Automation and Small Archives [by Blair Taylor & Bill Purver, 1994]
In the present computer age, many small archives are struggling with questions concerning automation. What can a computer do for our institution? Should we automate, given our needs and our limited financial and technical resources? What kind of computer programs (software) should we buy? What kind of computer equipment (hardware) do we need in order to use the software we have selected? How do we know we will be able to use the software and hardware effectively? What exactly is a database and how would we go about setting one up?
It should be kept in mind that a computer is simply a tool. It does not replace the human activity necessary to carry out basic archival functions. In most cases, the use of computers demands that those basic archival functions be clearly articulated and systematically outlined prior to the implementation of any automated procedures or systems. Such a systematic approach should lead to the adoption of policies and procedures for all aspects of archival management, including the implementation of standardized practices and rules for accessioning and for archival arrangement and description. The old computer adage of "garbage in, garbage out" can become a reality if such an approach is not followed.
Uses of Computers in Small Archives
What can a computer do for your institution? The potential uses of a computer in any institutional setting can be mind-boggling. Computer hardware and software salespersons are adept at presenting a myriad of uses (applications) for a particular product or program. This can be overwhelming for the uninitiated or novice computer user. It is important for a small archives contemplating entering the computer world to be aware of both the potential uses of automation in an archival setting and the real needs of their institution.
The following represent some of the most common uses for computers in a small archives setting.
A computer can be used to create the printed forms necessary to establish physical and legal control of archival material. Deed of gift agreements, transfer forms, form letters of acknowledgment to donors, blank accession record and accession register forms, and box labels can all be designed and created in a professional and appealing manner using basic word processing software. Modifications to such forms can be made simply and efficiently.
The entire accessioning procedure can be automated with database management software. Once information (data) has been entered into the computer in a predefined and consistent manner, this data can be manipulated to produce printed versions of the completed forms normally done manually as part of accessioning procedures. Information entered into the computer can also be searched and displayed on the computer screen (on-line), eliminating the need for manual card catalogue systems designed to create access to accession records. Information about more than one accession can be located and displayed. Printed versions of such displays can be generated by the computer to produce an accession register, donor file, or any other composite list of accessions.
Computers can be used to aid in archival description and to create printed finding aids or on-line finding aid systems. Descriptions can be created, edited, printed, stored and updated easily using basic word processing software. This software normally allows for information in the description to be indexed and for different descriptions to be merged for the purpose of generating a printed version of a finding aid.
Flexible and efficient finding aids or access systems can be designed using database management software. This software allows for flexible on-line searching and the production of printed finding aids. Descriptions can be found on the computer by searching for words (keyword searching) used in those descriptions. If name and subject access points have been determined, descriptions can be searched online using the prescribed names or terms. Information from more than one description can be located and displayed at one time. Specific data from one or more descriptions can be manipulated to allow the computer to produce different kinds of printed finding aids, from inventories to shelf lists to repository guides. Printed versions of name and subject indexes can be generated in the same way.
Printed finding aids generated by the computer or the flexible, on-line search capabilities associated with database management software can help provide efficient reference service. This service can sometimes be enhanced through the use of computer networks, which link the computers of different institutions or parts of an institution to each other for the purpose of exchanging information.
Word processing software can be used to design and print forms such as request slips and photograph reproduction order forms and to produce appealing and professional-looking signage for the reference room. Database management software can be used to store and access registration information on patrons. Electronic spreadsheet software can allow you to maintain accurate statistics relating to users and the costs associated with the provision of reference service.
Word processing software and, optionally, special computer graphics software, can give you the ability to design and print letters, reports, press releases, newsletters, pamphlets, booklets, captions for displays, educational packages, and a wide variety of other textual and graphic material to advertise and enhance the image of your archives. Address labels for mailouts can be easily edited and efficiently produced using word processing software.
Conservation reports can be produced and updated using word processing software. Database management software can be used to locate material needing conservation attention.
Computerized environmental monitoring devices that log changes in temperature and humidity in different areas of the archives can be used with most basic computer systems.
Word processing software can be used to produce letters, reports, memos, work schedules, contracts, and grant applications. This software allows for the efficient editing, production and storage of normal office paperwork.
Electronic spreadsheet software can be used to maintain statistical and financial records and to aid in calculating budgets and producing annual financial reports.
Computer networks allow you to share information and consult with others either within your institution or in other institutions.
Assessing Your Automation Needs
Should you automate, given your institutional needs and limited financial and technical resources? Whether a small archives should automate some or many aspects of its operation is dependent on an analysis of the particular needs of that institution. Do you already have efficient systems in place to carry out the administrative and operational tasks of your institution? Do you provide a satisfactory level of service to your patrons?
If the answer to both questions is "yes," there may be no justification to automate. After all, "if it ain't broke, don't fix it." But even if you are satisfied with the manual systems that are in place, you may feel that they could be enhanced through the introduction of computer technology. You may feel that computers could speed up time-consuming tasks, provide better service to your users, or create a better image for your institution.
For any institution, the benefits of computers must be carefully weighed against the costs, many of which are not so readily apparent. This is particularly true for small archives with limited financial and technical resources. Initial hardware and software costs are the easiest to calculate but over the long term often pale in comparison to the cost of designing systems, training staff, and maintaining and modifying systems in use. In order to assess the benefits of computers for your archives, it is necessary to evaluate the procedures and systems presently in place and to consider the effect that the introduction of computer technology and specific computer applications would have on them and on the overall cost and efficiency of your institution's operations.
It is important to recognize that the determination of software needs should precede any decision to purchase computer hardware.
What kind of computer programs (software) should you buy? The most commonly used computer applications for small archives involve word processing, database management and electronic spreadsheet software.
To determine whether your institution should purchase a word processing software package, you should ask yourself the following questions: Do you feel that your correspondence, reports, forms, finding aids, newsletters, pamphlets and other material designed to promote your archives could be produced more efficiently? Do the above products fail to convey the professional image you desire for your archives? Do you find you rely on the services of outside agencies or companies to create, design, or print forms, pamphlets or promotional material? Would you like to be able to use more graphics in the textual material your archives produces?
If the answer is "yes" to many of the questions above, word processing software may be a good investment for your institution. This software allows you to use a computer as a super typewriter, enabling you to type and edit text before it is printed on a piece of paper. Among other things, word processing software normally allows you to change the appearance of the type (typeface, type size and type styles), add graphics, check for spelling mistakes, move or copy blocks of text, merge texts from other documents, format and number pages, and create tables of contents, footnotes, and indexes for a document. You can save the document or text you produce in a file stored in the computer and can recall that file at any time to review, edit, or reprint it.
To determine whether your archives should use database management software, you should consider the following questions: Do you need a better system of access to your holdings than your present structure of inventories and card catalogues provides? Do you want to be able to search descriptions of your holdings in a more thorough and dependable manner? Do you find your present system of editing and updating descriptions and indexes is too time-consuming? Would you like to access descriptions of your holdings directly on the computer screen? Do you find it difficult to physically locate records or to find information about accessions? Is there information about your patrons or specific services provided for which you would like to have quicker reference?
If the answer is "yes" to most of the above, you may want to consider using database management software. A database is simply a system for storing, managing and organizing information. A card catalogue is an example of a manual database. Database management software allows you to use a computer as a super card catalogue, with far more flexibility than any manual database can provide. Database software allows you to search for words, names, or prescribed subject terms in descriptions entered and stored in the computer. Database software will allow you to view the descriptions on the computer screen or print them using different report formats. These reports can take the form of printed inventories, indexes, accession registers, donor files, or a variety of other lists or forms. Descriptions in the database can be easily edited and updated.
For a more detailed discussion of database management software, see the last section of this chapter entitled, Database Design and Use.
Electronic Spreadsheet Software
To determine whether your institution needs electronic spreadsheet software, you should ask yourself the following: Do you need a more efficient way to keep track of revenue and expenditures, balance accounts, track expenses for special projects or grants, prepare budget statements and financial reports, and maintain statistics on patrons and volunteers? Do you want to be able to produce more professional-looking reports and graphs incorporating statistical and financial information?
If so, you may be interested in using electronic spreadsheet software. Such software allows you to use a computer as a super calculator. By establishing a grid or template where numbers entered into one part have a consistent statistical or mathematical relationship with another set of numbers located elsewhere on the grid, you can have the computer make and record a wide variety of calculations. Spreadsheet software will usually allow you to create graphs using the information and calculations from the grid. It will also normally allow you to link information from different grids. If you change a number in one grid, that change can be automatically made on other grids and subsequent recalculations will be performed.
Choosing Specific Software Programs
There are a number of questions to consider when choosing a specific brand or kind of software package. Can the software be used to satisfy all of the specific institutional needs you have identified? How much does the software package cost? Can the software operate with the computer equipment (hardware and operating system software) the archives already has or is willing to purchase? Is it easy to use? How long will it take to train staff to use it? Is it possible to design or modify specific applications using the software without having to hire an outside consultant? is your staff already familiar with the software? If the archives is part of a larger institution, do other sections or departments use the same software? Do you know of other archives which are using the same software?
There are two basic types of software packages, those designed for general purposes and those designed for special applications. Most institutions, including small archives, choose to use general purpose word processing, electronic spreadsheet, and networking (telecommunications) software. Such standard software can be found on the shelves of any major retail outlet selling computer products. Because of the specialized nature of archival description and information retrieval systems, archival institutions often choose specialized, rather than general purpose, database management software. Some factors to consider in choosing database management software are discussed later in this chapter.
Your choice of any software program will be dependent on the hardware and operating system you intend to use it with. Documentation accompanying specific software packages will list requirements such as the type of personal computer to be used (e.g., IBM-compatible or Macintosh), the operating system (e.g., MS-DOS) and the amount of memory (RAM) necessary, the type of microprocessor (e.g., 486) and monitor needed, and any other programs required (e.g., Microsoft Windows).
What kind of computer equipment do you need in order to use the software you have selected? The basic components of your computer will be the computer box or tower (containing a central processing unit and disk drives), a keyboard, a monitor and a printer. Optional components may include a mouse (a device you manipulate to move a pointer on the computer screen) and a modem, which enables the computer to communicate with other computers over a telephone line.
It is important to remember that your choice of computer hardware should only be made after your present and future automation needs have been clearly identified.
Your choice of computer brand will influence other hardware and software choices you make down the line. The most common brands of computers are Macintosh and IBM (or IBM-compatible brands), These use different operating systems, which means software for a Macintosh cannot be used on an IBM or IBM-compatible computer and vice versa.
The Central Processing Unit controls the computer's operations. The processing power (measured as a type of chip-e.g., 486), the speed (measured in megahertz) and the memory or RAM (normally measured in megabytes) are important factors to consider when purchasing the central processing unit. You must make sure that the power, speed, and memory of the hardware is sufficient to run the software you desire.
Disk drives transfer information to and from the computer. That information is stored onta disk. There are two kinds of disk drives and, correspondingly, two kinds of disks, a hard drive, which uses a hard disk, and a floppy disk drive, which uses a floppy disk. Most personal computers now have both hard and floppy disk drives.
In choosing a hard disk, you must make sure that its capacity (normally measured in megabytes) is sufficient to store the computer files necessary to run the software you desire.
Floppy disks come in either 3½" or 5¼" sizes and in varying capacities. The software you purchase may come on either size of disk or on only one size.
The choice of computer keyboard should be based primarily on feel and ease of operation.
There are two basic kinds of monitors, monochrome (a single colour on a black or white background) or colour. Some software will require a specific type of graphics card or adapter, a component controlling the operation of the monitor.
Dot-matrix, inkjet, and laser printers are the three most common types of computer printers. The laser printer is the most expensive of the three, providing the most flexibility and the best print quality.
The choice of printer should be based on factors such as the acceptable level of noise from the printer in the environment in which it will be operating, the degree of flexibility needed for producing different fonts, type sizes, and graphics, and the overall print quality required.
Some software requires the use of a mouse instead of a keyboard to perform various input tasks.
A modem is necessary to allow your computer to communicate with other computers over telephone lines. A modem can be internal (housed inside your computer box or tower) or external. An external modem can be moved from one computer to another easily. It is necessary to have telecommunications software to operate a modem.
Ensuring Effective Computer Use
How do you know that you will be able to use your software and hardware effectively? There is a danger that once bought, the computer may not be used effectively and may become just a piece of furniture in the office. To avoid this situation, staff must be properly trained and a set of standard procedures for computer use must be adopted. These procedures must take into account issues relating to computer security.
A User's Manual and Reference Guide produced by the software manufacturer normally comes with any purchase of a software package. For most general software, there exist a number of other published reference books and training guides. Often, high schools, local colleges, or universities offercontinuing education courses for specific types or brands of general purpose software.
For specialized software, a user must rely heavily on the User's Manual and any support services offered by the manufacturer. Normally when specialized software is purchased, a support service agreement can be entered into with the manufacturer or the manufacturer's agent. Be sure, however, that the terms of such an agreement are appropriate to your institutional needs. For some specialized software products, user groups exist which may meet regularly or which may have members who share advice and information over a computer network.
In choosing software and in designing procedures for computer use, you must make sure that the computer files you build up and the data in those files are protected. Computers can malfunction or break down (crash) or can be infected by viruses. If precautions are not taken, files or data in files can be manipulated or changed by unauthorized computer users.
The most important step to take to protect your files and the data within is to copy files on a regular basis onto back-up floppy disks, which should, in turn, be kept in a secure location. You may also want to buy special anti-virus software which can detect and destroy common viruses that may find their way on to your computer or your floppy disks.
You may also want to restrict access to various files or applications to only those authorized to view and use them. in such a case, you will need to have software which allows you to establish passwords for authorized users. If you establish a database system which can be used by the general public, you will want software which will limit the level of access to that database (e.g., searching only) for those users.
Creating your own Procedures Manual provides a framework to explain why, when and how the computer is to be used as a part of the normal operations of the archives.
The Manual should outline general procedures for computer use, such as the management of computer files and the creation of security back-up files on floppy disks.
The Manual should also establish specific procedures indicating:
By creating a Procedures Manual, standards will be established which will provide consistency and continuity in the archives' computer operations.
What exactly is a database and how would you go about setting one up? Although databases come in many different shapes and sizes, they share certain common features that you should be aware of.
A database is a system for storing, managing and organizing information. A database consists of a collection of records, each of which contains one or more entries.
Many archivists maintain manual databases created on paper. A set of binders containing descriptions of the archives' holdings is a manual database. The database is made up of individual descriptions, each consisting of standard descriptive elements (e.g., title, date, physical description, biographical sketch or administrative history, scope and contents note) and particular elements designated as access points or index terms (e.g., name of creator, subject).
Manual databases have served archivists well over the years, but as many have found, creating the individual records can be repetitious and time consuming, and finding a record or information in a record can be difficult. Many archives are implementing computerized databases to overcome the shortcomings of manual databases and to take advantage of the power of computers to store and retrieve information. A computerized database can store large amounts of information and retrieve it quickly and efficiently.
The first step in creating a computerized database is to determine what kind of information it will hold. Will it contain information about accessions, archival descriptions, or other types of information relating to the archives' operations? The database will vary depending on the type of information it is meant to contain and how that information is to be accessed.
The next step is to determine what type of information the database needs to generate. For an accessions database, do you want to create accession records? For a descriptive database, do you want to create fonds and series descriptions? It is necessary to determine what you want the database to create or generate before you can define the type and form of information that must be entered into it.
The creation of the database begins with designing a form or data structure on the computer that will hold the information you are going to enter. The data structure is just like a paper form except that it exists on the computer. The data structure has a number of blanks or spaces that are to be filled in. Each blank in the data structure is known as a field. A database of descriptive information might consist of the data structure shown in figure 1.
Information is entered into the fields determined in the data structure. A completed data structure is called a record.
Figure 2 illustrates how a completed record would appear. Many individual records can be created, and a collection of such records together makes up a database file.
Designing the data structure requires careful planning. It is necessary to determine the type of information each field in the database will contain, the form that information will take, how the fields will be named, and how you will want to search for and sort the information contained in the fields.
For example, you may have fonds-level descriptions in your archives that are similar to the one illustrated in figure 3. Preparing a data structure to capture the information presented in the fonds description requires determining what the pieces of information are that make up the description. The description in figure 3 consists of a title, a date, a physical description, a biographical sketch, a scope and contents note, a source of supplied title note, a number that identifies the archival records, the name of the creator, and the subject of the records. If all the descriptions could contain this information, then a data structure could be designed with fields that correspond to these various pieces of information.
Your database may also contain descriptions of archival material at different levels (series, file, or item level). Figure 4 shows an item-level description of a photograph generated from the same database. (Note that data need not be entered in all fields.)
When you design the data structure, you must make sure that you have fields for all the types of information you want to record and have direct access to. Each field must be given a name. The name is used to indicate the type of information to be put into the field. You will also have to define the type of information that the field will contain (e.g., text, numbers, dates, etc.) in order for the database to sort the records appropriately.
You will also have to define how information in each field in the database record can be searched. You can decide that a field should be searched by entering a word that may exist in it (keyword searching) or you may choose to indicate that a field is to be searched by trying to match the complete and exact information in it (term searching). Term searching might be used, for example, for a subject field. Designing a structure where all fields can be searched by keywords can be wasteful of storage space in the computer (each word in the text of all fields having to be indexed) and can slow searching activities.
Entering Information into the Database.
Data is entered into the data structure by typing information into each field. in some cases, a field may be left empty if there is no information to be entered into it.
Information must be entered into the database consistently and correctly. if data is entered in an inconsistent manner, it may be very difficult to find the record in the database and it will be impossible to produce standardized displays or printouts of information in the database records. it is very important that a set of descriptive standards, such as RAD, and a controlled vocabulary, such as a thesaurus or subject-heading list, be adopted.
One way to control the way information is to be entered into the database is to design aworksheetto be completed manually. The information from the worksheet can then be entered directly into the fields in the data structure on the computer.
Once a database of records has been created, there are a number of different ways to get at the information contained in the records. You can browse through the records, you can list the information by field name, or you can search for a specific record or range of records.
Browsing through the records allows you to view the records in the database one record at a time. You simply flip through the records one by one until you find the information you want. Listing the information by field name allows you to view the information in all the records according to the fields (or selected fields) in the data structure.
You can also search for a single record or range of records. To do this, you ask the database to search for information contained in one of the fields. For example, you could ask the database to find all the records that had "Thornton, Richard" in the name field, or all the records that had "Performing Artists" in the subject field. Some databases allow you to search in just one field or a number of different fields at the same time. For instance, the database may allow you to find all records that contained the word "diaries" in the scope and content field and the term "Performing Artist" in the subject field. If the computer finds records according to the criteria you specified, then it is possible to view those records, either by browsing through them one record at a time, or by listing them according to the information in their fields. The computer wi I I find no records if the name or term searched for was not present in the records.
Initially, the records in the database are organized according to the order that they are entered. They can, however, be retrieved and sorted according to the information entered in specific fields prior to displaying or printing out. To sort the records, a specific field (or fields) is chosen. The records are then sorted according to specified criteria. For example, the records could be sorted alphabetically according to the information in the name field or sorted numerically according to the information in the record number field. The entries in a field may be sorted in a number of different ways, such as in ascending order (e.g., A to Z) or descending order (e.g., Z to A).
Displaying or Printing Out Information
Part of or all the information in the database can be displayed on the computer screen or printed out. A record or group of records can be selected, the information sorted (if desired), and then displayed or printed out according to a predesigned format. For instance, if you had a database of descriptive information, you could have the computer print out a list of the fonds descriptions alphabetically according to the names of the creators, or you could have the computer print out a list of all the item-level photograph descriptions numerically according to photograph number.
The possibilities for generating different kinds of printed products, such as inventories, lists, indexes, and so on, are vast.
The information in the records can be changed if necessary. The field entries in a record can be added to or deleted, and if necessary, an entire record can be deleted. To edit or delete a record, it must first be retrieved by a specific search strategy or by browsing through the database. Information in that record can be changed or the record can be deleted using the specific editor commands of the database program.
Setting up a database in an archives requires training and education. Training should involve all staff who will be using the database. Education involves making the staff aware of the nature, reasons and benefits of implementing the database. This will ensure that the database will be smoothly integrated with existing operations.
If the database is going to be available in the reference room, researchers will have to be trained as well. if publicly accessible, database files should be protected through the use of passwords and the determination of access levels for general users (e.g., search-only mode).
Crucial to the operation of the database is the creation of a procedures manual. It should document all aspects of the database: what the data structure(s) looks like; how data should be entered; how information should be displayed and printed out; and, how the database should be maintained. It serves as a guide for users of the database. A manual is especially important to ensure that the database can be maintained even if your staff changes over time.
The creation of a database should be regarded as an open-ended process. One should be aware that the database will require maintenance, that enhancements may be needed, that the type of reports that need to be created may change over time, and that eventually the database will become outdated and have to be replaced. Preparing for these changes is part of the ongoing process of using a database.
Choosing Database Management Software
There are a number of different types of databases that can be used to store information. The three main types are flat-file, free-form and relational databases. These databases differ in how they store and manage information and in the features that they offer.
Database management programs come in both general and pre-designed formats. With the former, the user has to design the data structure(s) used to store the information and the report formats to be generated by the computer. With pre-designed database systems, the data structure(s) and report formats will be created for you. With these kinds of database programs, it is easy to begin using the database right away. It may be difficult, however, to modify the data structure in the database or the report formats it generates should your institution's needs change.
Selecting the right database program can be made easier if research is done beforehand. It may be useful to read reviews of the program found in various journals or magazines to see how well the software performs. It is also useful to contact or visit other archives that are using different database software packages.
It is important to test drive a database system before purchasing it to ensure that it suits your needs. You can often purchase test packages of a particular software which allow you to create a test data structure and enter a few sample records. Then you can experience first hand the ease in which structures can be designed, data entered, information retrieved, and reports generated.
Cost is also an important factor in choosing a database program. The cost of the database software includes the initial purchase price of the software, as well as the cost of installation (if applicable), maintenance and support, and training. It is also necessary to determine the type of computer hardware thatwill be needed to run the software effectively and to calculate those costs. You may already have a computer in your archives and that will influence the type of database you select.