A life after the project - continuation and sustainability
AHDS Literature, Languages and Linguistics
Contents
Introduction
Although it may seem difficult to imagine at the start of a project, the time will come when the project ends. That may be because the object of the project is fulfilled or because the project funding runs out. Hopefully the project will have created a number of good electronic resources by then, whether these are the main output (such as in resource creation or resource enhancement projects) or a by-product of a research project. To make sure the electronic resources are not lost but can be shared and/or reused also after the end of the project, the project needs to think about sustainability. Sustainability is, however, not something that only needs to be considered at the end of a project. Indeed, at that stage it may already be too late. The AHDS Information Paper 'Planning and managing digital resource creation projects' discusses issues that need to be considered at the planning stage (see http://ahds.ac.uk/creating/information-papers/project-management/).
What is 'sustainability'?
The Oxford English Dictionary states that something sustainable is "[c]apable of being maintained at a certain rate or level". Sustainability is a very broad subject which in one of its senses may include topics like maintaining a website, updating content, seeking funding, building lasting partnerships, retaining staff, etc. A useful paper dealing with some of these issues has been produced by TASI (Technical Advisory Service for Images), and it is available at http://www.tasi.ac.uk/advice/managing/sust.html. The NINCH Guide to Good Practice in the Digital Representation and Management of Cultural Heritage Materials is another useful source of information (http://www.nyu.edu/its/humanities/ninchguide/). While the AHDS is happy to advice on different aspects of sustainability, the current paper will focus on sustainability in a more general, technical sense.
For an electronic resource to be sustainable in a technical sense, it must be in a format that can still be accessed when technology changes. It should be documented so that users other than the creators know what the resource is and how to use it, and it also has to be kept in a secure location so that it is not damaged or changed inadvertently.
Format
Anyone who has tried accessing a document with two different programs or even just different versions of a program will know that even if it is possible, a file or document that was created in one program (such as a word processing packet) can look very different when accessed through another program. The formatting may vary, text can look different, features may be missing or appear as something else. To avoid that happening to your resource, you have to make sure the resource is in the right format.
What is the right format then? It is not easy to answer questions such as "what file formats are appropriate for archiving and preservation?", or "does my text have to be in Unicode if it is to be usable in a few years' time?" What format you should use depends on your project, the resource you are creating and how you want to use it. You need to make sure the format you use is suitable to work with when creating the resource while at the same time ensuring the created resource is sustainable. In some cases you may choose to use one format for creating the resource and then convert the resource to a format better suited for preservation. Important to remember in this context is that it is not the format alone that defines a good resource. It is perfectly possible to use, for example, XML to make a resource which is in an appropriate form for long-term preservation. It is also very easy to make a resource using XML which is not viable in the near, let alone distant, future. Simply automatically converting a file from one format to another does not magically make it into a good electronic resource. Recommendations of file formats, encoding schemes and software options can obscure the central factors to do with the way that the intellectual content of the resource is encoded in a consistent and unambiguous way and documented in a clear, concise, and readable fashion. It is usually easier to convert a carefully created and well documented resource in an unsuitable format into a good resource, than to salvage a poorly designed resource without documentation irrespective of its format.
A separate Information Paper deals with the digitisation process and choice of data format for your digital resource. One piece of important general advice, however, is to avoid tie-ins to proprietary formats. If your resource is made up of files in a format for a certain program, you may need that program, perhaps even a particular version of that program, to access the files. If the program changes or the company distributing it disappears, that may mean your resource is made obsolete. Use of proprietary or custom-made solutions also limits the reusability of the resource by others who do not have access to that particular (version of the) program. Like so many other decisions relating to a digitisation project, the choice of format should be considered early on, preferably at the planning stage. The AHDS can advice on the choice of software and file formats for a particular task. See our webpage (http://ahds.ac.uk/depositing/deposit-formats.htm) for further information. Do not hesitate to contact us at an early stage of your project to discuss your project and any particular needs and preferences you have.
Documentation
A good resource comes with documentation which describes the resource and provides information about it which may be useful to users of the resource. Such information can be related to the format and content of the resource but also document the way the resource was created, the project behind it, how to use the resource, research based on the resource and much more. Including this kind of information is crucial not only for the sustainability of the resource but is also an important factor for facilitating resource discovery. What kind of information to include and how to do this is described in more detail in the AHDS information paper "Metadata for your Digital Resource" at http://ahds.ac.uk/creating/information-papers/metadata/.
Needless to say, the sooner you start documenting your resource the better. If you postpone the documentation until the end of the project there is not only a risk that you will find you do not have enough time to do it properly, but also that some of the information is lost. Project staff may have left, decisions and strategies employed may be forgotten, and vital information is left undocumented, resulting in a poorer resource that may not be sustainable.
Security
Anyone who has ever inadvertently deleted a document or lost a file knows that digital resources are very vulnerable. They can easily get damaged, lost, or corrupted. No matter how good a resource is and how well it has been documented, if it is not kept in a secure location it is not sustainable. To ensure their resource is not lost, resource creators do not only have to choose the format they use wisely but also make sure the resource is safe both during and after the creation stage. For that, sound backup and archiving strategies are needed.
It is perhaps useful to explain here the distinction between backup and archiving which is usually made by archivists and information professionals. Backup means taking a periodic copy of a file store while archiving refers to the transfer of information of public value into a separate repository where it is to be held indefinitely, or for an agreed period of time. It is likely that you will need backup solutions during the lifetime of your project, and you will need to find an archiving solution when the resource is completed.
Backup
Backup is something you usually can manage within your project or institution. Copies of the resource are created and kept in a secure location. How this is done varies from project to project and depends on the resource. It could be as simple as putting a copy of the resource on a CD at regular intervals and making sure the CD is kept in a different location from the computer where the resource is hosted (so that both are not lost in case of a fire or theft). Usually backup is performed by putting copies of the resource on a server in a safe location. While your own ad hoc procedures can be useful for providing extra copies and having them easily to hand, it is advised to make use of professional backup facilities such as those which should be offered by your faculty or institution's computing service. Whatever procedure you use, it is very important that all copies of your resource are labelled clearly so that no confusion will arise as to what version of the resource is the latest, what changes are incorporated in one version, etc.
It should be clear from the project plan what backup procedures the project will use and who is responsible for them. Make sure that you perform the backup at regular intervals and whenever significant additions or changes are made to the resource. Remember that you will need sound backup procedures during both data collection and data development stage of your resource creation project.
Archiving
While backup is important for keeping the data safe while you are working on it, and backup copies are replaced with later versions as they are developed, archiving is primarily for long-term preservation of the finished resource. Some institutions may have resources for archiving resources locally. Certain funding bodies (such as AHRB and British Academy) now require that funded projects deposit the digital resources they produce with the AHDS. The fact that a resource is archived elsewhere does not mean the creator and other rights holders lose any of their rights over it. An archive will not normally acquire any exclusive rights over the resources it archives. The normal arrangement is for the resource creator to retain ownership, and to grant the archive permission to keep a copy, and, possibly, to distribute the resource. The arrangement will be non-exclusive, meaning that this does not prevent the resource creator from doing anything with the resource, and can be dissolved. As long as the agreement is non-exclusive, you can continue to distribute the resource yourself and exploit it in other ways.
Archiving is usually made at the end of the project, when the resource is complete. It can also be made during the project, for example to document stages of the project or to make parts of a resource available. It is important to plan the archiving from the start, so that you can talk to the archivists and make sure that the resource can be provided in an appropriate format, and also so that you can include the time and effort necessary for depositing the resource in an archive in the project work plan. Before you can deposit your resource in an archive you should check the licensing situation. It would also normally be necessary to take a look at the terms under which users may be able to download the resource, and check that this does not come into conflict with any of your rights or responsibilities. The sooner you start looking into this the more time will you have to solve potential problems.
Continuation
Not infrequently, a project may wish to continue its work in one way or another after the conclusion of a project phase, whether that is continuing with similar tasks as in the first project or with a different project using the same methods, same resources or perhaps building on the results of the original project. How can this be made possible?
To continue a project, or expand/build on one, it is often necessary to apply for additional funding. Although funding organisations may fund the enhancement of an existing resource to make it more usable, they are unlikely to support a bid that derives from a need to re-do what the project just has done because they did not follow appropriate standards in the original project. Failure to address crucial issues related to reusability and sustainability does not inspire confidence.
The AHRC accepts applications for further funding, but not to enable you to finish work that was to be performed within the original project:
You can reapply, but not to the route for speculative research, for further funds for a related or continuation project at a later stage, provided that you have submitted a satisfactory monitoring report(s) in relation to the previous grant. The Council will not, however, provide further funding to enable you to complete the work set out in your original application. (Details of the Research Grants Scheme. AHRC website http://www.ahrc.ac.uk/)
Having secured funding for a first project is in no way a guarantee for the second phase or project being funded. For this reason it is important to ensure at the outset of any project that the resources that are created are sustainable and will not disappear or disintegrate if no further funding is secured. The way to do this does not differ significantly from what you do if the project is not to be continued.
If additional research funding cannot be obtained, what other alternatives may there be? The AHDS information paper on Project Management discusses continuation and/or exit strategies, and outlines different options available for sustainability when the funding ceases. See http://ahds.ac.uk/creating/information-papers/project-management/ (section 4.3). The NINCH Guide to Good Practice in the Digital Representation and Management of Cultural Heritage Materials contains a section on Sustainability: Models for Long-Term Funding which may be of use as well (http://www.nyu.edu/its/humanities/ninchguide/XI/).
References
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