Closing the Electronics Records Gap State Electronic Records Initiative (SERI) 

Council of State Archivists (CoSA) Mission: To strengthen state and territorial archives in their work to preserve America’s historical records. 1. Ensure an ongoing, viable organization for state archivists 2. Provide services to state archivists to strengthen their programs 3. Secure records funding for all states and territories 4. Foster collaborations to improve the nation’s archives and records programs 

Our Story Begins – With a 2007 CoSA report on the status of state archives and records management programs. ● Finds that archives lack adequate infrastructure and resources to manage born-digital records ● In review, Blue Ribbon Panel notes “a gap between the authority to act and the ability to act effectively." 

SERI Launches SERI launches July 2011 – first nationally comprehensive effort to improve digital records preservation in state government. State electronics archives and records programs generally find funding between the National Historical Publications and Records Commission (NHPRC) and National Digital Information Infrastructure and Preservation Program (NDIIP). 

SERI, Phase One Written surveys to all states and territories ● Archives self-designate level of electronic records program ● Inquires on development, funding, staffing, policies, tech infrastructure, holdings, etc. Follow-up telephone interviews ● Elicit more detail on the development and nature of their electronic records program ● How can CoSA help them programmatically 

SERI, Phase One Analysis Category Number of state and territorial archives responding Percentage A: Have an electronic records program that addresses all stages of the lifecycle 5 9% B: Have an electronic records program, but it does not address all stages of the lifecycle 17 32% C: Have started an electronic records program, but little or nothing has been implemented 19 35% D: Have not yet begun tackling electronic records 13 (9 state and 4 territorial) 24% 

SERI, Phase One Analysis The number one priority stated . . . ● More staff with training and experience in electronic records management. 

SERI, Phase One Analysis Two trends in starting a records program: ● Support of a high-level administrator or a state chief information officer (CIO) ● Development of programs is a slow and incremental process 

SERI, Phase One Analysis Staffing is spotty, money is low ● Many lost staff from FY 2006 to FY 2010 (collectively 20% lost). ● Most do not have position descriptions for electronic records managers or archivists. 

Digital Preservation Capability Maturity Model Based on OAIS ● TRAC ● ISO 16363 Developed Charles Dollar and Lori Ashley. Capability in fifteen categories rated as: ● Nominal ● Minimal ● Intermediate ● Advanced ● Optimal 

Digital Preservation Capability Maturity Model Infrastructure Elements 1. Policy 2. Strategy 3. Governance 4. Collaboration 5. Technical Expertise 6. Open Source Neutral Formats 7. Designated Community 

Digital Preservation Capability Maturity Model Process Elements 8. Electronic Records Survey 9. Ingest 10. Storage 11. Device/Media Renewal 12. Integrity 13. Security 14. Metadata 15. Access 

Digital Preservation Capability Maturity Model 

Digital Preservation Capability Maturity Model Composite score for the forty-eight (48) responding states and territories was at the Minimal Digital Preservation Capability level. ● Nominal ● Minimal ● Intermediate ● Advanced ● Optimal 

Digital Preservation Capability Maturity Model Characteristics ● Digital preservation infrastructure and electronic records management requirements not systematically integrated into business processes and information architectures 

Digital Preservation Capability Maturity Model Characteristics ● Some understanding of digital preservation issues but is limited to a few individuals ● Tenuous relationship between the success or failure of one digital preservation initiative or project and the success or failure of another one 

Digital Preservation Capability Maturity Model Characteristics ● Success is may be the result of exceptional (perhaps even heroic) actions of an individual or a project team ● Knowledge about good practices in lifecycle electronic records management is not widely shared or institutionalized 

SERI, Phase One Analysis How can CoSA help? ● Clearinghouse for Information ● Advocacy ● Provide Training Modules and Sessions ● Work with Funding Agencies on Developing Project Proposals 

SERI, Phase One Analysis Four Planks created – ● Advocacy and Awareness ● Education and Training ● Best Practices & Tools ● Governance 

Going forward: STEP Strategic Training and Education Program (STEP) ● Supported by a $490,000 grant from the Institute of Museum and Library Services (IMLS) Laura Bush Program ● Managed by SERI Education Subcommittee, chaired by Sarah Koonts (North Carolina) and Beth Shields (Kentucky). 

Going forward: STEP Three components: 1. Scholarships ($1,000) to meet the critical need for immediate training. 2. Introductory and advanced electronic records institutes in 2013 and 2014. 3. Development of a long-term agenda and action plan for training. 

(Back to the) Digital Preservation Capability Maturity Model A new set of self assessments completed by every state and territory in May - June 2012, based on the DPCMM. Goals: ● Determine status as objectively as possible ● Identify individual archives' priorities and roadmap moving forward. 

(Back to the) Digital Preservation Capability Maturity Model Contains the fifteen organizational capabilities and resources for long-term preservation of electronic records in survey form. 

(Back to the) Digital Preservation Capability Maturity Model Little to no existing training for electronic records in state archival environment ● Results group archives into Introductory or Advanced ● Better target training to archives beginning their programs and those further along ● Help archives assess where they might focus resources 

Training STEPs Introductory electronics records workshop ● July 7 - 11, 2013, Indianapolis, IA Advanced electronics records workshop ● April 2014, Richmond, VA ● October 2014, Salt Lake City, UT 

Training STEPs Introductory electronics records workshop Focus on: ● Advocacy and awareness ● Relationship building ● Governance ● Front-end records management ● OAIS model ● Cost analysis ● Existing examples and models 

Training STEPs Bi-monthly webinars - ● For all institute attendees ● Report on progress for goals established in workshop ● Encouraged to bring partners (staff from archives, IT, etc.) 

Training STEPs Introductory electronics records workshop ● Will receive feedback from attendees ● Coupled with previous surveys, will help determine advanced workshop curriculum 

Next STEPs Advanced institutes ● Everyone will attend ● Curriculum still in heavy development 

Next STEPs Program for Electronic Records Training, Tools & Standards (PERTTS), funded by NHPRC: ● Provides access to in-depth information on standards, best practices, and tools for management and preservation of e-records ● Delivers education and training to ensure that these standards, best practices, and tools are widely and effectively implemented ● Will hold tools & curriculum from workshops 

Next STEPs Program for Electronic Records Training, Tools & Standards (PERTTS), funded by NHPRC: ● Creation of a State Electronic Records Program (SERP) Framework ● Designed to become recognized source of best practices for state electronic records programs ● Adapted from DPC Self-Assessment 

Closing the Gap Thank you! ● www.statearchivists.org ● www.statearchivists.org/seri Walker Sampson Electronic Records Analyst Mississippi Department of Archives and History [email protected]