Home Introduction A: An Introduction to Historic Environment Records B: How do you manage an Historic Environment Record? C: Recording Practice Guidelines D: How do you compile, maintain and enhance an HER?
E: Geographic Information Systems (GIS), mapping and spatial data F: Access to the HER G: Glossary and list of abbreviations H: Bibliography I: Useful websites J: Useful addresses

B How do you manage an Historic Environment Record?

 

Part B of the manual provides an introduction to the management policies and systems which constitute the framework in which the day to day operations of an HER take place

 

B.1 Managing the HER

B.2 Forward planning for HERs

B.3 Staff training and continuing professional development

B.4 Defining the HER

B.5 Information systems

B.6 Data standards for the Historic Environment

B.7 Management of data standards - FISH

B.8  Managing HER information systems

B.9 lntranets and the internet

B.10 Managing HER collections

B.11 Disaster planning

Contributors: Kenneth Aitchison, Tony Austin, Alison Bennett, Victoria Bryant, Kieran Byrne, Phil Carlisle, Dominique de Moulins, Kate Fernie, Catherine Hardman, Bob Hook, William Kilbride, Neil Lang, Edmund Lee, and Martin Newman.

 

 

B.1 Managing the HER

 

Although there are variations in local arrangements, each HER provides an information management service within a larger organization. Every HER has information assets, in its databases and references collections, and each provides services to users. All HERs have resources in their staff, equipment and the finances that support information services. These all need good management, particularly as resources are scarce and HER managers are increasingly being asked to demonstrate the efficiency and effectiveness of their services in competition with others.

 

Managing an HER is like running a small business in which HER managers are asked to promote the value of their services and prioritise the allocation of scarce resources to meet competing demands. Time will always be limited and the purpose of this section of the manual is to provide guidelines on planning and management issues common to all HERs, which are described below.

 

Policy and Planning

Policy and planning documents help HER managers to get the most out of limited resources and provide a framework for making decisions in a rapidly changing world. The importance of such documents is recognised by their use as measures of HER performance in Historic Environment Records: Benchmarks for Good Practice (Chitty 2002). The policy documents defined in this document as 1st stage performance indicators are:-

 

·         Information services policy (1.1 - 1.2). This explains why the record is maintained, who it aims to serve and how users can access the data.

·         Information policy (2.1 - 2.3). This outlines the scope, geographical coverage and content of the information available and a disposals policy for transfer of primary archives.

·         Recording Manual (3.1 - 3.4). This explains how data is captured and how it is recorded to provide quality assurance and includes guides and an index to supporting reference collections.

·         Security policy (3.5, 3.8). This deals with strategies for appropriate archiving of digital and non-digital material as well as the preparation of a risk assessment and disaster plan.

·         Forward Plan (3.6, 3.7). An ongoing assessment of the quality of data and a prioritised programme of update and enhancement requirements.

 

Staff training and continuous professional development

Retaining appropriately qualified staff to run the HER is essential for providing high quality information and advisory services. Management activities in this area include seeking additional staff resources (for projects or to increase the core complement) and preparing a training and development plan for existing staff members. The preparation of a Recording Manual will facilitate staff training and professional development.

 

Content

The information contained in HERs is continually developing. Management activities in this area include planning programmes of information capture in line with the HER's Recording Policy, local or regional research frameworks and national data standards. HER managers will be monitoring and validating input to the HER database and, if appropriate, the GIS and the cataloguing and storage of HER collections. They are also likely to be working with planning archaeologists to develop proformas for digital data to be included in briefs and developing licenses for material deposited with the HER. Increasingly they will be working with systems designed to facilitate information flow between archaeological organisations (for example OASIS see B.5.4, C.7.3). Managing data standards and the wordlists or thesauri in use in the HER and contributing to national standards working parties is another important aspect of this work.

 

Information technology

The speed of new developments in information technology (IT) means that in many places computer hardware and software is on a 3 to 5 year replacement cycle. HER managers need to work within any corporate IT policies to plan for the replacement of hardware such as PCs and for the migration of data into new information systems. HER managers need to be aware of the range of software their corporate IT department are prepared to support when assessing the potential of new information systems as part of their Forward Plan. A day-to-day aspect of their work will be backing up the HER's computer systems and making sure that the Security Policy contains a strategy to restore services in the event of a range of potential problems.

 

Access and services

Services offered by HERs, both internally and to the public, are likely to be kept under review by local authorities or parent organisations. Because of this an important aspect of the work of an HER manager is putting procedures in place to log the number and type of enquiries to the HER, monitor user satisfaction and survey user needs as outlined in the Information services policy. Government initiatives have highlighted the need to increase access to HERs (refs; see Section F). HER managers should be involved in planning to improve and develop the information services offered. HER managers should also be involved in preparing bids for funding to the Heritage Lottery Fund or other funding sources to improve access and services.

 

Useful web sites

OASIS http://ads.ahds.ac.uk/project/oasis/

ALGAO/EH Historic Environment Records: Benchmarks for Good Practice  http://www.jiscmail.ac.uk/files/HERFORUM/

 

 

B.2 Forward planning for HERs

B.2.1 Assessing performance B.2.2 How can forward plans help? B.2.3 What should be included in a forward plan? B.2.4 The forward-planning process B.2.5 Presenting the plan B.2.6 Monitoring progress and reviewing the plan

 

All HERs change continuously, as the needs of last year are often not those of today, and tomorrow will be different again. There may be changes in the local management structure, opportunities for partnerships, projects or funding or developments in information technology and standards. Discoveries about the local historic environment will also bring new work programmes.

 

Preparing a forward plan helps HERs, large or small, to take stock, to understand the needs of their service and visualise plans for the future. It is an opportunity to discuss plans with management and gain approval from local councillors or governing bodies. This is particularly important now that there is increasing pressure from government for HERs to change and develop their research, education and outreach functions. The forward plan may need to integrate with wider serviced and strategic plans within the local authority, especially if it is to be distributed to councillors or senior management.

Forward plans help HERs to achieve value for money in improving the management of information resources and the quality of services offered. They also help to monitor progress and demonstrate achievement.

 

 

B.2.1 Assessing performance

Forward plans should take into account national performance targets and standards.

 

Most HERs are based in local authorities and are assessed by the Audit Commission in the same way as other local authority services. Best Value Performance Indicators (BVPI) were first introduced in 2000/01. Since then the framework, within which local government performance is assessed and measured, has developed. Because of this, BVPIs are now undergoing a fundamental review and current standards are likely to change.

 

In addition to monitoring Best Value the Audit Commission require local authorities to undertake Regular Performance Assessments (RPA) as part of an ongoing Continuous Performance Assessment (CPA). These recognise that the focus and priorities in service delivery are not the same everywhere and state that as well as BVPIs, professional benchmarks (Chitty 2002) and/or other frameworks, for example the Regional Research Frameworks where appropriate, should be used.

 

Useful websites

Best Value: http://www.communities.gov.uk/index.asp?id=1137624

 

Continuous Performance Assessment (CPA):

 http://www.audit-commission.gov.uk/localgovernment/index.asp?CategoryID=english^576&page=index.asp&area=hpsector

http://www.audit-commission.gov.uk/cpa/

 

Wales

In Wales the four HERs are owned and managed by the Welsh Archaeological Trusts (WATs). The WATs are independent charitable trusts, part funded by the Welsh Assembly Government to provide regional archaeological services. Some additional financial support is provided by a number of the local authorities. The Royal Commission on the Ancient and Historical Monuments of Wales (RCAHMW) provides task specific grant aid for maintaining and enhancing the records, while funding to support public enquiries is provided by Cadw. Cadw and RCAHMW monitor the provision of archaeological services on behalf of the Welsh Assembly Government. The HER Benchmarks (Chitty 2002) are being adopted for use in Wales.

 

Scotland

In Scotland local authorities are subject to best value review but no specific best value performance indicators have been developed for application to HERs.

 

 

B.2.2 How can forward plans help?

Forward plans help HERs to set out realistic programmes that reflect local priorities and also establish their own performance and efficiency targets. They also provide:

 

·         A sense of purpose: forward planning encourages management and staff to establish a shared statement of purpose that can be used to present the HER and its services to the outside world. Forward plans help others to understand the HER's priorities and goals.

 

·         A sense of direction: setting objectives that address needs identified by the HER helps to give a sense of direction. Work and resources can be planned and everyone can see how individual tasks help to achieve longer-term goals.

 

·         A sense of achievement: reviewing the HERs achievements each year against its own objectives is one of the benefits of forward planning. Just as performance can be measured, so achievements can be reported.

 

·         Managing change: introducing new procedures, technology or projects all involve commitment of staff time and resources. HERs can not afford to make mistakes or run out of resources or enthusiasm.

 

Preparing an action plan enables managers to assess the timescale, costs, methods, equipment, materials and staff required to introduce change successfully. Such plans assist when bidding for resources from local authorities, national agencies and other funding agencies. They also allow you to respond quickly and confidently when funds are made available at short notice (for example at the end of the financial year).

 

 

B.2.3 What should be included in a forward plan?

A forward plan is the end product of a process that should:

 

·         Agree a mission statement that clearly states the HER's aims.

·         Develop a future strategy for the HER based on these aims.

·         Be aware of regional or national research frameworks and reference them where appropriate.

·         Produce an objective assessment of the HER's strengths, weaknesses, any current shortcomings and any challenges ahead.

·         Identify areas which need improved management or increased resources.

·         Set work objectives for programme areas which help the HER to achieve its strategic aims over the period of the plan.

·         Identify performance indicators against which achievements can be measured. Such indicators are normally qualitative, quantitative or time related.

·         Identify any new developments or changes that require new resources or training.

·         Set out realistic timetables and costings for programmes of work identifying methods, equipment, materials and staff resources required.

 

The completed forward plan should be carefully thought out and appropriate to the HER's needs. It should be approved and actively supported by both the HER's parent authority and staff working in or with the service.

 

 

B.2.4 The forward-planning process

The process of preparing a forward plan can be divided into stages:

 

Taking stock

Take time to gain a thorough understanding of the HER's current strength or weaknesses. The Historic Environment Records: Benchmarks for Good Practice (Chitty 2002) suggests standards which all HER's should be working towards. How does your service compare against these benchmarks and other HERs? What factors have influenced services in the past? Are there any current requirements and needs?

 

List all activities or projects that are currently identified. Ask yourself why they are included in your programme and how important they are to present needs. Panel 2 gives a self assessment checklist of standards for HER services based on the recommendations included in David Baker’s ‘SMR Assessment Report’ (Baker 1999a).

 

The EH sponsored HER Audits provide a method to take stock of an HER’s resources (see later in this section).

 

Consult widely

For the plan to work it must have the support of both staff and management. Consult colleagues and give interested parties an opportunity to contribute, particularly where goals are shared with other departments, for example, extending public access to the HER may involve libraries or museums. Discuss plans with other HERs and take advantage of their experiences. Regional Research Frameworks, where they exist, provide a useful insight into the aspirations of the heritage community in the area and should be considered. Consult the appropriate national agencies, especially if you aim to include a nationally funded project in your programme.

 

Drafting the plan

On the basis of managers knowledge of the HER, the results of the self-assessment process and documents such as the Benchmarks for Good Practice (Chitty 2002) write down your vision for the future. You should be realistic and separate out achievable elements that most effectively deliver the HER's mission.

 

Break down your vision into programme areas and projects and identify resources required to deliver them.

 

Prioritise

Tasks must be prioritised.  Generally those tasks which help to meet HER benchmarks or support current services should be tackled first, but be aware that factors such as changes in funding may result in a need to change priorities at short notice. Different funding sources can be targeted for specific aspects or types of work. Be flexible.

 

Choose the best approach

Do not assume that things always have to be done in the same way. New techniques may become available or requirements might change. This manual offers guidelines for HER working practices and may suggest some ideas that may be new to your HER. Each HER needs to work out its own detailed procedures to complete its work programmes.

 

Be realistic

Set goals and objectives that the HER can aim to achieve over a 3 to 5 year period. It is no good trying to create fully detailed monument records from a major compilation backlog if, for example the HER is not MIDAS compliant (Lee 1998) and staff resources are not in place.

 

The plan must include an assessment of the resources required and a strategy to put these in place. If the resources are unattainable, the plan must be revised. Think laterally about seeking funding, for instance, working with local groups to apply for Local Heritage Initiative and other lottery funded grants.

 

 

 

 

Set short-term goals

It is a good idea to set short-term goals and identify milestones against which achievements can be measured. This helps to maintain staff morale and provides useful information for promoting the HER within your service.

 

Consider any risks

Assess any risks involved in implementing your forward plan, particularly when making changes to current work practices or introducing new technology. Identifying risks means that you can plan additional measures to limit the likelihood of their occurrence. It is less risky to try to move forward than to stand still. 

 

HER Audits

To assist in forward planning and benchmark compliance the NMR of English Heritage runs a programme of HER Audits. Audits are wide ranging and assess all parts of the HER including: content, compliance with standards, IT (hardware and software) resources (financial and staffing), usage (internal and external) and backlogs. The audit process is as follows:

1.      HER contacts the NMR expressing interest in conducting an Audit.

2.      The NMR sends out the latest version of the Audit Specification.

3.      The HER writes to the NMR requesting a grant to cover 50 per cent of the cost up to £1,500 and submits a brief project plan consisting of a timetable for data gathering and report writing with resources allocated.

4.      The NMR pays a grant to the HER.

5.      The HER carries out the audit, discussing progress with the NMR at agreed monitoring points and writes a report which it submits to the NMR.

6.      The NMR comments on the report.

7.      An optional post-audit meeting to discuss the recommendations and how they can be implemented takes place between the HER and the NMR.

8.      Progress against the recommendations are assessed.

9.      The Audit is reassessed after 5 years.

 

As well as assisting an HER in assessing itself against the benchmarks carrying out an audit itself satisfies benchmark 3.6.

 

There is no equivalent process in Scotland or Wales although Scotland’s Historic Environment Audit is currently in progress.  This will identify issues relevant to the health of the historic environment and the impact of resources used to manage and protect it.  It is intended that the resulting document will be used to inform policy for Local Authorities as well as Historic Scotland, see http://www.heritageaudit.org.uk/ for details.

 

 

B.2.5 Presenting the plan

The forward plan should be presented to local councillors or the HER's governing body for approval. Members may already be aware that the document is being prepared and the plan may be presented as a final draft or as a finished document.

 

Presenting the plan is a way of gaining support for the HER and for the programmes of work that you have proposed.

B.2.6 Monitoring progress and reviewing the plan

Your forward plan will establish objectives and performance indicators for the HER. Each year, the HER's performance will be monitored and achievements measured against the objectives set the previous year. Report your achievements to management and to either local councillors or the HER's governing body.

 

Progress against your forward plan should be kept under regular review. This is likely to happen at the end of each quarter. Reviewing the plan and progress against planned objectives highlights issues, unexpected changes in circumstances or new opportunities to be identified. The plan needs to be modified, but making changes does not invalidate the process; in fact having a forward plan should help reasoned decisions to be made and the unexpected managed.

 

Forward plans normally cover a 3 to 5 year period and are more detailed for the first year than for subsequent years. Such plans should be formally reviewed every year; this is likely to precede the annual budget round.

 

Useful websites

England Regional Research frameworks

Eastern of England   http://www.eaareports.demon.co.uk/research_framework.htm

East Midlands http://www.le.ac.uk/archaeology/research/projects/eastmidsfw/index.html

North East:  http://www.durham.gov.uk/durhamcc/usp.nsf/pws/Archaeology+2001+-+Archaeology+Regional+Research+Framework

West Midlands: http://www.arch-ant.bham.ac.uk/research/fieldwork_research_themes/projects/wmrrfa/index.htm

 

Wales:

 http://www.cpat.org.uk/research/index.htm

 

Panel 2: A self-assessment checklist of standards for HER services

 

B.3 Staff training and continuing professional development

 

B.3.1 The principles behind continuing professional development B.3.2 Undertaking continuing professional development B.3.3 Training in archaeology B.3.4 The Institute of Field Archaeologists (IFA)
B.3.5 Training in building conservation B.3.6 The Institute of Historic Building Conservation (IHBC) B.3.7 Other relevant organisations B.3.8 Training and CPD in HERs

 

Continuing professional development (CPD) has been defined (after the Engineering Council) as:

‘The systematic maintenance and improvement of knowledge, skills and competence throughout a professional’s working life and the process by which a professional person maintains the quality and relevance of the professional services they provide during their working life.’

 

Training is something that contributes to CPD; it refers to the design, provision or organization of events which provide a structured learning experience which can form a part of an individual’s CPD programme.

As a principle, CPD refers to the need of all historic environment professionals to keep up to date and to extend our knowledge and expertise. This is essential to the development of the academic disciplines and practical methodologies of historic environment professional practice, to enhancing society’s understanding of its past and to maintaining our standards in the use and care of a vulnerable, valuable resource.

As a process, CPD describes a structure through which each of us can identify the underpinning knowledge and skills necessary to maintain or develop our expertise and further our careers, within existing roles or in seeking or taking on new responsibilities. The structure enables us to select the ways by which we acquire that knowledge and those skills, and to commit to this learning. Further, it provides us with a means of articulating to others our learning needs in order to seek, and obtain, the support we may need in our commitment.

It is relevant to all practitioners, in all sectors of the historic environment professional community, no matter what their seniority or specialization may be.

The utility and success of CPD is largely dependent upon the depth of our individual commitment to learning and the degree of responsibility to ourselves and the profession that we are each willing to accept.

 

 

B.3.1 The principles behind continuing professional development

Continuing professional development (CPD) and life-long learning are concepts central to modern professional practice.

The principles of CPD are supported by government, employers and professional bodies and as a result increasing attention is being given to staff development, with the aim of creating a climate of continuous improvement in service delivery.  An organization’s performance is improved by linking training and development to planned, well-communicated service objectives.  Everyone is encouraged and developed to make the best possible contribution to achieving the organization’s goals.

The objectives of individual members of staff should be integrated into a training strategy for the service as a whole.  A starting point for this strategy would be an assessment of the skills and knowledge required for the service to fulfill its objectives, and also those needed by specific members of staff.  This assessment can then be used to help 'benchmark' the current level of expertise and to prepare a strategy for developing staff, and also consider methods of obtaining training through internal or external courses and workshops.

A methodology, with supporting case study, for undertaking a skills audit within a historic environment organization has been published by the Cultural Heritage National Training Organisation (now part of Creative and Cultural Skills) at

http://www.chnto.co.uk/development/archaeologyCaseStudies/archaeologyFoundationsCS/whowhat.php

 

B.3.2 Undertaking continuing professional development

CPD is structured upon the use of two career development tools, the Personal Development Plan and the CPD Log.

The Personal Development Plan (PDP) is a key part of quality assurance in the training process. This should document targeted career objectives which are ‘SMART’ - specific, measurable, achievable, realistic and time bound, and identify the training required to support this career development. This document belongs to the individual, but its preparation should be discussed and ideally agreed with the individual’s line manager to ensure that the individual’s professional development meshes with the skills needs of the organization. The actual document may be a short or long term plan, depending on what is most useful.

The personal development plan is supported by a second document, the Continuing Professional Development (CPD) Log. It is important to track closely the achievement of learning goals, in order to record and reflect on learning. The CPD Log is an on-going record of achieved training or career objectives. It provides an ordered documentary record of steps undertaken to achieve personal development goals, the time investment, the means, the achieved progress, and any follow up.

These two documents, the PDP and CPD log are directly linked. Working together they produce a dynamic process: CPD achievements refer back to the aims in the PDP, the PDP evolves as existing objectives are accomplished and new ones added. The format is not rigid, retrospective changes may be applied to the PDP in the light of unexpected learning opportunities. These documents allow and promote a pro-active approach to personal development on the part of the practitioner. They encourage and enable the formalization and articulation of learning goals, objectives and progress towards them. They offer a portable record of personal investment in development.

The PDP and the CPD log belong to the individual practitioner, their mentor or manager may use them to identify and evaluate training needs, but ownership stays with the individual.  This sense of ownership is important, as it helps to motivate the individual in setting personal goals which contribute to the overall development of the organization’s skills base.

 

 

B.3.3 Training in archaeology

A number of bodies are engaged in the active promotion of training across the professions and specialisms working with the historic environment.

 

The Archaeology Training Forum

Since 1998, the Archaeology Training Forum (ATF) and its member organisations have taken forward a co-ordinated programme to develop training and a framework for professional qualification in archaeology.  The ATF is a delegate body which represents all those organisations which have an interest in the issues of training and career development in archaeology.  It was constituted in 1998 to review the present provision of training in archaeology and to co-ordinate future strategies to meet the profession's training needs.  The ATF exists to:

·         keep current training provision by member bodies and others under review

·         seek to ensure that funding for training from whatever source is distributed according to need within a framework of priorities

·         work towards the alignment of existing and proposed training sessions and units, sponsored or run by bodies represented, into a series of related programmes accessible to all members of the profession and to interested amateurs

·         work towards agreement on the validation of training units and their integration within a widely accepted professional career structure.

The ATF is concerned to promote solutions to current training issues in the profession and to engender action to ensure that future needs are met.  To do so it works with academic and professional partners to promote a range of training to meet the needs of the profession and to co-ordinate strategies to fill any perceived gaps.

The bodies presently making up the ATF are:

·         The Association of Local Government Archaeological Officers

·         The Council for British Archaeology

·         English Heritage

·         The Institute of Field Archaeologists

·         The Society of Museum Archaeologists

·         The Standing Committee of Archaeological Unit Managers

·         The Subject Committee for Archaeology

·         Prospect

·         Creative and Cultural Skills

·         Higher Education Academy Subject Centre for Archaeology

·         The Institute of Historic Building Conservation

One of the ATF’s earliest pieces of work was the commissioning of the development of a suite of National Occupational Standards in Archaeological Practice (see below).  These benchmarks of vocational competence are now being used as the underpinning architecture for the ATF’s profession-wide initiatives.  The ATF’s forward plan for the period to 2006 sets out a route map of training priorities for the profession, which includes further promoting personal investment in training and best practice through wider use of PDPs and CPD logs and producing guidance for employers in archaeology on effective strategies for training in business.

 

National Occupational Standards (NOS)

National Occupational Standards (NOS) form the basis of the government's strategy for vocational qualifications and training. These are a simple, yet powerful and comprehensive tool which can support the efficient achievement of individual and organisational goals.

Put simply, they describe what competent people in a particular occupation should be able to achieve. They provide a framework for progression beyond degree level, for vocational training and for professional development and career planning.

A suite of National Occupational Standards in Archaeological Practice has been developed in conjunction with ATF members and after extensive consultation with the sector. Reference to these means that creating personal development plans, establishing training programmes and bringing clarity and focus to performance appraisal can be achieved more efficiently.

 

 

B.3.4 The Institute of Field Archaeologists (IFA)

The Institute of Field Archaeologists is the professional organisation for all archaeologists and others involved in protecting and understanding the historic environment. It acts in support of its members, works to improve pay and conditions, represents the interests of archaeology and archaeologists to government, policy makers and industry, keeps members up to date on developments in archaeological practice, sets standards and issues guidelines, promotes and organises training, improves individual career prospects, provides a wide range of membership services, and through its Registered Archaeological Organisation (RAO) scheme improves employment practices and raises standards of work.

There are presently over 2,300 members of the IFA. Membership is open to practising archaeologists in all fields, whether professional or amateur. Archaeologists are admitted to corporate membership after rigorous peer review of their experience and qualifications. They may identify themselves as corporate members by using the designation PIFA, AIFA and MIFA depending on membership grade. There are non-corporate membership grades of Student and Affiliate. All members agree to abide by the Institute’s Code of Conduct, for all archaeologists have a duty to adhere to the highest professional and ethical standards.

The IFA plays an active role in supporting and developing the skills base of individual members, of IFA Registered Archaeological Organisations and the profession as a whole.

Throughout the IFA Code of conduct there runs a requirement for practitioners to maintain and be aware of their levels of knowledge and skill. Without such maintenance and awareness, archaeologists cannot hope to uphold the principles and adhere to the rules laid down in the Code.  The IFA sees Continuing Professional Development (CPD) as a principal means of sustaining and developing archaeologists, the profession of archaeology and standards, and so IFA is committed to CPD as a means of securing good practice and high standards amongst its members.  Both new applicants for membership and existing members are expected to undertake at least 50 hours CPD in any two-year period. The CPD pages of the IFA web site can be found at: http://www.archaeologists.net/modules/icontent/index.php?page=20 ) 

 

B.3.5 Training in building conservation

Since April 2004 it has been a condition of English Heritage and Historic Scotland grant funded building repair projects that the lead professionals should be accredited in conservation. This requirement follows concerns at Historic Scotland in relation to the quality of grant-aided works, which led first to a commitment in the 1998 Historic Buildings Council for Scotland’s Annual Report that “within 3 to 5 years” lead professionals should be accredited. English Heritage then gave a parallel commitment to accreditation at the IHBC 2001 Annual School in London.

 

A number of the professional bodies have administered accreditation systems for some time. These schemes allow pre-qualified and appropriately experienced professionals to seek accreditation as individuals, normally by way of submission of detailed evidence of experience. (Eydman and Preston 2004).

 

B.3.6 The Institute of Historic Building Conservation (IHBC)

The Institute of Historic Building Conservation (IHBC) is the professional institute which represents conservation professionals in the public and private sectors in the United Kingdom and Ireland. IHBC exists to establish the highest standards of conservation practice to support the effective protection and enhancement of the historic environment.

The Institute recognises the value to be gained by members, clients, our heritage and the public at large in having a positive approach to the continuing training and development of its members.  IHBC has developed a CPD scheme for members that requires a recorded form of members’ learning to ensure that it is effective, reflective of considered needs and that it gets recognition.  The form of the record is not as important as the content and that it links back to the individual member’s Personal Development Assessment and the IHBC’s Areas of Professional Competence (Philosophy; Legislation/Policy; Technology; History; Finance/Economics; Research/Recording/Analysis; Design/Presentation; Practice).  The IHBC requires members to log 50 hours of CPD over a rolling two year period.

The IHBC will, at short notice, call in the CPD Records of a percentage of members each year for assessment. These members will be selected at random but the system will be attenuated to ensure, over time, that all members will, at some point, be called in. Any member who fails to submit their CPD Records or submits unacceptable and/or unverified CPD records will be subject to disciplinary action by the Institute including expulsion. Any member whose CPD Records need further explanation will be required to respond in writing to questions from the Institute and/or attend an interview. Should the outcome of this process be unsatisfactory the Institute will instigate appropriate disciplinary action including expulsion.  (Preston and Brown 2005)

B.3.7 Other relevant organisations

These include Creative and Cultural Skills.  This body is the Sector Skills Council for archaeology, the historic environment and all other areas of the UK workforce in the cultural and creative sector.  It is recognised by the UK Government as the strategic training organization for the museums, galleries and heritage sector in the UK, providing advice about training and professional development.

The Learning and Skills Council (LSC) is responsible for funding and planning education and training for over 16-year-olds in England. It provides countrywide information on training plans and workplace training.  The LSC functions through a network of local offices, and can sometimes offer financial support for learners and employers.

 

B.3.8 Training and CPD in HERs

It is recognised that, alongside the general lack of development within the historic environment professions overall, training provision for HER staff is also considered to be weak.

Given the wide range of roles and functions that HER staff have to fulfill, their skills and development needs are broad.  As the requirements placed on these individuals are increasingly demanding, the need for the maintenance of their CPD and for opportunities for learning are increasingly being recognised.

 

Forms of CPD

CPD can be accessed through both formal and informal learning, which can take place on or off the job.

·         On-the-job, or in-house, formal training would involve learning in a traditional, ‘classroom’ setting, provided by in-house trainers or imported experts.

·         Off-the-job formal training would involve the individual professional attending a training course that is being run away from their usual place of work.

·         Informal learning, taking place on–the-job might take the form of being coached by a more experienced colleague.

·         Off-the-job informal learning can take place through means such as conference attendance or through structured, focused reading.

Whatever form the CPD experience takes, the important thing is what is learned, not how or where it is learned.  Learning should be valued in terms of the outcomes of what is delivered (the learning), not the input (that is the time spent on the learning experience).  If the outcomes of a learning experience match a learning objective that an individual has placed in their Personal Development Plan, then that learning has contributed and counts towards their CPD and should be recorded in the CPD log.

 

Training providers

English Heritage facilitates an annual programme of short courses in partnership with higher education institutions, including Oxford University Department of Continuing Education, for historic environment practitioners and postgraduate students. The Courses are designed by English Heritage in association with the Archaeology Training Forum (ATF), the Institute of Historic Building Conservation (IHBC) and the Institute of Field Archaeologists (IFA).

Training is also offered by a wide range of bodies and organisations, including:

·         university continuing education departments

·         university postgraduate courses in Cultural Resource Management and other relevant subjects

·         Historic Environment Local Management (HELM) provides information and training to help local authority decision making in the historic environment.

·         English Heritage's Data Standards Unit, which has developed training in data standards, documentation and recording practices for curators of monument inventories.

·         the Archaeology Data Service, which offers seminars on digital data management.

·         the Museums Association, which represents the people and institutions constituting Britain's museums and galleries, offers several professional development schemes.

·         exeGesIS Spatial Data Management (SDM) Ltd offer training in exeGesIS SDM Ltd's HER data management software.

·         local authorities may provide in-house training in ICT applications including the use of GIS.

 

Useful websites

The Archaeology Training Forum: http://www.britarch.ac.uk/training/atf.html

Professional Training in the Historic Environment: http://www.helm.org.uk/server/show/ConWebDoc.4494

National Occupational Standards in Archaeological Practice:

http://www.torc.org.uk/nos/index/asp

IFA CPD page     http://www.archaeologists.net/modules/icontent/index.php?page=20

Three case studies using NOS are available via IFA website http://www.archaeologists.net/modules/icontent/index.php?page=41

IHBC CPD page http://www.ihbc.org.uk/1main_pages/education.html

Creative and Cultural Skills: http://www.ccskills.org.uk/

Learning and Skills Council: http://www.lsc.gov.uk

TUC Learning Services: http://www.unionlearn.org.uk/

Union Learning Fund: http://www.unionlearningfund.org.uk/

IFA training and career development: http://www.archaeologists.net/modules/icontent/index.php?page=41

Training in Professional Archaeology: http://www.britarch.ac.uk/training/survey.html

Archaeology Labour Market Intelligence: http://www.archaeologists.net/modules/icontent/inPages/docs/prof/LMI_Report1.pdf

CBA Briefing: training courses, etc: http://www.britarch.ac.uk/briefing/briefing.html

Investors in People: http://www.investorsinpeople.co.uk/IIP/Web/default.htm

exeGesIS SDM Ltd: http://www.esdm.co.uk/training.asp

HELM: http://www.helm.org.uk/

Data Standards Unit: http://www.english-heritage.org.uk/server/show/nav.8331

 

Archaeology Data Service: http://ads.ahds.ac.uk/

 

B.4 Defining the HER

B.4.1 Recording policy B.4.2 Updating the recording policy B.4.3 Disposals B.4.4 Inclusion of archaeological science data in HERs

 

In his assessment report, David Baker recommended that HERs should be all-inclusive of subject and period for archaeology and preferably for all aspects of the historic environment for a defined geographic area (Baker 1999a).  This is endorsed in Benchmarks for Good Practice which for the 1st stage states that “the record should be inclusive of subject and period for all archaeology terrestrial and maritime” and should “provide comprehensive coverage for statutory and non-statutory designated historic places”. It also states that a “written policy setting out the scope, geographical coverage and content” is required (Chitty, 2002, p.6 benchmarks 2.1 and 2.2). Looking beyond this broad-brush statement, HER managers are recommended to set out the scope and content of their record in their recording guidelines and to have a collecting and disposal policy for archive material.  The publication of the Hedgerow Regulations (DoE 1997) underlined the need for a clear statement of what data and other information comprises a local HER.

 

 

B.4.1 Recording policy (see also D.2)

 

HERs are recommended to prepare a recording policy that covers the following areas:

 

Geographic area

HERs normally cover the geographic area administered by a particular local authority.  In some areas, a number of HERs may operate, each offering services to different tiers of local government or to National Park authorities.  The recording policy for each HER should state the geographic area covered and any arrangements for exchanging or sharing data with neighbouring records. While local authorities do not currently have responsibility below the low water mark, those authorities that have a coastline should include the maritime cultural heritage in their record. A seamless approach  is advocated in compiling a maritime component of a  HER record out to the territorial limit, currently the 12 nautical miles and beyond if dealing with submerged landscapes.

 

Subject Coverage

The period and scope of coverage varies from one HER to another.  Some collect information about archaeological sites up to 1700 while others provide comprehensive coverage for all aspects of the archaeological and built environment. To meet benchmark 2.1 of Benchmarks for Good Practice (Chitty, 2002) the latter is required.  A recording policy should set out the period and topic themes that are covered by the record and may make reference to research framework documents for the area or region.  This policy will provide the framework for planning enhancements to the HER's information content and needs to be kept under review as new subject areas are considered for inclusion.  For example, the scope of the recording policy may need to be extended if HER managers decide to begin recording Cold War defensive sites (as some already do). Monument coverage in the submerged zone should reflect terrestrial coverage but ideally should be all encompassing, including wrecks, crashed aircraft, submerged landscapes and finds/reports outside the.

 

Recording policies may also identify other organisations (or departments) which are maintaining information about aspects of the historic environment that complements the information recorded by the HER, and any arrangements that are in place for sharing or exchanging data.

 

Sourcing of Information (see also D.3)

HERs hold information collected from a range of organisations including contracting field units, local societies, museums and national bodies.  The recording policy might contain a list of the principal organisations from whom the HER collects information and include guidelines for deposit of material/information with an HER, for example a deposit licence. 

 

Information Systems

HERs maintain databases and GIS to hold information relating to their area of interest. Where a GIS system is used it should be extended to the limits of the maritime record.  The recording policy might contain a list of the databases and information systems which the HER maintains and the data standards with which these comply.  The policy might also make reference to digital information resources which the HER accesses on the corporate intranet (for example spatial layers curated by other departments) or resources mounted on the intranet.

 

 

B.4.2 Updating the recording policy

It is important to keep the HER’s recording policy under regular review.  From time to time new categories of information or source materials will be offered to the HER. A local society or other organization may propose to undertake some research into a subject area which lies outside the HER's current sphere of interest.  In this event, the HER manager will need to decide whether to extend the recording policy to include the material or to refer the researcher to a more appropriate record.  For example, many HERs collect information about sites dating up until the end of World War Il.  If a local society were to propose a survey of 20th-century street furniture, the HER manager would need to decide whether to extend the collecting policy or not. The HER may be offered collections that require special storage conditions and it is important to decide whether it is possible to provide suitable arrangements. If the HER can offer appropriate storage the collecting policy will need to be revised. If the HER cannot then the collection should be transferred to an appropriate museum, archive or digital archive.

 

 

B.4.3 Disposals

Some HERs may hold information that do not meet the criteria set out in their recording policy.  Similarly HERs are not normally equipped to hold original paper, photographic, digital archives or archaeological finds. HER managers are recommended to identify appropriate repositories for inappropriate information and original materials in a collection and disposals section within the recording policy. This should set out the steps that the HER will take to find an appropriate alternative repository for this material, for example documents will normally be deposited at the local records office and finds, with any associated archive material, at local museums. Suitable and accessible repositories should be identified for a maritime archive. HERs generally hold reference collections of secondary sources but often include primary materials such as site-visit forms, letters, reports and photographic materials. Signposts should be maintained to external archives holding data pertaining to monuments and events via the sources records in the HER.  In cases where local government boundaries have changed, HERs may need to consider their policy on the transfer of information and archives relating to adjacent geographical areas or new local authorities within their area.

 

 

Figure 4: Information management cycle

Figure 4: Information management cycle

 

 

 

B.4.4 Inclusion of archaeological science data in HERs

 

Introduction

Until recently archaeological science data have been entered sporadically and patchily on many HERs. Now that, hopefully, archaeological science has an increasingly routine role in archaeological interventions, it is important to try to record the data retrieved in as systematic and standardised a manner as possible to be used in development controls as well as in research.
 

Archaeological science covers scientific dating (including radiocarbon, dendrochronology, archaeomagnetic, OSL), conservation of objects, techniques such as residues, isotopes and DNA analyses and all aspects of environmental archaeology (soils, plants, animals). Geophysics is not considered here as it is thought (perhaps wrongly) that it is already satisfactorily recorded in the HERs.

 

A working group was formed in 2003 to investigate how to enter the archaeological science data and what to enter. At the end of three working sessions a number of recommendations have been identified but other topics are still under discussion. An e-conference on the subject was held in January 2005 and is summarised at the end of this section.

 

Potential Recommendations

The potential recommendations relate to four main areas: where on the HER database should the data be entered, the level of details of the data, the mechanism for ensuring that the information reaches the HER officer and the implementation of these recommendations.

 

1. Where data should be recorded: It was agreed that the data should be entered in the event area or its equivalent under a general field called object type (artefact/ecofact). The terms (for example pot, mammal remains) in this field are crucial of course and have been the subject of most of the working group’s discussions. They have been based as far as possible on existing lists of terms (see below).

 

2. The level of details: a number of fields have been identified which are suitable for all the object types. These are

 

Material,

State (modification of state) for example preservation,

Assemblage size,

Period

Investigative technique

Recovery method

Storage location

Reference

Notes

 

Panel 3 shows examples of the use of these proposed fields to record archaeological science data in an HER. These fields are not necessarily going to be together but the table offers a good summary of what is intended.

 

Panel 3: Examples of the use of fields to record archaeological science data

Object type (Artefact/

Ecofact)

Material

State

(Modification state)

(e.g.preservation)

Assemblage size

Period

Investigative techniques

Recovery method

Storage location

References

Notes

(Soils & sediments + LUT:)

 

Colluvium

Alluvium

Buried soil

Estuarine

Aeolian etc...

Tephra

 Peat

 Ash

Sand

Gravel

 

 

 

 

 

 

Particle size

Ph

Soil phosphorus

Loss on ignition

Magnetic susceptibility

Micromorphology

(Specialist samples +LUT)

 

 

Blocks

Bulk

Kubenya tins

 

Link to the full report

Exceptional occurrences or other detail

(Vertebrates + LUT:)

Human remains

Large mammals

Small mammals

Bird

Fish

Amphibian

Reptiles

Bone

Antler

Teeth

Ivory

Skin

Hair

Feathers

Egg shells

 

Charred

Mineralised

1-3

 

Xradiography

Isotope

Ancient biomolecules

Hand

Bulk

Sieving

Specialist’s shelf

Museum

Archaeological unit

 

 

(Invertebrates + LUT:)

Insects

Mites

Ostracods

Molluscs land

Molluscs freshwater

Molluscs marine

Shell

Body parts

Waterlogged

Charred

Mineralised

 

 

 

 

Monoliths

Bulk

Spot

Column

auger

 

 

 

(Plants + LUT:)

Plant macro remains

 

 

 

 

Moss

Wood

Pollen

Phytoliths

Spores

 

Grains

Chaff

Seeds

Roots

Leaves

Buds

 

 

Waterlogged

Charred

Mineralised

 

 

 

 

 

 

Worked

 

 

 

Bulk

Monoliths

Hand

Flotation

Dry sieving

 

 

 

(Vessels + LUT)

Amphorae

Pot

Dish

Pottery

Glass

Copper alloy

Iron

 

 

 

 

 

 

 

 

(Clothing +LUT)

Pins

Belt

Pouch

Textile

Leather

Copper alloy

Iron

Waterlogged

Charred

Mineralised

 

 

 

 

 

 

 

 

(Construction objects +LUT)

Tessarae

Bricks

Tiles

Clay

 

 

 

 

 

 

 

 

 

(Writing objects + LUT)

Stylus

Tablet

Wood

Copper alloy

Iron

 

Waterlogged

Charred

Mineralised

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3.  Mechanism for ensuring that the information reaches the HER officer: Three steps have been identified for the information to get from the field to the HER:

1.      the curator’s brief or specifications (or the standards document referred to for specifications) will include an additional sentence requiring that specialists fill the fields identified above.

2.      the contractor commissions specialists as usual including this requirement which becomes part of the specialist’s report. Then the contractor includes the specialist’s report in the site report and send this to the HER as usual.

3.      the HER officer is able to enter the data fairly swiftly.

 

4. Implementation: The recommendations above including the thesauri and lists of terms to be used are included here in a preliminary form and are the subject of an annex to MIDAS (Lee 1998) and will be included in the next edition MIDAS Heritage: The UK Historic Environment Information Standard (English Heritage forthcoming). They will also be advertised at a future HER forum and other meetings.

 

Topics still under discussion

Agreements on the four subjects above were arrived at relatively swiftly but the main preoccupations of the working group have since centred round the terminology of certain aspects, especially the environmental terms. Following the principle that no duplication of effort should be made, it was strongly suggested that instead of building a list of terms ourselves, the Environmental Archaeology Bibliography (EAB) terminology should be used. However, the list of terms and symbols used by that bibliography was too cumbersome for our purpose and above all, it was pointed out that, terms of different kinds were used together and that it was important, for instance, to keep the material in a separate field from the object. This principle is already reflected in the table above but discussion on the environmental terms is till on going. Members of the workgroup, Gill Campbell and Edmund Lee, in consultation with various subject specialists have worked out a scheme for these terms (see links on the FISH files below).

 

Investigative techniques, especially in relation to conservation matters is another area still under discussion and becoming more so as a result of the e-conference (see below).

 

Other topics

Other topics have also been discussed such as the thorny question of the backlog which some members of the working group, keen on offering the best standards, did not think was immediately relevant. However, the backlog is of great importance to the individual HERs and an example from Worcestershire of a fairly low cost way of dealing with it was welcome (see details in the links below). The addition of fields and/or modules on individual HERs has been considered but was deemed to be a topic that can be dealt with once the basic premises have been established.

 

e-conference summary

An e-conference to act as consultation with the interested parties took place on the FISH website in January 2005, and covered the following topics:

Findings from the three workshops

The role of the curator

Example from Worcestershire

Example from Surrey

Thesaurus for environmental terminology

Thesaurus for conservation

Presentation of an annex to MIDAS and incorporation in MIDAS Heritage

 

The discussion can be seen in the archives of the site on Jiscmail: go to jiscmail@jiscmail.ac.uk and write: get fish.catalog in the message part to get the archives.  The supporting papers are in the file store for the site at:   http://www.jiscmail.ac.uk/files/FISH/.

Most of the discussion and comment was supportive of the proposals. Conservation issues attracted a significant level of comment and it is now clear that no single existing list of terms will be suitable to accommodate the investigative conservation requirements as well as the names of the objects. It has been suggested that merging the British Museum and the MDA thesauri would be desirable. 

 

The e-conference ended with a proposal by Edmund Lee for an annex in current version of MIDAS  which will be followed by the inclusion of recommendations for the archaeological science data in MIDAS Heritage.

 

Direct link to the relevant files in the FISH file store:

 

Example from Worcestershire, Victoria Bryant and Liz Pearson

http://www.jiscmail.ac.uk/files/FISH/ArchSciVBMain_text1.rtf

http://www.jiscmail.ac.uk/files/FISH/ArchSciVBDocument_1.rtf

http://www.jiscmail.ac.uk/files/FISH/ArchSciVB_Document_2.doc

 

 

Example for Surrey, Lucy Farr

http://www.jiscmail.ac.uk/files/FISH/ArchSci_LF_Surrey_EAR1.doc

http://www.jiscmail.ac.uk/files/FISH/ArchSci_LF_Appendix.1.jpg

http://www.jiscmail.ac.uk/files/FISH/ArchSci_LF_Appendix.2.jpg

http://www.jiscmail.ac.uk/files/FISH/ArchSci_LF_Appendix.3.jpg

 

 

Environmental terminology, Gill Campbell

http://www.jiscmail.ac.uk/files/FISH/ArchSci_GCEAB_deposit.doc

http://ads.ahds.ac.uk/catalogue/resources.html?eab_eh_2004

http://www.jiscmail.ac.uk/files/FISH/ArchSci_GC_environmental_codes_v7.xls

http://www.jiscmail.ac.uk/files/FISH/ArchSci_GCnotes_on_environmental_terms.doc

http://www.jiscmail.ac.uk/files/FISH/ArchSciGC_ADS_Scientific_Date_Methods.doc

 

Conservation. Ian Panter

www.mda.org.uk/bmmat/matintro.htm

 

MIDAS annex. Edmund Lee

http://www.jiscmail.ac.uk/files/FISH/ArchSci_MIDAS_annex_v2.rtf



B.5 Information systems

 

B.5.1 HER databases B.5.2 Image management systems B.5.3 Archaeological science  B.5.4 OASIS and data exchange procurement

 

HERs make extensive use of computers for a range of purposes, for example word-processing packages are used to prepare letters and reports.  HER databases hold information about monuments, site-monitoring records and details of development-control processes. Image-handling software, technical drawing packages, GIS and internet browsers are all also used.

 

HER databases and GIS provide an invaluable tool for information management and retrieval and act as an index to the HER's other information holdings; its collections of maps, photographs, books and other documents (see also Part D).  However as the dependence on digital resources increases, so the need to implement and refine appropriate data standards is amplified.  This is especially the case when there is an expectation to import or link to data from other agencies, or if there is a desire to make information available to third parties.  Data Standards are covered in more detail in subsequent sections (B.6, B.7, C.7, C.10 and E.4).

 

B.5.1 HER databases

Although a few SMRs began to computerise their records in the late 1970s the main impetus to computerisation came from English Heritage in the early 1980s.  'Version 1' SMR systems were text files based on a paper report-form used by English Heritage to record scheduled monuments (known as AM107).  These systems were quite limited and, when the more flexible Superfile package became available, English Heritage provided financial support to enable its adoption by SMRs.

 

During the 1980s SMRs were developing bespoke systems in Superfile, dbase or other programming languages based on the AN32 recording form promoted by English Heritage.  When the OS Archaeology Division transferred to the RCHME in 1983, the OS card index and the National Archaeological Record (NAR) began to be computerised.  Recording standards and data dictionaries were actively developed by the RCHME for its own computer records.  Following the transfer of the lead role for SMRs to the RCHME in 1989 came the publication by the RCHME and ACAO of Recording England’s Past (RCHME and ACAO 1993a and 1993b ), the first document to promote both a data dictionary and reference data lists for use by SMRs.

 

During the 1990s much work was undertaken by the RCHME's Data Standards Unit (now part of English Heritage) in partnerships with English Heritage and ALGAO to develop the data model for recording SMR-type information.  The event-monument-source data model began to be introduced in the early 1990s when it was adopted by the RCHME for its MONARCH database, by English Heritage in its data standard for urban archaeological databases and by Northamptonshire SMR and a few others.  Throughout the 1990s there was considerable discussion about this data model led by Glenn Foard, Steve Catney, Neil Lang, Nigel Clubb and Steve Stead. The establishment of the Data Standards Working Party, now known as FISH (the Forum for Information Standards in Heritage), a group dedicated to developing data standards for monument inventories, can be seen as a direct result of the general climate of discussion and debate (see also B.7).

 

The modern generation of HER databases aims to comply with the MIDAS data standard published by the RCHME in 1998 (Lee 1998). These databases enable information about monuments, events, sources and the management process to be recorded with equal weight.  Nationally agreed reference datasets, such as the English Heritage Thesaurus of Monument Types and other lists published in INSCRIPTION, are incorporated into the databases (see also B.6.3).  Features of the systems, such as pull-down lists and validated entry to key index fields, help to ease the adoption of data standards and promote consistency between HER systems.  In general professional applications developers have produced these systems and, as a result, they incorporate features such as data-input forms, standard queries and reports that ease their day-to-day use by HER officers.

 

One would anticipate that a modern HER database would be capable of being linked to GIS and would support links to other digital objects such as images and research data.  The HBSMR software developed by exeGesIS SDM Ltd in partnership with the RCHME and ALGAO is one example of a MIDAS-compliant database that is now being used by many HERs.  Other HER managers have worked with IT consultants such as Oxford ArchDigital to develop HER systems based on MIDAS.

 

A decision may also need to be made as to which database platform to use. Some HERs use web-based platforms, such as Oxford ArchDigital’s TOAD system. Many HER databases use software applications such as Microsoft Access or other database packages designed primarily for desktop use, such as exeGesIS’s HBSMR software. Where the database is networked to allow multiple access to shared files for users, the host organisation’s IT support can be distrustful of the stability of software programs such as these, and be reluctant to provide support. Their concerns centre on issues of performance, robustness, backup management and security. HER managers may find themselves pressurised to move to a server-based relational database management system (RDBMS) such as SQL Server or Oracle. Generally speaking, server-based RDBMSs will suit very large databases with a high number of concurrent users, as they also have better stability, performance, security and backup procedures. However desktop applications are generally easier to use, give the HER manager more control over the database and have a cheaper license cost, suiting smaller databases with fewer concurrent users. exeGesIS SDM Ltd has developed a SQL Server backed version of their HBSMR software.

 

Scottish SMRs as a rule received their core data as a download from the National Monuments Record for Scotland. Software was either developed in house, or latterly has been purchased from commercial software companies. The biggest issue faced in Scotland was getting the Scottish local authorities to accept the need for development of an SMR/HER in the absence of a statutory requirement, East Dunbartonshire and City of Dundee are still without this essential level of provision.  Historic Scotland is currently working with the Councils to address this problem.

 

 

B.5.2 Image management systems

Local authorities often have access to large numbers of images associated with monuments or events in their localities. The processes of heritage management and education are frequently enhanced by linking these images to the HER.  However, if these images are not managed appropriately then a number of problems can arise.  Some of these issues – such as file naming conventions and formats - replicate many of the issues associated with other types of digital resource. The commercial quality of images and their immediate reuse potential means it is worth thinking about specific issues of intellectual property rights, scanning and cataloguing in more detail.  Moreover, there are significant quantities of images already available to HERs from third parties, either through the retail market or under licence from public agencies.

 

Popular image management software combines tools for cataloguing image files with tools for reproducing images at a variety of scales.  Digital image cataloguing is a rapidly developing field and it is worth ensuring that whatever software is used can support the emerging cataloguing standards.  In some circumstances this may mean following formal images standards such as the Visual Resources Association Core data standard, especially if the images within the HER form part of a wider image collection held by a local authority (Grout et al 2000).  If the HER is involved in creating images it makes sense for the master image to be captured at high resolution in terms of colour depth and pixels, even though the file sizes will be large.  This is because many image-processing techniques effectively lose information, either through loss of true colour depth or through sampling of pixels.  The master copy can be used to retain all this information, while flexible derivatives may be used for different purposes.  This does however accentuate the need for strict file naming conventions which image management software should facilitate.

 

The immediate commercial value of images means that it is wise to pay particular attention to the intellectual property rights associated with images.  This is especially true of high-quality ‘master’ images.  The process of scanning images or slide collections is fraught with difficulties as it is often hard to identify rights holders.  Moreover the relative ease with which images can be shared means that there is a greater risk of breaching the rights of the creator.  Consequently, any image management system should include information about copyright holders and the terms in which an image can be used.  Any act of copying can be an infringement and republication, such as on the internet, can lead to difficulties.  Most image management systems allow for low resolution ‘thumbnail’ images to be produced which are of less commercial value.  More sophisticated image management systems provide ‘water marks’ and ‘fingerprints’ to stamp copyright information onto an image before it is delivered, and to note the time and user name of the person who downloaded it.  Such systems do not prevent copyright theft, but they do provide documentation to prove that an infringement has occurred and to identify the parties involved.

 

B.5.3 Archaeological science (see also B.4.4)

Many HERs also have access to a range of scientific data, and again the processes of education and management are facilitated where these can be integrated into the HER database.  Different types of information may be linked in a variety of different ways: geophysical data for example may be integrated into the GIS; microscopy and radiographs be linked to an image management system and scientific reports linked through ‘grey literature reports’ and the like.  Much scientific data, especially site-based recording should in fact be considered as any other archaeological intervention. Tools like OASIS and the FISH toolkit provide mechanisms by which such data can be supplied to HERs.  These standards are discussed in more detail in section B.6, B.7.

 

A number of scientific disciplines have begun to experiment with very large, dedicated computing infrastructures to process, package and distribute data derived from sensitive recording devices.  Devices like radio telescopes or experimental reactors produce prodigious quantities of data that is of interest to small but very specialised audiences around the world, who require dedicated resources to share and explore their data sets.  These infrastructures combine protocols for the exchange of information with an investment in hardware, and are intended for foster a new generation of ‘E-science’ or ‘E-research’.  For example, a programme called UKLight is dedicated providing dark-fibre networks between a select group of research centres in the UK, while in the US a ‘National Lamba Rail’ is being constructed to connect the major research institutions.  Such developments have had little or no impact on archaeology so far but are likely to become more important in the future.  The development and refinement of data standards are likely to be pre-requisite for participating in such systems.

 

B.5.4 OASIS and data exchange procurement

The OASIS project was developed in response to the need to provide a single unified index to archaeological investigations, a means of accessing the associated grey literature, and an online method by which the index could be maintained. A major achievement of the project was to integrate the AIP records with the Excavation Index to provide a single concorded list, in 1998. The concordance programme delivered a fully unified record for archaeological interventions in England. Where a fuller electronic copy of a report is available on-line, either on the ADS server or on the web site of the contractor or HER it is possible to include the URL of the resource as a bibliographic reference. As curators begin to require deposition of digital reports and as they make them available on the Internet it will be possible to build up an online virtual library of grey literature, directly linked from the index.  The OASIS project, FISH toolkit and allied data standards are discussed in more detail in sections C.7.3 and B.6.

 

B.6 Data standards for the Historic Environment

B.6.1 What are data standards? B.6.2 Why are data standards needed? B.6.3 MIDAS and INSCRIPTION B.6.4 The FISH Interoperability Toolkit

 

B.6.1 What are data standards?

Data standards can be simply defined as an agreed statement of “what information should be recorded, in what manner, to achieve a particular objective”. The objectives for historic environment managers are set out elsewhere in this manual. This section describes;

·         the value that shared data standards add to historic environment recording,

·         data standards that are in current use,

·         how HER officers can get involved in shaping the future direction of data standards to ensure that they meet the needs of the profession.

 

B.6.2 Why are data standards needed?

Collection and recording of historic environment information is an expensive, and in some cases unrepeatable, process.  It is essential that the information contained within HERs can be readily retrieved and understood by anyone and increasingly important that data from different HERs can be compared. Data standards ensure that information is recorded in a consistent and retrievable way so that the maximum benefit for the users of data is obtained from the investment.

 

The benefits offered include:

·         Reliability: As standard procedures are tried and tested, if they are sensibly applied they will work well.

·         Consistency: Data standards promote consistency in recording of information, which ensures that records can be retrieved easily, so that all known relevant information is available when needed.

·         Expertise: Historic environment data standards incorporate the accumulated expertise and experience of several decades. Their adoption builds this experience into an information system, reducing the risk associated with developing a system from scratch.

·         Compatibility: No one organisation holds all the data relating to a particular site or area. There are usually other organisations with an interest who may have useful data. When recorded to common standards, data held in different databases can be shared and exchanged much more easily.  This is increasingly important as new ways of accessing data remotely are developed.

·         Communication: Data standards assist in communication of concepts involved in the historic environment both between HER staff and between HER staff and their software consultants and organisations within and beyond the sector.

·         Benchmarking: Data standards perform a crucial role in providing an independent benchmark against which HER data quality can be assessed.

·         Staff skills: Adoption of common data standards enable staff to become familiar with systems more quickly when changing jobs and enable employers to recruit staff with relevant skills. They also facilitate organisation of training through events such as conferences and seminars.

·         Information system development: No information system lasts indefinitely. At some point data needs to be migrated from one system to its successor. Standards simplify the process of specification of new information systems and migration is greatly simplified if standards are consistent within the data.

 

 

B.6.3 MIDAS and INSCRIPTION

This section describes the purpose of the two central standards for historic environment recording. Further information about these standards is available online via the website of FISH (the Forum on Information Standards in Heritage) http://www.fish-forum.info

 

Figure 5: The logo for the Forum on Information Standards in Heritage

Figure 5: The logo for the Forum on Information Standards in Heritage

 

 

MIDAS

Developed from data standardisation work in the 1980s and early 1990s MIDAS was first published in 1998 by the Royal Commission on the Historic Monuments of England (RCHME). MIDAS is available as a free downloadable electronic document via links from the FISH website, or direct from the English Heritage website.

 

Development work in 2004 has extended MIDAS to cover GIS type data and watercraft and aircraft recording. A second full edition MIDAS Heritage: The UK Historic Environment Information Standard is in production. This second edition will cover a wider range of information types, supporting standardised recording of these by the HER community. Further development work will be reported online via the FISH website.

 

Figure 6: The logo of MIDAS, the national data standard for the content of historic environment records.

 

Figure 6: The logo of MIDAS, the national data standard for the content of historic environment records.

 

What is in MIDAS?

MIDAS is a content standard in that it defines the individual facts or ‘units of information’ that should be included in a standardised record of, for example, a monument or archaeological event. It is also an open data standard, in that although information schemes are described the exact structure in which data is to be recorded is not defined, so that MIDAS can be applied to a range of information systems.  To promote consistency and standardisation within the HER sector, MIDAS has been used as the basis for development of HER Level 1 Benchmark 3.2. Compliance at a basic level with MIDAS is therefore a professional requirement for all HERs.  HER staff should, however, familiarise themselves with the full MIDAS standard, which includes a much wider range of information.

 

Who should use MIDAS?

MIDAS is intended for a wider audience than just the HER community and is recommended reading for anyone involved in inventory projects. Worked examples in the manual cover, for example, its application to academic research databases and voluntary sector thematic surveys. The same requirement for standards exists for these other sectors if the maximum value is to be obtained from their efforts. This is of course particularly important if the intention exists to deposit the results of these surveys with the local HERs.

 

In addition to the data standard itself, MIDAS includes a manual to assist those managing and maintaining an inventory of the historic environment. HER staff should not only be familiar with MIDAS themselves but should also recommend its use to local societies working in their area.

 

Figure 7: The logo for the INSCRIPTION terminology standard web pages

 

Figure 7: The logo for the INSCRIPTION terminology standard web pages

 

 

INSCRIPTION

Effective searching of HERs relies on the quality of indexing. Good indexing ensures effective retrieval of records relevant to a search; poor indexing means that records will be overlooked.

 

Most HER information systems support indexing using standardised terminologies built into the actual software. These include simple lists, such as types of legal protection for a monument, more complex hierarchical lists such as the ALGAO list of Event Types or full indexing thesauri such as the English Heritage Thesaurus of Monument Types (see panels 4 and 5).

 

INSCRIPTION, provided by the Forum on Information Standards in Heritage is the definitive source for information about all the available national standards. It is a collection of wordlists and thesauri developed by various heritage bodies that are recommended for use in conjunction with MIDAS units of information. 

 

MIDAS and INSCRIPTION have been developed to work together. For each case where MIDAS recommends the use of a controlled terminology, a suitable indexing terminology has been developed by one or more of the partners in the Forum on Information Standards in Heritage, and details included in INSCRIPTION.

 

Find out more about INSCRIPTION, and how the controlled terminologies recorded there can be used by visiting www.fish-forum.info.

 

Figure 8: A sample screenshot from the INSCRIPTION web page

 

Figure 8: A sample screenshot from the INSCRIPTION web page

 

B.6.4 The FISH Interoperability Toolkit

Interoperability is the ability to reuse data created in one software application in another. It is essential if efficient sharing of data between HERs and their users is to become a reality. Interoperability relies on data standards that are understood and shared within the HER community such as MIDAS and INSCRIPTION, plus technical standards to support the creation of data files that different software packages will be able to process.

 

To provide HER managers and their IT advisors with the technical tools needed to make interoperability possible the Forum on Information Standards in Heritage have developed a ‘toolkit’ of protocols and formats aimed at HERs and their technical advisors. It is based upon MIDAS and incorporates the HER benchmark Level 1 standard. Online validation of data against INSCRIPTION controlled terminologies is supported.

 

Whereas MIDAS and INSCRIPTION are aimed at HER staff, the Toolkit is aimed at IT specialists and software developers. HER staff should familiarise themselves with the functions that the Toolkit supports, but are advised to contact their IT support staff for discussion of how the Toolkit might be implemented in their systems.

 

Further information on the FISH Interoperability Toolkit can be accessed online at www.heritage-standards.org.

 

B.7 Management of data standards - FISH

Management and development of data standards for the historic environment is co-ordinated through FISH, the Forum on Information Standards in Heritage (see www.fish-forum.info). All of the major heritage bodies in the UK, including ALGAO, are involved in the steering committee of the Forum, which meets twice a year.

 

Figure 9: The FISH web site www.fish-forum.info is the starting point for finding out about data standards for the historic environment

 

Figure 9: The FISH web site www.fish-forum.info is the starting point for finding out about data standards for the historic environment

 

B.7.1 How to get involved

There are several ways in which HER officers can become involved in the work of FISH

 

E-mail discussion list

The easiest way to get involved is to join the free open membership e-mail discussion list run by FISH (see the website for details of how to join). List members may ask questions, raise issues that require attention, seek advice and will receive news about data standards issues, conferences and meetings. The e-mail discussion list is also host to ‘e-conferences’ - specially focused discussion on particular standards related topics. These are announced in advance on the list.

 

Candidate term submission

As HERs expand the scope of their content, there is a continuing need for the addition of new terms to the existing wordlists. HER officers can get directly involved in standards development by submitting candidate terms – suggested additions to one of the controlled vocabularies or thesauri listed in INSCRIPTION. The different vocabularies are maintained by a network of different working groups and standards bodies. Details of the appropriate contact for submission of candidate terms and information about special procedures for submitting terms will appear in the INSCRIPTION website. However in general candidate term submission will involve:-

·         Identifying a term or an idea that is not covered by the existing list.

·         Describing when the candidate term should be used (a ‘scope note’).

·         Providing background information, such as examples of record where the candidate term would be appropriate, or published sources which use the term.

 

Peer review participation

FISH, as the co-ordinating body for the development of data standards, is particularly concerned to ensure that new data standards meet the needs of the historic environment sector. To do this newly developed standards will in most cases be circulated in draft form for peer review. This is an opportunity for HER staff to identify concerns, express support and to play a part in shaping an emerging standard. All peer reviews will be announced via the FISH email discussion list (and often via other email discussion lists). It is vital that HER staff participate in this process. Only by participation can effective and relevant data standards be developed.

 

Relevant links

www.fish-forum.info the website for the Forum on Information Standards in Heritage.

From this page you can:

·         Consult current versions of the FISH standards MIDAS and INSCRIPTION

·         Participate in discussion via our email discussion list run by JISCmail.

·         View recent discussion and download files from the forum archives.

·         Find out more about the contributing organizations that direct the work of the forum.

·         View our Terms of Reference

·         View what's new from FISH

 

See also ADS Guides to Good Practice

 

 

 

B.8  Managing HER information systems

B.8.1 Technical support for HER systems B.8.2  Data security B.8.3 Procuring new information systems B.8.4 Data migration

 

B.8.1 Technical support for HER systems

HER computer systems may be based on a corporate network or on stand-alone PCs and may make use of standard commercial packages or bespoke systems.  However installed, computer systems need technical support for both hardware and software.  Such support may be available from corporate IT departments but, even where centrally provided, the actual support may be supplied by contractors.  HER managers are recommended to consider carefully the level of support that they require to keep systems running and where possible reach appropriate 'service-level agreements'.  These agreements might cover:

·         support from hardware engineers to maintain and repair computer equipment

·         provision of replacement hardware if repairs are undertaken offsite

·         support from software developers to maintain or develop databases

·         support to maintain or develop GIS

·         provision of a telephone help desk to answer enquiries about using databases or GIS.

 

 

B.8.2  Data security

All aspects of a computing system can affect data security.  Hardware components can fail or become damaged.  Software problems can lead to the corruption of data.  Security can be compromised through unauthorised access and modification of data or through loss of confidentiality.  Computer systems and the data they hold need to be protected and to have tried and tested recovery procedures in place. It is expected that HERs run by a local authority will have adequate security, including firewalls and anti-virus protection. The need for this needs to be emphasised for HERs provided by Trusts. 

 

Access and modification control

Some form of access and modification control is necessary to secure HER systems. The HER officer plays a crucial role in deciding levels of access and security for both staff and other users.  Passwords are usually seen as a suitable way of guarding against unauthorised access to a computer system but may not provide the level of security that is anticipated.

 

One problem is that users tend to choose passwords that are easy to remember, which unfortunately are therefore also easily discovered by 'hackers' (people who gain unauthorised access to computer systems).  Ideally passwords should be at least eight characters long and be a mixture of numbers and letters in upper and lower case, for example eLc1ddZ.  They should not be based on easily obtainable information such as names or telephone numbers.  Security is improved if the system restricts the number of chances a user has to log on.  Most modern operating systems provide for password encryption.

 

Passwords can also be required at different levels of the system, such as network login, user account, specific machines and application, and even on specific directories and files.  The kind of access users are allowed can often be controlled as well, for example files and directories set to 'read only' in order to prevent unauthorised modification.  The usability of the system needs to be considered before implementing passwords at too many different levels, as overuse can cause its own problems.

 

Viruses

A computer virus is a self-replicating computer program that may or may not be harmful.  Some viruses simply display a message on screen while others destroy data stored on the system's hard disk.  Viruses are the scourge of contemporary computing and they are extremely prevalent.  Figures from MessageLabs, a leader in the provision of secure content management services and anti virus services, over 10 percent of emails contain a virus. In 2000 McAfee, an anti-virus software producer, estimated that over 45,000 types of virus were known.  Today the figure is well over 70,000. A 'Trojan horse' is another type of program, usually grouped with viruses, which is introduced on to a computer system and triggered by pre-defined actions.  Trojan horses are not self-replicating but they are invariably destructive.

 

It is essential that any computing system is protected by anti-virus software.  This software must be regularly updated to combat new viruses as they are discovered.  There are numerous software packages available and, if a system is not already protected, HER managers should make it a priority to install one of these.

 

All files should be scanned by the virus checker before being loaded into a system.

 

Remote Trojan Horse attacks, Worms, Hoaxes

Most organisations will have a firewall in place as part of their IT strategy, however, individual machines increasingly need the protection of personal firewalls. Hackers can compromise poorly secured web sites with malicious code which exploits browser vulnerabilities to upload and execute a remote access Trojan Horse on the browser host machine, hence the possibility of bypassing an organisational firewall. Browser patches for vulnerabilities and firewall settings necessarily must be kept up to date.

 

Useful websites:

CNET News http://news.com.com/Web+site+virus+attack+blunted/2100-7349_3-5248279.html

McAfee (virus protection software) http://www.mcafeesecurity.com/us/security/vil.htm

MessageLabs (secure content management services) http://www.messagelabs.com/home/

Symantec ('Antivirus Research Centre') http://www.symantec.com/avcenter/index.html

 

Backing-up data

No matter what precautions are taken, data is probably going to be lost at some time either accidentally or through malice or theft.  There is a need for a strategy to be in place which covers both the backing-up of data and a tried and tested recovery plan. In short, risk assessments should be undertaken. If the HER is remotely hosted, there is an increased need to ensure that adequate back up facilities are in place.

 

GFS (grandfather, father, son) is a widely used back-up plan.  It is usually employed as part of a tape-rotation strategy but can be employed with other storage media.  GFS is normally based on a weekly schedule with full, partial or no back-ups undertaken variously on each day.  The last full back-up of the week is the 'father' with any daily back-ups described as a ’son'.  The latter are often selective involving very specific data that may have changed since the last 'father' back-up was done.  These back-ups are transient and the storage medium can be reused once a new 'father' has been created, however, the last full back-up of each month, known as the 'grandfather', is usually kept as a permanent copy and not available for reuse.  It is good practice to store monthly and even weekly back-ups offsite, preferably in a secure and fireproof environment.

 

Using GFS may be excessive for many situations, especially if data remains static for long periods.  For example, updating a database might be so irregular that only an occasional back-up is necessary.  In such cases, it might be sufficient to export a copy of the database following updating and to back-up the whole system weekly or monthly.  Backing-up and recovery strategies should be tailored to need.

 

Traditionally tape has been used as a back-up medium.  It is cheap and tape back-up systems are inexpensive to buy.  However, low-cost alternatives are now also available through high capacity DVD based systems for example.  Serious consideration should be given to these for smaller systems, as they have the added advantage of easily enabling the movement of data between systems with similar drives.  Other emerging back-up technologies include RAID disk arrays, where data is mirrored on more than one disk, or Storage Area Networks (SANs), which allow the sharing of back-up equipment between computers, although these are probably aimed more at the corporate market.

 

It is good practice to attempt a test restore on a separate PC or server to ensure back up procedures are adequate. This should be repeated after upgrades and alterations to the system. Backup and restore procedures should be included in disaster recovery plans.

 

As a final thought, if complete disaster happens and your back-up strategy fails or has not been implemented all may not be lost.  A number of companies specialise in recovery following drive crashes, virus attack, file system corruption and so forth.  It might be an expensive exercise but so is data loss.  The only solution is to maintain an efficient back-up and recovery strategy and document this in your disaster plan.

 

Useful websites:

GFS Back-up Strategy http://www.intel.com/support/storageexpress/sb/cs-011789.htm

Data recovery example http://www.ontrack.co.uk

 

 

B.8.3 Procuring new information systems

Any plan to implement new computing facilities or GIS for the HER is likely to begin with staff.  This may come about because an existing HER system is coming to the end of its working life or because new technology and improved tools have become available.  Once it has been recognised that a new or replacement system is desirable, it is important to prepare a business case for procuring a new system and to specify the HER’s requirements from it.

 

The HER's parent organisation may have a corporate information systems strategy.  This may specify standard software applications to be used within the organisation and for which there is in-house expertise.  The strategy document may also give guidelines for procurement of specialist professional applications or for working with IT consultants.

 

HER databases

 

Most organisations consider HER databases to be specialist professional applications that may be developed either as bespoke systems or purchased as off-the-shelf products.  In specifying new HER databases it is important to consider both compliance with nationally agreed data standards and user requirements for working with the system.  HER managers are recommended to consult other HERs and the NMR to discuss the systems that are in use in HERs as well as talking to IT professionals (whether consultants or those working for their organisation).

 

GIS software

If a local authority has chosen a particular GIS this may be a powerful argument for the HER to do likewise.  A corporate GIS will make the task of sharing data with other sections easier and will enable the HER to harness the expertise within the authority, helping to support the system, and possibly to obtain the software at low or no cost.  HER managers should still check that this software meets their requirements.  These requirements must be realistic - think about how much a facility would be used, and if the requirement is occasional, whether there are cheaper ways of meeting the need, such as using an external contractor.

 

One element of the user requirement is likely to be a list of the functions that the GIS is intended to perform.  A useful source of advice is the Functional Requirement Specification for GIS (LGMB 1991), available from the Improvement and Development Agency, formerly the Local Government Management Board (LGMB).  This includes a catalogue of GIS functions, which can be used as a 'checklist' to compare different software products and to assess if any customisation might be required and what skills would be needed to achieve the desired outcome.  Target response times for operations that are important to users can provide a useful benchmark and can be used to make sure that the users' expectations and the developer's system performance targets are aligned.  For example, if the identification of all records falling within an administrative boundary will be a frequent enquiry what would be the maximum acceptable time for this to take?

 

Contracts

If you are entering into a legal contract with an external supplier, it is well worth having a 'health check' from a specialist department, for example legal services or procurement.  If internal advice is not available then consider budgeting for specialist advice.  The cost may seem expensive, but will be small compared to the expense of a major mistake.  Establishing the user requirement and expressing that in legally enforceable terms is a skill in its own right - don't underestimate it!

 

 

B.8.4 Data migration

As data standards and information technology have developed, most HERs have migrated their databases into newer systems.  Data migration requires careful planning, which may include:

·         completing an audit of the HER database, its data structure and assessing the data quality

·         confirming the format in which digital data will be exported from the existing database

·         securing a back-up and an archive copy of the existing database

·         mapping the data in your old system to the data structure of the new system

·         identifying problems or issues with the data to be addressed in advance of migration, including planning, to adopt national data standards and reference data

·         planning to complete data migration and have the new system up and running as quickly as possible

·         establishing a training programme for HER staff to enable them to become familiar with the new systems.

 

It is probable that the FISH Interoperability Toolkit will have a significant role to play in the movement and migration of data in the future (See also section B.6, B.7).

 

 

B.9 lntranets and the internet

B.9.1 lntranets B.9.2 The internet B.9.3 Metadata for electronic resources curated by HERs B.9.4 What is Z39.50?

 

B.9.1 lntranets

Intranets are closed networks that are established by organisations to serve the computing needs of their staff.  An intranet may be small, for example a number of computers connected to a Local Area Network (LAN) within a building, but can be very large, for example the computing networks for a series of buildings connected to a Wide Area Network (WAN).  In a WAN the buildings may be widely separated, as is the case in organisations with regional offices, such as English Heritage or multinational companies.  The technology that links the computers is similar to that used in the internet.  The difference is that use of an intranet is restricted to those with security clearance and a valid password.  Intranets are enclosed inside a firewall to secure the information held on corporate systems from unauthorised access.

B.9.2 The internet

The internet is a shortening of 'Inter Networking' and offers a very different user environment consisting of millions of computers linked into a global communications network.  Users include both private individuals and organisations from across the world all connected to the internet through an Internet Service Provider (ISP) or by establishing a web server.  ISPs maintain web servers and other communications equipment enabling their clients to access a number of services from the internet.  Access to the World Wide Web and electronic mail or 'e-mail' are normally considered as the most important internet services.

 

Getting connected

Many HERs are already linked into an intranet, for example the network run by their local authority.  Some HERs run their own small networks with a database server allowing access to a small number of simultaneous authorised users.  A number of HERs have access to the internet either through a network connection provided by their organisation or by establishing a direct connection from a PC using a modem and an ISP. 

 

Firewalls

When intranets are connected into the global internet a protective security screen or firewall is normally established to control access to locally held resources from unauthorised outside users.  The level of access to internet services allowed to individual users may also be controlled.  This is generally achieved by setting up a proxy server that deals with internet requests from users connected to the internal network. Such a set up generally protects individual users but mobile computing is increasingly adding to security problems in that machines such as laptops and notepads may be used both within and outside of an organisational firewall with the possibility of introducing ‘infections’ into a system. A personal firewall on such machines is increasingly important particularly in light of the growing number of web based attacks (see B.8.2).

 

Web space

Access to the internet either through a corporate web server, co-ordinated by a web master, or from an ISP gives access to web space.  This is space on the web server that may be used for file storage and for a website to advertise the HER.  Websites have an address or URL which locates a hypertext file on the World Wide Web.  Hypertext files can incorporate text, images and other digital data that are linked to the intranet.  Websites may simply display information about an HER and its services with links to other websites of interest and facilities to allow users to record comments or send emails to the HER.  Advanced sites can enable on-line searching of databases, incorporate video, sound and virtual-reality elements and many other features. HERs are increasingly presenting subsets of their data online as part of the drive towards greater accessibility. (See also F.8)

 

Useful websites

Brief history of the internet http://www.isoc.org/internet/history/brief.shtml

FirewalIs: http://searchsecurity.techtarget.com/sDefinition/0,,sid14_gci212125,00.html

Intranets: http://searchwebservices.techtarget.com/sDefinition/0,,sid26_gci212377,00.html

Proxy servers: http://searchsmallbizit.techtarget.com/sDefinition/0,,sid44_gci212840,00.html

World Wide Web (W3C) Consortium:  http://www.w3.org/

Site design: Ability Net:  http://www.ability.org.uk/

Site design: RNIB: http://www.rnib.org.uk/xpedio/groups/public/documents/Code/public_rnib003460.hcsp

Web Accessibility initiative: http://www.w3.org/WAI

B.9.3 Metadata for electronic resources curated by HERs

HERs hold a variety of electronic resources including databases, text files, spreadsheets, CAD files and GIS.  Metadata should be recorded for each of those resources to provide a catalogue to the HERs' holdings as an aid to resource discovery.  HERs are recommended to follow the Dublin Core for electronic resources other than GIS (see panel 6), which provides a standard content-description model widely used on the internet (see Miller and Greenstein 1997). HERs might want to consult the e-Gov metadata standard (eGMS) which adds several elements to the core Dublin Core schema. The UK GEMINI (Geo-spatial Metadata Interoperability Initiative) standard has replaced the NGDF standard previously recommended. UK GEMINI  was developed through a collaboration of the Association for Geographic Information (AGI) and the Cabinet Office e-Government Unit, with additional representation from national and local government, and the academic community.

 

Useful websites

Dublin Core     http://dublincore.org/

e-Gov   http://www.govtalk.gov.uk/schemasstandards/schemasstandards.asp

Metadata   http://www.ads.ac.uk/old/public/metadata/discovery.html

http://www.ukoln.ac.uk/metadata/

UK GEMINI      http://www.gigateway.org.uk/metadata/pdf/UK_GEMINI_v1.pdf

 

Panel 6: Elements of the Dublin Core

Element

Description

 

Title

The name given to a resource by its creator.

Creator

Person(s) or organisation(s) involved in creating the original resource, for example the Environment Department might be responsible for creating a corporate GIS layer of SSSIs.  As an aid to resource discovery it may be helpful to record both named individuals and their organisations, for example Fred Bloggs and Sam Spade of English Heritage might be involved in creating a CAD file.

Subject

The topic of the resource, in keywords or phrases that describe the subject or content of the resource.

Description

A text description of the contents of the resource, including abstracts in the case of document-like objects or content descriptions in the case of visual resources.

Publisher

The publisher, distributor, department or other entity(ies) who are responsible for making the resource available, for example the Archaeology Data Service might provide access to a database created by Westshire County Council. 

Date

Dates when the resource was created, published, released, maintained or updated.  A number of different types of dates may need to be recorded.  Not to be confused with the date of the contents of the resource. 

Type

The general type of the resource, such as text, image, database etc. 

Format

The format in which the data is represented, for example text, HTML, ASCII, executable application, JPEG image etc.  The size of the resource and the medium on which it is held may also be recorded. 

Identifier

A unique identifier for the resource, for example URLs, ISBN number or internal identification number.

Source

The work from which the resource is derived, for example the source of an HTML page might be a paper volume. 

Language

The language(s) of the intellectual content of the resource. 

Relation

The relationship to other resources, for example images in a document. 

Coverage

The spatial and temporal coverage of the information contained in the resource. 

Rights

Statement of copyright or other rights relating to the resource. 

 

B.9.4 What is Z39.50?

Z39.50 is the name of a computer-to-computer communications protocol that is promoted by the National Information Standards Organization (NISO), an American National Standards Institute (ANSI) standards developer that serves the library, information, and publishing communities.  Z39.50 is being implemented worldwide because it makes it easier for users to search and retrieve information simultaneously from groups of related databases on the internet.

 

Applications of Z39.50 involving the UK

Much of the development of Z39.50 took place in the library sector, as a way of simultaneously interrogating the catalogues maintained in different libraries.  The recent development of associated standards such as the Bath and CIMI profiles have made it easier to employ Z39.50 outside of library cataloguing. These provide support for more generalised record syntaxes such as Dublin Core and enable users to ask questions such as what, when, where or to conduct queries based on coordinate systems; undoubtedly more suited for those with an interest in Heritage. Suitability led the HEIRNET (Historic Environment Information Records Network) consortium to develop HEIRPORT; a Z39.50 system for searching geographically distributed databases of a number of heritage organisations including

English Heritage NMR

RCAHMS NMRS

Durham SMR

Portable Antiquities Scheme

HEIRNET Register

SCRAN

ADS Catalogue

 

Using a standard web browser, a remote user can access the HEIRPORT gateway to interrogate its various targets.  The results are then passed back to the user's browser through the origin, where they are displayed in HTML. 

 

Recently a European Z39.50 gateway was launched as part of the ARENA (Archaeological Records of Europe - Networked Access) project. Partners currently include:

Denmark: National Agency for Cultural Heritage

Iceland: Fornleifastofnun Íslands, The Institute of Archaeology

Norway: The Museum Project, Oslo

Poland: Poznan Archaeological Museum

Romania: cIMeC, Institute for Cultural Memory

United Kingdom: Archaeology Data Service

 

NMRs and HERs are also contributing to these projects through the provision of subsets of their data to the ADS.

 

What does Z39.50 do?

Z39.50 supports information retrieval in a client and server environment where a computer operating as a client submits a search request (that is, a query) to another computer acting as an information server. Software on the server performs a search on one or more databases and passes a result set of records to the client for processing.

 

The power of Z39.50 is that it separates the user interface on the client side from the information servers, search engines, and databases.  It provides a consistent view of information from a wide variety of sources, offering the ability to integrate information from different databases without imposing rules on the structure of those databases.  Z39.50 can be implemented on any platform and enables different computer systems (with different operating systems, hardware, search engines, database management systems) to inter-operate and work together seamlessly.

 

This means that if an HER database is mounted on the internet using Z39.50, it can be searched from both the HER website and any number of Z39.50 gateways without the necessity for any changes to its structure providing they support shared standards such as CIMI and Bath profile.

 

How does it work?

Z39.50 standardises the way in which the client and the server communicate with each other, specifies procedures and provides a common language for the activities of both. In information retrieval, a series of messages passes between the client (referred to as the ‘origin') and server (referred to as the 'target') to establish a connection, initiate a Z39.50 session, and negotiate expectations and limitations on the activities that will occur (such as the maximum size of the records).  After this, the client may submit a generic search request (and to any number of usually remote targets). The request specifies query type and query term, for example, undertake a ‘what’ search for ‘round barrow’. Configuration files map ‘what’ to the local equivalent which might be a ‘monument_type’ field in a ‘monument’ table and defines a local query. The server executes the search against one or more databases, and creates a result set.  The client can then ask for records from the result set and, upon receipt, display records to the user. An advantage of Z39.50 is that each database can have unique characteristics, for example differences in the way they store data, in the access points available for searching and in the software platform on which they reside.  The objective of Z39.50 is to support computer-to-computer communication in standard and mutually understandable terms and support the transfer of data between the systems independent of the structure, content, or format of the data in a particular system. In short Z39.50 is a tool for virtual searching.

 

Implementing Z39.50

Implementing Z39.50 has hitherto been complicated, but it is getting progressively simpler as the standards have developed.  Two things are essential:

 

·         First, the appropriate software has to be installed to handle communications between one computer and another.

 

·         Second, the data within the target's databases have to be mapped on to the metadata standard(s) defined in shared profiles.  Mapping to metadata allows for a description of the data to be passed from client to server in a format that both can manage.  Information can be passed from target to origin in a number of standard formats.

 

Advice on implementing Z39.50 is available from both the ADS and the mda.

 

XML

XML (Extensible Markup Language) is a standard for creating markup languages which describe the structure of data. It is not a fixed set of elements like HTML, but rather, it is like SGML (Standard Generalised Markup Language) in that it is a metalanguage, or a language for describing languages. XML enables authors to define their own tags. XML is a formal specification of the World Wide Web Consortium. (More detailed definition is available from: http://searchwebservices.techtarget.com/sDefinition/0,,sid26_gci213404,00.html

 

The e-Government Interoperability Framework (e-GIF) mandates the adoption of XML and the development of XML schemas as the cornerstone of the government interoperability and integration strategy. A key element in the development of XML schemas is an agreed set of data standards. (http://www.govtalk.gov.uk/schemasstandards/datastandards.asp).

 

Useful web sites:

http://www.w3.org/XML/

XML UK: the United Kingdom Forum for Structured Information Standards  http://www.xmluk.org/

The Future

In the past systems such as HEIRPORT have been described as portals. Today, however, a number of standards bodies have begun work on developing portal standards. Significant amongst these is Java Specification Request (JSR) 168 which defines a set of Java Application Program Interfaces for developing portlets which can be used in compliant portals. Portlets provide ‘Web Services’. Portlets can be designed to interface with remote Z39.50 targets or indeed just about anything that is network accessible. Users can ‘pick and mix’ which portlets and thus services they wish to use within a personalised portal environment. Thus someone living in the Northeast might activate a Durham HER portlet, a local weather portlet and local newsfeed portlet within their portal environment. The CREE (Contextual Resource Evaluation Environment) consortium is looking at providing portlet interaction with various services including HEIRPORT targets within a formal (JSR-168 compliant) portal environment.

 

Useful websites

ARENA: http://ads.ahds.ac.uk/arena/

CREE: http://www.hull.ac.uk/cree/

HEIRNET: http://www.britarch.ac.uk/HEIRNET/

HEIRNET register: http://ads.ahds.ac.uk/heirnet/index.cfm

HEIRPORT: http://ads.ahds.ac.uk/cfm/heirport2/

Web Portals: http://www.w3.org/2002/07/DIAT/posn/sun-portal.html

Z39.50 for all: http://www.ariadne.ac.uk/issue21/z3950/intro.html

 

 

B.10 Managing HER collections

B.10.1 Cataloguing B.10.2 Collection materials B.10.3 Storage B.10.4 Storage materials
B.10.5 Environmental risks B.10.6 Day-to-day care B.10.7 Digital archiving

 

HERs hold collections of reference materials or sources that supplement the information contained in their databases.  HERs are recommended to deposit original archives with an appropriate repository, for example a museum, record office, or digital archive.  However, substantial collections of reference materials are held which would be expensive or difficult to replace.  It is common sense to consider the storage and documentation requirements of managing these collections.  The basic guidelines given in this manual draw heavily on fact sheets available from Museums, Libraries and Archives (MLA), formerly known as Resource.

 

Getting advice

HERs are recommended to seek advice from their local museum or record office when planning strategies to manage their collections and from conservators if there is any concern over the condition or deterioration of materials in their care.  MLA, the Museums Association and the Association for Information Management (ASLIB) all provide sources of information about collections management and suppliers of conservation materials and resources on their websites.  The ADS provides guidance on digital archiving and the NMR can provide general advice.

 

B.10.1   Cataloguing

The first step in managing collections is to prepare a catalogue.  This may take the form of a simple list that identifies each item with a unique number, gives a simple description and points users to its current storage location.  The benefit of preparing a catalogue is that you know what you have got, where it is and if anything has been lost.  Catalogues help you to answer enquiries more efficiently and regular users can be allowed direct access to well organised collections.

 

In addition to an item list, it is important to record, wherever possible, how and when a collection was acquired and any conditions affecting the HER's rights over its contents, such as copyright, database right or licences for making reproductions of the material for third parties.  These conditions may be set out in a deposit licence or through an exchange of letters between the HER and the originator of the material, whether reports, plans, drawings, photographs, digital data, written notes or simply a letter.

 

When cataloguing it is important to consider the lifespan of the collection, that is, how long do you anticipate that the HER will retain the material?  If the material is destined for permanent storage as archival material, HER managers are recommended to consider whether the original material should be deposited at a museum or record office and a copy retained for HER use.  For materials that the HER does retain, those with the longest lifespan should be treated to the best possible storage conditions.  Some items may have a fixed useful life, for example a map series may be superseded by a later edition, these items may be stored to lower standards and removed when no longer required.  Continuing to store items beyond the end of their useful life can have an adverse impact on the management of higher-priority collections.