BCIS BIODIVERSITY CONSERVATION INFORMATION SYSTEM SISTEMA DE INFORMACIÓN PARA LA CONSERVACIÓN DE LA DIVERSIDAD BIOLÓGICA SYSTÈME D INFORMATION SUR

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1 BCIS BIODIVERSITY CONSERVATION INFORMATION SYSTEM Framework for Information Sharing Series Editor John R. Busby EXECUTIVE OVERVIEW SISTEMA DE INFORMACIÓN PARA LA CONSERVACIÓN DE LA DIVERSIDAD BIOLÓGICA Sistema para compartir información Editor de la serie, John R. Busby SINOPSIS EJECUTIVA SYSTÈME D INFORMATION SUR LA CONSERVATION DE LA BIODIVERSITÉ Cadre d échange de l information Directeur de publication, John R. Busby SYNOPSIS

2 The BCIS consortium Members extend their thanks and gratitude to the Norwegian Agency for Development Cooperation (NORAD) for providing financial support to develop the BCIS concept and these handbooks. Los miembros del consorcio BCIS desean expresar su agradecimiento y gratitud al Organismo Noruego de Cooperación para el Desarrollo (NORAD) por su apoyo financiero al desarrollo del concepto BCIS y de estos manuales. Les membres du Consortium BCIS expriment leurs remerciements et leur gratitude à l Agence norvégienne pour la coopération au développement (NORAD) qui a contribué financièrement à la conception du BCIS et des présents manuels.

3 CONTENTS Acknowledgements BCIS Framework for Information Sharing Executive Overview Introduction The Handbook Series (Volumes 1 8) How to Use the Handbooks BCIS: The Consortium and its Members CONTENIDO Reconocimientos Sistema para compartir información del BCIS Sinopsis ejecutiva Introducción La serie de manuales (volúmenes 1 8) Cómo usar los manuales El BCIS: el consorcio y sus miembros TABLE DES MATIÈRES Remerciements Cadre d échange de l information du BCIS Synopsis Introduction Les manuels (volumes 1 8) Comment utiliser les manuels Le BCIS: le consortium et ses membres

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5 BCIS BIODIVERSITY CONSERVATION INFORMATION SYSTEM Framework for Information Sharing Series Editor John R. Busby EXECUTIVE OVERVIEW

6 ACKNOWLEDGEMENTS These handbooks have been loosely modelled on the WCMC Handbooks on Biodiversity Information Management, edited by Jake Reynolds of the World Conservation Monitoring Centre and published by the Commonwealth Secretariat, London. These, in turn, benefited from experiences gained through the Biodiversity Data Management (BDM) Project, administered by the United Nations Environment Programme (UNEP) and funded by the Global Environment Facility (GEF), and related initiatives supported through the European Union (EU) and European Environment Agency (EEA). Fundamental to the development of this series have been the contributions from numerous colleagues working in the field of biodiversity information management. Among these, particular mention goes to Dr Jake Reynolds and other staff of WCMC; Professor Ian Crain and Gwynneth Martin of the Orbis Institute, Ottawa; Kevin Grose, former Head of the Information Management Group at IUCN The World Conservation Union; and staff of the Environmental Resources Information Network (ERIN) Unit, Environment Australia, and of the Commonwealth Scientific and Industrial Research Organisation (CSIRO), Australia. 4

7 BCIS FRAMEWORK FOR INFORMATION SHARING The purpose of the BCIS Framework for Information Sharing is to support BCIS Members and others making decisions on the conservation and sustainable use of living resources. The handbooks form part of a comprehensive set of supporting materials designed to build information management capacity and improve decision-making. The intended audience includes senior managers in Member organisations, their equivalents in other organisations, information and environmental-science professionals, and others who have a stake in the use or management of living resources. Although written to address the specific need for improved management of biodiversity-related information within the BCIS network, the underlying principles apply to environmental information networks in general, and to decision-making at all levels. The issues and concepts presented may also be applied in sectors other than biodiversity conservation: forestry, agriculture, wildlife management and beyond. The handbooks deal with a range of issues and processes relevant to the use of information in decision-making, including the strengthening of organisations and organisational linkages, data custodianship and management, metadata and the development of infrastructure to support data and information exchange. Experience suggests that some of the greatest challenges in information management today are organisational issues, rather than technical or scientific concerns. Consequently, topics are addressed at management and organisational levels, rather than from a technical or scientific standpoint. Nevertheless, in adopting this framework approach, BCIS has tried to adhere to recognised conventions and formalisms used in information management. Overall, the handbook series comprises: Executive Overview Volume 1: Principles Volume 2: Procedures Manual Volume 3: Custodianship Volume 4: Data Access Volume 5: Metadata Volume 6: Standards & Quality Assurance Volume 7: Core Datasets Volume 8: Tools & Technologies 5

8 Collectively, the handbook series promotes a shift from tactically based information systems, aimed at supporting individual projects, to strategic systems that promote the development of information infrastructure through the building of capacity within BCIS and other networks. This approach not only encourages data to be managed more effectively within organisations, but also encourages data to be shared amongst organisations for the development of the integrated products and services needed to address complex and far-reaching environmental issues. The handbook series can be used in a number of ways. Individual handbooks can be used to guide managers and professional staff on specific aspects of information management or they can be used collectively as a reference source for strategic planning and project development. The Executive Overview provides the background to the handbook series. It also assists readers in deciding which handbooks are most relevant to their own priorities for strengthening information management capacity. 6

9 EXECUTIVE OVERVIEW 1. Introduction Governments, agencies and individuals are increasingly acknowledging the significance of data and information in: supporting decision-making processes at all levels; assisting the development of environmental policies; improving the effectiveness of management programmes; and generally expediting progress towards environmental sustainability. This is set in a more general context of increasing recognition of the need for all countries, including developing countries, to be integrated in the Global Information Society. All sectors now realise that information and communications technologies are expediting a revolution in human society already as significant and far-reaching as any of the past. The creation of BCIS, the Biodiversity Conservation Information System, thus signals the increasing emphasis being placed, by the individual Members, on information as a global and national strategic resource. No longer is it considered acceptable for agencies to hoard data and information for their own exclusive use. Consistent with intellectual property, commercial confidentiality, personal privacy and related considerations, all relevant data and information should be readily available to other agencies, governments, the corporate sector and civil society in order to support better-informed decisions. Increasingly, environmental information is viewed as a crucial component supporting progress towards environmental conservation and sustainable development. 2. The Handbook Series The objective of the handbook series is to support policy and management goals related to conserving and sustainably using living resources. The handbooks are based upon the following principles: policy makers, resource managers, information professionals and researchers should attempt to understand each other s perspectives and co-operate in the production of information; information needs to be timely and available in forms which genuinely support decision-making; data should be collected and quality-assured once, and then made accessible for use in multiple information products; and 7

10 datasets should be appropriately documented, actively managed and kept up-to-date. To fulfil these ideals it is necessary to develop an infrastructure capable of managing relevant data, harnessing professional skills to generate information, and then using this information to influence major stakeholders in favour of conservation and sustainable development goals. Ultimately, the last of these is the only true measure of success. A key requirement is to respond to environmental concerns before they become serious problems. Most BCIS Members have some capacity to do this already, although the capacity may not be well co-ordinated or funded. Remembering that most systems are only as strong as their weakest link, a secondary objective of the handbook series is to help Members judge how far their infrastructure has progressed and identify areas which would benefit from further attention and investment. Although the handbooks are closely interrelated, each has its own individual focus as illustrated in Figure 1 and summarised below. The triangle in Figure 1 denotes the progressive analysis, synthesis and concentration of data into information as it moves up the value chain towards support of policy development and implementation. The layers within the triangle, from the apex down, denote the following: Policy and Decision Making: use of highly-refined, value-added information products in support of conventions and agreements, such as the Convention on Biological Diversity, and for policy development, priority setting and decision support at all levels of society; Organisations: where data are transformed into information in support of agency corporate objectives, management priorities, programs and projects; Operations: the mobilisation of data within multi-agency and multinational collaborative networks; facilitated by inter-agency project coordination; management of custodianship of datasets and tools; metadata; data access agreements; data standards, quality assurance and harmonisation; and capacity building; and Scientific and Technical Infrastructure: creation, capture and organisation of data and information resources; data management and processing; and information and communications technologies. The development of strategic information infrastructure involves coordinated activities among all levels. Such infrastructure is being increasingly used to underpin corporate learning and development. This is a controversial and uncertain area, and clearly presents both major opportunities and challenges. While information resources and associated technologies are only one element of the wider knowledge management 8

11 domain, they nevertheless provide important infrastructure for it. The aim is to take a much more holistic view of data and information resources and to mobilise them for the benefit of staff, clients, and collaborators. 1. Principles 3. Custodianship 4. Data Access Policies 2. Procedures Manual 7. Core Datasets 8. Tools & Technologies Procedures 5. Metadata 6. Standards & Quality Assurance Networks and data flow Directories and standards Datasets and information technology Figure 1. The focus of each handbook As indicated above, an over-emphasis on science and technology at the expense of organisational and operational issues will result in misallocation of resources and lack of necessary contributions from key players, leading to a failure to address priority issues. This, in turn, will lead to a loss of confidence by senior managers. The following handbooks address the key issues that need to be taken into account. Volume 1: Principles While data and information management policies are the prerogative of individual jurisdictions, there are a number of principles that could usefully guide the development and implementation of such policies. This Handbook makes the case for investment in strategic data and information infrastructure as a fundamental corporate resource. It highlights the value of mobilising scientific information within collaborative interdisciplinary networks in support of policy-development and decision-support processes at all levels of society. The handbook introduces the need for a data policy to guide development of information 9

12 resources that can then be applied effectively to decision-making. It indicates how policy-makers, information professionals and resource users can co-operate in generating information to address priority environmental concerns. The handbook covers the following elements: a coordinating mechanism; physical data management infrastructure; core datasets; analysis and dissemination tools; and standards, guidelines and procedures. Volume 2: Procedures Manual Within any information policy framework, there are specific datamanagement components required within each phase of the data collection, processing, management and dissemination processes. This Handbook specifies the salient issues and necessary actions, within the BCIS consortium, by the BCIS Steering Committee, technical working groups, and the individual members. Data management is considered as an end to end process. It provides standards and guidelines to cover the full range of data-related activities, from planning data collection through to data processing, including quality assurance, data management and exchange, data documentation ( metadata ) and finally data and information product generation and dissemination. This end-to-end process incorporates the ability to monitor the flow of data, create feed-back mechanisms for donor agencies and others concerning the effectiveness of data collection and management programs, and reduce redundant data collection and management activities. End-to-End data management is a philosophy to improve the acquisition, processing, archiving and exchange of data and information. Its objectives are to: expedite collection of relevant data; assure data quality; reduce data delays and losses; minimise redundant operations; promote sharing of software and data among custodians and users; and maintain critical metadata about the source, processing and quality control of data. 10

13 Volume 3: Custodianship Active management of custodianship is of critical importance to successful operation of collaborative information networks. This Handbook outlines the concept of custodianship and elaborates its principles, drawing distinctions between custodians, owners and users. The responsibilities and rights of custodians are outlined, as are considerations involved in the management of custodianship, including assigning, managing and reviewing custodial responsibilities. A technique is outlined to assist in the determination of custodianship and resolution of areas of potential duplication and overlap, even of disputes. Key topics include: basic principles of custodianship; functions of a custodian; custodians and data owners; custodians and data users; and assigning, managing and reviewing custodianship. A case study of the practical application of custodianship is provided. Volume 4: Data Access Issues relating to data access are some of the most challenging, yet important, for an information network to manage. The challenge is rooted in the legitimate concerns of both custodians and users. These concerns are held by individuals, project groups, organisations and governments, and cover a wide spectrum. Some of these are genuinely important, but others are largely secondary to other issues, for example mistrust of user intentions or lack of understanding of what the user requires or expects. Unless fully addressed, such concerns have the potential to hinder data access and data flow and thus to reduce our options for making betterinformed decisions. This Handbook shows that one way forward is to manage transactions with formal agreements between data custodians and users, offering tangible assurances that the concerns of both sides are understood and have been addressed. A key principle is that data should be accessed through the custodian, or their nominated distribution outlet, rather than from any secondary source. Data access agreements need not be viewed as measures intended to limit access to data. Rather, they are a positive means of encouraging trust and fair dealing amongst custodians and users. As confidence grows and data begin to be mobilised more easily, the need for case-by-case formal agreements diminishes until, ultimately, general network-wide agreements cover most transactions. Special provisions can then be negotiated where required. Key topics include: 11

14 roles and responsibilities of network coordinators, custodians and users; a Draft BCIS Data Access Policy; a Model Memorandum of Understanding Data Transfer; and definitions of terms related to intellectual property rights. A number of case studies are presented. Volume 5: Metadata Metadata are, most simply, data about data. It is documentation that describes the characteristics of a data or information resource. It can also describe tools that assist with quality assurance, management, integration, analysis and dissemination of data and information. If community access to environmental information is to be maximised, adequate descriptions of the characteristics of all relevant information resources must be available and accessible to the community at large. Metadata describes the origins of and tracks the changes to data, information and tools. A map legend, for example, is pure metadata. This Handbook shows that metadata is simply that type of descriptive information applied to data. It is a common set of terms and definitions to use when documenting data. Metadata has the following objectives: Information Resource Discovery: to provide information for data catalogues, clearinghouses and knowledge management systems, and for user enquiries generally, on what kinds of data and information resources are potentially available; Information Resource Management: to help organise and maintain the owner/custodian s investment in datasets and other information resources; and User support: to provide detailed information to potential users on information resources: their attributes and the quality statements associated with those attributes. Key topics include: purpose of metadata; why metadata is important; role of metadata in information resource discovery, with annexes on Knowledge Management Infrastructure and Metadata Element Sets ; BCIS Metadata Policy; BCIS Collections Policy; 12

15 BCIS Metadatabase; and Acronyms and Technical Terms. Volume 6: Standards & Quality Assurance Corporate investment in data and information infrastructure can be substantial. The temptation, driven by more urgent priorities, is to minimise attention paid to, and thus investment in, standards compliance, quality assurance and documentation. Economies in these areas are often false. Taking a short-term view of the value of data collection and management activities can prove very costly in the long term. It can result in inefficiencies such as duplication of effort, overlapping or confused responsibilities towards valuable corporate assets, failure to recognise that information resources are depreciating or contain important gaps, or even that they are no longer useful. Standards and quality assurance are, too often, held up as absolutes which, while desirable in principle, are neither cost-effective nor implementable in practice. This handbook makes the case for management involvement, where pragmatic inter-sectoral negotiation and issues of cost-effectiveness can leaven the unachievable absolutes often demanded by technical specialists. This should result in a much more dynamic and productive process, focussing on those issues having the greatest potential impact on improving delivery and minimising costs. The handbook covers the following: the purpose of standards; quality, quality assurance and quality control; standards applicable to the various processes in the data management chain; and standards for the various data themes relevant to the conservation of biological diversity. Volume 7: Core Datasets Core data provide the foundation on which other information is constructed or the context within which it will be interpreted. They are thus critical to the delivery of corporate missions. Because the focus tends to be on those data and information of immediate relevance to the task in hand, the context or background information tends not to receive the attention it warrants. All too often hasty or inappropriate choices are made, or resources expended on re-creating datasets that are otherwise readily available from external sources, or even from elsewhere within the 13

16 same agency. Unless appropriately managed, there is ample scope for duplication, overlap and general inefficient use of staff and other resources in the development, modification or use of these data. This Handbook argues that managers should ensure that there is a corporate approach to identifying and securing reliable access to core datasets. Opportunities for efficiency gains through collaborative approaches to developing and maintaining core datasets should be explored. These datasets need to be comprehensive, consistent, well documented and available in standard form in order to justify the necessary investment, including the co-ordination overhead. However the benefits of a strategic approach can be substantial. It will not only minimise duplication and overlap but will also ensure that datasets can be seamlessly, and cost-effectively, integrated to produce value-added information products. An annotated list of candidate core datasets relevant to the conservation of biological diversity is provided. Volume 8: Tools & Technologies Information and communication technologies have now become indispensable to the management, analysis and dissemination of data and information. They can dramatically improve the cost-effectiveness of many projects, which themselves can be expensive. On the other hand, if managed inappropriately, they also have the potential to raise costs, disrupt work patterns and generally inhibit project execution. The proper role for information technology is to support, but not drive, corporate information management objectives. Difficulties arise where technology is permitted to drive strategy, usually because managers lack the knowledge or confidence to give clear direction and exercise appropriate control. This handbook covers: technology selection; software management; data and information management tools (including text processors, spreadsheets, database management systems, geographic information systems); information dissemination tools (including World Wide Web, CD-ROM); acronyms and technical terms; and annotated examples. 14

17 3. How to Use the Handbooks The Handbooks have been designed for use by both management and professional staff. Each Handbook has a Manager s Guide, which covers the essential issues that management needs to ensure are appropriately considered. The remaining contents have been designed to cover the major issues that scientific and information technology professionals need to be aware of when planning or implementing information system components. 15

18 BCIS: THE CONSORTIUM AND ITS MEMBERS Decisions affecting our environment are taken every day at the international, national, and community levels, yet information critical to such decisions is frequently not accessible. The reason is simple: although often abundant, the world s conservation information resources are underdeveloped, dispersed, and uncoordinated. Clearly, if well-grounded decisions are to be made and some degree of co-ordinated action achieved, it is necessary to improve information management and exchange and to provide access to appropriate information in the correct form. These are the needs that the Biodiversity Conservation Information System (BCIS) addresses. The BCIS Framework for Information Sharing handbooks are one tool designed to assist BCIS members and other organisations around the world to adopt sound and effective information management practices. Formed in 1995, BCIS is a consortium of twelve international conservation organisations and networks. BCIS Members collectively represent the single greatest global source of biodiversity conservation information in the world. BCIS is a framework within which the Members networks thousands of conservation practitioners and organisations around the world work together toward a common goal: to inform and empower those who influence and make decisions affecting the conservation of biodiversity and landscapes by facilitating networks and processes for sharing and communicating data, information, and expertise. More information about BCIS can be found at The BCIS Members are: BIRDLIFE INTERNATIONAL, an alliance of leading bird conservation organisations from 80 countries, with an extensive network of the world s leading ornithological experts, and with an unrivaled data set on the status and trends of birds and bird habitats worldwide ( BOTANIC GARDENS CONSERVATION INTERNATIONAL, a network of over 500 of the world s botanical gardens in 110 countries linked to promote biodiversity conservation and environmental education, and managing a database containing information about botanical gardens throughout the world, their facilities, programmes and collections, and detailed listings of rare and threatened plants known to be conserved in cultivation ( 16

19 CONSERVATION INTERNATIONAL, founded in 1987, a leader in the conservation of biodiversity worldwide. CI develops innovative approaches and practical solutions to preserve critical ecosystems and species. CI works in 23 countries on four continents using science, economics, policy, and awareness to create ways for human societies to live harmoniously with nature. CI s main strategy is to address the most critically threatened areas of the world, the hotspots of biodiversity, as well as the last remaining large tracts of tropical forest, the major tropical wilderness areas. In these areas, CI develops approaches to conservation that produce tangible, lasting results ( INTERNATIONAL SPECIES INFORMATION SYSTEM, a network of 550 zoos and aquariums from 56 countries, who record and share detailed specimen information on more than 1.3 million specimens (living and dead) of 7,600 vertebrate species. ISIS develops and supports several PC software packages (ARKS, SPARKS, MedARKS and REGASP) for ex situ management and records-keeping ( IUCN THE WORLD CONSERVATION UNION, a union of 76 sovereign states, 111 government agencies, 732 non-governmental organisations and 36 affiliates from 140 countries (November 1999). Forty IUCN regional and country offices work with member organisations and governments to address regional and local conservation issues. These offices also play a key role in linking IUCN members around the world. IUCN serves its members by providing a neutral forum for addressing conservation concerns at all levels. It draws its scientific and technical expertise from its technical programmes and extensive global system of volunteer networks and commissions, four of which are BCIS Members ( IUCN COMMISSION ON ECOSYSTEM MANAGEMENT, a global technical network, with expertise on the conservation and management of all major ecosystems and in application of the Ecosystem Approach to sustainable use and management of land, water and living resources ( IUCN ENVIRONMENTAL LAW PROGRAMME, includes the IUCN Commission on Environmental Law, composed of over 600 specialised legal experts in 110 countries, and the Environmental Law Centre, where data and documentation on international treaties, national legislation and legal literature related to environmental conservation are held. The Centre holds some 120,000 records ( 17

20 IUCN SPECIES SURVIVAL COMMISSION, a network of 7,000 volunteer member scientists, field researchers, government officials and conservation leaders from 179 countries encompassing the leading expertise on the status and conservation needs of species. SSC members collect species data for conservation action plans, to support implementation of the CITES treaty, to develop policies related to species conservation, and for the IUCN Red List of Threatened Species ( themes/ssc); and IUCN WORLD COMMISSION ON PROTECTED AREAS, a leading global network on protected areas issues, which comprises more than 1,000 protected areas managers and specialists in 169 countries, organised by 16 regions, four theme programmes (marine protected areas, mountain protected areas, World Heritage Sites and biosphere reserves), and eight task forces (Convention on Biological Diversity, Economic Values, Tourism, Management Effectiveness, Training, Information Management, Local Communities and Protected Landscapes). With its partners, the Commission provides information on the status and trends of the global network of protected areas. A current focus of the Commission and its Information Management Task Force is the PARC (Protected Areas Resources Centre) proposal which is a multi-faceted, coordinated programme to develop protected areas information resources and services worldwide ( THE NATURE CONSERVANCY, an international conservation organization that has been a leader in the field of biodiversity information management for more than a quarter century. The Conservancy works closely with the Association for Biodiversity Information (ABI), an organization that supports and coordinates a network of more than 85 state, provincial, and national biodiversity information centers throughout the western hemisphere. These data centers constitute among the most widely consulted sources of conservation-relevant information about species and ecosystems at risk ( and 18