UNESCO-PERSIST Platform to Enhance the Sustainability of the Information Society Transglobally Survey on selection and collecting strategies of born digital heritage best practices and guidelines Author Wilbert Helmus Version Final version Date 30 March 2015 Content INTRODUCTION...................................................................................................................................................................2 ABOUTTHESURVEY...........................................................................................................................................................3 KEYSURVEYRESULTS........................................................................................................................................................4 CONCLUSIONS......................................................................................................................................................................8 APPENDIX1.SUMMARYOUTCOMESSURVEY.................................................................................................................9 1 Introduction Context Collecting and preserving born digital heritage is still a major challenge. The transition from research and pilots to large-scale, operational, long-term preservation and selection policies is now accelerating but still has a long way to go. Finding sustainable economic solutions to safeguard the digital output of public and private sectors requires close collaboration between governments, industries, memory institutions and other stakeholders, including creators and consumers. UNESCO's Charter on the Preservation of Digital Heritage already highlighted the need for broad cooperation a decade ago. The Vancouver Declaration, emanating from the 2012 UNESCO Conference ‘The Memory of the World in the Digital Age: Digitization and Preservation’, underlined this need more explicitly: “There is a pressing necessity to establish a roadmap proposing solutions, agreements and policies for implementation by all stakeholders and corresponding to national and international priorities which include the right to information, open government, open data and electronic government.” A consortium of institutions based in The Hague, agreed to provide for a follow-up to this Declaration under the name UNESCO-PERSIST (Platform to Enhance the Sustainability of the Information Society Transglobally). These institutions are: • the Netherlands National Commission for UNESCO • the International Council on Archives (ICA) • the International Federation of Library Associations and Institutions (IFLA) • De Koninklijke Bibliotheek (the National Library of the Netherlands) • LIBER • the Digital Heritage Netherlands Foundation In the coming years, UNESCO will cooperate with these partners to continue and intensify the discussion that started in The Hague. The Dutch Ministry of Education, Culture and Science has provided funding for the activities of the consortium in the period 2013‐2015. The partners organized two events in 2013. The first was a preparatory workshop in Marseille, France, in October 2013, entitled ‘The Vancouver Roadmap – involving industry and government in problem‐driven cooperation for digital sustainability'. The second, the main event, was the Digital Roadmap Conference held in The Hague, The Netherlands, on 5 and 6 December 2013 The work for PERSIST is divided into three task forces: content, technical and policy. For the content task force ‘selection’ has been chosen as the first subject of attention. The content taskforce will address the different opinions among heritage institutions about documenting the information society through collections (including selection, preservation policies and risk assessment) and the responsibilities/roles of heritage institutions in this respect. 2 The first activity of the content task force was organized in the framework of the IFLA World Library and Information Conference (WLIC) that took place from 17 to 23 August 2014 in Lyon, France. The UNESCO session in that conference was devoted to the problem of selection in the digital age. Best practices and guidelines As follow-up of the meeting in Lyon, the Netherlands National Commission for UNESCO asked the Digital Heritage Netherlands Foundation to contract Wilbert Helmus to carry out a survey on the world-wide policies and developments on selection and collecting born digital heritage collections (libraries, archives and museums, when appropriate). This survey is one of the deliverables of the Content Taskforce. The outcomes will be used in composing a set of guidelines for digital selection. In the period between December 2014 and February 2015, the content taskforce set out a worldwide survey to collect information about best practices and guidelines for selection policies of born digital heritage in use by libraries, archives and museums. This document provides an overview of the information received, as well as an analysis of the results. The respondents supplied UNESCO-PERSIST in some cases of very interesting and rich information (e.g. guidelines, policies, frameworks, papers). Additional and more detailed analyses of these documents will help UNESCO-PERSIST in formulating generic guidelines that can be used world-wide. About the survey The purpose of this survey is to gather examples of best practices and guidelines on selection and collecting born digital heritage collections. The invitation to share these guidelines and selection policies was extended to a number of discussion lists, linkedin-groups and individual heritage professionals. It was translated into English, Chinese, Russian, French and Spanish and send to the following discussion lists: - UNESCO national commissions and newsletter - IFLA L - IFLA ARLIS - IFLA PAC - CDNL - CENL - ICOM - ICA - World digital library partners list - Linkedin group CIDOC - Museum Computer Group - discussion list - Linkedin group Collections Management (Collections Trust) - Linkedin group Axiell (previously Adlib-Calm-Mimsy) 3 - Digital Heritage Netherlands - newsletter - OKBN (Dutch Art Libraries Group) - discussion list The survey focused on 2 issues: 1. How do archives, libraries and museums select digital collections and information, such as digital objects, archival collections, digital documents, websites, games, etc. for long term preservation? 2. Are there any best practices, publications, guidelines, papers etc. on the selection of digital heritage for long-term preservation? In total, colleagues from 27 organisations participated and send their reactions: - 7 archives - 12 libraries - 2 museums - 6 heritage organisations/various Appendix 1 provides a summary of all reactions. A dynamic virtual library is being started in Zotero (see: https://www.zotero.org/groups/persist_selecting_and_collecting_born_digital_heritage). Public available documents mentioned in reactions on the survey are added in this private group. All UNESCO-PERSIST partners are kindly invited to add more relevant content (guidelines, literature, papers, etc.) and share their expertise in this Zotero-group. Key survey results 1. Best practices in archives, libraries and museums - Museums: Generally spoken, museums are only now beginning to think about national-scale digitisation planning and funding, they don’t seem to have selection or content strategies at either a national or an institutional level1. A case study explores how the Museum of Anthropology (MOA) at the University of British Columbia (UBC) successfully conceived and implemented a strategy to digitize its permanent collection and develop a durable database infrastructure. It offers a number of lessons for other institutions looking for ways to develop their own capacities and infrastructures, even if that development is more modest or takes place incrementally2. Despite their deep relationships with and sensitivities to their physical visitors and collaborators, MOA staff generally know little about their online users, including users email Nick Poole, Collections Trust (23-01-2015) See http://www.rcip-chin.gc.ca/contenu_numeriquedigital_content/perenniser_contenus_numeriquessustaining_digital_content/contenu_numerique_perennisation-digital_content_sustainabilityeng.jsp. The case study also features a useful Health Check Tool for Digital Content Creators in Cultural Heritage Institutions, developed in conjunction with the U.K.'s Joint Information Systems Committee (JISC) and the U.S.-based Ithaka S+R. 1 2 4 of the other collection-based interfaces and whether their experiences using the sites are positive. Only a few basic numbers are available. CHIN designed three digital preservation decision trees to help small and medium-sized museums make decisions regarding which of their digital resources should be preserved for the long-term. These decision trees are part of CHIN's Digital Preservation Toolkit3 - Archives: For archives in particular, deciding which records to preserve is made more difficult by the growing amount of material to appraise, including content created by the public using web-based tools such as blogs and YouTube. Other archival institutions are focusing on collecting archival documents in a specific discipline. For example, the collections of the Earth Resources Observation and Science Center (EROS) must complement or supplement existing holdings and align to the missions of the Department of the Interior, the USGS, and EROS. Resources must be identified to support long-term preservation and access costs. Therefore EROS is using a Scientific Records Appraisal Process together with national criteria and records management plan. OCLC and the Society of American Archivists has a lot of content related to best practices for digitization, publication, copyright, etc.4 - Libraries In several (mostly national) libraries a framework is used as a planning tool to focus and guide selecting and collecting heritage, including born digital heritage. Apart from legal deposit, more and more libraries are starting to collect born digital collections in a proactive way instead of reactive, they are working with themes for collections and partnerships for collecting. Significance is a process that can help collecting organisations in making decisions about the sustainable development, care and management of their (digital) collections. Some libraries (in Australia, Canada and The Netherlands) are using Significance statements as a methodology for assessing the significance of their existing collections and new acquisitions (see below). 2. Best practices on selection on basis of use instead of on basis of content (Van der Werf and Van der Werf5): - According to the position paper by Van der Werf and Van der Werf, the main topics on selection are: Selection is an absolute necessity for heritage institutions. By concentrating on technology and on the digitization of analogue materials, these institutions have been backing the wrong horses. See http://www.rcip-chin.gc.ca/carrefour-du-savoir-knowledge-exchange/decisions_preservationdecisions_preservation-eng.jsp?page=decisions_numerique-digital_decisions#pg03 4 See http://www.oclc.org/content/dam/research/publications/library/2011/201105.pdf?urlm=162956 and http://www2.archivists.org/groups/intellectual-property-workinggroup/well-intentioned-practice-for-putting-digitized-collections-of-unpublished-materials5 http://library.ifla.org/1042/1/138-vanderwerf-en.pdf 3 5 Heritage institutions cannot maintain their traditional selection policies in the digital era and should look for filters not at the supply side, but at the consumption side – good metadata are essential for this. Digital information that is not (widely) used should not count as heritage and should not be preserved by heritage institutions. The image of libraries (heritage institutions) blindly ingesting anything that is digital because it is so easy to do it, is not correct. Selection does take place, but there is a lot to win if we are more transparent and if we cooperate more closely The problem is not ‘selection criteria are too broad’ but: ‘the materials on the web are so vast that even with good selection criteria we ingest too much materials’ Obviously it is important to ensure the long term accessibility of our digital heritage – otherwise all the effort put into selection will go down the drain of digital obsolescence. But it’s more urgent for cultural heritage institutions to think about selection than to think about long-term accessibility. There are no signs that digital longevity is a technological problem that cannot be solved. There are more signs that digital longevity is endangered by bits that get lost because they are not taken care of. - Assessing the values and meanings of museum collections is increasingly being recognised as an integral element of strategic collections management work, and essential when prioritising resource allocation and seeking external funding or support. Assessing the current and potential use of collections is one of the three assessment elements6. - A significance assessment method7 can be used as a 'best practice' for selection of born digital heritage for long term preservation. 'Significance’ refers to the values and meanings that items and collections have for people and communities. At a simple level, Significance is a way of telling compelling stories about items and collections, explaining why they are important. Significance may also be defined as the historic, artistic, scientific and social or spiritual values that items and collections have for past, present and future generations. These are the criteria or key values that help to express how and why an item or collection is significant. - Significance is not an absolute state — rather, it is relative, contingent and dynamic. Views on Significance depend upon perspective and can change over time. Collection custodians therefore have a responsibility to consult affected communities and to be hospitable to alternative views in recognition of the fact that significance decisions inevitably privilege some memories and marginalise or exclude others. - In the opinion of Caroline Brazier (Director of Collections, British Library): 'Shared solutions and service models are one way forward. Can we find ways to integrate national collections and their curation with the centralised collections of aggregators such as the Library of Reviewing Significance was created by Caroline Reed on behalf of Renaissance East Midlands (http://www.collectionstrust.org.uk/collections-skills/reviewing-significance-introduction) 7 Significance 2.0 - a guide to assessing the significance of collections published by the Collections Council of Australia Ltd. 2009 http://arts.gov.au/sites/default/files/resources-publications/significance-2.0/pdfs/significance2.0.pdf 6 6 Congress in the case of Twitter (Library of Congress 2013)? Can special collecting become shared collecting, with some institutions acting as gatekeepers of privacy and rights?'.8 - Until now, the valuation of heritage has been exclusively the responsibility of professionals like (art)historians , archaeologists and social geographers. However, the world changes and so does our outlook on the value of heritage. The expert is nowadays not the only one who has a say. The Cultural Heritage Agency of the Netherlands has developed a new tool for the valuation of museum objects and (sub) collections. This tool follows six steps and it’s not only to be used by professionals, but also by other enthusiasts like patrons, lenders and the public.9 3. Various comments: - The European Commission on Preservation and Access prepared in March 2002 a discussion paper for UNESCO on the need for preservation of digital heritage. In this paper major issues on selection were addressed: For the cultural sector, traditionally entrusted with collecting and preserving cultural heritage, the question has become extremely pressing as to what of this enormous amount of materials should be kept for future generations, and how to go about selecting and preserving it. Preservation of digital heritage will somehow have to deal with new manifestations of cultural content on the web, which challenges traditional classifications of materials worth keeping. Unfortunately, it is risky to rely on time to sift what may prove to be of lasting value from the merely ephemeral. Websites are changed and updated constantly, and superseded materials vanish without leaving a trace. Estimates for the average life expectancy of a webpage vary from 44 days to two years. When organizations go out of business or lose interest, whole websites disappear from sight.10 - The criteria for assigning value to digital and non-digital records are similar; therefore, separate appraisal criteria and methods are not required for digital material. However, many of the challenges relevant to appraising paper records are amplified in the digital world, a reality that is largely caused by the overwhelming effort required to tackle mass quantities of material. This requires new practices (most likely technologically driven) for implementing the same criteria and methods. This need is compounded by a greater sense of urgency in identifying the digital records to be preserved since, in many cases, appraisal decisions must be made quickly before born digital content either disappears (e.g. Tweets) or becomes inaccessible due to technological obsolescence.11 - Caring for born digital materials has challenges beyond those usually associated with caring for traditional (physical) materials12: Examples of inherent risks include: Bit rot—the files have deteriorated over time [email protected]: the opportunities and challenges of implementing a digital collection development strategy (http://library.ifla.org/222/1/198-brazier-en.pdf) 9 http://cultureelerfgoed.nl/publicaties/assessing-museum-collections 10 http://archivi.beniculturali.it/INTRANET/estero/Preservation_Access.pdf 11 Leading in the digital world : opportunities for Canada’s memory institutions / The Expert Panel on Memory Institutions and the Digital Revolution. http://www.scienceadvice.ca/uploads/eng/assessments%20and%20publications%20and%20news %20releases/memory/CofCA_14-377_MemoryInstitutions_WEB_E.PDF 12 Defining “Born Digital” An Essay by Ricky Erway, OCLC Research, 2010 http://www.oclc.org/research/activities/hiddencollections/bornditgital.pdf 8 7 Obsolete media—the content is on media no longer in use Obsolete hardware—due to technological advancements, very few, if any, of the computers or peripherals needed to access the files still exist, and they are difficult to repair or replace Obsolete software—software or operating systems needed to make sense of the files is no longer available - Authenticity—the data have lost their integrity Webarchiving Some national libraries have content strategies for archiving websites, for example the British Library.13 These strategies can be shared with other national libraries (as best practices). P. Lor (Department of Information Science, University of Pretoria, South Africa) has published several articles on the major issues that have to be addressed when a national system for the preservation of websites is set up, with special emphasis on ‘soft’ issues (political, legal and moral) rather than technical issues.14 Conclusions 1. Libraries and archives are aware of the transition to digital collecting and the urgency of selection policies. In some cases, libraries and archives are working with frameworks and planning tools to guide the selection of (born digital) heritage. 2. Not many museums responded and the outcomes of this survey might not be representative for the sector. 3. Museums seem to have less awareness on this subject and there are hardly any best practices shared within the museum community. 4. Drawing up a statement of significance is central in various best practices for selection of born digital heritage. 5. Experts are no longer seen as the only ones who should decide on the value of (born digital) heritage. Increasingly, via the internet and other media, heritage institutions are asking groups or individuals to develop a shared evaluation of their heritage collections. 6. Generic guidelines for the selection of born digital heritage can be build upon the best practices concerning the evaluation of physical heritage collections. 7. Selection of born digital heritage for long term preservation is about managing values and discussing why items and collections are significant for use, preservation and collection development. www.bl.uk/aboutus/stratpolprog/digi/webarch/ A moral perspective on South-North web archiving, Journal of Information Science (2004) and Everything, for ever? The preservation of South African websites for future research and scholarship, Journal of Information Science (2006) 13 14 8 Appendix 1. Summary outcomes survey Institute 1 ARCHIVES Danish State Archives Name Reaction Relevance guidelines selecting and collecting Peter Edelholt 2 articles dealing with the selection and preservation of digital collections 1. Overview of the legislation that Danish record management professionals in the public sector have to follow 2. All this implies that more private records — both in paper and in digital form — are being created, while fewer and fewer private records in the most heavily digitalized areas can be collected by traditional means. Unless our methods and practices for collecting and preserving private records are radically transformed during the coming years, these changes will result in a loss of cultural heritage. Trend: collecting private records needs radically transforming of traditional methods and practices for collecting and preserving them. 2 The U.S. Geological Survey's (USGS) Earth Resources Observation and Science (EROS) Center J. Faundeen Documents process, criteria, and records management plan for consideration, acceptance, and retention of remotely sensed, cartographic, and Earth science data from other agencies and organizations for long-term preservation and access from EROS. The process is described more in the attached policy document. To date, over 60 collections have been appraised. We also use this process to evaluate collections already housed at our facility to verify that they meet our current mission objectives. Yes 3 State archive Belgium K.Devolder For the transfer of digital archives, there are currently no specific requirements regarding the formats and media. Our services take care of converting the information to appropriate formats and methods of conservation Partly: not about selection of born digital, focus on conversion of formats and media 4 Arizona State Library, Archives and Public Records Archivamt für Westfalen R. Prouty Metadata Guidelines Out of scope: focus on metadata P. Worm Archival System for storage and preservation of archival borndigitals. Out of scope: focus on preservation Spanish Archives Conference P. Raventos The Spanish Archives Conference 2014: Communication brings together the work of the Conference of Spanish University Archivists about longterm preservation and access to electronic records of our universities through secure digital repositories. Out of scope: focus on technical requirements metadata 5 6 9 Institute Name Reaction Relevance guidelines selecting and collecting This work adds the adequacy of the metadata schema for the long-term preservation. 7 8 Library and Archives Canada LIBRARIES National and State Libraries of Australasia (NSLA) Hilary Morgan Evaluation and Acquisition Policy Framework Trend: a framework is used as a planning tool to focus and guide selecting and collecting best practices. Brendan Somes Digital Collecting Strategy - Identified collection strengths included: digital photos; digital documents; web harvesting and oral histories. These strengths are not universal across all libraries. For example, collecting of digital documents is strongest in libraries with good systems and infrastructure for ingestion and management of digital publications. Identified collection weaknesses included: manuscripts and records (NLNZ excepted); static data; dynamic data; digital art; and audiovisual collections - film, music and digital stories (NLNZ is mandated to collect online music and has strength in this area). Trend: digital collecting framework, digital preservation principles, principles of digital collecting are combined in a Digital Collecting Strategy 9 State Library of Western Australia Oliver Gatty Collection development policy framework - With the advent of the internet, mass digitization efforts, collaborative collecting and community created digital content, it is important to define and document the role and purpose our library has in collecting. - Access without preservation or ownership is realistic, and for some collections, will be preferred. - framework will be reviewed formally every 2 years - SLWA have done a small amount of proactive collecting e.g. calls for photos of things like the sinking of a city bus station, community celebrations and election materials. This is an area that will be developed. Trend: the Library is making choices in developing their collections. The concept of collecting everything is unachievable and undesirable. This is underpinned by the collection development policy framework. 10 Ontario Universtity Libaries K. Pereyaslawsk a Toolkit: The Ontario Council of University Libraries is doing a lot of work in the area of accessibility which I believe should be a significant factor when selecting digital content. Out of scope: focus on technical requirements 11 British Library R. Price Legal Deposit Collecting Plans, 2013-14 Joint Policy on Non-Print Materials which are Out of Scope for Legal Deposit Partly: policy non-print materials 10 Institute Name Reaction Relevance guidelines selecting and collecting University of British Columbia Library Library of Congress Bronwen Sprout Digital collection development policy Out of scope: focus on policy for digitizing projects Theron Westervelt Recommended Format Specifications: The creation and publication of these recommended format specifications is not intended to serve as an answer to all the questions raised in preserving and providing long-term access to creative content. They do not provide instructions for receiving this material into repositories, managing that content or undertaking the many ongoing tasks which will be necessary to maintain this content so that it may be used well into the future. Tackling each of those aspects is a project in and of itself as each form of content has a unique set of facets and nuances. These specifications provide guidance on identifying sets of formats which are not drawn so narrowly as to discourage creators from working within them, but will instead encourage creators to use them to produce works in formats which will make preserving them and making them accessible simpler. Following these specifications helps make it realistic to build, grow and save creative output for our individual and collective benefit for generations to come. Out of scope: focus mainly on technical requirements, not about selection guidelines 14 National Library of South Africa D. Drijfhout National Policy on digitisation do you know existing guidelines for selection of digital heritage for preservation on long term? Answer: Not that I know of. No 15 University Ibadan, Library, Nigeria B. Oladele In my Library we have an ongoing digitization project with the objective of loading the outcome unto our Dspace platform. Out of scope: focus on digitisation project 16 Romanian Academy Library Romanian Academy Library Digital Library of the Caribbean F. Filip Romanian Academy Library: a digitization experiment No C. Ciuerea list of publications on the selection of digital heritage for long-term preservation Scholarly articles on dLOC that address different issues relevant for managing open access digital heritage collections. No 12 13 17 L. Taylor Partly More information on dLOC, including governance, bylaws, training materials, best practices, and other resources are all openly and freely available online in dLOC 11 Institute Name Reaction Relevance guidelines selecting and collecting 18 University of Pretoria P. Lor In response to this call I can mention that with Johannes J Britz I have authored a number of papers dealing with the political-economic and ethical aspects of digital preservation. Out of scope: focus on preservation 19 Koninklijke Bibliotheek Trudie Stoutjesdijk Various documents on digital sustainability, e.g. collections plan. Trend: first attempt using significance assessment15 as a method to valuate collections/objects The collections of the KB are divided into subcollections. A significance statement is added to each of these collections and is used to prioritise collection care. This is not used by the selection of new collections. Van Bode/De Bode???? 20 21 22 MUSEUMS Museum of Anthropology, University of British Columbia Museo Galileo - Istituto e Museo di Storia della Scienza Firenze HERITAGE INSTITUTIONS / VARIOUS CHIN Ann Marie Stevenson Case study “Collections without Borders: Sustaining Digital Content at Cultural Institutions.”: This case study explores how the Museum of Anthropology (MOA) at the University of British Columbia (UBC) successfully conceived and implemented a strategy to digitize its permanent collection and develop a durable database infrastructure. It offers a number of lessons for other institutions looking for ways to develop their own capacities and infrastructures, even if that development is more modest or takes place incrementally. Trend: example of a museum working with a sustainability plan Marco Berni At the moment we do not have a policy in use for the long term preservation even if we recognize the need for it. We are waiting for the developments of a project on the Digital Warehouses digital from the National Library of Florence (BNCF) No Ern Bierman Digital Preservation Toolkit: - Decision Tree for Artefacts in Digital Format Only Trend: this can serve as a best practice 15 Significance method is based on ‘value’, ‘criteria’ and ‘significance’. Value includes the historical, artistic, economic, emotional, scientific, social and community values that can be assigned to an item or collection. Each ‘value’ is determined by the degree to which the item or collection meets certain ‘criteria’. In other words, an item has artistic value if it is special by virtue of its style or design or if it represents an important artist or art movement. It is the combination of all these values – from historical to community value – that makes up the ‘significance’ of an item or collection. 12 Institute Name Reaction Relevance guidelines selecting and collecting 23 Collections Trust Nick Poole Museums are really beginning to think about national-scale digitisation planning and funding, but they don’t seem to have selection or content strategies at either a national or an institutional level. Trend: according to N. Poole museums don't seem to have selection or content strategies for digital collections 24 Open Preservation Foundation Ed Fay We are not looking at higher-level institutional policies which would set out the selection criteria for collections, we are more concerned with the technical properties of those collections and the processes and tools which are being used. Out of scope: focus on technical properties and technical tools and processes 25 Private Th. Heckett Some specific information about legal deposit of digital publications which relates to individual countries has been collected Partly: legal deposit 26 Private J. Baron My joint contribution to the UNESCO Memory of the World conference is at p. 580 of the proceedings, separately duplicated here online Partly: opinion. More about raising awareness The film “The Decade of Discovery” (63 minutes, 2014) deals in part with the subject of how to open up to the public permanent records in digital form in government archives. 27 Universidade Técnica de Lisboa J. Borbinha Risk Management as a relevant technique to take decision relating to digital preservation Yes: risk management 13
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