Patrice N. Pazar, University of Colorado at Boulder Mentors: Joan Parker and Shannon Robalino Summer 2001
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1 Developing a Framework for Archiving Historical Data Sets in the Monterey Bay National Marine Sanctuary for the purpose of Long-Term Monitoring Programs Patrice N. Pazar, University of Colorado at Boulder Mentors: Joan Parker and Shannon Robalino Summer 2001 Keywords: Archives, Historical Scientific Data, Metadata, SIMoN ABSTRACT The process of archiving historical documents involves the identification, documentation, and preservation of material for the purpose of future scientific research. Standardization and digitization of scientific data allows for the capturing, storing, analyzing and sharing of knowledge to researchers, educators, and the public. Once available in a standardized digital format, the dissemination of scientific information can be accomplished using a URL-based network. The proposed Sanctuary Integrated Monitoring Network (SIMoN) will, therefore, provide an infrastructure for the development of working partnerships with researchers, computer scientists and ecological modelers to create multitemporal and spatial systematic research in the Monterey Bay National Marine Sanctuary (MBNMS). Once established, this proposed integrated network allows for a collaborative effort amongst different agencies to establish long-term monitoring programs. Monitoring programs provide a baseline for enacting effective environmental policy regarding resource management. INTRODUCTION The survival of long-term studies and monitoring projects in the Monterey Bay National Marine Sanctuary (MBNMS) rely on the identification, documentation, and retention of critical historic data. Archiving relevant scientific documents allows for the accessibility of crucial information once the datasets are standardized and digitized. Data that is available electronically facilitates the sharing of scientific information via a URLbased network. Integrated networks provide an infrastructure and conduit for collaboration amongst researchers, agencies, and the public. The efforts of such collaborations would be evident in developing environmental policy that relates to effective resource management and promoting public understanding about marine ecosystems. Policy created from faulty, outdated or incomplete data may have serious consequences on the ecological health of marine ecosystems in the MBNMS. Several monitoring projects, as well as, personnel, textual and bibliographic databases, already exist within the Monterey Bay National Marine Sanctuary. Presently, the knowledge and information from this research has limited accessibility due to the lack of a functional infrastructure. The Sanctuary Integrated Monitoring Network (SIMoN) developed by the Monterey Bay National Marine Sanctuary and NOAA, is a proposed 1
2 multi-disciplinary network that will provide unfettered access to valuable historical datasets that document natural processes and management practices within MBNMS. SIMoN is currently in phase 1, which involves the collection and processing of historical data (Figure 1). A survey of these datasets provides documentation and a baseline or standard for the network data infrastructure. It is in this form that data is considered metadata. SIMoN Summary of Primary Goals (1) Integrate existing monitoring conducted in the MBNMS The first goal is to coordinate and synthesize historic data sets with information from the various research and monitoring efforts currently underway within the MBNMS. A large portion of this process has already been completed as part of SIMoN's development but integration efforts will continue throughout the life of this program. (2) Initiate basic surveys or characterizations of all habitats and regions of the MBNMS This second major goal is based on the undisputed conclusions of the advisory committee and workshop participants that a better understanding of the Sanctuary, its natural processes and the distributions of its resources are needed before most monitoring efforts can be truly effective. These groups concluded that in most cases not enough information is available about the Sanctuary and the resources it protects to identify and monitor important changes. Figure 1 Sample List of Initial Goals of the Sanctuary Integrated Monitoring Network Therefore, the purpose of this paper is to provide background information on archival and digitization methods as well as suggesting guidelines for creating descriptive metadata records for digitized datasets. Such guidelines or standards allow for consistency for the purpose of retrieval, dissemination, and interoperability. The development of a functional framework of the archived datasets is achieved by an URL based interactive spreadsheet that is hyperlinked to habitat classification standards, bibliographic citations and descriptive metadata. METHODOLOGY Archiving Historical Scientific Documents Archives are the original records, papers or data sets of individuals, groups, institutions, and governments that contain information of significant value (Diann 1998). Traditional sources of archival material include unpublished reports, letters, diaries, manuscripts as well as photographs, films, video and audio recordings (Ellis 1993). Consequently, the majority of archived datasets are presently in the form of printed 2
3 tabular and/or graphic images, which require the conversion into an electronic format such as analogue or digital (Porter 1997) before retrieval. Scientific and environmental data are often irreplaceable and always unique, if only in the temporal frequency of the study (Porter 1997). Until recently, monitoring studies or projects have failed to use the extant archive of datasets, recordings, manuscripts, and gray literature due to insufficient searching capabilities and indexing (SIMoN 2000). Therefore, the initial step in archiving significant datasets involves identification, appraisal, arrangement, and description. For this project, historic data was identified from existing habitat surveys, published technical reports or peer review journals. The appraisal, arrangement, and description of reports were subsequently reorganized and categorized into an excel spreadsheet according to a standardized habitat classification, spatial and temporal frequency, and significance or scope of data, and principal investigator. This format, once standardized, provides accessibility and an expandable framework for the acquisition of more material (Figure 5). Metadata and Archival Standards Metadata is the structured data about data. In other words, metadata is the descriptive, structured information about an object or resource regardless of the format. The derivation of metadata is by hand or automated via software. The three types of metadata include: Descriptive Metadata Provides access points or discovery in order to describe the intellectual properties of an object or item. This type of metadata is generally used for indexing and follows the standards from the Dublin Core, AACR-2/MARC, Government Information Locator Service (GILS), Encoded Archival Description (EAD), or the Text Encoding Initiative (TEI). Administrative Metadata Allows for the appropriate management of the digital object or item. Specifically, the rights and permissions criteria for the appropriate use have the digitized object or item including any restrictions that may apply. Structural Metatdata Enables an object to be cross-referenced with another item. In this formation, the metadata allows for the appropriate display and navigation of specific digitized material including books and manuscripts. The organization of metadata requires a standard to allow for accessibility. Standards insure consistency thereby enhancing the reliability of retrieval of data and compatibility between researchers. Presently, there is an inherent variability among core data sets due to contextual differences in research design, methodology, and vocabulary resulting in the incomparability of data between researchers and agencies. Implementation of standards would, therefore, alleviate information bottlenecks. 3
4 The most commonly used international standard is the Dublin Core. The Dublin Core consists of fifteen elements that are categorized to create a consistent standard for reliable retrieval (Figure 2). Applying the Dublin Core to scientific data is somewhat complicated, however the flexibility of the Dublin Core does allow for some modification. Figure 2 Dublin Core Elements Digitization of Textual Material The potential benefit of the dissemination of information via digital format includes: unfettered access, flexibility, and enhanced capabilities for analysis and manipulation. The digitization process involves the preparation and conversion of material for archiving, presentation and retrieval. Most digitization projects encore fluctuating costs due to variable procedures and technology thereby, making budget analysis for digital conversions difficult to calculate. For example, file size, associated storage needs, and processing requirements account for only a small portion of the cost. In actuality, the preparation of materials, indexing, bibliographic description, post-scan processing, and long-term management account for the majority of cost for digitization projects. Scanned images optimized for present technological standards, for example, may display poorly on the technologically advanced resolution equipment and would, therefore, require reprocessing. The same could be said of bitmap texts, which if not converted into a word-searchable text may be underutilized by researchers that rely on "keyword" search capability (Diann 1998). There are many factors to be considered when selecting material to be digitized. The crucial factor being the issue of copyright. If the material considered for digitization is in the public domain, then the process can ensue. If the material is protected by copyright but the rights are held by the digitizing-institution or permission is obtained, then the process proceeds. However, if permission for the reproduction of material is unattainable then the project will most likely be drastically altered. To compound the legality nightmare, different types of archived material may have variable "rights" issues. The issue of copyright and permissions are critical when dealing with scientific datasets. The majority of documents cited for the SIMoN were questionable about whether permissions were received, therefore, digitization of this material was postponed. Digitization into PDF format of public domain documents, however, can precede using Adobe Capture. Taking into consideration that the preservation of the document is a priority, using a scanner with a document feeder is preferred. 4
5 Creating an Electronic Finding Aid Once a collection of documents or data is arranged and given a description, a finding aid is created. Finding aids are similar to a MARC library record, where all the material is organized according to a series or category. The survey is a listing of the scientific records that are relevant to SIMoN. This collection is categorized according to specific marine habitats. Subsequently, the collection is divided according to type of study or subseries. Finally spatial and temporal classifications or subseries are applied. At this level in a finding aid, the significant material is given a description or content and scope of study. In addition, the principal investigator and/ or agency is noted and the type or format of material. For the purpose of this vast collection, an electronic finding aid was created as to provide accessibility and flexibility. The finding aid provides an index, historical backgrounds on the MBNMS and SIMoN (Figures ), habitat classification standards (Figures ), the descriptive survey and a citation listing. The finding aid was created using Microsoft Frontpage 2000 and reflects the MBARI web design format. Public domain documents were digitized into a searchable PDF via Adobe Capture. MATERIALS The following hardware and software are required for documentation and dissemination of historical data: Survey Microsoft Excel (or any spreadsheet program, i.e. Microsoft Access) Web Design Endnote (or any standardized bibliographic record program) Microsoft Front Page 2000 Microsoft Photo Editor Adobe Photoshop Digitization HP Scanner Adobe Acrobat RESULTS The electronic finding consists of four project description web pages that also incorporate related links. Followed by eight habitat classification pages plus an index. The expandable excel spreadsheet that has a detailed listing of SIMoN related historical references. As well as a citation listing that documents the material in the survey. 5
6 Electronic Finding Aid Figure 3.1 Electronic Finding Aid Home Page Figure 3.2 MBNMS Page Figure 3.3 SIMoN Page mww.mbari.org/library/simon Habitat Classification Standards Figure 4.1 Sample of Bays, Estuaries, Riparian Page Figure 4.2 Sample of Cold Seep Page mww.mbari.org/library/simon/habitats 6
7 Habitat Classification Standards (con.) Figure 4.3 Sample of Deep Soft Bottom Page Figure 4.4 Sample of Dunes and Bluffs Figure 4.5 Sample of Kelp Forest Page Figure 4.6 Sample of Pelagic Page mmw.mbari.org/library/simon/habitats 7
8 Habitat Classification Standards (con.) Figure 4.7 Sample of Rocky Intertidal Page Figure 4.8 Sample of Sandy Beaches mmw.mbari.org/library/simon/habitats Survey and Citations Figure 5 Survey of SIMoN Collection Figure 6 Citations Page 8
9 DISCUSSION Until recently, monitoring studies or projects have failed to use the extant archive of datasets, recordings, manuscripts, and gray literature due to insufficient searching capabilities and indexing (SIMoN 2000). The advent of digital conversion and the development of software such as Adobe Capture have allowed the distribution of data and information without misrepresentation. To achieve a sense of congruity, data in an electronic format requires standardization. Currently, the World Wide Web is experiencing a wealth of Standard Initiatives that will allow the sharing of information without misrepresentation. Although, imposing standards may impede the scientific process by limiting the freedom to design a research framework (Porter 1997). The need for standards is evident for SIMoN. Unfortunately, the Dublin Core in its simplicity and flexibility is unsuitable to address all the aspects of scientific research. The USGS uses the FGDC Geospatial standard which is thorough in it s documentation of geospatial data but unfortunately is burdensome and does not address biological / ecological data. As a result, the USGS has instigated an initiative for the establishment of a new standard, NBII, which would incorporate biological and ecological datasets and allow for compliance and linkages with the FGDC. The NBII, however, is does not incorporate critical elements of the Dublin Core and would thereby not address certain qualifiers (Michener 1997). Creating a metadata standard for a long-term monitoring network would require the use of several metadata standards and a combination of qualifiers to address all the characteristics and elements of the Monterey Bay National Marine Sanctuary ecosystem. The electronic finding aid provides a framework for acquiring and arranging a collection of relevant material for SIMoN. The survey is the critical part of any largescale historical database. In particular, this survey is expandable, searchable and crossreferenced with detailed standards. Again, the word standards. The habitat classification is a standard. The type of study is a standard. The citations are listed in a standardized format Endnote. In addition to providing background information, the Project Description web pages display links to other related networks and agencies. The Habitat Classification web pages, while providing a detailed description, also address priority issues that are a vital component of SIMoN. The priority issues are cross-referenced in the survey by a color key. Digitized material was scanned into PDF and arranged into a descriptive metadata template, which is also linked to the survey via the principal investigator category. This allows data in digital format to be compressed, which ultimately saves file space. Space will become an issue for any network. Digitization of data, most importantly, is 9
10 searchable. The dissemination of information in digital format will be a critical component of SIMoN. CONCLUSIONS/RECOMMENDATIONS Maintaining the survey will be an important aspect of integrating historical datasets into SIMoN for the purpose of creating long-term monitoring programs and effective environmental policy. The purpose of this project was to develop a framework for the arrangement of historical documents that relate to SIMoN. As well as, suggest guidelines and standards to archive this material in the hopes of future dissemination. I recommend, at this point, that acquisition of more historical data be postponed until standards are agreed upon. Once there is a consensus of a standard, I would identify spatial and temporal information gaps via GIS. Most importantly, however, I would address the issue of rights before any of the material in the survey is used on the World Wide Web. Once accomplished, the coordination of data collection and analysis can proceed. ACKNOWLEDGEMENTS I would like to thank my mentors Joan Parker and Shannon Robalino. Thanks to Mario Tamburri from NOAA and the MBNMS for his exhaustive work on SIMoN related studies. I would also like to acknowledge the ITD team for their patience, in particular Judith Connor, Nancy Barr, Nancy Jacobson-Stout, and of course, Todd for go above and beyond the call of duty. Thanks to Jenny Paduan for offering assistance in data storage techniques and dissemination method. Many thanks to the DeLong lab, Nicole and Mark Jeunette for providing a "home away from home". Offsite folks include Kirsten Wasson at the Elkhorn Slough, Sioux Kriegsman at the Colorado Digitization Project, Carol Mead at the University of Texas at Austin, and Gail Griffin. As for Captain Matsumoto and the 2001 interns, thanks for all the support and camaraderie. References Colorado Digitization Project Guidelines for Metadata [online]. Available Diann, Rusch Metadata: standards for retrieving WWW documents. Library and Information Services in Astronomy III 153. Ellis, Judith (Ed.) Keeping Archives. Thorpe Press, Port Melbourne, Victoria. Pp Michener, W.K., J.W. Brunt, J.J. Helly, T.B. Kirchner and S.G. Stafford Nongeospatial metadata for the ecological sciences. Ecological Applications 7(1):
11 Porter, J.H., D.L. Henshaw and S.G. Stafford Research metadata in Long-Term Ecological Research (LTER). In: Second IEEE metadata conference; 1997 September 16-17; Silver Spring, MD. 11
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