Narrative Section of a Successful Application
The attached document contains the grant narrative and selected portions of a
previously funded grant application. It is not intended to serve as a model, but to
give you a sense of how a successful application may be crafted. Every successful
application is different, and each applicant is urged to prepare a proposal that
reflects its unique project and aspirations. Prospective applicants should consult the
Office of Digital Humanities program application guidelines at
http://www.neh.gov/grants/odh/digital-humanities-start-grants for instructions.
Applicants are also strongly encouraged to consult with the NEH Office of Digital
Humanities staff well before a grant deadline.
Note: The attachment only contains the grant narrative and selected portions, not
the entire funded application. In addition, certain portions may have been redacted
to protect the privacy interests of an individual and/or to protect confidential
commercial and financial information and/or to protect copyrighted materials.
Project Title: A unified approach to preserving cultural software objects and their
development histories
Institution: University of California, Santa Cruz
Project Directors: Noah Wardrip-Fruin
Grant Program: Digital Humanities Start-Up Grants, Level 1
NEH Application Cover Sheet
Digital Humanities Start-up Grants
PROJECT DIRECTOR
Dr. Noah Wardrip-Fruin
Associate Professor, Computer Science
1156 High Street
Santa Cruz, CA 95064-1077
UNITED STATES
E-mail:[email protected]
Phone(W): 831-459-4131
Phone(H):
Fax:
Field of Expertise: Communications - Media
INSTITUTION
The Regents of the Univeristy of California, Santa Cruz
Santa Cruz, CA UNITED STATES
APPLICATION INFORMATION
Title: A unified approach to preserving cultural software objects and their development
histories
Grant Period: From 3/2013 to 8/2013
Field of Project: Communications - Media
Description of Project:
Software is an increasingly important part of our culture, and the
humanities has responded with approaches such as digital culture studies, game studies, and software studies.
Simultaneously, we face a growing erosion of computational history as the cycle of technological advancement and
obsolescence continues. This project will pilot a new approach to software preservation — one that draws on the best
practices so far identified by those seeking to preserve scientific research and its context (on one hand) and games and
virtual worlds (on the other) while being consistently informed by our growing knowledge of the research questions
most important to the digital humanities. A team of librarians, computer scientists, and humanists will pilot this
methodology by archiving UCSC's groundbreaking social simulation game Prom Week — making progress towards a
more unified approach to preserving software objects and their development histories for future scholars, students, and
BUDGET
Outright Request
Matching Request
Total NEH
$30,000.00
$30,000.00
Cost Sharing
Total Budget $30,000.00
GRANT ADMINISTRATOR
E-mail:[email protected]
Phone(W): 8314592639
Fax: 8314594046
Riley Jordan
Grants Officer
1156 High Street
Santa Cruz, CA 95064-1077
UNITED STATES
A unified approach to preserving cultural software objects
and their development histories
NEH Digital Humanities Start-up Grant, Level 1
Table of Contents
1. List of project participants 2
2. Abstract 3
3. Narrative 4
4. Budget 7
5. Biographies 16
6. Data management plan 18
7. Letters of commitment and support 20
GRANT11231405 -- Attachments-ATT1-1234-contents.pdf
A unified approach to preserving cultural software objects
and their development histories
NEH Digital Humanities Start-up Grant, Level 1
Project Participants
Caldwell, Christy; Subject Librarian for Computer Science, Computer Engineering and Games,
University of California Santa Cruz Science and Engineering Library
Kaltman, Eric; PhD Student, University of California Santa Cruz Computer Science
Lowood, Henry; Curator for History of Science and Technology Collections, Stanford University
Libraries
Wardrip-Fruin, Noah; Associate Professor of Computer Science, Chair of Digital Arts and New
Media, University of California Santa Cruz
GRANT11231405 -- Attachments-ATT2-1235-participantslist.pdf
Abstract
Abstract
Software is an increasingly important part of our culture, and the humanities has
responded with approaches such as digital culture studies, game studies, and software
studies. Simultaneously, we face a growing erosion of computational history as the
cycle of technological advancement and obsolescence continues. This project will pilot a
new approach to software preservation — one that draws on the best practices so far
identified by those seeking to preserve scientific research and its context (on one hand)
and games and virtual worlds (on the other) while being consistently informed by our
growing knowledge of the research questions most important to the digital humanities. A
team of librarians, computer scientists, and humanists will pilot this methodology by
archiving UCSC's groundbreaking social simulation game Prom Week — making
progress towards a more unified approach to preserving software objects and their
development histories for future scholars, students, and the public.
Statement of Innovation
This project integrates three strands of knowledge to pilot a new approach to preserving
cultural software. These are: the recommendations of the Joint Committee on Archives
of Science and Technology (emphasizing preserving the innovation process), the
Preserving Virtual Worlds project (best practices for this area), and humanities
approaches to studying software. The object is also innovative: never before has a
software research project been the focus for the development of archival strategy.
Statement of Humanities Significance
The humanities have an essential role to play in helping us understand an engage with
our increasingly software-oriented culture, both in its present form and as it has evolved.
But software and the traces of its creation are slipping through our fingers faster than
any past media, from papyrus to film. New preservation strategies are essential, as is a
focus on preserving the elements that speak most directly to humanities concerns.
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NEH Digital Humanities Start-up Grant, Level 1 Proposal Narrative
A unified approach to preserving cultural software objects and their development histories
Enhancing the humanities through innovation. We will design, and create a pilot implementation
of, the first full archival methodology based on the needs of digital humanists, as exemplified by
software and game studies. This methodology will integrate the approaches of the Joint Committee
on Archives of Science and Technology with the recommendations (and ongoing work) of the
Preserving Virtual Worlds project, as described below. This work is urgently needed, because there is
very little archival work being done in software preservation that focuses on the needs of future
academic inquiry — and all cultural software products will benefit from an approach that focuses not
just on the objects but also their development history and context. In looking for an available
software object that allows for inquiry from a general software development standpoint as well as
that of software and game studies (our collective areas of humanities focus), we have chosen the UC
Santa Cruz game Prom Week. The game's development has produced numerous research
publications in the field of artificial intelligence and the game itself has received nominations for
international game design awards. It represents a serious computational research object and an
innovative step forward in interactive narrative games. We will use both these contexts to pilot a mix
of archival strategies never before combined, which we believe holds significant future promise.
This work innovates simultaneously in the archival processes of appraisal and retention.
Appraisal is the means through which archivists collect and analyze the future preservation value of
an object or collection. Generally with the help of a domain specialist, the archival team aggregates
all the work related to the object of preservation that is potentially significant and then winnows it
down before retaining it (storing it safely and securely). Because software objects are relatively
recent phenomena there is no generally agreed upon strategy for either appraisal or retention. We
want to change this by using archival methodologies developed for scientific research to boot strap
the creation of archival solutions for software and computer games, combining them with the best
practices identified by the major investigation of preserving games and virtual worlds thus far.
In 1983 the Joint Committee on Archives of Science and Technology (J-CAST) released a
report detailing the issues concerning appraisal of scientific research. They emphasized the necessity
of preserving the process of scientific research as well as its results. Science is a messy business and
the details of how scientific discoveries progressed through fits, starts, and flashes of insight are
considered as important to future technology historians and students as the published results. The
report recommended that when archiving scientific research every effort be made to gather all
material related to the process of discovery — future researchers could then learn from the missteps
and methods to supplement their understanding. We are asserting that this approach to the process of
development is also applicable to cultural software, and games in particular, as they are potentially
more opaque than most projects due to the inherent complexity of their computational systems,
tendency to display this complexity only partially at the interface level, and highly iterative
development processes. By revealing the development history and the inner workings of Prom
Week's systems we hope to provide a clearer picture to those wishing to understand all software
development and its historical significance.
In developing an appraisal strategy for Prom Week the team will consult with the project's
original developers and collect early prototypes, source code, correspondence and other research
detritus in line with J-CAST's recommendations. We will then sort, cull, and organize this
information for long term archival storage. Along the way the J-CAST guidelines for process
documentation will help us form a picture of the game that can be used by future historians, game
developers and students to understand the inherent complexity of the game's artificial intelligence
and narrative generation systems. This work will result in a more detailed methodology for future
GRANT11231405 -- Attachments-ATT4-1237-narrative.pdf
game preservation and will also extend to software objects outside of the academic purview. Most
computer games and software go through similar development processes, whether academic or
commercial, and by focusing on process we feel the methodology will be just as helpful to the
software community at large as it is to Prom Week. We hope to eventually make historical research
on games and software as easy as taking books out of the library.
Environmental scan. The primary sources of guidance for the Prom Week methodology are the
work of the Preserving Virtual Worlds (PVW) project team on computer game preservation and the
J-CAST report on scientific research and development archiving. PVW is a continuing series of
investigations into the practical archiving of computer games and virtual spaces. The first PVW
project was a Library of Congress joint initiative to highlight the difficulties and necessity of
preserving virtual spaces and computer games. The project produced a final report as an initial
inquiry into the problems of long term game preservation. PVW II is currently in progress and is a
case based analysis of games’ significant archival properties.
History and duration of the project. The primary motivation for this project developed through
team members’ discussions with, and in some cases involvement with, the PVW projects. We see
this plan for methodology development as an extension of the work recommended by PVW. Our
hope with this project is to utilize the recommendations from previous endeavors to develop a viable
strategy for long term game software preservation.
The game development experience of UCSC's game design program will be of paramount
importance to the project's success. An immediate offshoot of this work will be to embed
preservation strategies into the process of academic game development at UCSC. We will prototype
ways for correct archival procedures to become a component of any future development work at the
university. Prom Week’s creation involved many individuals over three years of development and we
plan to leverage the understanding of the remaining team members to inform our archival work.
After the initial term of the project we hope to apply for further grants from IMLS and the NEH
to expand the archival methodology to a larger swath of games including those housed in Stanford's
collections. We also intend to move toward archiving the hundreds of student games produced at
UCSC every year and developing archival approaches that could be adopted by other centers of
cultural software research and development.
Work plan. The project’s goal is to use Prom Week as a case study for creating a process and tools
to enable valid archiving methods for cultural software development projects, especially those from
academic research and other innovation-focused contexts. The work will proceed in general phases.
The first phase will be based on a survey of archival documentation regarding the game’s
development process, including Prom Week source code (in all versions) from the UCSC code
repository, team correspondence over the three year development interval and all previous versions
of the work, including any remaining physical prototypes. Publications and related work will also fall
into scope and there may be further resources discovered during the collection phase. To our
knowledge, no piece of cultural software has ever had a similarly extensive collection phase, and the
final report will provide a model for adequate documentation for such software projects. The second
phase will define a process for creating documentation to supplement the archival record with respect
to the design and development workflow of Prom Week; a key component of this phase will be
interviews with Prom Week team members about the development process, including milestone
system and narrative construction decisions. The documentation phases will follow the
recommendations of both J-CAST and PVW.
After the documentation phases are completed, the process of appraisal will begin. In this
phase the project team will assess the archive and construct a model of the development process
GRANT11231405 -- Attachments-ATT4-1237-narrative.pdf
along the lines proposed by J-CAST. We will create a conceptual model and tools for tracking
organizational scheme and workflow; indeed, this is the project's principle innovation, as we
currently have few guidelines to follow in this area. The findings here will be reflected in the
implementation of tools for shaping a digital archive. For example, how can the long-term archiving
of a source code repository be approached with an eye toward future accessibility and the kinds of
research questions both digital humanists and computer scientists will put to it? How should
descriptive information about versions of the source code and documentation pertaining to those
versions be constructed and available for reference, noting the access needs of scholars with varying
technical knowledge? We will experiment with different methods that explore a variety of
approaches to these questions, finally converging on a coherent framework and pilot implementation
of an archival system based on the development process. This framework will be set up as a
foundation for a larger study and project. The final archive product will be organized as a template
for future archival work and use of the software by scholars, as well as budding game design and
computer science students. Finally, a white paper will communicate our findings to the archiving,
digital humanities, and game development communities.
Staff: Noah Wardrip-Fruin is the co-director of UCSC's Expressive Intelligence Studio, a graduate
game research lab, and a lead advisor on the development of Prom Week. He also co-edits the
Software Studies series for MIT Press. As project lead he will advise the collection of Prom Week
materials, frame potential software and game studies questions that archives such as this should
support, and oversee overall project progress.
Eric Kaltman is a current member of the PVWII project team and worked as a project
archivist for digital games at Stanford Library before coming to study at UCSC. He has work
experience organizing game collections and as a software developer. A major portion of the grant is
devoted to covering his time as a researcher on this start up, with a part time appointment for two
academic quarters.
Christy Caldwell is the manager of the game and software collections at UCSC's Science and
Engineering Library. She will be instrumental in providing a safe repository for the project’s
resulting artifacts and their integration into a library system.
Henry Lowood is the curator of the History of Science and Technology collections at
Stanford University Library and perhaps one of the most well known proponents of game history at
work in the field. He has many publications in computer game history, game film making and the
history of technology. As a member of both PVW projects he has been instrumental in developing
many of the recommendations this start up will attempt to implement.
Final product and dissemination. The methodological write up in the white paper will transfer to
journal and conference presentations aimed at the digital archiving, digital humanities, and games
communities. We will show that this type of work has a solid foundation and that we can serve the
needs of industry, the academy, and the general public through a shared appreciation of computer
game and software history. We will demonstrate to archival institutions that this work can be
conducted in an efficient and competent manner by non-expert digital archivists. We hope to provide
prototype open source tools for future archival use in the areas of source code maintenance and
appraisal parameters for game designer and game production focused collections. We believe such
tools will be useful for any software based preservation project and collection. We will also, of
course, create a prototype of a new form of software archive, using Prom Week as our object of
investigation. We believe this prototype archive will also be of use to the archiving community (as a
basis for experimenting with different approaches) and future digital humanities researchers.
GRANT11231405 -- Attachments-ATT4-1237-narrative.pdf
University of California Santa Cruz
Office of Sponsored Projects
Detailed Budget
Printed on 9/25/2012
A unified approach to preserving cultural software objects and their
development histories
Project
C&G Officer
NEH
Agency
3/1/2013
Start Date
8/31/2013
End Date
UCSC
Location
52.00%
IC Rate
MTDC
IC Type
Wardrip-Fruin, Noah
PI Name
20130201
SC#
Riley Jordan
Preparer
9/10/2012
Budget Prepared Date
Budget Revised Date
Pending
Status
1
Budget #
1
TOTAL:
Title
Salaries
Name/Title
Salary Type/Level
Eric Kaltman
GSR Academic
GSR-Res
Months/Time%
V
3.00
50%
Eric Kaltman
GSR Summer
GSR-Res
Months/Time%
V
3.00
50%
Salaries
Fringe
Name/Title
Salary Type/Level
Eric Kaltman
GSR Academic
GSR-Res
V
2.5%
Eric Kaltman
GSR Summer
GSR-Res
V
3%
Fringe
Salaries and Fringe
$12,166
$12,166
Domestic Travel
Name
Destination
$3,701
2 travelers
$3,701
Washington DC
Domestic Travel
$3,701
$3,701
Total Travel
$3,701
$3,701
Fees:
Total Other Direct Costs:
Total Direct Costs:
Indirect Cost Base:
Non-Resident Tuition:
Graduate Student Health Insurance:
Graduate Student Fees:
Total Graduate Fees:
Graduate Fee Override:
Totals:
Direct Cost Override:
Direct Costs Base:
$1,013
$4,869
$5,882
$5,882
$21,749
$15,867
$21,749
$5,882
$5,882
$1,013
$4,869
$21,749
$15,867
$21,749
Page 1
Printed on 9/25/2012
20130201
SC#
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(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
(b) (6)
University of California Santa Cruz
Office of Sponsored Projects
Detailed Budget
Printed on 9/25/2012
Total Indirect Costs:
Indirect Cost Base Override:
IC Rate:
Non-Std Indirect Costs:
0.5200
TOTAL BUDGET:
$30,000
$30,000
$8,251
$8,251
Page 2
Printed on 9/25/2012
20130201
SC#
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Christine Caldwell is the Computer Science Librarian at University of California, Santa Cruz
Library. She received her M.S. in Information Science from California State University, San Jose
and has a B.S. in Biology from the California State University, Sacramento. Since 2008 she has
managed the Library’s video game collection that contains over 700 console, computer and
mobile app video games. Her research interests include user-behavior in the digital environment,
information searching strategies of researchers, and video game curation.
Eric Kaltman is a PhD student in the Expressive Intelligence Studio at the University of
California, Santa Cruz. He has a B.A. in History and Chinese Studies from the University of
Michigan, Ann Arbor and an M.A. in Chinese Studies from UC Berkeley. He has spent the past
four years as a web developer and game designer before returning to graduate studies. His
software experience has included distributed sensor networks, games for research into
development autism and education, and language instruction. He is also presenting digital art
work in the ZERO1 Digital Arts Biennial in collaboration with artists at Berkeley and MIT. In
the archival vein, from 2008-2011 Eric worked as a project archivist for digital games at
Stanford University Library overseeing the Cabrinety and the Meretzky (Infocom text adventure)
software collections. He is currently a member of the Preserving Virtual Worlds II project along
with team member Henry Lowood and a contributor to the How They Got Game Project at
Stanford Humanities Lab.
Henry Lowood received his B.S. in History (minor: Physics) from the University of California,
Riverside. He received Masters Degrees in Library and Information Science and History and a
Ph.D. (History of Science & Technology) from the University of California, Berkeley. At
Stanford, he has served as head of the Physics Library, Curator for Germanic Collections, and
Head of the Humanities Resource Group. In addition, he has been Curator for History of Science
& Technology Collections since 1983 and Curator for Film & Media Collections since 2005. He
is a lecturer in the Science, Technology and Society Program and the Introduction to the
Humanities program at Stanford, and adjunct faculty at San Jose State University, in the School
for Library and Information Science. Since 2000, he has been director of the How They Got
Game Project in the Stanford Humanities Laboratory (SHL) and in the Stanford University
Libraries, a research, archival and digital preservation project focused on the history of computer
games and simulations; between 2004 and 2008 he was co-director of the SHL, as well. Among
the many initiatives undertaken by the How They Got Game Project, he is curator of The
Machinima Archive and the Archiving Virtual Worlds collection hosted by the Internet Archive
and leads Stanford’s work on the Preserving Virtual Worlds (PVW) and PVW2 projects, funded
by the U.S. Library of Congress and the Institute for Museum and Library Services, respectively.
He has published widely in history of science and technology, library and archival studies, and
digital game studies. A complete list c.v. is available on-line at:
http://www.stanford.edu/~lowood/vita.htm
Noah Wardrip-Fruin is Associate Professor of Computer Science and Chair of the Digital Arts
and New Media MFA program (DANM) at the University of California, Santa Cruz. He co-
directs the Expressive Intelligence Studio, one of the world's largest technical research groups
focused on games. He is also a member of the UCSC Digital Humanities Initiative and directs
the Playable Media group in the DANM program. He has authored or co-edited five books on
games and digital media for the MIT Press, including a series on games and narrative — First
GRANT11231405 -- Attachments-ATT6-1239-biographies.pdf
Person (2004), Second Person (2007), and Third Person (2009) — as well as The New Media
Reader (2003) which has been widely influential in digital media curricula. His most recent
book, Expressive Processing (2009), focuses specifically on bringing humanities-style
interpretation to the understanding and creation of media-focused computational processes. It has
been called "inspiring" (Game Studies) and "a major step forward" (Will Wright). He co-edits
the Software Studies series for the MIT Press and is a member of the board of the Electronic
Literature Organization. His collaborative playable media fictions, including Screen and Prom
Week, have been presented by the Guggenheim Museum, IndieCade, Whitney Museum of
American Art, Independent Games Festival, New Museum of Contemporary Art, Krannert Art
Museum, Hammer Museum, and a wide variety of festivals and conferences. Noah holds both an
interdisciplinary PhD (2006) and an MFA (2003) from Brown University.
GRANT11231405 -- Attachments-ATT6-1239-biographies.pdf
Data Management Plan
A unified approach to preserving cultural software objects and
their development histories
1. Roles and responsibilities
This data management plan will be implemented and managed by Eric Kaltman, under the project
supervision of Noah Wardrip-Fruin. Christy Caldwell will assist with transferring data to the University of
California Curation Center (UC3). UC3 will have long-term responsibility for the permanent storage needs
of the data. All transferred data will be made publically accessible.
2. Expected data
We are developing an approach to preserving software objects. Therefore, our data is at two levels: the
objects we are preserving, and the documentation of the preservation process.
The data from preservation objects will include:
• interview transcripts from Prom Week team members
• text files of correspondence, notes, academic papers and planning documentation from the
development history of Prom Week
• text descriptions of objects such as physical prototypes created in the process of Prom Week’s
development
• software code from previous versions and final version of Prom Week
The documentation of the preservation process will be:
• text file of academic paper or report
The data will be gathered through the preservation process of appraisal.
During the project's lifetime, software code will be stored on the UCSC Code Repository that is backed up
nightly. Other documentation (text files and transcripts) will be stored on Library servers with nightly back
ups. Notes documenting the preservation process will be made using a cloud document, downloaded and
backed up on a Library computer weekly.
3. Period of data retention
All relevant data will be deposited Merritt Repository Service from the University of California Curation
Center (UC3) for long-term storage upon completion of the project study. Once data is transferred to
Merritt, all data will be made publically available immediately. No data will need to be retained for other
purposes.
4. Data formats and dissemination
The metadata that will be used for this project is, indeed, a major crux of this preservation project itself.
Software code will need adequate metadata wrapping to ensure that either it can be migrated to another
coding language, or there can be an emulation solution for future use. The metadata must be complete
enough to include technical details, contextual story-lines, user behavior assumptions, and structural
information. Metadata for interactive software objects such as video games is nascent. Using metadata
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recommendations from the projects Preserving Virtual Worlds I and II, this project plans to employ OWL
ontology with METS and OAI-ORE schema to sufficiently provide the detailed information required for
wrapping this type of software code.
Other data formats will be text files from interview transcripts, planning documents and academic papers.
These will use METS schema to sufficiently enhance discoverability.
With this metadata wrapping, the UC3 managed Merritt Repository Service will allow easy sharing and
accessibility.
Interviews will be for historical purposes only and conducted to Oral History Association standards. No
human subjects are used for research purposes for this project; therefore there are no IRB Protocol
obligations.
5. Data storage and preservation of access
All public data will be deposited in the Merritt Repository Service from the University of California
Curation Center (UC3) that has capabilities to manage, archive and share digital content. Merritt allows
access to the public via persistent URLs, provides tools for long-term data management, and permits
permanent storage options. Merritt has built-in contingencies for disaster recovery including redundancy
and recovery plans.
GRANT11231405 -- Attachments-ATT7-1240-data.pdf
THE STANFORD UNIVERSITY LIBRARIES
Stanford, California 94305-6004
Tel.:
(650) 723-4602 Fax: (650) 725-1068
E-mail: lowood@stanford.edu
CURATOR FOR HISTORY OF SCIENCE & TECHNOLOGY COLLECTIONS
CU
RATOR FOR FILM & MEDIA COLLECTIONS
Professor Noah Wardrip-Fruin / Eric Kaltman
Computer Science Department
Baskin School of Engineering
University of California, Santa Cruz
Santa Cruz, California 95064
21 September 2012
Dear Noah, dear Eric:
I am writing this letter in support of your application to the NEH Digital Humanities Startup
program, seeking grant funding for your project on developing an archival methodology for
documenting the process of developing university-based games and software. The specific
application to UCSC’s Prom Week strikes me as an excellent case for study and
development/evaluation of tools. I will be available to consult with you on the project.
I am writing as curator for history of science & technology collections, and film & media studies,
at Stanford University. I am also adjunct faculty in the School of Library and Information
Science at San José State University, where I am currently offering a course on Characteristics
and Curation of New Digital Media. At Stanford, one of my lead activities for the past several
years has been the Preserving Virtual Worlds project, undertaken with funding from the Library
of Congress’ National Digital Information Infrastructure Preservation Program and from the
Institute for Museum and Library Services. Another has been the Silicon Valley Archives,
through which I have worked with numerous software creators and computer scientists, both in
industry and in academia.
In light of my multiple roles, I am excited about your project both from the point of view of
preservation of complex cultural artifacts in digital form and with regard to the history of
software development at universities, such as UC Santa Cruz and Stanford. In our multi-
institutional work on Preserving Virtual Worlds, we explored a number of approaches to the
extraction, packaging, documentation and long-term preservation of digital media; the methods
you propose to explore in your project strike me as complementary to our goals and
accomplishments thus far.
Sincerely yours,
Henry Lowood, Ph.D.
Curator for History of Science & Technology Collections;
Film & Media Studies Collections
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