Open Standard Technology Neutral Formats

DEFINITION

A fundamental requisite for a sustainable digital preservation program that ensures long-term access to usable and understandable permanent electronic government records is mitigation of obsolescence of file formats. Open standard technology neutral (“OS/TN”) file formats are developed in an open, public setting, issued by a certified standards organization, and have few or no technology dependencies. Current preferred OS/TN format examples include HTML, Plain Text, XML, ODF, and PDF/A for text; CSV for spreadsheets; JPEG 2000 for photographs; PDF/A, PNG, and TIFF for scanned images; SVG for vector graphics; BWF for audio; MPEG-4 and Motion JPEG 2000 for video; WARC for web pages. Over time new digital preservation tools and solutions will emerge that will require new OS/TN file formats. OS/TN formats are backwardly compatible so they can support interoperability across technology platforms over an extended period of time.

The Archives/RM unit has not adopted any OS/TN file format as a digital preservation format.

Move Up to Level 1:

Adopt at least one OS/TN file format as a digital preservation format for permanent electronic government records. Document the rationale and decision.

The Archives/RM unit has adopted at least one OS/TN file formats as digital preservation format.

Move Up to Level 2:

Analyze existing digital collections in the Archives and common electronic record types used by agencies to identify the most commonly held file formats. Adopt at least three OS/TN file formats as a digital preservation format. Document the rationale and decision.

The Archives/RM unit has adopted at least three OS/TN file formats as digital preservation formats.

Move Up to Level 3:

Use OS/TN formats for as many types of electronic government records held by the Archives/RM unit such as for text, spreadsheets, raster images, vector graphics, audio, video, and web pages.

The Archives/RM unit has adopted OS/TN for text.

The Archives/RM unit has adopted an OS/TN for spreadsheets.

The Archives/RM unit has adopted an OS/TN for raster bitmap images (scanned and born digital).

The Archives/RM unit has adopted an OS/TN for vector graphics.

The Archives/RM unit has adopted an OS/TN for audio.

The Archives/RM unit has adopted an OS/TN for videos.

The Archives/RM unit has adopted an OS/TN for web pages.

Move Up to Level 4:

Adopt OS/TN formats for major file categories held in the digital repository by the Archives and document the decisions to share with stakeholders. Establish a process for monitoring the sustainability of current and future OS/TN formats.

The Archives/RM unit continuously monitors the sustainability of OS/TN file formats and adopts them as appropriate for use as preservation formats. The Archives/RM unit provides support and guidance to record-producing units with regard to recommended preservation formats.

Sustain Level 4:

Leverage technical guidance on preferred and supported file formats provided by national archives, libraries, and preservation coalitions to bring best practices guidance to your state/territory.


HELPFUL HINTS

There is no single format that can address preservation for electronic records. There are, however, many resources on preferred and supported preservation formats promulgated by the worldwide archival community. Advice and strategies relating to file formats should be evaluated with consideration for your existing digital collections and incoming electronic records transfers. Consult format registries regularly to inform processing and preservation practices.

While the concept of using OS/TN formats for preservation provides a solid foundation for many archives, it will not always be possible to utilize OS/TN formats. Details about decisions on why and how to manage digital collections and periodic reviews should be documented. Capture information about file formats in use by record producing units as part of on-going Archives/RM unit advisory activities and records retention schedule updates.

It is a common practice to maintain digital objects in at least two formats: the native format and an OS/TN format that can be used to render the asset without the need for the originating application. As with all formats, including OS/TN formats, it is important to understand the characteristics of the formats of resources held in the digital repository by the Archives and evaluate the risks in preserving them long term. And since technology is constantly changing, be prepared to systematically review supported and preferred file formats to apply during electronic records lifecycle management, transfer to archives and ingest, active digital preservation and access workflows.