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Digital Preservation in State & Territorial Archives: Current State and Prospects for Improvement

Digital Preservation in State & Territorial Archives: Current State and Prospects for Improvement

A presentation on Lori Ashley and Charles Dollar's Digital Preservation Capability Maturity Model. A survey for this model was taken by all state archives. Three archives at varying levels of capacity talk about what steps they are taking to improve, and how they have used the survey's results.


Walker Sampson

August 16, 2013

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  1. Digital Preservation in State & Territorial Archives: Current State and

    Prospects for Improvement SESSION 505 2:45 – 3:45 p.m. August 16, 2013 1
  2. Session Objectives Present high level summary of the CoSA self-assessment

    initiative Validate self-assessments of three State Archives with different levels of digital preservation capability Engage audience on how to develop a digital preservation improvement roadmap to advance capabilities over time as resources become available 2
  3. Participants Charles Dollar, Chair Lori Ashley, Consultant Michael Strom, State

    Archivist – State of Wyoming Christine Garrett, Electronic Records Archivist – Alabama Department of Archives and History Walker Sampson, Electronic Records Archivist – Mississippi Department of Archives and History 3
  4. Overview of CoSA Digital Preservation Capability Self-Assessment Lori Ashley 4

  5. Digital Preservation Capability Maturity Model 5 Click to edit Master

    text styles Second level Third level Fourth level Fifth level
  6. DPCMM Overview Based on functional specifications of ISO 14721, ISO

    16363, and good practices from operational digital repositories Systems-based tool for charting evolutionary path towards increasingly mature stages of digital preservation capability Assessment methodology “scores” organizations on current state capabilities Helps establish priorities and communicate with stakeholders
  7. 15 & 5 Infrastructure Components Policy Strategy Governance Collaborative Engagement

    Technical Expertise OS/TN File Formats Designated Community Electronic Records Survey Services Components Ingest Archival Storage Media/Device Renewal Integrity Security Preservation Metadata Access 7
  8. Stages of Digital Preservation Capability Maturity 8

  9. 2. Digital Preservation Strategy Description  Stipulates processes and activities

    that will be executed to implement the digital preservation policy  Ensure integrity, usability and reliability of long-term electronic records  Addresses collaboration, how to deal with technology obsolescence, integrity protections and access requirements Thresholds  Describes how Archives/RM unit will acquire and preserve collections of digital records for its current and future users  Describes approaches to: – File format obsolescence – Storage device obsolescence – Media obsolescence
  10. Performance Metrics: Strategy 10

  11. Digital Preservation Capability Score Card

  12. Adaptation of Model for CoSA Solicited information on surrogate services

    and repositories Established thresholds for conformance to all fifteen DPCMM components Developed self-assessment statements and scoring logic mapped to capability levels 12
  13. Conformance with ISO 14721/ISO 16363 Does your digital archival repository

    conform to the functional specifications of the ISO 14721 standard on open archival information systems (OAIS)? Yes No Does your digital archival repository conform to the certification and audit criteria of the ISO 16363 standard? Yes No
  14. CoSA Baseline Digital Preservation Capability Surveys initially completed June/July 2012

    Minor revisions by Consultants and SERI Steering Committee Committee worked with web host to integrate revised text and scoring logic CoSA issued corrected DPC Self-Assessment scores June 2013 Established 4 quartiles based on score ranges 14
  15. NHPRC Grant Electronic Records Training, Tools, and Standards (PERTTS) –

    New Portal for Electronic Records Training, Tools, and Standard – Curriculum development and delivery of training – Creation of a State Electronic Records Program (SERP) Framework that will provide a foundation for both the portal and training, designed to become a recognized source of best practices for state electronic records programs 15
  16. Digital Preservation at the Wyoming State Archives Mike Strom

  17. Wyoming State Archives Background Records management is one of our

    responsibilities Digital records not managed or preserved In 2012, the State Legislature approved funding for a digital records project – Records Management Application (RMA) software – Records retention schedules – Digital preservation policy framework
  18. Environmental Scan No policies in place regarding born digital records

    State statutes mandate that we operate a microfilm division Approaching digital preservation from the records management perspective first
  19. Nominal (0) Minimal (1) Intermediate (2) Advanced (3) Optimal (4)

    Wyoming State Archives State Parks and Cultural Resources July 2013 Composite Capability Score of 2 out of 60 = Stage 1 Minimal Digital Preservation Capability
  20. Current Activities Revise records retention schedules Purchase, install, and conduct

    a pilot project using Records Management Application software Draft a Digital Preservation Policy Framework
  21. Nominal (0) Minimal (1) Intermediate (2) Advanced (3) Optimal (4)

    Wyoming State Archives State Parks and Cultural Resources July 2016 Composite Capability Score of 26 out of 60 = Stage 2 Intermediate Digital Preservation Capability
  22. Nominal (0) Minimal (1) Intermediate (2) Advanced (3) Optimal (4)

    Wyoming State Archives July 2013 – July 2016 From Minimal to Intermediate Capability in a three year period – our VISION for incremental progress
  23. Next Steps Implement the digital repository Establish a fee schedule

    that ensures the repository is financially sustainable Address the issues associated with long term preservation
  24. Lessons Learned Build a relationship with IT Engage records creators

    Communicate with others in the profession Develop different messages for different audiences Set realistic goals and be diligent but patient
  25. Digital Preservation at the Alabama Department of Archives and History

    Christine Garrett 25
  26. ADAH Background Responsible for all historically valuable permanent records of

    state agencies (determined by RDA); assist local agencies Government Services Division staff Electronic records part of overall records program
  27. Survey Response Appraisal staff, Collections management staff, and IT staff

    went through each component to determine our answer
  28. None
  29. None
  30. Self-Assessment Results Original score 14, raised to 18 after follow

    up questions Strengths: – Collaborative engagement (Scored 3) – Open standard/tech neutral formats, designated community, e-records survey, ingest, security, and preservation metadata (Scored 2) Areas for improvement: – Digital preservation strategy, governance, device/media renewal, integrity, and access (Scored 0) 30
  31. Digital Preservation Road Map Appraisal, Collections Management, and IT went

    through each component, establishing a time line for meeting the individual benchmarks Some benchmarks we will never meet
  32. Two Things Emerged 1st realized that there were some benchmarks

    we had already met though we did not indicate them on the survey 2nd began to see the pieces of our electronic records system fall into place 32
  33. Next Steps Designated an electronic records archivist Team approach Unifying

    various electronic records initiatives into one program – Plan – Policies – Procedures – Trainings and leaflets 33
  34. External Efforts Annual state agency liaison training Alabama established cabinet

    position of Information Technology Secretary in March – Brunson White started April 15 Information Services Division – added to State Records Commission in 2012
  35. MDAH: Our Digital Preservation Road Map and Life After the

    DPCMM Self-Assessment Walker Sampson 35
  36. MDAH Background Responsible only for permanent retention of digital records

    - does not manage temporary retention of digital records Records division part of the state archives State archives is allowed to have its own IT staff and structure 36
  37. MDAH Background Early start: began in 1996 from NHPRC grant

    – Digital repository is composed only open-source software, and most processing and presentation technology is hand coded – The above framework can no longer scale to the workload 37
  38. Self-Assessment Results Index Score: 34 / 60 Minimals: – Digital

    Preservation Policy – Device/Media Renewal – Integrity .Majority of our elements rated as Intermediate 38
  39. 39

  40. What are our takeaways? Key areas lack decisive policy: –

    Digital Preservation Policy – Governance – Designated Community – Device/Media Renewal 40
  41. What are our takeaways? Our present technical infrastructure cannot move

    beyond 'Intermediate' in most areas: – Integrity – Archival Storage – Preservation Metadata – Access 41
  42. Roadmap: Policy and Governance Policy Drafting digital preservation policy –

    NDSA Levels of Preservation will inform scope Will reference Mississippi Digital Library's repository recommendation 42
  43. Roadmap: Policy and Governance Governance - Re-engagement with state IT

    Attempting to build stronger ties to state ITS and CIO Previous efforts for redundancy assistance have not moved forward Pushing forward with email collaboration 43
  44. Roadmap: Technical Infrastructure DSpace - Planning and testing stage Technical

    affordances allow better compliance to OAIS framework in: 1) ingest 2) preservation metadata 3) archival storage 4) access 44
  45. Summary DPCMM has highlighted two general and crucial areas for

    improvement: policy and technical infrastructure – Tighter collaboration and support within state is necessary - policy definition is a precursor – Current infrastructure cannot support ISO 14721 45
  46. Discussion 46

  47. Digital Preservation in State & Territorial Archives: Current State and

    Prospects for Improvement Thank you for your interest and attention. 47