This thesis considers the problem of the representation of individual institutional textual records in archival research tools. While document studies in academic journals point to the value of focussed consideration of various types of records, archives do not have the resources to apply such focus to every item in their holdings, even though these convey the information sought by many researchers. Over the last century, archivists have emphasized description of groups of records, because this provides insight into the context in which documents exist and immense quantities involved left little choice. Recent developments, however, suggest the individual document should be re-visited. This thesis focuses on how formal descriptive systems might be enhanced to allow closer consideration of individual institutional textual records. It reviews the history of description, explores benefits to researchers seeking information from particular documents (e.g. the will) and explores tools created in response, such as contextual authority files.

This thesis considers the problem of the representation of individual institutional textual records in archival research tools. While document studies in academic journals point to the value of focussed consideration of various types of records, archives do not have the resources to apply such focus to every item in their holdings, even though these convey the information sought by many researchers. Over the last century, archivists have emphasized description of groups of records, because this provides insight into the context in which documents exist and immense quantities involved left little choice. Recent developments, however, suggest the individual document should be re-visited. This thesis focuses on how formal descriptive systems might be enhanced to allow closer consideration of individual institutional textual records. It reviews the history of description, explores benefits to researchers seeking information from particular documents (e.g. the will) and explores tools created in response, such as contextual authority files.

檔案是研究歷史或瞭解過去事情的重要工具，因此檔案館除了需善盡保存檔案之責外，還要提供檢索工具供使用者使用。隨著網際網路的蓬勃發展及資源分享概念的形成，透過WWW，採用更一致、更友善且更便利的方式進行檢索成為一種趨勢，檔案描述編碼格式（EAD）即逐漸發展出來。以此格式所製作的檢索工具，能適當地描述檔案的階層架構，且對於檔案資訊的描述較豐富。由於以標準為基礎且與平台無關，所描述的資訊可被搜尋、檢索、瀏覽，亦可方便資源共享與資訊交換，並有較長久的使用時間。在國外已有許多計畫研究EAD，也有檔案館實際利用EAD編製檔案檢索工具，並放在網站上供使用。為期EAD亦能應用在國內的中文檔案，乃進行本研究。 本研究採文獻分析法與試驗法。藉由文獻分析法，瞭解EAD架構、目前EAD的發展現況及實際使用情形；而試驗法為實際至國內檔案館調閱檔案資料，將這些資料編製成符合EAD格式的檢索工具，並放在網站上，以檢視其是否能在WWW上瀏覽使用。 研究結論為：(1)EAD編碼之檔案檢索工具所含資訊豐富，能在網路上直接檢索，便利使用，並能使檢索工具具有較長久的使用時間；(2)中文檔案編製成EAD格式之檢索工具，部份著錄項目可直接使用，部份則需另行輸入；(3)EAD格式可應用於中文檔案；(4)國外地區較易推展EAD的實施使用。建議有六項：(1)EAD DTD依中文檔案之特質需做調整修改或發展中文版EAD；(2)利用EAD製作中文檔案檢索工具；(3)訂定中文檔案描述相關標準；(4)配合相關軟體的使用；(5)應於文件生命週期初期做好文件整編工作；(6)不可輕忽人工分析與檔案整理的工作。 第一章 緒論..............................1 第一節 研究動機........................1 第二節 研究目的........................2 第三節 研究問題........................3 第四節 預期貢獻........................3 第五節 名詞解釋........................4 第二章 文獻探討..........................9 第一節 檔案描述與檢索工具..............9 第二節 檔案描述標準...................26 第三節 SGML...........................30 第四節 XML............................37 第五節 EAD的沿革......................42 第六節 EAD相關研究計畫................50 第三章 研究方法與步驟...................65 第一節 研究方法.......................65 第二節 研究範圍與限制.................66 第三節 研究工具.......................67 第四節 研究步驟.......................67 第五節 研究實施.......................69 第四章 EAD架構與使用現況................71 第一節 EAD架構........................71 第二節 EAD使用現況....................84 第五章 研究結果與討論..................101 第一節 研究結果......................101 第二節 綜合討論......................140 第六章 結論與建議......................145 第一節 結論..........................145 第二節 建議..........................147 第三節 後續研究建議..................149 參考書目................................151 附錄....................................161 附錄一 EAD DTD 1.0版標籤.............161 附錄二 中文檔案以EAD編碼之實例.......165

The study sought to develop a framework for access and use of documentary heritage at the National Archives of Zimbabwe (NAZ). This followed the realization that access and use is the raison d'être for national archival institutions yet the level of utilization has for a long time been lamented to be low. The researcher therefore took a holistic approach and investigated the issues of bibliographic, intellectual and physical access to archives. Using a grounded theory research approach framed within the constructivism ontology and the interpretivism epistemological research paradigm, this study employed the observation technique, interviews and content analysis to collect the empirical evidence that was needed to develop a framework for access and use of the documentary heritage in the custody of NAZ. The study extensively discussed the methodological issues involved in the study as grounded theory is a rarely used approach in Information Science studies. An extensive discussion was therefore offered to enable readers to follow and appreciate how the not so common approach was actually employed. The findings of the study showed that the position of NAZ as a public information resource centre was threatened by many obstacles that were compromising the accessibility and use of the documentary heritage in its custody. Such hindrances included the absence of a national policy on access to public archives, the absence of an institutional access policy, the absence of a standing committee on access and use of archives, lack of a budget, increasing backlogs of unprocessed archives, misconstrued public perception, the absence of special facilities for the physically challenged, centralised access to archives, access restrictions placed by legal instruments as well as limited use of digital technology, no use of the print media and Web 2.0 technologies. Using the findings of the study, the researcher offered a framework for enhanced access and use of archives to serve as a baseline on which archivists may reflect and improve on their practices. / Information Science

檔案原是權力的象徵，從古至今，從東方至西方，只有少數人有權力得以使用檔案。而檔案由封閉走向開放，其重要的轉折點是在1794年，由於法國頒布世界第一部檔案法，規定檔案館應實行開放原則。此後，開放國家檔案館的檔案供民眾使用的觀念，也深深影響檔案館營運的方式。因此目前許多現代化的國家，常把檔案開放程度視為是民主化的重要指標。隨著網路通訊技術的發展，對於檔案開放亦產生極大的衝擊。 本研究採用「多重個案法」與「比較研究法」進行研究，首先瞭解美國、英國與澳洲三國國家檔案館檔案在網路上開放情況。並藉由比較研究法，瞭解三國之間的差異性，並且透過描述、解釋、併排、比較的過程，最後進行分析，將比較之結果做一結論，得出具體的建議。 根據研究發現，提出結論如下：一、檔案開放相關法規方面：（一）三國對於個人隱私權均相當注重，但美國則為政府資訊公開重於個人隱私權保護；（二）美、英兩國檔案相關法規針對網路開放檔案有特別之規範，美、英兩國檔案相關法規針對網路開放檔案有特別之規範，澳洲則為沿用原有檔案法規；二、線上參考服務方面：（一）線上參考服務多無專責部門，但仍有專責人員負責；（二）電子郵件、FAQ等非同步線上參考服務，為三國國家檔案館最普遍使用的形式；（三）三國國家檔案館均針對研究者提供特別線上參考服務；三、線上檢索工具方面為（一）三國國家檔案館提供多元化的線上檢索工具；（二）提供電子檔案及檔案內容影像檔已成為三國國家檔案館趨勢；（三）檢索系統的描述規則符合國際標準，有利於未來國際間檔案描述的資源分享與交流；四、線上檔案展覽方面：（一）線上展覽主題皆與館藏特色、社會文化相互結合；（二）線上展覽呈現方式較為傳統，缺乏創新；（三）線上展覽仍需與檔案館相關活動配合，以達最大的成效。 最後針對前述研究結果提出五項建議：一、明確規範檔案開放範圍，以作為我國檔案在網路上開放之依據；二、觀摩國外國家檔案館經驗，加強國內對線上參考服務的概念與認識，並積極推廣線上參考服務；三、建議國內檔案典藏單位，針對研究者提供特別線上參考服務；四、建議國內檔案典藏單位改善線上檢索系統，提供多元化線上檢索工具；五、針對我國檔案典藏單位之館藏特色及社會文化，積極推動線上展覽。

Summaries in Afrikaans and English / Afrikaans text / Die doel van hierdie studie was om argivale inligtingontsluiting en -herwinning aan die einde van die 20ste eeu te ondersoek, verai met betrekking tot ernstige historiese navorsing. Inligting is op die volgende wyses ingesamel: ‘n uitgebreide literatuurondersoek, onderhoude met argivarlsse in beide staats- en privaatargiefbewaarpiekke en ‘n empiriese ondersoek deur middel van ‘n vraelys wat aan hoofsaaklik ernstige historiese navorsers versprei is. Die navorser het argivale vindmiddels soos inventarisse, gidse en indekse, sowel as die gerekenariseerde argivale databases, persoonlik ondersoek ten einde eerstehandse kennis van die voordele en nadele van hierdie navorsings- hulpmiddets te verkry. Daar is gevind dat tegnologiese ontwikkelings die aard van argiefbewaarplekke en argivale bronne verander het. Die impak van rekenaarnetwerke op die argivale milieu, sowel as die voor- en nadele verbonde aan die hantering van elektroniese argivale rekords en mondelinge geskiedenisargiewe, is gevolglik in besonderhede bespreek, Hoewel die ontsluiting van argivale bronmateriaai steeds op die beginsels van herkoms en oorspronklike orde gebaseer is, is sekere aanpassings noodsaaklik. Tog is geen toegang tot argivale inligtingbronne sonder hie rdie prosesse moontlik nie, Doeltreffende argivale inligtingherwinning kan slegs verwesenlik word indien genoeg fondse en opgeleide, ervare personeel beskikbaar gestel word. Vervolgens Is die veranderende aard van historiese navorsing belig, verat wat die keuse van ondemverpe betref. Moderne tendense ten opsigte van die geskiedenis van benede, of die geskiedenis van die aiiedaagse lewe, en die geskiedenis van vroue, in teenstelling met tradisionele historiese nadruk op politieke figure en gebeure, is bespreek. Die studie het verder aangetoon dat toeganklikheid tot argivale inligtingbronne die belangrikste behoefte van die historiese navorser is. Die beduidende rol wat die argivaris en argivale vindmiddels in historiese navorsing speel, is beklemtoon. Gedurende die empiriese fase is 'n ontleding van die antwoorde van respondente ten opsigte van navorsingsbesoeke aan argiefbewaarplekke gedoen, Historiese navorsers se ondervinding met betrekking tot argivale vindmiddels, gerekenariseerde argivale netwerke en leeskamerpersoneel is bespreek. Die ondersoek word afgesluit met beiangrike bevindings en 'n aantal aanbevelings rakende historiese navorsing as ‘n argivale aktiwiteit in 'n veranderende inligtingwereld. / The purpose of this study was to investigate archival information organisation and retrieval at the end of the 20th century, especially with regard to serious historical research. Information was collected by the following means: an extensive literature survey, interviews with archivists in both state and private archives and an empirical survey by means of a questionnaire distributed amongst mainly serious historical resea rchers.The researcher personally examined archival finding aids such as inventories, guides and indexes, as well as the computerised archival database, for firsthand knowledge of the advantages and disadvantages of these research aids. It was found that technological developments had changed the nature of archives and archival sources, the most important adjustment being to electronic information sources and oral history archives. The impact of computer networks on the archival milieu, as well as the advantages and disadvantages of dealing with electronic archival records and oral history archives, was subsequently discussed in detail. Although the organisation and description of archival source material are still based on the principles of provenance and original order, certain adaptations are necessary. Without these processes no access to archival sources is possible. Effective archival information retrieval can only be achieved if sufficient funds are made available and well-trained, experienced staff are appointed. Subsequently the changing nature of historical research, especially with regard to the choice of research topics, was discussed. Modern tendencies such as history from below, or the history of everyday life, and the history of women, were investigated, in opposition to traditional historical emphasis on important political figures and happenings. Research further showed that accessibility to archival information sources is of paramount importance to the historical researcher. The important role of the archivist and archival finding aids, is emphasised. During the empirical phase the answers of respondents about their visits to archives were analysed. The experiences of historical researchers with regard to archival finding aids, computerised archival networks, and reading room staff, are discussed. The study is concluded with important findings and a number of recommendations pertaining to historical research as an archival activity in a changing information world. / Information Science / D. Litt. et Phil. (Information Science)

Summaries in Afrikaans and English / Afrikaans text / Die doel van hierdie studie was om argivale inligtingontsluiting en -herwinning aan die einde van die 20ste eeu te ondersoek, verai met betrekking tot ernstige historiese navorsing. Inligting is op die volgende wyses ingesamel: ‘n uitgebreide literatuurondersoek, onderhoude met argivarlsse in beide staats- en privaatargiefbewaarpiekke en ‘n empiriese ondersoek deur middel van ‘n vraelys wat aan hoofsaaklik ernstige historiese navorsers versprei is. Die navorser het argivale vindmiddels soos inventarisse, gidse en indekse, sowel as die gerekenariseerde argivale databases, persoonlik ondersoek ten einde eerstehandse kennis van die voordele en nadele van hierdie navorsings- hulpmiddets te verkry. Daar is gevind dat tegnologiese ontwikkelings die aard van argiefbewaarplekke en argivale bronne verander het. Die impak van rekenaarnetwerke op die argivale milieu, sowel as die voor- en nadele verbonde aan die hantering van elektroniese argivale rekords en mondelinge geskiedenisargiewe, is gevolglik in besonderhede bespreek, Hoewel die ontsluiting van argivale bronmateriaai steeds op die beginsels van herkoms en oorspronklike orde gebaseer is, is sekere aanpassings noodsaaklik. Tog is geen toegang tot argivale inligtingbronne sonder hie rdie prosesse moontlik nie, Doeltreffende argivale inligtingherwinning kan slegs verwesenlik word indien genoeg fondse en opgeleide, ervare personeel beskikbaar gestel word. Vervolgens Is die veranderende aard van historiese navorsing belig, verat wat die keuse van ondemverpe betref. Moderne tendense ten opsigte van die geskiedenis van benede, of die geskiedenis van die aiiedaagse lewe, en die geskiedenis van vroue, in teenstelling met tradisionele historiese nadruk op politieke figure en gebeure, is bespreek. Die studie het verder aangetoon dat toeganklikheid tot argivale inligtingbronne die belangrikste behoefte van die historiese navorser is. Die beduidende rol wat die argivaris en argivale vindmiddels in historiese navorsing speel, is beklemtoon. Gedurende die empiriese fase is 'n ontleding van die antwoorde van respondente ten opsigte van navorsingsbesoeke aan argiefbewaarplekke gedoen, Historiese navorsers se ondervinding met betrekking tot argivale vindmiddels, gerekenariseerde argivale netwerke en leeskamerpersoneel is bespreek. Die ondersoek word afgesluit met beiangrike bevindings en 'n aantal aanbevelings rakende historiese navorsing as ‘n argivale aktiwiteit in 'n veranderende inligtingwereld. / The purpose of this study was to investigate archival information organisation and retrieval at the end of the 20th century, especially with regard to serious historical research. Information was collected by the following means: an extensive literature survey, interviews with archivists in both state and private archives and an empirical survey by means of a questionnaire distributed amongst mainly serious historical resea rchers.The researcher personally examined archival finding aids such as inventories, guides and indexes, as well as the computerised archival database, for firsthand knowledge of the advantages and disadvantages of these research aids. It was found that technological developments had changed the nature of archives and archival sources, the most important adjustment being to electronic information sources and oral history archives. The impact of computer networks on the archival milieu, as well as the advantages and disadvantages of dealing with electronic archival records and oral history archives, was subsequently discussed in detail. Although the organisation and description of archival source material are still based on the principles of provenance and original order, certain adaptations are necessary. Without these processes no access to archival sources is possible. Effective archival information retrieval can only be achieved if sufficient funds are made available and well-trained, experienced staff are appointed. Subsequently the changing nature of historical research, especially with regard to the choice of research topics, was discussed. Modern tendencies such as history from below, or the history of everyday life, and the history of women, were investigated, in opposition to traditional historical emphasis on important political figures and happenings. Research further showed that accessibility to archival information sources is of paramount importance to the historical researcher. The important role of the archivist and archival finding aids, is emphasised. During the empirical phase the answers of respondents about their visits to archives were analysed. The experiences of historical researchers with regard to archival finding aids, computerised archival networks, and reading room staff, are discussed. The study is concluded with important findings and a number of recommendations pertaining to historical research as an archival activity in a changing information world. / Information Science / D. Litt. et Phil. (Information Science)

Die Forschung zum Informationsverhalten in Archiven hat wiederholt gezeigt, dass der Zugang zu Archivbeständen durch einen grundlegenden Wissensmangel über die Informationsbedürfnisse von Archivnutzern eingeschränkt wird. Das Ziel der vorliegenden Studie ist die Vertiefung des empirischen Verständnisses der spezifischen Informationsbedürfnisse von Archivnutzern und damit die Leistung eines grundlegenden Beitrags zur Verbesserung von archivischen Informationssystemen. Dazu untersucht die primäre Forschungsfrage die Möglichkeit der Erarbeitung einer Ontologie, die in angemessener Weise das Erkenntnisinteresse von Nutzern an Archive repräsentiert, und auf formale Anfragen, adäquate Antworten erzeugt. Zu diesem Zweck analysiert die Studie schriftliche Nutzeranfragen an das Bundesarchiv und das Nationalarchiv von Norwegen (Arkivverket). Die primären Forschungsergebnisse umfassen einen methodischen Ansatz, der eine interpretative Analyse schriftlich formulierter Fragen an Archive vertritt und, als Ergebnis seiner erfolgreichen Anwendung, das Archival Knowledge Model (AKM) erarbeitet. Das AKM ist eine ontologische Repräsentation des Gegenstandbereichs, der typischerweise als das Erkenntnisinteresse von Fragen an Archiven erscheint. Die Studie zeigt, dass derartige Anfragen dominante, grundlegende ontologische Muster aufweisen, die auf einen relativ kleinen Satz ontologischer Entitäten formalisiert werden können. Das AKM repräsentiert damit formal und explizit die Informationsbedürfnisse von Archivnutzern in Form einer Ontologie. Diese stellt ein konstitutives Modell für die Evaluierung bestehender Archivinformationssysteme und Datenschemata zur Verfügung und kann die Entwicklung neuer Katalogisierungsregeln oder musterbasierter Abfrageanwendungen unterstützen. / Research on the information behaviour of archive users has repeatedly shown that access to archival knowledge bases such as via finding aids is hindered by a certain deficiency in knowledge about users and their information needs. The objective of this study is to increase our empirical understanding of the information needs of archive users in order to facilitate access to archival information systems. The primary research question explores the possibility of creating an ontology that can reasonably represent archival inquiries and their probable interpretations as formal queries to the model of the archival target world that would generate an adequate response. For this purpose, the study analyzes archival information needs as expressed in written natural language questions submitted to the German Federal Archives (Bundesarchiv) and the National Archives of Norway (Arkivverket). The primary results point to a methodological approach that advocates an interpretative analysis of written natural language inquiries and, as the result of its practical and successful application, the Archival Knowledge Model (AKM). This constitutes an ontological representation of the subject matter typically appearing as the interest of archival inquiries. The study thus shows that written natural language questions submitted to archives exhibit dominant fundamental ontological patterns, which can be formalized to a relatively small set of entities utilizing the CIDOC CRM and compatible extensions wherever its semantics are found to be inadequate. The AKM formally and explicitly represents the information needs of archive users in the form of an ontology, thus providing a constitutive model for the evaluation of existing archive information systems and data schemas and may inform the development of new cataloguing rules or pattern-based query applications.