ENDANGERED ARCHIVES PROGRAMME RESEARCH PROJECT GRANTS Guidance for Applicants 2018 1. Overview of the Programme The purpose of the Endangered Archives Programme (EAP) is to secure, digitise, and make available for research endangered, pre-modern archival material from around the world. Each year, the Programme awards grants to preserve and digitise such material. Where appropriate, the collections are transferred to a suitable local archive. The local archival partner makes digital copies of the material available in the country where the archive is located and the British Library makes these archives available on the EAP website for international access and research. The programme aims to train and develop the people working on each project so that they have the skills and equipment required to carry out archival preservation beyond the scope of the EAP. Applicants are expected to include plans for professional development and training (in areas such as digitisation, cataloguing and/or preservation) within their proposals. 2. Scope and Objectives 2.1 The Programme will consider a wide variety of material types: rare printed sources (books, serials, newspapers, maps, ephemera, etc.) manuscripts in any language visual materials (drawings, paintings, prints, posters, photographs, etc.) audio or video recordings other objects and artefacts, normally only where they are found in association with a documentary archive. The Programme will not fund: the creation of oral histories (as the main focus of a project) the digitisation of modern material. 2.2 In all cases, material should be from the pre-modern stage of a society's development. Applications focusing on photographic collections should show how the collections shed light on a pre-industrial society. Any proposals focusing on material from a later period must demonstrate that the material is exceptionally vulnerable and significant. 2.3 The Programme will consider supporting the preservation of archives held in any nonwestern society. Material can be on any theme or aspect of culture so long as the archive meets the criteria outlined in sections 2.1 and 2.2. 2.4 A fundamental principle is that no original archival material may leave its country of origin. The only exception is if there is no alternative to removing the material temporarily for digitisation. 2.5 Digital copies must be made available at an appropriate and established institution in the country of origin. A second digital copy must be sent to the British Library. The digital master copies normally stay within the country of origin. The British Library copies will be made available for the types of use and access specified in the Award Conditions.
2.6 The Programme will only fund digitisation of material that can be made available online. If there are copyright or privacy restrictions that prevent this, the material may not be digitised. 2.7 There may be cases when it is difficult or inappropriate to relocate endangered or inaccessible material. The Programme will accept applications to copy the material so that it can be secured and accessed more widely. In such cases, copies should be provided to the relevant archives and owners as well as the local archival partner. The application should include provision for improving the storage conditions of the original material. 3. Criteria for Evaluating Applications Applications will be evaluated against three broad criteria: 1. Content of archive The case for the material to be digitised must cover the following areas: Endangerment. Applicants must demonstrate that the material is vulnerable, due to human/political neglect and/or environmental threats; and that there is an urgent need to safeguard the material. Research value. Applications must demonstrate the uniqueness and cultural importance of the archive and that it is a valuable resource for research. Age of material. Applicants must show that the materials in the archive are premodern/pre-industrial. Legal and ethical rights to digitise the material and make it available online for research. Applicants must have the permission of the collection s owners to digitise the materials and make them available. You must also know what the copyright status of the archival materials are and whether there are any data protection issues associated with them. 2. Project team Applications must include the following information about the team you propose to put together to work on the project: Track record of principal applicant. Applicants must show that they have the experience and skills needed to carry out the project successfully. Applications at the detailed stage may include up to three co-applicants who can provide the skills or experience that the principal applicant lacks. Staffing plan. If assembling a new team applicants must explain how this will be done and how they will ensure that the team has people with the specific skills required for the project (e.g., cataloguing and digitising). Skills within the team: Applicants must identify the skills the project will require (language skills, project-management and financial skills, metadata, technical skills for handling equipment and vulnerable material). They must demonstrate how they will ensure that the team is made up of people who meet these requirements. Knowledge within the team. There must be evidence that the principal Applicant and proposed team understand the material, its condition and its research and cultural value. Indicate knowledge of the relevant languages and scripts of the materials in the archive. - 2 -
3. Project plan The proposal must contain an outline of an effective plan showing how the following questions have been addressed: Feasibility. Applicants must demonstrate and understanding of the practicalities and logistics of the project: Is the time frame reasonable? Are the team available at the time specified? Has a risk assessment been done? Have all costs been taken into account? Who will oversee the finances? Local capacity building. Wherever possible, the project should create the opportunity for future archival and digitisation work to be carried out in the region where the archive is located. Applications should include a plan for the period after the project is completed, outlining what will happen to the equipment and how the training and experience of the team will be put to further use. Value for money. Applicants must provide justification for the cost of all equipment, salaries, and travel. Host Institutions should, within their means, make appropriate financial contributions to these costs. Budget. The budget must be within the amount for the type of project. 4. Grants 4.1 There are currently three types of grant: 4.1.1 Major projects gather and copy material. This type of grant may also relocate the material to a more secure location/institution within the country. These projects can last for up to 24 months and have a budget limit of 60,000. 4.1.2 Pilot projects investigate the potential for and/or feasibility of a major project. A pilot project can also be a small digitisation project. These projects should last for no more than 12 months and have a budget limit of 15,000. 4.1.3 Area grants will be awarded for larger scale projects. They are similar to a major grant, but larger in scale and ambition. Applicants must demonstrate an outstanding track record of archival preservation work and be associated with an institution that has the capacity to facilitate a large-scale project. The EAP will award a maximum of two area grants in each funding round. They can last for up to 24 months and have a budget limit of 150,000. You must contact the EAP office before submitting an application for this type of grant. 4.1.4 Rapid response grants will be available from 2019. They are intended to safeguard an archive in immediate and severe danger. 4.2 General principles that apply to all grants. 4.2.1 The British Library will provide online access to the digitised material, ideally under a CC-BY-NC licence. The Library may provide images for scholarly publications/use but does not provide images for broader commercial purposes. If images are used in a scholarly work, the publishers are requested to send copies to the relevant archival partners. It is the responsibility of the grant holder to ensure that any local archives where copies are also deposited are aware of and respect copyright restrictions. 4.2.1 Grants are offered on the condition that the original materials are held and maintained by the archival partners within their country of origin. These materials must be made accessible to scholars in full and for free. - 3 -
4.2.2 The Programme does not offer grants to support the 'normal' activities of an archive. Direct costs for securing an archive at a new institution will be considered. 5. Applications and Procedures 5.1 The call for applications usually goes out in September but please check the web page as the timetable may change from one year to the next. 5.2 Applying for pilot projects, major research projects and Area grants 5.2.1 The application process is in two stages. All applicants must submit a preliminary application for assessment. Preliminary application forms are available to download from the Programme s web pages and should be completed and sent electronically to endangeredarchives@bl.uk. All applications must be written in English. Budgets must be provided in GBP all awards will be made in GBP. 5.2.2 Preliminary applications are assessed by an International Advisory Panel. If applicants are successful at the preliminary stage, they will be invited to submit a second, detailed, application. Detailed applications are also assessed by the Panel who also consult with external independent referees. 5.3 Rapid response grants 5.3.1 When this grant type is launched in 2019, applications can be submitted throughout the year. The International Advisory Panel, external referees, and British Library curatorial and conservation staff assess applications. Decisions will be made within four months. 5.4 General requirements: 5.4.1 Although applications must be submitted by individuals, each grant will normally be administered and accounted for by the institution (university, archive or similar institution) to which the principal applicant belongs. Applications must therefore be approved by the relevant institution (see Award Conditions), and applicants must be confident before they submit a proposal that an appropriate representative of their institution agrees to administer the grant. 5.4.2 Applicants may only submit one application for each round of funding. 5.4.3 If an established archive is to be involved, applications must be signed by a representative from the archive. 5.4.4 If the collection is to be rehoused at a different institution from the one where it was found, someone from the new institution must be named as co-applicant. The application must include a statement of the institution s commitment to standards of storage, documentation, access and long-term preservation. 5.4.4 Applications from state institutions requesting support for their own collections should demonstrate some contribution in kind, such as the provision of staff time, training or room hire. 5.4.5 If national or state records are to be copied, the Programme requires confirmation that the appropriate governmental department has been consulted and has given permission, in writing, for the work to go ahead. 5.4.6 In the unlikely event that an archive is removed from its country of origin, explicit written approval for this must be obtained from the highest governmental level (see 2.4) - 4 -
5.4.7 For material to be removed from the country of origin, all local export/import formalities must be observed and proof of compliance provided to the Endangered Archives Programme for all classes of material involved. 5.4.8 Where very important material cannot be re-located, or is already in a specialised archive but is vulnerable, arrangements for copying, and where the copies will be deposited, should be agreed beforehand. 5.4.9 All applications must include the proposed copying techniques [conforming to standards indicated in the Copying and the Listing Guidelines]. 5.4.10 All applications must include a list of all institutions that will receive copies of the digitised material. 5.4.11 Applicants should be confident that the owners of the material are likely to cooperate in the project. It is equally important that the owners have confidence in the applicant. Confirmation of this in writing should be included with the application where possible. 5.4.12 If you do not know how much material is contained in the archive, exactly where all of the archival materials are located or how accessible the materials are, you should apply for a pilot project. 5.4.13 The Programme does not provide money to purchase archival material. Some kind of notional recompense payment to owners of the material may be possible in exceptional cases. If you are including such payments in your application, you must explain why and justify how much. 5.4.14 Materials digitised with EAP funding must be made available online. The Programme does not offer grants if unreasonable restrictions are placed on the use or access to the material. You must know at the application stage what the copyright status is and/or have permission to put the materials online. For Major grants the Grant of Permission form must be submitted with the detailed application. 6. Eligibility 6.1 Eligible institutions: 6.1.1 A recognised non-commercial institution (educational, research or archival/library management). The institution will be directly responsible for receiving and managing the funds and submitting budget accounts to the EAP Office on a regular basis. Normally, the Principal Applicant is employed by the Host Institution. 6.1.2 In exceptional circumstances, Principal Applicants not affiliated with a recognised higher education, research or archive/library institution can apply as an Independent Researcher. In such cases, they are expected to be able to provide references, details of relevant experience and a track record of delivering past projects. Independent researchers work directly with the British Library, and receipts must be submitted with the Final Report for all items of expenditure over 100. Accounts should be independently audited before submission to the EAP office. 6.2 Eligible applicants: 6.2.1 Any accredited member of teaching or research faculty, and any registered postgraduate researcher, at a recognised UK or overseas university or similar higher - 5 -
education institution. PhD candidates will only be considered for an award in exceptional circumstances and where the applicant has a proven track record of grant and project management. In such a case, a letter of support must be provided by their supervisor, giving approval for the candidate to undertake the project and detailing how the project relates to the PhD. 6.2.2 Archivists and librarians with responsibilities for special collections in a recognised UK or overseas archive, national or research library, or similar institution. NB Current employees of the British Library are not eligible to apply. 6.2.3 Independent Researchers (see 6.1.2 above). 6.3 Eligible costs include: 6.3.1 The fees or salaries of junior researchers helping with the tasks of seeking, identifying and gathering the material. 6.3.2 The cost of copying original material, including purchasing equipment, and relocating and installing the materials in an archive. This can include the cost of initial filing, the cost for producing an inventory and the composition of finding lists, but not archival overheads or running costs. 6.3.3 Teaching cover where an academic principal investigator needs to spend considerable time in the field away from official teaching duties, and contributions to salary costs where an archivist has to be in the field for a prolonged period. 6.3.4 Travel and subsistence, and directly relevant office operations and supplies. 6.3.5 Training costs. The Programme aims to enhance the professional skills of local staff, to increase the local capacity to preserve and manage collections in the long term. Applicants are therefore encouraged, if possible, to incorporate training and professional development in their grant proposal, which can be in areas such as archival collection management or technical training in digitising techniques. 6.3.6 Basic preservation measures for the original material, such as acid-free storage boxes. 6.3.7 The cost of developing a project website to host the digital collection. 6.3.8 Disseminating the results from the project, such as conference talks or public/educational displays, especially where they are aimed at informing local people. 6.4 Ineligible costs. These include institutional overheads, capital building and refurbishment projects, building work of any kind, routine infrastructure and staffing costs, physical conservation of original materials, extensive cataloguing or archive management. 7. Monitoring 7.1 Projects will be reviewed regularly by six-monthly detailed progress reports, supplemented by updated metadata and where necessary by exception reports (if there have been any substantial changes in the project). Grants will normally be paid six months in advance, with continued payments dependent on satisfactory reports and satisfactory official accounts submitted by the administering institution. The Programme reserves the right to pay instalments at shorter intervals. All financial reports must be provided in GBP and the exchange rate should be based on the date the grant instalment was received. - 6 -
8. Preservation and copying. 8.1 You must consider the scope, budget, equipment and practical planning your project will require. The Endangered Archives Programme has published a book, Remote Capture: Digitising Documentary Heritage in Challenging Locations, which is available for free in PDF form and it should be consulted prior to applying for a grant. A list of approved equipment can be found in the digital appendices to the book. Any questions may be discussed with the British Library using the Programme s email address: endangeredarchives@bl.uk. Potential applicants must follow the Copying Guidelines and the Listing Guidelines with regard to techniques and standards. 8.2 The Programme is not designed to support conservation work in the technical sense. It is designed to preserve the integrity of archives by removing them from a hazardous or neglectful environment, relocating them into safer circumstances, and copying them to preserve their contents and make them more accessible. 8.3 Applicants are expected to explain precisely how they will copy and preserve both the original data and the digitised copies. The expected costs should be included in the application, and any possible sources of funding should be listed. NB The EAP does not provide funding for physical conservation of original materials. You must show where the originals and the copies will be stored after the project is completed and demonstrate that the institutions involved are willing to host these materials. Applicants must be able to guarantee that all materials involved in the project will be preserved and made freely available for research in the long-term future. 8.4 Award holders must send samples of the copies being produced and sample metadata entered on the listing template to the EAP Office within the first three months of the award and with any interim progress reports. This is to ensure that the copies are produced in accordance with best practice. If you make any copies during the course of a pilot study, then samples of the copies must be submitted as soon as possible and a copy of all the material produced must be deposited with the British Library at the end of the pilot study. 8.5 No later than three months after the end of the grant, award holders must send digital copies of archival collections, with supporting documentation, securely packaged (by courier or registered mail) to the British Library (at the address given below in Section 9.2). They should also email the British Library separately providing details of the shipment. 8.6 The British Library will be responsible for accessioning all copies and arranging for them to be safely stored. Details of all collections received will be posted on the Programme s web pages and the digital copies will be made available online through the Programme s web pages. 9. Contact Details 9.1 All enquiries about application procedures or any other aspect of the Endangered Archives Programme should be sent by email to endangeredarchives@bl.uk. All correspondence must have the EAP reference number, once allocated, in the subject field. - 7 -
9.2 Postal enquiries should be addressed to: Endangered Archives Programme The British Library 96 Euston Road London NW1 2DB United Kingdom. 9.3. The procedures for application and the application forms can be found on the Programme s website at eap.bl.uk. 10 Changes to Guidance for Applicants 10.1 The British Library reserves the right to make amendments, changes and updates to the Guidance for Applicants during the term of an award. The Endangered Archives Programme will endeavour to notify those affected as soon as possible of any such changes. This Guidance for Applicants should be read in conjunction with Grant Template. - 8 -