1 Exploration Into the Digital Preservation of Pennsylvania Government InformationStephen woods, social science librarian Nathan troupe, Records Management Officer Alia gant, Diversity Resident Librarian The Pennsylvania state university libraries

2 Introduction Broad overview [Stephen]

3 Government information: what is it?Government Information [publications, records, documents …] Government is by far the largest producer of information Each level of government is a complicated collection of organizations Each hierarchy is inter-connected How is Information produced? Legal mandates Public transparency Legislature or other government entities Administrative Part of the job “right to know”, sunshine laws, foia E-government Local County State Federal Defining what is meant by government information can be complicated. For example the US Code has specific definitions for “government publications” and a completely different definition for a “record”. Pennsylvania’s uses phrase such as “Commonwealth document” or “Commonwealth record” or even “Commonwealth document law” to distinguish legal documents from other types of government materials. For this presentation we use the phrase “government information” as a broader term that includes all these variant forms of communication or documentation. 44 U.S. Code § Definition of Government publication “Government publication” 44 U.S. Code § Definition of Record 2) Government information is pervasive. [Click through the images]. Government information often flows from a hierarchy of government that often have inter-connected legal mandates for sharing and reporting as well as information commitments that serve their own sovereign legal priorities. Its complicated also by the fact that each level of government is comprised of multiple organizational entities each with its own information policies and mandates. All of these government entities produces a massive amount of information. Whether you collect, organize, and preserve all of that information is in the parlance of librarianship a “collection development conundrum”.

4 “digital preservation” what does it even mean?Digital preservation combines policies, strategies and actions that ensure access to digital content over time. 2009 ALA, ALCTS Preservation and Reformatting Section, Definition of Digital Preservation Refers to the series of managed activities necessary to ensure continued access to digital materials for as long as necessary. Digital preservation is defined very broadly for the purposes of this study and refers to all of the actions required to maintain access to digital materials beyond the limits of media failure or technological and organisational change. Digital Preservation Coalition, Digital Preservation Handbook  How would you define digital preservation? I will confess that I hadn’t really given it much thought before doing this presentation. ALCTS’s definition has two principle components: 1) Strategies and action or similarly state in a document by the Digital Preservation Coalition a European entity “series of managed activities”. 2) For some reason ALCTS decided to include the component “policies” which, according to them, are “policies that document an organization’s to commitment to preserve digital content for future use; specify file formats to be preserved and the level of preservation to be provided; and ensure compliance with standards and best practices for responsible stewardship of digital information.” The chief problem with this definition as it relates to government information is that it is comprised of many organizations that have many policies.

5 “digital preservation”: some reflectionsStrategies & actions are more complicated April 1970 NARA preserved its first electronic record [magnetic tape] 2013 GPO estimates that 97% of federal government information is “Born Digital” “Digital preservation policies” Can not be done by one organization! Digital is the rule not the exception Formats have proliferated Information production has changed Access and preservation are not synonymous ALCTS “Born digital or converted to digital form” Image: By Mutatis mutandis (Own work) [GFDL (http://www.gnu.org/copyleft/fdl.html), CC-BY-SA-3.0 (http://creativecommons.org/licenses/by-sa/3.0/) or CC BY 2.5 (http://creativecommons.org/licenses/by/2.5)], via Wikimedia Commons Definitions can often be better understood through an engaging example. NARA has been involved with the preservation of electronic records for almost 50 years. Digital preservation is not a recent phenomenon. The link below, NARA, Preserving Electronic Records, tells a wonderful story about how they took information from a magnetic tape and converted it to punch cards. For those who don’t remember this technology see the image. Once the information was transferred to the cards it was loaded again on a new magnetic tape using leased time on commercial computers. There are some many ways we can draw parallels from this short scenario to many of the processing issues that we face today. What I want you to imagine now is 100,000 of thousands of scenarios just like this. In 2013, GPO estimated that 97% of federal government information is “Born Digital”. Digital has essentially become the rule not the exception. Furthermore, the “born digital” objects are in a proliferation of formats that are evolving even as we speak. How government communicates within and without has changed forever. Even those things that were in formats we understood are being converted through digitization or in some cases re-digitization. In sum, the term digitization is just as elusive as answering what is the exact measurement of a digitalis. It all depends on whose finger you are measuring. Digitālis … measuring the fingers width NARA, Preserving Electronic Records

6 Landscape: legal materialImage: By Niagara (Own work) [CC BY-SA 3.0 (http://creativecommons.org/licenses/by-sa/3.0) or GFDL (http://www.gnu.org/copyleft/fdl.html)], via Wikimedia Commons It’s time to begin our 20,000 foot tour of the landscape of digital preservation of Pennsylvania government information. Each landscape has its own set of stakeholders with very different motivations and may even have visitors who bring their own set of ideas (smile). So let’s start with “legal materials”. Courts and general assembly

7 Digital Access to Legal MaterialsWhat is the traditional scope of legal materials? Court opinions/documents Statutes: Session laws, Pennsylvania Consolidated Statutes Regulations: Pennsylvania Bulletin, Pennsylvania Code PA Journals Bills & Hearings American Association of Law Libraries: Digital Access to Legal Information Key issues Permanent Access Authentication & “Derivatives” Copyright & Preservation So what are “legal materials”? See list on ppt … Court opinions/documents, Statutes: Session laws, Pennsylvania Consolidated Statutes Regulations: Pennsylvania Bulletin, Pennsylvania Code PA Journals [similar to the congressional record Bills & Hearings When I first got into the profession, GPO was rolling out a product that they called GPO Access that contained digital text files of the Congressional Record and eventually bills. Later they procured funds to build another delivery system that was eventually called FDsys primarily populated with publications from the process of making law. So why am I telling you this? What I didn’t’ initially understand at the time was that the American Association of Law Libraries was the driving force pressuring the government to develop a system that would serious consider the implications of the Paperwork Reduction Act of 1995 on “born digital” legal publications. Actually, the former Superintendent of Documents Mary Alice Baish who was herself an AALL member. All this to say, that the AALL also took it upon themselves to be the principle advocacy arm for states government legal materials as well. Beginning in 2007 they began publishing a state survey around key issues of digital preservation: Permanent public access Official status of the digital version Authentication Copyright Preservation Universal citation All of these issues are transferable issues to all of the landscapes we will be discussing.

8 Uniform Electronic Legal Material ActCourt Records Administrative Office of Pennsylvania Courts Unified Judicial System Public Records Policies Legislative Records Legislative Reference Bureau Pennsylvania House of Representatives Archives Senate Library Most states enact some form of the Uniform Electronic Legal Materials Act that was passed in Pennsylvania in This act intended to: ““modernizing publication of Commonwealth legal materials; providing for uniformity in electronic legal materials in the areas of designation, authentication, preservation and access” The law gave responsibility for carrying this out to: the Administrative Office of Pennsylvania Courts for court documents, and to the Legislative Reference Bureau for legislative materials reaffirming legal precedence already enacted in the Commonwealth Documents Law of 1968. The Pennsylvania House of Representatives Archive and the Senate Library sites mention nothing about electronic publications. However, the House archives has a clear mandate to collect “records” of the House of Representatives. Explore these: Legislative Reference Bureau Pennsylvania Session Laws Preservation Project Pennsylvania House Archives ARCHON Let’s take a quick look at what “public access means”.

9 Digital Access & DerivativesWhat does public access even mean? Court documentation E-government, digital preservation Legislative information Copyright, privacy, security Derivatives What does public access even mean? Recently, I was asked as a citizen of Pennsylvania to report for jury duty in Williamsport. As part of the process, I was given a login ID to a website that would allow me to officially register. Once I was done registering I was encourage to check this site every week to determine if I need to physically be present at the court house. This was a creative way for the courts to carry out its business, but is this process what we mean by public access? Many would refer to this type of engagement as e-government. Others have argued, incorrectly, that e-government is not something that needs to be considered in the discussion of digital preservation of government information. Let me explain. Assuming my digital footprint is assigned to a case, the courts need some administrative mechanism to preserve the relationship between to the docket. Now if you look on the courts portal, Unified Judicial System of Pennsylvania, the general public can see the docket, but they are not able to see which jurors are chosen for the case. For the sake of argument, you may rightly claim that this relationship doesn’t need to be indefinitely preserved especially if you are a records manager (smile). My argument is that all government generated information needs to go through the digital preservation process. An important part of that process is determining whether or not it needs to be retained and what can be made “publically accessible”. Legislative material is another type of information that on the surface seems to be fairly straightforward when we talk about public access, but has some specific challenges related to copyright [i.e Fry Communications and the PA Code and Bulletin], privacy, and security. Due to the complexity of those issues, I don’t have the time to go in depth on these issues. What I do want to point out is that the Pennsylvania legislature and court have chosen to provide what they call electronic derivative of official documents through their websites. Official documents can be requested through e-services. “This Web site, and all information accessed on it, is made available as an information service only.  Information accessed on this site is not intended to replace official versions of the same information.  Although every reasonable effort is made to assure accuracy, information available on this site is presented AS IS without warranty, either expressed or implied, as to its accuracy, timeliness or completeness.”

10 Landscape: publicationsImage: Flicker: https://www.flickr.com/photos/wallyg/ /in/photostream/ As I’ve stated previously, the term government publication had a specific historical meaning in the tangible print world. What we need to keep in mind is that libraries have been collecting electronic government documents for nearly as long as the National Archives. Whether it was larger floppy discs, zip discs, USB drives or CD/DVDs. What we will cover in this part of the landscape is the response primarily by the depository library community to digital preservation principally through the state depository documents program. Library collections, Depository access and digitization

11 Library Collections State Library collection building since 1745Building Ad Hoc Collections [pre-72] State Documents Depositories 1972 56 State Depository Libraries State-wide library resource centers Some observations Depository libraries were about access NOT preservation Old distribution model is broken “born digital” broader discussions about a new “permanent public access” model Title 24 § 9373 Commonwealth Publications Federal Depository Library Program: a model 1972 State Librarian, Ernest Doerschuk announced 56 state depository libraries with at least one representative from each of the 29 library districts. Of the 56 libraries 26 were Public Libraries and 30 were Academic Libraries represented by the 14 State Colleges and 3 State-Related institutions. Title 24 § The Department of General Services shall direct each department, board, commission or agency of the Commonwealth to supply it with copies of each publication remaining after regular distribution according to existing allocations, up to a maximum of 250 copies.

12 Access Models & DigitizationAccess & Preservation models Catalog records & PURLS Out of the box product [Archive-it] End of term scape Digitization Digitization [resource centers] Digital projects Digital registry Impact on tangible collections Title 24 § State Aid § 9339(c) “Digitizing Pennsylvania resources from their extensive collections for State-wide accessibility and use via the Internet” There are three broad types of access and “preservation models” being used by the library community to capture and/or provide access to “born digital” state government information on the web. I don’t have time to discuss these in depth, but it’s important to know that some models exist. Many state libraries provide at a minimum catalog records that contain URLs to publications that their staff become aware in the process of pursuing tangible depository material. The Government Printing Office early on developed a system called PURLs that created a persistent URL in the record recognizing that the object moved from time to time. GPO even tried to put into place in their PURL workflow that captured the digital object and placed it in a repository in their servers if it was removed from the Agencies site. Given the huge number of broken PURL links this is a sustainable model. Many state libraries have purchased out of the box products that allow them to create catalogs and collections of digital content that they have pulled down from government sites. It’s important to keep in mind that not all “born digital” items are necessarily published on the web. Finally, there are some efforts at the national and state level to do end-of-term web scrapes of all the content identified on state owned domains. Digitization [resource centers] Digitization of state government information is a huge topic in and of itself. There are really only a few observations that I would like to make: First, I was surprised to discover part of library code stipulates that the four regional libraries are provide library fund for: “Digitizing Pennsylvania resources from their extensive collections for State-wide accessibility and use via the Internet”. I realize that this commission is broader in scope than Pennsylvania state documents, but I was pleased to see that there is an implicit mandate. When we discuss further actions, it may be useful for these four regional libraries to discuss some strategic directions moving forward. Second, it is impossible to know or capture all the digitizing initiatives libraries in Pennsylvania. Often times it’s the larger projects that are advertised or promoted. I’ve identified only a few initiatives that you can explore. One of those projects, HathiTrust, I would like to discuss briefly. Biographical Dictionary Project [Temple University] Pennsylvania Election Statistics: [Wilkes University] PA Policy Database Project [Temple] HathiTrust [Penn State] Pennsylvania Shale Energy Archive [Penn State] HaithiTrust contains digital content that academic and public contributed as part of the mass digitization project conducted by Google. Many of Penn States and other institutions who participated in this project had their Pennsylvania state government documents digitized. The problem is that the process didn’t allows us to create a registry of what was actually digitized. For example, all of the senate and house journals, Pennsylvania Manual, and many other documents exist in this collection. Finally, one of the interesting fall-outs from the mass digitization of federal government documents has been the mass weeding of tangible collections. Any digitization project as well any digital preservation project needs to consider its impact on tangible collections.

13 Landscape: historical recordImage: Flicker: https://www.flickr.com/photos/wallyg/ /in/photostream/ State archives and records

14 State Archives & RecordsState of the State Records (COSA) American Historical Society report Pennsylvania State Archives 1903 Pennsylvania Records Management 1956 National Historical Publications and Records Commission (NHPRC) 41 State funded projects since 1979 1992 PA Electronic Records Program City of Philadelphia Electronic Records Project Library of Congress’ National Digital Information Infrastructure and Preservation Program (NDIIPP) State archives and records programs have not been around nearly as long as libraries. A wonderful overview of the history of archives and records managment can be found in the Council of State Archives annual report State of State Records. Essentially, archives emerged in response to a negative report by the American Historical Society during the late 19th century and records management grew out of the aftermath of WWII. The Pennsylvania State Archives was created by law in 1903 and its records management program created in 1956. Pennsylvania and the City of Philadelphia’s electronic records program were initially funded as two of 41 state funded project that the National Historical Publications and Records Commission funded. These projects, funded since 1979, have been important mechanism for sharing new methods, policies and processes for addressing information concerns among them digital preservation. The Library of Congress’ National Digital Information Infrastructure and Preservation Program (NDIIPP) was another important funding source for states digital preservation and archival programs. NDIIPP was unusual, because its programs encourage interstate cooperation as well as initiatives that brought together archives and libraries. This morphed into the National Digital Stewardship Alliance with membership from a variety of libraries and archives and historical societies.

15 Council of State Archivist (SERI)What is the State Electronic Records Initiative (SERI)? IMLS Grant in 2011 started with a states survey Nationwide initiative focusing on management, preservation, and access Model for addressing digital preservation in PA Advocacy and Awareness - (ACCESS) Action Plan Best Practices and Tools - Program for Electronic Records Training and Tools and Standards PERTTS Education Mentoring Conferences Governance COSA’s State Electronic Records Initiative provides some of the best thoughts on developing digital preservation models. SERI’s first phase included a state survey looking at the management, preservation and access issues for electronic records. One of the outcomes was to create four working committees that would focus on: advocacy and awareness, best practices and tools, education, and governance. It’s unclear from their site whether governance was a general committee, but the other three groups have provides some important documentation as well as publications and training. The ACCESS Action plan provides some practical steps for connecting with other thought leaders from specific organizations. Their site Program for Electronic Records Training and Tools and Standards (PERTTS) provides specifics states polices as well as tools that are being used by state archives. The mentorship programs and conference are provide a wealth of information for those needing to explore the issues of digital preservation.

16 Landscape: executive Governor & agencies CIOsPennsylvania Department of State Image: Flicker: https://www.flickr.com/photos/wallyg/ /in/photostream/ PA - Harrisburg: Capitol Complex - North Office Building It is home to the Pennsylvania Department of State. The landscape of executive agencies and commission is probably one of the most difficult describe, because it is easily one of the most fluid as policy and priorities change from administration to administration. That said, there are some exciting new developments that warrant reflection and offer some interesting opportunities. Governor & agencies CIOs

17 Chief Information OfficersNational Association of State Chief Information Officers (NASCIO) Partnerships in electronic records and digital preservation Enterprise approach Future capitol investment Enterprise domains that foster collaboration Center for Digital Governments Started in 1999 as IT from a government perspective Government Technology Magazine Measuring “Digital” [states, counties, cities] Pennsylvania Digital Government Summit December 1-2, 2016 in Harrisburg Electronic Records Management and Digital Preservation : Protecting the Knowledge Assets of the State Government Enterprise report Each of the major executive agencies have a Chief Information Officer responsible for providing the technological infrastructure for information. There are two major association that provide us with a window into the activities and thoughts about digital preservation: the National Association of State Chief Information Officers and the Center for Digital Governments. NASCIO published a set of three reports in 2007 that provides us with some insight into the perspective of this group. The title was “Electronic Records Management and Digital Preservation: Protecting the Knowledge Assets of the State Government Enterprise” They recommend four calls to action: Partner actively with your electronic records management and digital preservation function to develop strategies for proactively managing records and digital archives. Support an enterprise approach to electronic records management and preservation. Require attention to electronic records management and preservation in capital investment proposals, and project plans. Create an electronic records management and digital preservation domain under the Enterprise Architecture pro-gram to foster collaboration, shared decisions and common enterprise solutions. The other organization that provides us with a view is the Center for Digital Governments. This organization was started in 1999 with a commitment to address issues and solution for IT from a state government perspective. Their online publication Government and Technology Magazine is a treasure trove of initiatives discussing issues and providing solutions from all the states and territories. It serves as the professional benchmark for many CIOs providing them bragging rights with it measurements and grading of “Digital” states, counties, and cities. Mostly what I would like to bring to your attention is there annual meeting on December 1-2 in Harrisburg. Pennsylvania Digital Government Summit Electronic Records Management and Digital Preservation: Protecting the Knowledge Assets of the State Government Enterprise. -PART I: Background, Principles and Action for State CIOs -Part II: Economic, Legal, and Organizational Issues -Part III Management Leads and Technology Follows – but Collaboration is King!

18 Open Government: the time is right!Governor Wolf (Executive Order: ) Lead Agency, Office of Administration Office for Data & Digital Technology State Geospatial Coordinating Board Open Data Pennsylvania Go-Time Governors Office of Transformation Innovation, Management, and Efficiency E-government Transparency & Accountability Inspired by President Obama’s open data directive of 2009, Governor Wolf announced on April 18, 2016 executive order “Open Data, Data Development, and Data Governance” building on his own platform around Open Government and calling for more transparency and accountability. What is open government? “open government now means government where citizens not only have access to information, documents, and proceedings, but can also become participants in a meaningful many state politicians have added open government as a major plank in their political platform way” Lathrop, D. Ruma, L. Open Government: Collaboration, Transparency, and Participation in Practice; O’Reilly Media: Sebastopol, CA, USA, p.xix For his open data initiative it required assigning the Office of Administration as the lead agency for the program as well as empowering the Office for Data and Digital Technology to pursue solutions and implementation. The establishment of the Governor’s Office of Transformation Innovation, Management, and Efficiency has provided a portal, GO-TIME to promote awareness for agency initiatives focusing on e-government and data dissemination efforts. Furthermore, a State Geospatial Coordinating Board has been created to explore ways to provide permanent public access to digital state created information. The question remains to be answered is what impact this will have on digital preservation and whether or not resources and sustainable strategic initiatives will take into consideration what will happen with the next administration. This is why it is essential to look at digital preservation from a new open government ecosystem.

19 Open Government: EcosystemPolicies & Practice Innovators: Technology Business Government Users Civil Society Business The Center for Government Technology has been an important thought leader around issues and challenges that state government are facing related to digital preservation. Their report to the Library of Congress, Digital Preservation Community: Lessons on Inter-organizational Collaboration, in 2006 is one of many insightful pieces that can assists us in: developing a community of practice for the digital preservation of Pennsylvania state government information exploring a structural model for collaboration exploring partnership structures to facilitate communication and collaboration discussing standards, models and best practices for digital preservation of state government information They have created many practical tools that we will talk about later in the presentation. Image from Harrison, Pardo, and Cook Creating Open Government Ecosystems, a Research Development Agenda, Future Internet 2012 (4):908 Center for Government Technology

20 Challenges Scope of the issues [Nathan]

21 Points of view: Librarian Archivist A publication Record Recordis a Librarian Archivist Record Publication may not be a Records Manager Fundamental to what we’ll be discussing today is how records are viewed between three distinct, but related professions. We share many of the same concepts on managing information such as accessioning, cataloging and providing reference even if that specific terminology is not shared. However, how we define what a record is may vary. For librarians the term record may mean information in a physical form that may be disseminated. For archivists, it means information in a physical form that is also evidence of a business transaction that needs to be preserved permanently. Records Managers view records as written information that is evidence of a business transaction that may have an infinite number of values. All three professions will agree that a publication is a type of record. Librarians see them as valuable to their users and both archivists and records managers view them as evidence that document the actions of their creators. However, a publication has a specific meaning for archivists and records managers, in a sense falling into the realm of something produced specifically for public consumption, websites as publications are debated. Defining a record and Understanding Points of View

22 Shared Interests – Different MissionsLibraries Information and research needs of users comes first. Preserve to provide access. Archives Preservation of permanent records comes first. Preserve to document evidence, but still provide access. Collecting Describing Access Shared Interests – Different Missions The various information professions all have shared interests – managing information. Libraries and Archives both have an interest in collecting, describing and providing information to their users. As we all know, technology changed how we interact with those users, and how those users interact with us. Before the internet users would need to physically go to a location to find the information they needed. The difference between access at Libraries and Archives at this time was how the information was viewed, or whether it could be removed from the institution. Libraries provided collection, described and made accessible information that was important to its users. Preservation is a focus so the information can continue to be shared. Archives collected, described and made information accessible based off the records value as being evidence of a business transaction. These records are acquired due to their unique value and therefore need to be preserved indefinitely. In the case of Archives, access is important, but preservation is paramount. As individuals needed to physically go to one of these institutions to collect information, each institution followed its own mission. Now today, these missions may overlap. Some state libraries have statutes that publications are to be sent to them, while Archives identified by statute as the repository for historical materials. The development of the Internet, and the World Wide Web changed things. Users no longer needed to go to a physical location. Who has responsibility?

23 Expectations Collecting…? Older model:Print and disseminate physical copies - Many publications to an institution. New model: Post online - Few institutions to gather many publications. - Automation vs Curation Institutions gathering from Agencies (self publishing) Agencies send to Libraries and Archives When working with non-digital records, publications would be either disseminated from a central location such as the agency responsible for publishing or find their way to an Archives through records management or as buildings reached their storage capacity. Not all, but many publications would naturally filter to an organization that would make them accessible to the public. Electronic records is a different matter all together. Today, while some publications may still be printed, many are being made available electronically instead. The web makes it easy for government to post the information online for dissemination. In many ways this is great, information is being made available. However, it’s not necessarily finding its way to Libraries and Archives. When it does, it is not in an organized manner. Records may come in on hard drives, optical media, attachments to or the individual is told that the publication is available online and they can retrieve the document from. So the model has now been flipped, instead of a somewhat organized method of transfer from many institutions to one entity, you now have one institution left to attempt to gather publications often by whatever means they can come up with. To compound the issue, many documents may not be permanent, or have interest from users. So this is not a matter of finding every record or publication, but a matter of humans selecting and identifying what merits preservation. This is not limited to only publications, but many records within government and is something that all states are grappling with. Four state recently received grants to investigate methods of transfer. There have also been numerous investigations to attempt to determine if some of these processes can be automated. This requires a lot of expertise, collaboration and funding perhaps even a tailor made solution for various institutions. Alternatively, curation would require archival or library staff to review government websites to actively collect records. Then once these records are identified, decisions will need to be made about the best method for preservation, which may depend upon the content, whether there are restrictions, file type and complexity such as are the files a simple pdf, or a mix of types including print, audio and video. Collecting…?

24 Curation and InfrastructureMany of the same processes as paper, but requires an entire separate infrastructure. Requires staff knowledge, or additional staff Processes are more complex than paper Securing infrastructure Paper does have a built in destruction date due to its acidic content. However, in many cases an individual may set a publication on a shelf and not need to worry about it being accessible in five years. That is not the case with an electronic record. Institutions are having to find ways to replicate the processes of the organization and run almost what amounts to a parallel structure for everything. For institutions retaining records as evidentiary purposes, they must take care that the records is not only usable, but authentic and in worst cases acceptable as evidence in a court of law. Like libraries these formats require different types of needs from equipment to knowledge. Even though electronic records have been around since the 1960s, we find ourselves to be in a transitional stage. Staff that have been trained in working with the physical, must now learn technology, some are comfortable working with both analog and digital information, while others are only familiar with the digital. The infrastructure is the same, some states are lacking infrastructure, some are project oriented only, and many are working solutions but are in various stages. Four states received grants a year ago to investigating ways of bringing materials in, as new, yet at the same time somewhat familiar workflows need to be created. The process of collecting, describing, managing and providing access still stand. However, what do those steps look like, and what standards, from the myriad of standards available will take precedence. Finally, none of these changes whether staff or processes comes free. Moreover, you are also referring to the need for storage, backups, IT expertise and more intensive monitoring as to the condition of the collection. Each of these has their own costs. Compound this with questions such as should the networks be private, public or a hybrid. Some storage options may not be available due to various state, federal or international laws. All of this is occurring at a time when it is not popular to increase the size of government. Curation and Infrastructure

25 Overall: Below one-tenth of 1 percent of total expenditures by all state governments on archives/records management programs Cost of digital preservation: Ongoing research - It depends Top three issues and concerns: Electronic records; Funding and Staffing Finally, none of these changes whether staff or processes comes free. Moreover, you are also referring to the need for storage, backups, IT expertise and more intensive monitoring as to the condition of the collection. Each of these has their own costs. Compound this with questions such as should the networks be private, public or a hybrid. Some storage options may not be available due to various state, federal or international laws. All of this is occurring at a time when it is not popular to increase the size of government. Funding is a serious issue. As government leaders stress open government and access to information, very little is spent on archives and records management programs. Part of this may be the difficulty in determine what to ask for. There is no template for what equipment, storage space or number of staff is necessary. However, State Archives have responded that their top three issues and concerns are electronic records, funding and staffing. Each of these comes down to resources (2012 Council of State Archivists Survey). costs

26 Traditional vs Shared Custodial ModelTransfer of ownership Permanent in place Unlike in the past, where ownership of the paper records were transferred, there is some expectation from agencies that they will retain ownership. Part of this probably stems from the concept that expanding storage is the equivalent of adding equipment, instead of an additional building in the past. Combined with this, many archives are unable to either take electronic records, or are unable to take them in large amounts. This has given rise to the concept of a shared or post-custodial model where the creators are expected to maintain them. This has large repercussions for libraries and archives as users may need to go to a government agency website, or request the publication from the agency itself if not available by other means. The combined holdings for all state archives in 2012 totaled nearly 3.3 million cubic feet, up 40% (nearly one million feet) in just eight years (Tables 2.1, 2.2). The total volume of records now appears to be growing at a rate of 144,693 feet per year, a substantial increase from the annual growth rate of 58,373 per year during the decade prior to This growth in volume of paper, film, photographs, maps, and other materials that can be measured in feet does not begin to calculate the impact of the growth in holdings of electronic records that take up relatively little physical space but can be the equivalent of many hundreds or thousands of feet of paper in a very small drive (2012 CoSA ARM survey). access

27 Future Directions Finding solutions that work [alia]

28 Questions to Ask Prior to Moving ForwardHow will programs implemented be funded? (staff, technology, software) How will a staff model work to create and maintain any implemented programs? Should there be an agreement between information institutions on what is considered relevant or not in preservation efforts? What currently exists with local and state mandates about preservation of government information? How will any program(s) change the community that libraries serve? Do academic, special, and public libraries share the same central goals? How can libraries cross collaborate and use ideas from other information organizations (archives)?

29 Libraries Role with Digital PreservationLibraries across the state should attempt to advocate for changes based on their needs Libraries should: Engage with their communities to find their needs for government information Act as facilitators towards different stakeholders  Seek out conventional and unconventional stakeholders to collaborate on projects   Look beyond project mentality and consider action plans for sustainability  Government has final say in how government information is preserved  PA government   State Library   Depository Library   Archive 

30 Libraries Act as Facilitators   Libraries can guide the conversation to describe needs of various stakeholders and be agents of change Other Stakeholders (Communities, Businesses, Actors concerned with preservation of info Libraries (public, academic, special) Government (State Library, Archives, Officials) Provide examples from reading and outside research

31 Libraries Engage Communities Each library has their own community need Libraries define their role by connecting with community needs Allows for an opportunity to create a clear mission for libraries Set principles that libraries share Help start the conversation for advocacy for community and library needs to the government

32 Collaborating with New ActorsTime to consider new actors "Partnerships are critical to maximize finite resources and leveraging diverse capabilities needed to respond to complex community challenges" (Burke et al, 22) Recognize the varied possibilities Private and public institutions, community agencies, higher education, non profits, and more Important to note the needs of all stakeholders involved What are incentives working together? What is at risk? Refer to Stephen's info graphic Image from Harrison, Pardo, and Cook  Creating Open Government Ecosystems, a Research Development Agenda, Future Internet 2012 (4):908

33 Opportunities to Fund ProjectsGovernment Awards Laura Bush 21st Century Librarian Program – Institute of Museum and Library Services National Leadership Grants for Libraries – Institute of Museum and Library Services Grants to States Program – Institute of Museum and Library Services Sparks! Ignition Grants for Libraries – Institute of Museum and Library Service Philanthropy Knight Community Information Challenge The Penguin Random House Library Awards for Innovation Major Awards National Endowment of Humanities - a lot of preservation and access grants

34 Possible Models to Use State Electronic Records Initiatives (SERI) and the Council of State Archivists  Archives Collaborating and Cooperating with External Strategic Stakeholders (ACCESS) program  Key components  Awareness and advocacy Thought leadership Standards and best practices Should and can libraries advocate for similar goals to preserve government information in all formats? Briefly describe each one of these sections, reiterate Stephen and question can libraries advocate similar goals? Yes and beyond looking for projects, but long lasting and with measurable outcomes. Awareness and advocacy – work with similar information parties or parties interested to work on sustainable preservation of digital records, create guidelines that can be used for digital government records,support efforts to submit to appropriate archives, encourage members that will connect great population on why access and long term is important Thought leaders – working with different stakeholders who critically examine, evaluate, and collaborate on the issue surrounding preservation of digital government information by means of meetings, conferences,events Standards and best practices  -work with others to contiunally create best standards and best practices around long term access (staff, funding)

35 How Would You Move Forward?Ask room, but also use the index cards idea

36 Challenges Scope of the issues [Nathan]

37 Defining a Record Points of view: Librarian Archivist A publicationis a Librarian Archivist Record Publication may not be a Fundamental to what we’ll be discussing today is how records are viewed between three distinct, but related professions. We share many of the same concepts on managing information such as accessioning, cataloging and providing reference even if that specific terminology is not shared. However, how we define what a record is may vary. For librarians the term record may mean information in a physical form that may be disseminated. For archivists, it means information in a physical form that is also evidence of a business transaction that needs to be preserved permanently. Records Managers view records as written information that is evidence of a business transaction that may have an infinite number of values. All three professions will agree that a publication is a type of record. Librarians see them as valuable to their users and both archivists and records managers view them as evidence that document the actions of their creators. However, a publication has a specific meaning for archivists and records managers, in a sense falling into the realm of something produced specifically for public consumption, websites as publications are debated. Records Manager

38 Shared Interests – Different MissionsResponsibility Libraries Information and research needs of users comes first. Preserve to provide access. Archives Preservation of permanent records comes first. Preserve to document evidence, but still provide access. Collecting Describing Access The various information professions all have shared interests – managing information. Libraries and Archives both have an interest in collecting, describing and providing information to their users. As we all know, technology changed how we interact with those users, and how those users interact with us. Before the internet users would need to physically go to a location to find the information they needed. The difference between access at Libraries and Archives at this time was how the information was viewed, or whether it could be removed from the institution. Libraries provided collection, described and made accessible information that was important to its users. Preservation is a focus so the information can continue to be shared. Archives collected, described and made information accessible based off the records value as being evidence of a business transaction. These records are acquired due to their unique value and therefore need to be preserved indefinitely. In the case of Archives, access is important, but preservation is paramount. As individuals needed to physically go to one of these institutions to collect information, each institution followed its own mission. Now today, these missions may overlap. Some state libraries have statutes that publications are to be sent to them, while Archives identified by statute as the repository for historical materials. The development of the Internet, and the World Wide Web changed things. Users no longer needed to go to a physical location. Shared Interests – Different Missions

39 Collecting Expectations Older model:Print and disseminate physical copies - Many publications to an institution. New model: Post online - Few institutions to gather many publications. - Automation vs Curation Institutions gathering from Agencies (self publishing) Agencies send to Libraries and Archives When working with non-digital records, publications would be either disseminated from a central location such as the agency responsible for publishing or find their way to an Archives through records management or as buildings reached their storage capacity. Not all, but many publications would naturally filter to an organization that would make them accessible to the public. Electronic records is a different matter all together. Today, while some publications may still be printed, many are being made available electronically instead. The web makes it easy for government to post the information online for dissemination. In many ways this is great, information is being made available. However, it’s not necessarily finding its way to Libraries and Archives. When it does, it is not in an organized manner. Records may come in on hard drives, optical media, attachments to or the individual is told that the publication is available online and they can retrieve the document from. So the model has now been flipped, instead of a somewhat organized method of transfer from many institutions to one entity, you now have one institution left to attempt to gather publications often by whatever means they can come up with. To compound the issue, many documents may not be permanent, or have interest from users. So this is not a matter of finding every record or publication, but a matter of humans selecting and identifying what merits preservation. This is not limited to only publications, but many records within government and is something that all states are grappling with. Four state recently received grants to investigate methods of transfer. There have also been numerous investigations to attempt to determine if some of these processes can be automated. This requires a lot of expertise, collaboration and funding perhaps even a tailor made solution for various institutions. Alternatively, curation would require archival or library staff to review government websites to actively collect records. Then once these records are identified, decisions will need to be made about the best method for preservation, which may depend upon the content, whether there are restrictions, file type and complexity such as are the files a simple pdf, or a mix of types including print, audio and video.

40 Curation and InfrastructureMany of the same processes as paper, but requires an entire separate infrastructure. Requires staff knowledge, or additional staff Processes are more complex than paper Securing infrastructure Paper does have a built in destruction date due to its acidic content. However, in many cases an individual may set a publication on a shelf and not need to worry about it being accessible in five years. That is not the case with an electronic record. Institutions are having to find ways to replicate the processes of the organization and run almost what amounts to a parallel structure for everything. For institutions retaining records as evidentiary purposes, they must take care that the records is not only usable, but authentic and in worst cases acceptable as evidence in a court of law. Like libraries these formats require different types of needs from equipment to knowledge. Even though electronic records have been around since the 1960s, we find ourselves to be in a transitional stage. Staff that have been trained in working with the physical, must now learn technology, some are comfortable working with both analog and digital information, while others are only familiar with the digital. The infrastructure is the same, some states are lacking infrastructure, some are project oriented only, and many are working solutions but are in various stages. Four states received grants a year ago to investigating ways of bringing materials in, as new, yet at the same time somewhat familiar workflows need to be created. The process of collecting, describing, managing and providing access still stand. However, what do those steps look like, and what standards, from the myriad of standards available will take precedence. Finally, none of these changes whether staff or processes comes free. Moreover, you are also referring to the need for storage, backups, IT expertise and more intensive monitoring as to the condition of the collection. Each of these has their own costs. Compound this with questions such as should the networks be private, public or a hybrid. Some storage options may not be available due to various state, federal or international laws. All of this is occurring at a time when it is not popular to increase the size of government.

41 Costs Overall: Below one-tenth of 1 percent of total expenditures by all state governments on archives/records management programs Cost of digital preservation: Ongoing research - It depends Top three issues and concerns: Electronic records; Funding and Staffing Finally, none of these changes whether staff or processes comes free. Moreover, you are also referring to the need for storage, backups, IT expertise and more intensive monitoring as to the condition of the collection. Each of these has their own costs. Compound this with questions such as should the networks be private, public or a hybrid. Some storage options may not be available due to various state, federal or international laws. All of this is occurring at a time when it is not popular to increase the size of government. Funding is a serious issue. As government leaders stress open government and access to information, very little is spent on archives and records management programs. Part of this may be the difficulty in determine what to ask for. There is no template for what equipment, storage space or number of staff is necessary. However, State Archives have responded that their top three issues and concerns are electronic records, funding and staffing. Each of these comes down to resources (2012 Council of State Archivists Survey).

42 Access Traditional vs Shared Custodial Model Transfer of ownershipPermanent in place Unlike in the past, where ownership of the paper records were transferred, there is some expectation from agencies that they will retain ownership. Part of this probably stems from the concept that expanding storage is the equivalent of adding equipment, instead of an additional building in the past. Combined with this, many archives are unable to either take electronic records, or are unable to take them in large amounts. This has given rise to the concept of a shared or post-custodial model where the creators are expected to maintain them. This has large repercussions for libraries and archives as users may need to go to a government agency website, or request the publication from the agency itself if not available by other means. The combined holdings for all state archives in 2012 totaled nearly 3.3 million cubic feet, up 40% (nearly one million feet) in just eight years (Tables 2.1, 2.2). The total volume of records now appears to be growing at a rate of 144,693 feet per year, a substantial increase from the annual growth rate of 58,373 per year during the decade prior to This growth in volume of paper, film, photographs, maps, and other materials that can be measured in feet does not begin to calculate the impact of the growth in holdings of electronic records that take up relatively little physical space but can be the equivalent of many hundreds or thousands of feet of paper in a very small drive (2012 CoSA ARM survey).

43 Future Directions Finding solutions that work [Nathan]

44 Questions to Ask Prior to Moving ForwardHow will programs implemented be funded? (staff, technology, software) How will a staff model work to create and maintain any implemented programs? Should there be an agreement between information institutions on what is considered relevant or not in preservation efforts? What currently exists with local and state mandates about preservation of government information? How will any program(s) change the community that libraries serve? Do academic, special, and public libraries share the same central goals? How can libraries cross collaborate and use ideas from other information organizations (archives)? Librarians, Archivists and Records Managers agree that these records are important. However, there are a number of logistical issues that need to be discussed, planned and implemented. This is not merely about technology, but policy, procedure and how we all move forward as information managers. All of these professions have experience dealing with these issues from their own perspective, and will need each other to help achieve a common goal.

45 Libraries Role with Digital PreservationLibraries across the state should attempt to advocate for changes based on their needs Libraries should: Engage with their communities to find their needs for government information Act as facilitators towards different stakeholders  Seek out conventional and unconventional stakeholders to collaborate on projects   Look beyond project mentality and consider action plans for sustainability  Government has final say in how government information is preserved, but citizens and as institutions that represent them we do have a voice. PA government   State Library  Depository Library  Archive 

46 Libraries Act as Facilitators   Libraries can guide the conversation to describe needs of various stakeholders and be agents of change Other Stakeholders (Communities, Businesses, Actors concerned with preservation of info Libraries (public, academic, special) Government (State Library, Archives, Officials) Libraries, regardless of type can act as facilitators for their communities. Do not assume that government knows what is important, or is of interest to your community. Also, don’t assume that state agencies have all of the resources they need.

47 Libraries Engage Communities Each library has their own community need Libraries define their role by connecting with community needs Allows for an opportunity to create a clear mission for libraries Set principles that libraries share Help start the conversation for advocacy for community and library needs to the government What information is of interest to your community, and would that be the same as another four hours away? There is no fundamental answer to that question. So overall, what is important to Libraries when it comes to government information and how it affects what you do, and your users. Just like Libraries, each governmental agency has its own mission. While they are concerned about the state and citizens overall, they are approaching their work from the objectives for which their agency has responsibility.

48 Collaborating with New ActorsTime to consider new actors "Partnerships are critical to maximize finite resources and leveraging diverse capabilities needed to respond to complex community challenges" (Burke et al, 22) Recognize the varied possibilities Private and public institutions, community agencies, higher education, non profits, and more Important to note the needs of all stakeholders involved What are incentives working together? What is at risk? As the info graphic on the earlier slide from Harrison, Pardo, and Cook shows, its time to consider new actors. We are no longer simply providing information, but potentially partnering with various actors in a number of ways. Each actor is going to have its own goals, and own point of view. However, even while each seeks to obtain and use information for their own purpose, there is certainly overlap. There are also ramifications for how the actors will go about obtaining their information, as interdependencies are created. We are increasingly moving towards a more integrated ecosystem, where decisions made by one actor will have an affect on others. (Creating Open Government Ecosystems, a Research Development Agenda, Future Internet 2012 (4):908)

49 Opportunities to Fund ProjectsGovernment Awards Laura Bush 21st Century Librarian Program – Institute of Museum and Library Services National Leadership Grants for Libraries – Institute of Museum and Library Services Grants to States Program – Institute of Museum and Library Services Sparks! Ignition Grants for Libraries – Institute of Museum and Library Service Philanthropy Knight Community Information Challenge The Penguin Random House Library Awards for Innovation Major Awards National Endowment of Humanities - a lot of preservation and access grants There are organizations interested in funding projects not only for preservation, but for access as well. The Laura Bush 21st Century Librarian Program has funded training to State Archives staff through the Council of State Archivists, and are increasingly interested in seeing grants where various institutions cooperate towards identifying, preserving and providing access to electronic records. It is also important to keep in mind that government organizations are not the only ones providing grants, there are private organizations as well.

50 Possible Models to Use State Electronic Records Initiatives (SERI) and the Council of State Archivists  Archives Collaborating and Cooperating with External Strategic Stakeholders (ACCESS) program  Key components  Awareness and advocacy Thought leadership Standards and best practices Should and can libraries advocate for similar goals to preserve government information in all formats? Can libraries advocate similar goals? Yes and beyond looking for projects, but long lasting and with measurable outcomes. Awareness and advocacy – work with similar information parties or parties interested to work on sustainable preservation of digital records, create guidelines that can be used for digital government records and support efforts to submit to appropriate archives, encourage members that will connect greater populations on why access and long term is important Thought leaders – working with different stakeholders who critically examine, evaluate, and collaborate on the issue surrounding preservation of digital government information by means of meetings, conferences and events Standards and best practices  -work with others to contiunally create best standards and best practices around long term access (staff, funding)

51 How Would You Move Forward?Question for the room. Questions & ideas