GUIDANCE for ARCHAEOLOGICAL ARCHIVING#

This section details best practice procedures for archaeological archiving throughout all the stages of an archaeological project. The workflow which follows should be recognisable to all those involved in archaeology but the actions and tasks which are described are specific to the creation, compilation, transfer and curation of a stable, consistent, accessible and sustainable archive.
The actions which apply to archiving in each project stage are explained first then the tasks which apply to these principles are set out as bulleted points.

1. Planning

2. Data Gathering

3. Analysis, Reporting and Archive Transfer

4. Care and Curation of the Archive

3. ANALYSIS, REPORTING AND ARCHIVE TRANSFER#

During this stage the principles outlined in section 2 "Data Gathering" still apply, but there are some extra considerations.

3.1. Maintaining the integrity of the original data when creating new information #

Documentation created during the data gathering stage should not be altered as it contains scientific facts or results with minimum added interpretation and holds information that cannot easily be obtained again. Once the project enters the analysis stage more layers of an analytical and interpretative character begin to be added to this data.

• If original written records are to be amended or enhanced, use inks or pencils of a different colour. This enables future researchers to understand the thought processes and sequences of interpretation that apply to the analysis of those records.
• Digital datasets created during data gathering should be ‘frozen’ and secured and any subsequent work should be carried out on copies of this data. This procedure maintains the integrity of the original data and provides a back up should subsequent versions become corrupted or unusable.
• Practice version control in the creation of new digital files that contain data from existing files; name files with different version numbers to show the order in which they were created and amended or updated.

3.2. The care and treatment of materials during analysis #

During analysis both documents and materials (finds) are normally dispersed to various specialists for investigation and conservation procedures.

• It is important that all internal and external specialists are made aware of and are obliged to follow, the project data management and archiving strategy as developed in the planning stage and outlined in the previous section, including for example, file naming, terminology and glossary controls, indexing and ordering systems and version control management.
• The integrity of the archive should be maintained as information and material gets re-ordered or moved around. If any material archive is re-ordered, repacked or re-boxed during these analyses or treatment then this must be fully documented and this information included in or returned with the archive.
• If destructive methods of analysis, such as thin sectioning or carbon dating, are employed then a record of this procedure, its result and its effects on any remaining material must be recorded in the archive.
• The security of the archive must be maintained, and any dispersal of material objects (finds) and/or records to and from external specialists should be recorded in the archive management documentation, and the chosen method of transportation should be sufficiently secure.

3.3. Special treatment of human remains#

• In some cultures human remains have significant meaning or an ethical or religious importance. Where applicable the national, regional or local law or guidelines regarding their treatment should always be followed.

3.4. Implementing and refining selection strategies#

The original selection and retention strategy should remain in force, but should be kept under regular review. This is especially useful at the stage where finds assemblages are evaluated for their potential for analysis and again during analysis when a secondary selection process may be undertaken after re-identification procedures.

• It is important that the selection and retention strategy is reviewed against the project research or management objectives as the project progresses and that any changes to the selection and retention strategy are recorded and agreed by all concerned, including the recipient repository.
• Any finds discarded as a result of this process should be documented as having been discarded and when and why this happened. If any finds have been reburied, then their reburial location should be recorded.
• Selection and discard should not lead to any substantial loss of information which detracts from the project research or management objectives.

3.5. Data management#

During the analysis stage, it is likely that more than one person will be working on the project data and creating new files in the project records.

• Everyone involved in this process should be conversant with the file naming and structure protocols that were defined at the planning stage, in order that all the project information is easily maintained and able to be accessed.
• During the analysis stage it is important to employ version control methods to keep track of edits and different versions of the project documentation. This will also provide an audit trail of revisions and updates, up to and including the final versions.

3.6. Preparation for the transfer of the archive to a recognised or trusted repository#

The curator of the recipient repository/repositories should be involved in the project from the planning stage and the project should follow the repository’s deposition guidance from the outset in order that preparation for transfer will be easy (see STANDARDS for archaeological archiving Chapter 3). The following should be standard for any submission:

• The project archive should be accompanied by a project summary and overall contents list.
• All parts of the archive should be fully indexed and ordered, and the archive should contain a master index to its component parts.
• All parts of the project documentary and material archive should carry the project ID and classification information (object, photo, context number etc)
• Project documentation, such as recording systems and techniques, selection and sampling strategies, project designs, recording manuals etc should accompany the archive.
• All digital files should be ordered in a clear directory structure and employ folder and file naming conventions which aid retrieval of information. The metadata and metadata policy for the digital archive should accompany the archive.
• The digital archive should be virus free on transfer and a copy of the archive should be retained until successful transfer is assured.
• The material and documentary archive should be packaged in materials and boxes suitable for long term preservation in storage in accordance with national, regional, local or repository standards and in sizes as specified by the repository.
• Where appropriate, material objects (finds) should be cleaned before being put into storage. Any cleaning should have been undertaken by or after consultation with a conservator-restorer and in accordance with any national, regional, local or specialist guidelines.
• Prior to long term storage any wet or damp objects (finds) should have received the appropriate conservation treatment. Wet or damp objects should have been dried out in a controlled way, with the exception of metal from wet contexts. Artefacts which have dried out must not be re-hydrated.
• Finds selected for x-radiography, either for identification purposes or during the conservation process, should be x-rayed prior to long term storage and the associated x-ray records (which should be stored with the digital/photographic/paper archive as appropriate) should be fully cross referenced to the objects.
• The material (finds) archive should be ordered according to its material type, packing and storage requirements. Different types of objects, such as pottery and animal bone, should be kept separate.

4. CARE AND CURATION OF THE ARCHIVE #

Although this section appears after those on planning, data gathering and analysis and report writing, it should be made clear that care of the archive components should actually begin to take place as soon as any data is created or material collected and continue on throughout the project; it is not something which should only take place once the archive has been deposited at the end.

The project team should ensure that all elements of the archive are maintained to the best standards possible throughout the lifecycle of the project. (See STANDARDS for archaeological archiving Chapter 3).

Therefore this section should be read as applying to every stage of a project up to and including permanent storage of the archive. As such it has been necessary to target the advice to different situations identified for the purpose of this guidance as:

Active use: applies to when the project team members including conservator-restorers and specialists are actively working on project data and archaeological materials.

No longer in active use: applies to when some or all parts of the project have been completed and the use of some or all items from the documentary and/or material archive is finished, but the project archive has not been deposited into a repository for long term curation.

Temporary storage: applies to the storage of documentary and material archive components after the archive has been compiled for transfer, and project work is thus completed, but before it has been deposited with a repository for long term curation.

Long term curation: applies to the long term care and management of an archaeological collection in a repository.

4.1. Care of documentary and material archive components in active use#

• During data gathering, analysis and report writing, archive components in active use must be maintained in the best conditions possible, and every effort must be made to ensure that the risks of damage, deterioration, fading, damp, theft and loss are minimised.
• Whilst in general use by project teams and specialists, all documentary and material archive should be handled with due care and attention. Wherever possible both material and documentary archives should be protected in the appropriate storage boxes, sleeves or cabinets. Digital data should be subject to internationally, nationally, regionally or locally recognised information technology management procedures.
• Appropriate storage conditions for all elements of the documentary and material (finds) archive must be maintained throughout the phase of active use. It is important, for instance, to recognise that conserved and un-conserved objects may require different environments.

4.2. Care of documentary and material archive components no longer in active use#

Once digital data are no longer in active use a system of regular back ups along with good data management housekeeping may be no longer enough to protect the data, especially in cases where transfer to a digital repository can take a number of years. Technological change can be rapid and the physical media on which data are stored are not permanent. What went into storage may quickly become obsolete and unreadable. Therefore this Guide recommends the preservation of digital data by migration: i.e. continually migrating information from older hardware and software to newer systems. Some archaeological practices may not have the resources to act as a de facto digital preservation repository, however there are a few simple steps which can be taken to ensure the maintenance of the digital archive once the data is finalised and out of active use:

• Once documents and images created on analogue media are complete they should be moved as soon as possible from active office use into archive storage until eventual deposition.
• The guidance provided in sections 4.3 – 4.5 should be followed as far as is practically possible for all documentary and material archive in temporary storage prior to deposition.
• Once work on individual digital files has ceased they should be moved to the project archive and that should be recorded.
• Digital files should be fully indexed within the project archive and certified as virus free before storage.
• Once in the project archive all digital files should be actively managed as set out in 4.4 below, in order to prevent obsolescence.

4.3. Accommodation for archives in temporary storage#

It is highly desirable that the temporary storage time prior to final deposition is kept as short as possible. However it has to be accepted that in some cases, especially where projects are large or long running, temporary accommodation of the archive can last many years whilst analysis and report writing are undertaken. Wherever possible, temporary storage conditions should adhere to the national, regional or local rules for permanent storage of archaeological collections.

• Ensure that any stores housing the documentary or material archive are not at risk of destruction or damage by vibration, contamination or breakage through natural or man-made causes such as fire, floods or tidal waves, earthquakes or landslides, explosions or pollution, either on-site or in the vicinity. Avoid and protect against rodents, insects and other pests.
• Ensure that supply systems for electricity, gas, and especially for water are kept well away from storage areas, and that the building has a fire detection system.
• Minimise the amount of movement of stored objects and store archive materials in the dark.
• Ensure that stores are kept at the temperature and relative humidity appropriate for the objects according to national, regional or local recommendations. It is generally accepted that there is an increasing risk of microbiological activity above 60% relative humidity, and increased brittleness at a very low relative humidity. However across Europe with its variety of climatic zones, different limits have been recommended and there is no general agreement, either upon temperature or humidity, but it is established that most archive categories last longer at lower temperatures and at lower relative humidity. Reference should be made to national, regional or local standards and bibliographical information for these can be found on the BIBLIOGRAPHY part of the ARCHES website.

4.4. Long term curation of the documentary archive#

See STANDARDS for archaeological archiving Chapter 2.

• Digital data
  • All files should be provided with data documentation. Data documentation enables clear access to the data and helps prevent loss of information during the process of data refreshment and migration, as the character of the data is well understood. All files should be provided with sufficient metadata to ensure that the data in the file can be easily accessed and understood. This will enable digital data to be useful to someone other than its creator in years to come.
  • Data refreshment should be practised. Digital data should be checked for readability on a regular basis, and where necessary data should be copied from one magnetic or optical medium to another as the original nears the end of its useful life.
  • Data migration should be undertaken according to current best practice principles in data and information management, which can change rapidly. To make files independent of the machines and the software they were made with, files for archiving should wherever possible be transferred from proprietary formats onto stable and persistent preservation formats, and migrated onto successive versions of these formats as software updates or changes (Examples are .xml for text and spreadsheets, .jpg and .tiff for images, and .dxf and .svg for vector drawings. Proprietary formats such as .doc, .pix, and .ai should be avoided. Sometimes a proprietary format is allowed because it is widely accepted –de facto- standard such as the .pdf format (PDF/A (ISO 19005)). All files and metadata should be validated during this process and earlier versions should not be discarded until the newer one has been checked.

It is not possible to discuss in detail the standards for digital archiving in this Guide. Detailed guidance on digital archiving can be found in the OAIS reference model (OAIS - Open Archival Information System (ISO 14721)), the Guide to Good Practice section of the Archaeology Data Service website (http://Guides.archaeologydataservice.ac.uk/), the Digital Archiving and Networking Services (DANS), and websites that follow or instigate developments and discuss these, such as JISC (http://www.jisc.ac.uk/about)and the Forum on Information Standards in Heritage (FISH)(http://www.fish-forum.info/). For more information on how data can be linked and openly accessed and re-used the site of Linked Open Data is a good starting point (http://linkeddata.org/home). A practical guide on how to organise research data is given by the UK Data Archive (Van den Eynden, V. et al 2011. “Managing and sharing data; best practices for researchers” University of Essex, Colchester, Essex http://www.data-archive.ac.uk/media/2894/managingsharing.pdf).

• Analogue documentation

Analogue images and documents may take different forms with specific archiving requirements. Several general points may be articulated:

• • All paper should be stored flat in acid free, dustproof cardboard boxes.
  • Drawings on drafting film should be stored flat in dust free containers.
  • All paperwork should be fully indexed and separate classes of documents should be grouped together. An overall archive index and a title sheet marking different groups of documents should be present.
  • Documents of the same type should be organised in a logical order, by context, date and object number as appropriate.
  • Any binding or labelling which could damage analogue information, such as elastic bands, staples, paperclips or self adhesive labels or tapes should be removed.
  • Boxes should be stored in a dust free, dry and preferably dark environment, and well away from environmental hazards such as damp, insects or rodents.

• Photographic (analogue) material

Generally, photographs should be treated as specified in the section above. However since photographic images are very vulnerable to deterioration in poor storage conditions, several particular points apply:

• • Prints, negatives and transparencies, including x-radiographs should be stored in acid free paper enclosures or polyester sleeves in archival boxes or dust proof cabinets.
  • All films and photographs should be fully indexed and labelled with the project identifier and other appropriate information such as the film or frame number, in a manner which does not damage the image or have the potential to rub off during handling.
  • Photographic material is especially sensitive to light damage, which causes fading, and it keeps better in a cold environment. Photographic material should be stored in boxes or cabinets in a dark, cool, dust free environment and well away from any potential environmental hazards.

4.5. Long term curation of the material archive #