Governance

DEFINITION: The state/territory has a formal decision-making framework that assigns accountability and authority for the preservation of electronic records with permanent historical, fiscal, operational or legal value, and articulates approaches and practices for trustworthy digital repositories sufficient to meet stakeholder needs. Governance is exercised in conjunction with information management and technology functions and with other custodians and digital preservation stakeholders such as records producing units and records consumers and enables compliance with applicable laws, regulations, record retention schedules, and disposition authorities.
 
 Level 0   The state/territory does not specifically address digital preservation requirements in the scope of current governance activities.
 Level 1  A project-based digital preservation governance framework is operational or has been successfully completed.
 Level 2 The operational state/territory-wide digital preservation governance framework identifies the various roles of stakeholders in the preservation of electronic records. 
Level 3

Level 3a: An operational state/territory-wide digital preservation governance framework is in place that assigns accountability and authority for the preservation of electronic records.

Level 3b: The state/territory digital preservation governance framework specifies an on-going commitment to the sustainability of an ISO 14721 conforming archival repository.

 Level 4 The operational state/territory-wide digital preservation governance framework for digital preservation is reviewed and updated at least every two years to take into account changing technologies and new organizational structures.

Resources

Resources associated with the Governance Framework elements assist with providing background information and useful examples that can be consulted when trying to develop a policy or move forward in the area of policy development. 

Definition 

The state/territory has a formal decision-making framework that assigns accountability and authority for the preservation of electronic records with permanent historical, fiscal, operational or legal value, and articulates approaches and practices for trustworthy digital repositories sufficient to meet stakeholder needs. Governance is exercised in conjunction with information management and technology functions and with other custodians and digital preservation stakeholders such as records producing units and records consumers and enables compliance with applicable laws, regulations, record retention schedules, and disposition authorities. 

Level 0 

The state/territory does not specifically address digital preservation requirements in the scope of current governance activities.

Move to Level 1: Include digital preservation governance framework in a pilot project, or test case.

Jump to Level 2: Create an operational state/territory wide digital preservation governance framework that identifies stakeholder roles for the preservation of electronic records.

Level 1

A project-based digital preservation governance framework is operational or has been successfully completed.

Move to Level 2:  Identify stakeholder roles in the governance framework for state/territorial digital preservation work (rather than for a specific project).

Jump to Level 3:  The governance framework should assign accountability and authority for the preservation of electronic records (3a) and specify an on-going commitment to the sustainability of a conforming archival repository. (3b)

Level 2

The operational state/territory-wide digital preservation governance framework identifies the various roles of stakeholders in the preservation of electronic records.

Move to Level 3:  The governance framework should assign accountability and authority for the preservation of electronic records (3a) and specify an on-going commitment to the sustainability of a conforming archival repository. (3b)

Jump to Level 4:  In addition to supporting accountability and sustainability the governance framework is reviewed and updated at least every two years taking into account changing technologies and new organizational structures.

Level 3a

An operational state/territory-wide digital preservation governance framework is in place that assigns accountability and authority for the preservation of electronic records.

Level 3b

The state/territory digital preservation governance framework specifies an on-going commitment to the sustainability of an ISO 14721 conforming archival repository. ongoing commitment to a OAIS conforming repository

Move to Level 4:  In addition to supporting accountability and sustainability the governance framework is reviewed and updated at least every two years to take into account changing technologies and new organizational structures. 

Level 4

The operational state/territory-wide digital preservation governance framework for digital preservation is reviewed and updated at least every two years to take into account changing technologies and new organizational structures.

 

Helpful Hints

SERI Governance Subcommittee.  The SERI Governance Subcommittee is working on governance issues in general.  As material is available it will be posted to the CoSA website or this Portal.  

Governance Sub-Committee Definition of Governance: Information governance is the development of a framework to encourage desirable behavior in the valuation, creation, storage, access, use, preservation, and deletion of information. It includes the processes, roles, standards and metrics that ensure the effective and efficient management and use of information in enabling an organization to achieve its goals.

All Resources for Governance.

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