Review of

Review of
National Library of Australia’s
Reference Services

by Gavan McCarthy

Director

Australian Science Archives Project

University of Melbourne

203 Bouverie Street

Carlton VIC 3053

email: gavan@asap.unimelb.edu.au

Terms of Reference

TR1.How appropriate are the National Library of Australia's reference services to users' current and anticipated needs in accessing information?

TR2.How effective are the Library's reference services in meeting service objectives?

TR3.How well placed are the Library's reference services to respond to changes and opportunities in the environment?

Submission
Scope and Summary

This submission specifically addresses TR1 as it explores the appropriateness of the reference services supplied by the National Library of Australia to provide access to archives and manuscript collections held by the Library. It also explores the appropriateness of the information services it provides to improve knowledge of and access to archives and manuscripts held in other repositories around Australia.

Indeed, this submission stems from consideration of the Register of Australian Archives and Manuscripts (RAAM) and the structural and functional elements that limit it being an effective tool in helping to provide access to the nation’s distributed collections of archives and manuscripts. However, the purpose of the submission is not to focus on the shortcomings of RAAM but on what needs to be done next to radically improve service to all users of archives and manuscripts. In particular, attention is drawn to the lead taken by the International Council of Archives (ICA) in this area through their International Standard Archival Authority Record for Corporate Bodies, Persons, and Families {ISAAR(CPF)}.

It is strongly recommended that the NLA take a leadership role in the development and promotion of a Web-based database driven Australian Network of Archival Authority Records for Corporate Bodies, Person, and Families {ANAAR(CPF)}.

It is also strongly recommended that the NLA consult and work with archival organisations that not only have an interest in this area but also specific skills. In particular attention is drawn to the Australian Science Archives Project (ASAP) and its work in this area since 1987. Indeed, the initial work done by ASAP in the development of a de facto Archival Authority Record for Scientists was partly funded by the NLA.

This submission will briefly examine:

Archival Authority Records: the conceptual framework of the ISAAR(CPF) and the pivotal role it can play in linking and providing access to archives and manuscripts in all forms (physical and electronic) at all levels (within organisations, within the nation, and between nations);

Implementation on the WWW: a vision of how ANAAR(CPF) could be implemented in Australia;

Implementations already underway: a brief overview of what ASAP has already achieved in this area in both conceptual development and implementation (in book form, in on-line database form and on the World Wide Web) and mention of developments in the United Kingdom.

Archival Authority Records

In 1993 the ICA Ad Hoc Commission of Descriptive Standards took a lead in this area and put together a sub-group of mostly European archivists to develop a draft standard. The story of their work is related below:

The sub-group met in Liverpool, U.K., in November 1993 to consider issues relating to access points in archival description. Recognition of the importance of controlling the form and content of access points led the group to propose development of a standard for such control in archival information systems. The standard envisioned by the group had much in common with library standards for authority control of headings, but it was nevertheless distinct from these standards. In carrying out its development of an international standard for archival authority records, the sub-group drew upon research relating to archival authority records underway in Canada and the United States as well as international authority records work that had been done by the International Federation of Library Associations and Institutions (IFLA) in the 1970's and 80's such as Guidelines for authority and reference entries (IFLA, 1984) and completed a draft document which was discussed, amended, and extended at the plenary of the Ad Hoc Commission at its meeting in The Hague in October 1994. The draft was circulated to the international archival community for comment. Comments received during this world wide review were taken into account at a plenary of the Commission held in Paris in November 1995. The current document is the result of this process.

At the ICA Congress in Beijing in 1996 I attended a meeting held by the sub-group to discuss the draft standard ISAAR(CPF). The major observation of the meeting was that this was a relatively new conceptual development for many archives in many different countries. This stemmed from its focus on the management through time of information about the creators of the records and thereby adding a new level of control and access to archival resources. The sub-group noted that there were very few implementations of the Archival Authority Record concept and they encouraged archives and archivists to test the draft standard through specific implementations. They were also looking for feedback on such activities and this should be directed to the ICA Ad Hoc Commission on Descriptive Standards.

In the past two years ASAP’s experience with its Bright Sparcs World Wide Web implementation of the Archival Authority Record concept has revealed just how powerful and rigorous this approach can be. In providing online access to authoritative information that links historical, bibliographic, visual, sound, archival and location information, the system radically simplifies the hyper-linking of sources on the World Wide Web through its use of the Archival Authority Record as the key link.

In the RAAM as in other MARC-based systems for cataloguing archives and manuscripts the creator data is embedded and managed in the data describing the records and therefore cannot easily, or even at all, play the role of an Archival Authority Record as envisioned by the ICA.

Why focus on the creator and not the records?

For an information system to retain its validity through time with a minimum of manual (or even computer) intervention it requires key data elements and structures that will not change. The primary data segments that make up the core of archival management reveals the following sets of information about:

The creators of the records (context)
The records themselves and their description (structure and content)
The location of the records (custody and access)

Of these three, the only constant is the information about creators of the records. That a creator existed and can be defined remains stable through all time whether or not there are any records remaining documenting their activities.

Records themselves are held by the good grace of their custodian and may be re-appraised at any time in the future and consciously destroyed in total or in part, or may be lost through misadventure. Records might be, and are, bought and sold, split, re-described using different units of management and description, indeed their passage through time is rarely without change and modification despite the best efforts of archivists and manuscript librarians.

The location of the records, or the repository, or the place where custody is managed is also a highly problematic entity when viewed over long (and sometimes short) time scales. In recent times a number of important archival institutions have been closed or threatened with closure with serious implications for the records and their management.

The ICA presented their arguments for the establishment and implementation quite clearly and simply in the introduction to the ISAAR(CPF) draft standard, part of which is quoted below:

I.1 In its standardization activities so far, the international archival community has recognized that it is important to present effectively the elements of descriptive information. Among the most significant of these elements are those associated with the context of creation of the archival documents.

I.2 The first international archival descriptive standard, ISAD(G): General International Standard Archival Description, provided for the inclusion of this contextual information within the description of the archival entity (i.e, the fonds, series, item). ISAD(G) recognized, however, the possibility of capturing and maintaining contextual information independently, and linking it to the combination of other information elements used to describe archival documents.

I.3 There are a number of reasons why separate capture and maintenance of contextual information may be useful. Such a practice enables the linking of this information to descriptions of archival documents from the same creator(s) that may be held by more than one repository, or separately held archival documents and library materials that have the same creator(s), or records that remain in the custody of their creator. Such links can facilitate historical research and improve records management practices.

I.4 Where a number of repositories hold archival documents from a given source they can more easily share or link contextual information about this source if it has been maintained in a standardized manner. Such standardization is of international concern when the sharing or linking of contextual information is likely to cross national boundaries. The multinational character of past and present record keeping in the course of such activities as colonization, immigration, and trade creates the incentive for international standardization in support of exchange of contextual information.

I.5 An international standard intended to support the sharing of descriptions of creators of archival documents must promote the preparation of consistent, appropriate, and self-explanatory descriptions of the corporate bodies, persons, and families that are the creating entities. This is consistent with the more general standardization of information serving as access points in descriptions of archival documents or library materials. Indeed, the name of the creator of a unit of description may be considered the primary access point for a description of archival documents.

Implementation on the WWW

The Internet, but particularly the World Wide Web, provides an opportunity to take cultural and heritage resources to the public on a scale never before encountered. However, the paradox of the WWW is that as it grows two issues of concern have emerged:

quantity of information - there is too much and it is widely distributed
quality of information - how do we evaluate the authority and authenticity of the information and its source.

A Web-based Archival Authority Record Network would address both these issues in significant and profound ways but it is not the purpose of this submission to address those issues in detail.

However, the WWW is not just a vehicle for publishing information, it can also be used as a tool to facilitate the achievement of collaborative, cultural and/or community goals. The establishment of a Web-based database driven Australian Network of Archival Authority Records for Corporate Bodies, Person, and Families {ANAAR(CPF)} is a project of national significance that would utilise the power of the Web and provide a level of service, access and management without precedent. Indeed, it provides the mechanism by which the NLA could achieve the vision it proclaimed in the 1960s and that was embodied in the Guide to the Collections of Manuscripts relating to Australia. Series A-C.

Figure 1 (at the end of this document) presents a schematic representation of central role of the Archival Authority Record in the World Wide Web environment where it acts as a focal registration point for what could be a multitude of online content providers or contributors. Very simply, WWW content providers need only link relevant pages to the Authority Record rather than attempting to locate all relevant links to a particular corporate body, person or family. The latter process creates an ad hoc, complex system of WWW links that will most likely change over time. By establishing two-way linkages between the Authority Record and an online resource, content providers need only focus on the quality and integrity of their particular contribution because the role of ensuring the validity of the links to other online resources is maintained by the Authority Record Host.

This system or structure enables content providers to contribute to our cultural and heritage resources efficiently and confidently. It enables discipline-focused organisations like ASAP and leading national bodies like the NLA, who will host and maintain Archival Authority Records (Files), to provide services that truly aid in coordinating the preservation of, and the provision of access to our cultural and heritage resources.

Figure 1 also lists the ISAAR(CPF) high-level data elements and sections.

Implementations already underway
ASAP and Bright Sparcs

When ASAP first commenced the ad hoc collection of information about the archives of science already held in Australian repositories in the mid-1980s it was assembled in a manual alphabetical filing system based on the name of the scientist or the organisation. This was known as the Register of the Archives of Science in Australia. In 1987, when funding became available to systematically address the collection of this information, a database was constructed to help manage the data and provide the multiple levels of access or perspectives. A task difficult to achieve in the manual system. Research into similar projects in Australia and overseas revealed that the model adopted by the United Kingdom Royal Commission on Historical Manuscripts provided the best starting point.

The use of a relational database system and the division of the data into three main groups (creators, records and location) proved fortuitous as it not only enabled the production of MARC style or compatible outputs for use in a variety of online databases, but also lent itself extremely well to mounting on the Web and clearly anticipated the ICA / ISAAR(CPF). The major output of this early stage of RASA was the publication of the Guide to the Archives of Science in Australia: Records of Individuals.

Since it was mounted on the Web in 1994, a number of significant developments have taken place that derived from our direct experience in managing a large online resource. Firstly, the locations management in the original database has been replaced by the Australian Society of Archivists Inc. online Directory of Archives in Australia. Here was a case where collaboration was to our mutual benefit. The ASA was struggling to find a means to maintain the currency and integrity of their directory and ASAP already had a subset of that directory up online in the form of the RASA locations table. The linkage of the two projects was of significant benefit to both parties. Secondly, we have used developments in database and html technologies to bring many efficiencies to the management of the system.

But perhaps the most exciting aspect of Bright Sparcs as a living implementation of the Archival Authority Record concept is the interaction we get from the broad Internet community not just in Australia but all over the world. Every week we receive emails from families or relatives providing further details or offering corrections to incomplete or incorrect data, we receive emails of thanks from parents of school students who had been struggling to find relevant and reliable project information, we receive feedback from historians offering information about new records or new creators that should be listed. Bright Sparcs has been listed as an exemplar site in a number of recent texts highlighting online resources available for the teaching of science and history.

Bright Sparcs is not perfect. Not only is there much content to add, indeed there will always be more content to add for as long as science is active, but there is still development work to bring the underlying database into full ISAAR(CPF) compliance and improve the database control of all objects linked to the authority records.

A number of parallel organisations to ASAP have expressed considerable interest in having a national website similar to Bright Sparcs and have sought to purchase the system from ASAP. Unfortunately, the system is not at that level of development yet. Lack of funds is the only impediment that prevents this development happening now.

Recent Developments in the United Kingdom

In the last few years, significant funds have become available in the United Kingdom to develop online tools and systems for cultural heritage and archival research purposes. Some of this funding has been directed towards investigations into Encoded Archival Description (EAD) and other projects, but a significant emphasis in being placed on the development of an Archival Authority Record system based on ISAAR(CPF). An investigation of the current Royal Commission on Historical Manuscripts reveals that conceptual basis for the system already underpins their current online system.

Other defacto Archival Authority Record systems in Australia

Much archival practice in Australia has been based on the theoretical basis of and the practical implementation of the Series System developed by the National Archives of Australia. Indeed, the Series System played a big role in the development of the thinking behind ASAP’s Register of the Archives of Science in Australia in that it also segregated, for management and access purposes, information about the creators of the records. Most State archives similarly separately register agencies and individuals who were involved in the creation of records. Consequently, Australia is extremely well placed to introduce a Web-based database driven Australian Network of Archival Authority Records for Corporate Bodies, Person, and Families {ANAAR(CPF)}.

The Australian Government Locator Service (AGLS)

The Office of Government Information Technology and the National Archives of Australia published on the Internet on 27 July 1998, The Australian Government Locator Service (AGLS), Manual for Users.

The manual provides guidance for officers of agencies on the use of metadata and how to assign metadata as they create information resources intended for use in the electronic environment. For some agencies this will include the description of data bases/collections. For others it may initially apply to information resources that will reside on their home page in the Web environment.

The use of structured and standard metadata across government Internet information resources adds significant weight to the argument for an ANAAR(CPF). The existence of uniform metadata structures will facilitate the use of computer-based search tools that will be able to locate, record and link online resources to appropriate Authority Records. Conversely, government online resource providers will be able to link to appropriate Authority Records thus extending and enhancing the access of their resources.

The AGLS metadata elements, Author or Creator, Publisher, Other Contributor and Availability are defined in the manual and linked to the X500 - Government Online Directory (GOLD). GOLD is an authority record system for the current organisational structure and personnel of Federal Government. The proposed relationship between AGLS metadata elements in online resources and the GOLD authority record system exemplifies the importance of the Authority Record model as powerful means by which resources can be systematically linked.

Conclusion

We have a unique opportunity in Australia to become world leaders in this field of archival research and development and at the same time radically improve the reference services on offer to the Australian public (indeed the global public). The National Library of Australia is ideally placed to take the lead in this area. Key roles they need to take on are:

Leadership in the investigation and testing of ISAAR(CPF) as a key structural component in the management of their own archives and manuscript collections
Leadership in the collaborative process required to establish a Web-based database driven Australian Network of Archival Authority Records for Corporate Bodies, Person, and Families {ANAAR(CPF)}
Leadership in finding financial resources to harness the expertise already gained through de facto implementations, particularly the work of ASAP through Bright Sparcs.

It has been implied but not explicitly stated in this submission that an Archival Authority Record system has the power to link far more than just information about archival records. It is a system that can be used to link information about all related cultural resources. In this way it becomes an ideal means by which the archives and museums communities can work together in a system that is to their mutual benefit. The museums sector is developing various online information systems to improve public access and research but to date these have been location and artefact based.

I would be happy to expand on any of the issues raised in this submission if you so desire. Specifically, the following issues need consideration:

establishment of a National Working Group to investigate implementation and funding;
mapping of existing de facto Authority Record systems and assessment of ISAAR(CPF) compliance;
detailed assessment of ISAAR(CPF) as the foundation of a Web-based network (new fields may be required to enable effective implementation.
assessment of ISAAR(CPF) as the key to managing multimedia and electronic records, systems and objects in a network environment.

Gavan McCarthy

Director, Australian Science Archives Project

This proposal has been developed in consultation with and is endorsed in principle by:

Associate Professor Warwick Anderson, Director, Centre for the Study of Health and Society, University of Melbourne; and
Dr David Smith, Program Director, Understanding the Human Mind and Body, Museum Victoria.

Figure 1: Schematic diagram showing central role of the Archival Authority Record as a common link site for online resources.