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Closing the Gap: State Electronics Records Initiative

Closing the Gap: State Electronics Records Initiative

In 2011, the Council of State Archivists began a national effort to assist state and territorial archives manage their jurisdictions' electronic records - from the records' inception to disposition.

This presentation explains that initiative - its methodology, goals, and structure - and focuses especially on the training that will be offered to archives and records staff.

Walker Sampson

April 10, 2013
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Transcript

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

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  2. 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

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  3. 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."

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  4. 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).

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  5. 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

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  6. 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%

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

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  8. 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

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  9. 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.

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  10. 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

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  11. 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

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  12. 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

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  13. Digital Preservation Capability
    Maturity Model

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  14. 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

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

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  16. 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

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  17. 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

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  18. 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

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

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  20. 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).

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  21. 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.

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  22. (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.

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  23. (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.

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  24. (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

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  25. 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

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  26. 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

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  27. 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.)

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

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

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  30. 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

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  31. 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

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  32. 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]

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