Selection of digital material for preservation in libraries, archives and museums

254 Pages·2017·2 MB·English

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Selection of digital material
for preservation in libraries,
archives and museums
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• A Doctoral Thesis. Submitted in partial fulfilment of the requirements
for the award of Doctor of Philosophy of Loughborough University.
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Publisher: (cid:13)c J. Clare F. Ravenwood
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Selection of digital material for preservation in
libraries, archives and museums

by
J. Clare F. Ravenwood

A Doctoral Thesis
Submitted in partial fulfilment of the requirements for the award of
Doctor of Philosophy of Loughborough University

May 2013
© J. Clare F. Ravenwood 2013
ABSTRACT

Digital material has different preservation requirements than non-digital and is at greater risk of
loss unless deliberate preservation activities are undertaken. Digital preservation is an on-going
managed process designed to enable continued use of digital material for as long as necessary.
Much of the digital preservation research to date has focused on understanding technical steps
in preserving digital objects and there has been less attention paid to assumptions about
selection and the conceptual underpinnings of practice. Selection is done, not conceptualised.
Therefore the aim of this research was to investigate the theory and practice of selection for
digital preservation in UK memory institutions. The objectives employed to achieve this aim
were firstly to examine the underlying theory relating to selection in libraries, archives and
museums of non-digital material. The research then went on to investigate who the
stakeholders are in selection, how selection of digital material is performed and identifying the
key influential factors in selection. An intensive, qualitative approach was used to complete
these objectives. A thorough review of the literature provided a theoretical background to
selection in libraries, archives and museums. Then preliminary data were gathered through a
set of exploratory interviews with eight digital preservation ‘experts’ in order to provide an
overview of selection for digital preservation. The findings from these interviews then formed the
basis for the second set of interviews with twenty five practitioners working in libraries, archives
and museums. The views of practitioners were under-explored in the literature although it is
they that perform selection. In addition to these interviews, twenty two current digital
preservation policies were examined.
This research has found that there is on the whole little change required for selecting digital
material, in comparison to selecting non-digital material, although technical criteria relating to
the ability of the institution to manage and preserve the material are of high importance. There
is a clear assumption in institutions of selection leading only to permanent collecting, which
should be questioned. This research has uncovered drivers to selection, including external
funders, and barriers, which include a lack of confidence and knowledge on the part of
practitioners in how to select and manage digital material. Concepts identified through this
research provide a deeper understanding of selection for digital preservation in different
contexts and encapsulate key factors underpinning selection. The concept of professionalism is
a key factor; the need to be professional and ethical guide’s practitioners through specific
professional skills and knowledge. The practitioners become engaged with digital material and
the level of engagement mirrors the way digital material is conceptualised by practitioners.
Many stakeholders were identified, including managers, senior managers, users, creators and
donors, funders, other organisations and IT staff. Relationships with stakeholders and the
possible roles they play in selection were found to be key factors in selection. These findings
contributed to the achievement of the final objective, which was to develop a conceptual model
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of key factors underpinning selection for of digital material for preservation. The conceptual
model consists of five main concepts and their relationships: professionalism; relationships;
organisational capabilities; material properties; and boundaries. There is a clear need for
greater availability and access to training and networking opportunities for practitioners in order
to increase engagement with digital material.
Through this research, factors relating to selection have been identified and conceptualised. It
has uncovered issues not previously addressed, in particular relating to the social aspect of
selection. This research provides an understanding of the complexities of selection and the
influences upon it.
Key words: selection, criteria, digital preservation, digital material, libraries, archives, museums.

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CONTENTS

Abstract ...........................................................................................................................................i
Contents ........................................................................................................................................ iii
Tables and Figures ...................................................................................................................... viii
Acknowledgements ....................................................................................................................... ix
Glossary and Abbreviations ...........................................................................................................x
Chapter 1 Introduction ................................................................................................................... 1
1.1 Cultural heritage ............................................................................................................ 2
1.1.1 The cultural heritage sector in the UK ....................................................................... 3
1.2 Digital material ............................................................................................................... 5
1.3 Digital preservation ........................................................................................................ 7
1.4 Selection ........................................................................................................................ 8
1.5 Research rationale ........................................................................................................ 9
1.6 Scope .......................................................................................................................... 10
1.7 Aim and objectives ...................................................................................................... 11
1.8 Thesis structure ........................................................................................................... 12
Chapter 2 Literature review ......................................................................................................... 14
2.1 Selection in memory institutions .................................................................................. 15
2.1.1 Archival appraisal .................................................................................................... 15
2.1.2 Selection in libraries ................................................................................................ 18
2.1.3 Selection in museums ............................................................................................. 22
2.1.4 Summary ................................................................................................................. 24
2.2 Digital preservation ...................................................................................................... 26
2.2.1 Technical aspects .................................................................................................... 27
2.2.2 Significant properties ............................................................................................... 30
2.2.3 Summary ................................................................................................................. 33
2.3 Selection of digital material for preservation ............................................................... 33
2.3.1 Criteria ..................................................................................................................... 34
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2.3.2 Value ....................................................................................................................... 38
2.3.3 Roles and responsibilities ........................................................................................ 41
2.3.4 Finance and costs ................................................................................................... 46
2.3.5 Legal issues, ethics and risk ................................................................................... 49
2.3.6 Policy ....................................................................................................................... 51
2.3.7 Summary ................................................................................................................. 56
2.4 Conclusions ................................................................................................................. 57
Chapter 3 Research methodology .............................................................................................. 60
3.1 Research philosophy ................................................................................................... 61
3.2 Research design ......................................................................................................... 64
3.2.1 Qualitative research ................................................................................................ 64
3.2.2 Data collection ......................................................................................................... 68
3.2.3 Interviews ................................................................................................................ 70
3.2.4 Quality in qualitative research ................................................................................. 72
3.2.5 Ethical considerations ............................................................................................. 73
3.3 Literature review .......................................................................................................... 75
3.4 Expert interviews ......................................................................................................... 76
3.4.1 Sampling .................................................................................................................. 76
3.4.2 Interview design ...................................................................................................... 76
3.4.3 Data analysis ........................................................................................................... 77
3.5 Practitioner interviews ................................................................................................. 79
3.5.1 Sampling .................................................................................................................. 79
3.5.2 Interview design ...................................................................................................... 83
3.5.3 Data analysis ........................................................................................................... 83
3.6 Policy analysis ............................................................................................................. 83
3.6.1 Sampling .................................................................................................................. 84
3.6.2 Data analysis ........................................................................................................... 85
3.7 Summary ..................................................................................................................... 86
Chapter 4 Expert findings ............................................................................................................ 87
4.1 Professional roles and responsibilities ........................................................................ 88
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4.1.1 Ethics ....................................................................................................................... 90
4.1.2 Knowledge and skills ............................................................................................... 91
4.2 Institutional issues ....................................................................................................... 92
4.2.1 Roles and responsibilities ........................................................................................ 92
4.2.2 Risks ........................................................................................................................ 96
4.2.3 Legal issues............................................................................................................. 99
4.2.4 Policies .................................................................................................................. 100
4.2.5 Finance and costs ................................................................................................. 101
4.3 Conceptual issues ..................................................................................................... 102
4.3.1 Significant properties ............................................................................................. 102
4.3.2 Value and criteria .................................................................................................. 103
4.3.3 The future .............................................................................................................. 106
4.4 Conclusions ............................................................................................................... 107
Chapter 5 Practitioner interview findings................................................................................... 110
5.1 Roles and responsibilities of the professional ........................................................... 111
5.1.1 Selection as a professional role ............................................................................ 111
5.1.2 Determining value ................................................................................................. 111
5.1.3 Subjectivity ............................................................................................................ 114
5.1.4 Legal and ethical behaviour .................................................................................. 115
5.1.5 Knowledge and skills ............................................................................................. 117
5.1.6 Engagement .......................................................................................................... 120
5.2 Stakeholder roles, responsibilities and relationships ................................................ 121
5.2.1 Sources ................................................................................................................. 123
5.2.2 Guides and limiters ................................................................................................ 126
5.2.3 Users ..................................................................................................................... 129
5.2.4 Collaborators ......................................................................................................... 130
5.2.5 Stakeholders and roles .......................................................................................... 131
5.3 Reactions to digital .................................................................................................... 132
5.3.1 Technical challenges ............................................................................................. 135
5.3.2 Significant properties ............................................................................................. 136
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5.4 The selection process ............................................................................................... 138
5.4.1 Drivers to selection ................................................................................................ 141
5.4.2 Criteria ................................................................................................................... 143
5.4.3 Outcomes .............................................................................................................. 145
5.5 Institutional factors .................................................................................................... 146
5.5.1 Mission .................................................................................................................. 146
5.5.2 Policies in practice ................................................................................................. 147
5.5.3 Policy ..................................................................................................................... 149
5.5.4 Legal, ownership and risk ...................................................................................... 151
5.5.5 Finance and resources .......................................................................................... 153
5.6 Conclusions ............................................................................................................... 156
Chapter 6 Discussion ................................................................................................................ 161
6.1 Conceptual model of key factors ............................................................................... 162
6.1.1 Boundaries ............................................................................................................ 164
6.1.2 Capability and properties ....................................................................................... 166
6.1.3 Professionalism ..................................................................................................... 166
6.1.4 Relationships ......................................................................................................... 169
6.2 Stakeholders ............................................................................................................. 170
6.3 Practice...................................................................................................................... 176
6.3.1 Criteria ................................................................................................................... 177
6.3.2 Drivers and barriers ............................................................................................... 179
6.3.3 Policies .................................................................................................................. 180
6.3.4 Assumptions and change ...................................................................................... 181
6.4 Summary of key findings ........................................................................................... 183
Chapter 7 Conclusions .............................................................................................................. 187
7.1 Research objectives and main findings ..................................................................... 188
7.1.1 Existing theory ....................................................................................................... 188
7.1.2 Stakeholders.......................................................................................................... 190
7.1.3 Practice .................................................................................................................. 192
7.1.4 Key factors............................................................................................................. 193
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7.1.5 Conceptual model of key factors ........................................................................... 193
7.2 Recommendations .................................................................................................... 194
7.3 Research contribution ............................................................................................... 195
7.4 Suggestions for further work ..................................................................................... 195
7.5 Reflection and limitations .......................................................................................... 196
7.6 Concluding remarks .................................................................................................. 197
Bibliography ............................................................................................................................... 198
Appendices ................................................................................................................................ 230
Appendix 1 ............................................................................................................................. 230
Appendix 2 ............................................................................................................................. 231
Appendix 3 ............................................................................................................................. 232
Appendix 4 ............................................................................................................................. 233
Appendix 5 ............................................................................................................................. 234
Appendix 6 ............................................................................................................................. 235

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