12 (November 30)
Problems of access to image-based information

Access Methods for images

Assignment: Digitization Assessment and Costing

On-Line

Shih-Fu Chang, et.al. "Finding Images/Video in Large Archives, D-Lib Magazine (Feb. 1997), http://www.dlib.org/dlib/february97/columbia/02chang.html

Mike Lesk, "Finding Pictures," RLG DigiNews, http://www.rlg.org/preserv/diginews/diginews21.html#feature

Franziska Frey, Digital Imaging for Photographic Collections: Foundations for Technical Standards, RLG DigiNews, http://www.rlg.org/preserv/diginews/diginews3.html#com
 
 
 
 

PART IV:INTEGRATING ARCHIVAL MATERIALS INTO ACCESS SYSTEMS

ARCHIVAL METADATA AND ACCESS SYSTEMS: Week 13 (Dec. 7)

Managing and Using Metadata for Access to Archival Materials

Use of Metadata for Access to Digital Information

Integration of Archival Metadata into Access Systems

Coursepack

Margaret Hedstrom, "Descriptive Practices for Electronic Records: Deciding What is Essential and Imaging What is Possible," Archivaria 36 (Autumn 1993): 53-63.

David Wallace, "Managing the Present: Metadata as Archival Description," Archivaria 39 (Spring 1995): 11-21.

Heather MacNeil, "Metadata Strategies and Archival Description: Comparing Apples to Oranges," Archivaria 39 (Spring 1995): 22-32.

Wendy Duff, "Will Metadata Replace Archival Description? A Commentary," Archivaria 39 (Spring 1995): 33-38.

On-Line

Dublin Core Metadata Element Set

http://purl.oclc.org/metadataq /dublin_core/

Eric Miller, "An Introduction to the Resource Description Framework, D-Lib Magazine," (May 1998) http://www.dlib.org/dlib/may98/miller/05miller.html
 
 

SUMMARY AND GROUP PROJECT PRESENTATIONS Week 14: (Dec.14)