NOAA Technical Information Series NESDIS
DSMR-00283 Version 1.0

doi: 10.25923/acwh-yc52

Data Stewardship Maturity Report for AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature

<table>
  <tr>
    <th colspan="6">Table 1 Legend</th>
  </tr>
  <tr>
    <th>Level 1</th>
    <th>Level 2</th>
    <th>Level 3</th>
    <th>Level 4</th>
    <th>Level 5</th>
  </tr>
  <tr>
    <td>Ad Hoc</td>
    <td>Minimal</td>
    <td>Intermediate</td>
    <td>Advanced</td>
    <td>Optimal</td>
  </tr>
  <tr>
    <td>Little or no management</td>
    <td>Limited Management</td>
    <td>Defined Management, partially implemented</td>
    <td>Well-defined Management, fully implemented</td>
    <td>Full Management, audited, measured, controlled</td>
  </tr>
</table>

<table>
  <tr>
    <th colspan="3">Table 1. Scores for the Nine DSMM Key Components at a Glance</th>
  </tr>
  <tr>
    <th>Preservability - 5</th>
    <th>Accessibility - 5</th>
    <th>Usability - 4.5</th>
  </tr>
  <tr>
    <td>Production Sustainability - 5</td>
    <td>Data Quality Assurance - 4</td>
    <td>Data Quality Control/Monitoring - 3</td>
  </tr>
  <tr>
    <td>Data Quality Assessment - 3</td>
    <td>Transparency/Traceability - 2.75</td>
    <td>Data Integrity - 3</td>
  </tr>
</table>
Cover Image: Data Stewardship Rating Diagram for AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature

Shades of green are used to represent level 1 through level 5 ratings; denoting Ad Hoc, Minimal, Intermediate, Advanced, and Optimal stages for each of the nine key components, respectively. The dark green level indicates all the practices are completely satisfied. The lighter green levels indicate only some of the practices are satisfied. The lightest green level indicates none of the practices are satisfied.

The stewardship maturity of NCEI data product, AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature, is assessed based on a reference stewardship maturity framework. The current maturity ratings of AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature are at Level 1 or higher for all nine key components with zero Level 1, one Level 2, three Level 3, two Level 4, and three Level 5 key components.
The National Environmental Satellite, Data, and Information Service (NESDIS) manages the Nation’s civil Earth-observing satellite systems, as well as global national data bases for meteorology, oceanography, geophysics, and solar-terrestrial sciences. From these sources, it develops and disseminates environmental data and information products critical to the protection of life and property, national defense, and the national economy, energy development and distribution, global food supplies, and the development of natural resources.

Publication in the NOAA Technical Memorandum series does not preclude later publication in scientific journals in expanded or modified form. The NESDIS series of NOAA Technical Reports is a continuation of the former NESS and EDIS series of NOAA Technical Reports and the NESC and EDS series of Environmental Science Services Administration (ESSA) Technical Reports.

Copies of earlier reports may be available by contacting NESDIS Chief of Staff, NOAA/NESDIS, 1335 East-West Highway, SSMC1, Silver Spring, MD 20910, (301) 713-3578.
ASSESSMENT REVISION HISTORY

<table>
  <tr>
    <th>Revision</th>
    <th>Description</th>
    <th>Date</th>
  </tr>
  <tr>
    <td>V01r00</td>
    <td>Initial Release</td>
    <td>12/27/2021</td>
  </tr>
</table>
NOAA Technical Information Series NESDIS DSMR-00283
Version 1.0
doi: 10.25923/acwh-yc52

Data Stewardship Maturity Report for AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature

Raisa Ionin, Katy Luquire
NOAA's National Centers of Environmental Information (NCEI)
151 Patton Avenue, Asheville, NC 28801, (828) 271-4800

Recommended Citation

Raisa Ionin, Katy Luquire. (2021), Data Stewardship Maturity Report for AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature NOAA Technical Information Series NESDIS DSMR-00283 Version 1.0, 21pp., doi: 10.25923/acwh-yc52
Table of Contents

List of Tables .................................................................................................................. 7
Preface ............................................................................................................................. 8
1. Introduction ................................................................................................................. 9
2. Results ....................................................................................................................... 10
3. Acknowledgment ...................................................................................................... 16
4. References ............................................................................................................... 17
Appendix I  The Scientific Data Stewardship Maturity Matrix (DSMM) ......................... 18
List of Tables

Table 1. Scores for the Nine DSMM Key Components at a Glance  1
Table 2. Dataset and Data Stewardship Maturity Assessment Metadata  11
Table 3. Stewardship Maturity Levels and Detailed Justifications for Each of Nine DSMM Key Components for the Dataset  12
Preface

In response to the President's Open Government Initiative and related policies, NOAA has committed to providing improved public access to all of its environmental information, to enable research and commercial innovation through ease of data discovery and use [Casey, 2016].

OneStop supports NOAA's efforts by leveraging existing access technologies and infusing specific innovations to provide improved discover, access, and visualization services for NOAA's data. Also, OneStop is viewed by a NESDIS as a pathfinder effort with an initial focus on selected high-priority datasets from NESDIS and other program data meeting OneStop standards, but eventually scalable across NOAA's data. Lastly, OneStop is implementing the USGEO Common Framework for Earth Observation Data and leveraging/supporting the NOAA Big Data Project (BDP) and Big Earth Data Initiative (BEDI) [Casey, 2016].

As with any process of improvement planning, agencies need to find out where they are in terms of their compliance to the federal regulations and what they need to do if any areas of non-compliance are identified. To this end, a unified framework would be beneficial for assessing the current stage of stewardship practices applied to individual datasets and for providing a road map that will guide future investments towards enhanced stewardship of environmental datasets. The value and quality of a dataset depends in part on the stewardship practices applied after its development and production. Therefore, a unified framework providing a holistic view of the quality of stewardship practices applied to individual datasets is beneficial to data stewards and users [Casey, 2016].

The Data Stewardship Maturity Matrix (DSMM), jointly developed by domain (data management, technology, and science) subject matter experts from NOAA’s National Centers for Environmental Information (NCEI) and Cooperative Institute for Climate and Satellites – North Carolina (CICS-NC), provides such a consistent framework [Peng et al., 2016]. The DSMM, leveraging institutional knowledge and community practices and standards, defines a graduated maturity scale for each of nine key components of scientific data stewardship to enable a consistent assessment of the measureable stewardship practices applied to a given data set or product.

The NOAA Data Stewardship Maturity Technical Series captures stewardship maturity assessment results for individual datasets, provides consistent representation and citable documents of those assessments, ensures transparency, and allows better data quality information integration and content-based search and discovery of NOAA data.
NOAA Technical Information Series NESDIS DSMR-00283 Version 1.0

Data Stewardship Maturity Report for AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature

1. Introduction

1.1 Purpose

The purpose of this document is to describe the results of stewardship maturity assessment for NOAA Climate Data Record for Mean Layer Temperature (Upper Troposphere & Lower Stratosphere from UCAR, Version 2, utilizing the Scientific Data Stewardship Maturity Matrix or DSMM [Peng, et al, 2016]. DSMM defines levels of stewardship maturity stages for Preservability, Accessibility, Usability, Production Sustainability, Data Quality Assurance, Data Quality Control/Monitoring, Data Quality Assessment, Transparency/Traceability, and Data Integrity key components. Each of these components is ranked from ‘Ad hoc’ to ‘Optimal’ (see Appendix I). This report is based on evaluation performed by NOAA OneStop metadata specialists working with Subject Matter Experts and utilizing the DSMM template [Peng, 2016].

1.2 Scope

Assessing stewardship maturity - the current state of how datasets are documented, preserved, stewarded, and made accessible publicly, is a critical step towards meeting U.S. federal regulations, organizational requirements, and user needs [Peng et al., 2016]. The goal of this document is to provide consistent and transparent stewardship maturity information to data users and decision-makers.

1.3 Dataset Abstract

The AVHRR Pathfinder Version 5.3 (PFV53) L3C Sea Surface Temperature dataset is a collection of global, twice-daily (Day and Night) 4km sea surface temperature (SST) data produced by the NOAA National Centers for Environmental Information (NCEI). L3C is generated with measurements combined from a single instrument into a space-time grid. In this process multiple passes/scenes of data are combined. PFV53 was computed with data from the AVHRR instruments on board NOAA's polar orbiting satellite series using an entirely modernized system based on SeaDAS (version 6.4). This system incorporates several key changes from its predecessors (mainly version 5.2: PFV52). The SSTs in PFV53 are now available for all quality levels, including quality '0' which was left out of PFV52 due to a memory issue in the version 5.2 code. The Sun glint regions are better represented in the data. Cloud tree tests for NOAA-7 and NOAA-19 are now consistent with the rest of the sensors in contrast to PFV52 where they were inconsistent. Similar to all previous versions of Pathfinder this
version also includes L3C products. The sst_dtime variable is still not included in L3C (it was not included in PFV52 either). The global and variables attributes in netCDF files are revised, have better CF and ACDD compliance, and are consistent with the NCEI netCDF templates. Anomalous hot-spots at land-water boundaries are better identified and flagged in PFV53. The PFV53 land mask has been updated (based on Global Lakes and Wetlands Database: Lakes and Wetlands Grid Level 3, 2015). Sea ice data over the Antarctic ice shelves are marked as ice and flagged as 100% ice cover. The PFV53 output are netCDF version 4 in "classic" mode, whereas in PFV52 the netCDF-4 files were not explicitly identified as "classic". An extra bit (bit 6) is used under l2p_flags variable to flag out the daytime unrealistic SST values (>39.8°C) that remain in pf_quality_level 4 to 7. Users are recommended to avoid these values.

Importantly, PFV53 data provided in netCDF-4 (classic model, with internal compression and chunking) are nearly 100% compliant with the GHRSSST Data Specification Version 2.0 (GDS2.0 revision 5) requirements. However, it must be noted that in L3C data the variables sses_bias, sses_standard_deviation, and sst_dtime are still empty. PFV53 data were collected through the operational periods of the NOAA-7 through NOAA-19 Polar Operational Environmental Satellites (POES), and are available from 1981 through Present. Data for all these years are available as multiple NCEI accessions. PFV5.3 production is running on operational mode and will be updated on quarterly basis.

1.4 Document Maintenance

This document is generated and maintained by NOAA’s National Centers for Environmental Information. More on policy is available at https://www.ncei.noaa.gov/.

2. Results

The data stewardship maturity assessment information is summarized in Table 1. Each component is displayed along with its corresponding score in a color-coded table.
<table>
  <tr>
    <th colspan="2">Table 2. Dataset and Data Stewardship Maturity Assessment Metadata</th>
  </tr>
  <tr>
    <th>Dataset Title</th>
    <td>AVHRR Pathfinder Version 5.3 Level 3 Collated (L3C) Global 4km Sea Surface Temperature</td>
  </tr>
  <tr>
    <th>Dataset Information URL</th>
    <td>https://doi.org/10.7289/v52j68xx</td>
  </tr>
  <tr>
    <th>Data Provider POC (Name; Email; Affiliation)</th>
    <td>National Centers for Environmental Information, NESDIS, NOAA, U.S. Department of Commerce, 301-713-3277, NCEI. Info@noaa.gov</td>
  </tr>
  <tr>
    <th>Dataset POC (Name; Email; Affiliation)</th>
    <td>National Centers for Environmental Information, NESDIS, NOAA, U.S. Department of Commerce, 301-713-3277, NCEI. Info@noaa.gov</td>
  </tr>
  <tr>
    <th>SMM Version (Document ID and Version Number)</th>
    <td>NCDC-CICS-SMM_0001_Rev.1 12/09/2014</td>
  </tr>
  <tr>
    <th>SMM POC (Name; E-mail; Affiliation)</th>
    <td>Ge Peng, ge.peng@uah.edu, University of Alabama-Huntsville</td>
  </tr>
  <tr>
    <th>SMM Template Version (Document ID and Version Numbers)</th>
    <td>NCDC-CICS-SMM_0001_Rev.1 v4.0 06/23/2015</td>
  </tr>
  <tr>
    <th>SMM Template POC</th>
    <td>Ge Peng, ge.peng@uah.edu, University of Alabama-Huntsville</td>
  </tr>
  <tr>
    <th>SMM Assessment Version (v<nn>r<mm>, e.g., v01r00)</th>
    <td>v01r03</td>
  </tr>
  <tr>
    <th>SMM Assessment Date (MM/DD/YYYY)</th>
    <td>04/15/2019</td>
  </tr>
  <tr>
    <th>SMM Assessment POC (Name; E-mail; Affiliation)</th>
    <td>Raisa Ionin; raisa.ionin@noaa.gov; NOAA’s National Centers of Environmental Information (NCEI)</td>
  </tr>
  <tr>
    <th>Stewardship Maturity Ratings (each key component) (kc1/kc2/kc3/kc4/kc5/kc6/kc7/kc8/kc9)</th>
    <td>5 /5 /4.5 /5 /4 /3 /3 /2.75 /3</td>
  </tr>
  <tr>
    <th>SMM Original Assessment Date (MM/DD/YYYY)</th>
    <td>03/13/2017</td>
  </tr>
  <tr>
    <th>SMM Original Assessment POC (Name; E-mail; Affiliation)</th>
    <td>Raisa Ionin; raisa.ionin@noaa.gov; NOAA’s National Centers of Environmental Information (NCEI)</td>
  </tr>
  <tr>
    <th>SMM Last Modified Date (MM/DD/YYYY)</th>
    <td>10/13/2021</td>
  </tr>
  <tr>
    <th>SMM Last Modification POC (Name; E-mail; Affiliation)</th>
    <td>Katy Luquire, catherine.luquire@noaa.gov , CASE Consultants International</td>
  </tr>
  <tr>
    <th>SMM Modified Date (MM/DD/YYYY)</th>
    <td>04/15/2019</td>
  </tr>
  <tr>
    <th>SMM Modification POC (Name; E-mail; Affiliation)</th>
    <td>Raisa Ionin; raisa.ionin@noaa.gov; NOAA’s National Centers of Environmental Information (NCEI)</td>
  </tr>
</table>
<table>
  <tr>
    <th>DSMM Key Component</th>
    <th>Stewardship Maturity Rating, Justification, and Comments</th>
  </tr>
  <tr>
    <td rowspan="2">Preservability</td>
    <td>Level 5<br>
      • Archived by NCEI, which is NOAA designated repository. NOAA is compliant to NARA standards<br>
      • Metadata following ISO 19115-2 standards.<br>
      • Compliant to OIAS RM<br>
      • Plans to update metadata to ISO 19115-1 at a later date<br>
      • Using NCEI Silver Spring Archive Management System, AMS.<br>
      Comments:
    </td>
  </tr>
  <tr>
    <td></td>
  </tr>
  <tr>
    <td rowspan="2">Accessibility</td>
    <td>Level 5<br>
      • Collection level searchable online<br>
      • Granule level is searchable online<br>
      • Additional search options available from collection level site<br>
      • Direct file download available from<br>
      • THREDDS:https://www.ncei.noaa.gov/thredds-ocean/catalog/pathfinder/Version5.3/L3C/catalog.html<br>
      • HTTP:https://data.nodc.noaa.gov/pathfinder/Version5.3/L3C/https://www.ncei.noaa.gov/data/oceans/pathfinder/Version5.3/L3C/<br>
      • FTP:ftp://ftp-oceans.ncei.noaa.gov/pub/data.nodc/pathfinder/Version5.3/L3C/<br>
      • Dissemination reports are available to the public https://www.nodc.noaa.gov/SatelliteData/pathfinder/logs/<br>
      • Future technology changes are planned<br>
      Comments:<br>
      About AVHRR Pathfinder 5.3: https://www.nodc.noaa.gov/satellitedata/pathfinder4km53/<br>
      Link to NOAA CDR Sea Surface Temperature – Pathfinder Page https://www.ncdc.noaa.gov/cdr/oceanic/sea-surface-temperature-pathfinder<br>
      Climate Data Records Factsheet https://www1.ncdc.noaa.gov/pub/data/sds/rsad-brochure-revised-01-13-09.pdf
    </td>
  </tr>
</table>
<table>
  <tr>
    <th>DSMM Key Component</th>
    <th>Stewardship Maturity Rating, Justification, and Comments</th>
  </tr>
  <tr>
    <td rowspan="12">Usability</td>
    <td>Level 4.5
      <ul>
        <li>The format is interoperable: netCDF for granules</li>
        <li>User guide [GHRSSST, 2011] is available online https://www.nodc.noaa.gov/archive/arc0072/0123222/1.1/data/0-data/GHRSSSTUserGuidev91.pdf</li>
        <li>User Manual [GHRSSST, 2011] is available online https://www.nodc.noaa.gov/archive/arc0072/0123222/1.1/data/0-data/GDS20r5.pdf</li>
        <li>All GHRSSST collections have error estimate.</li>
        <li>Error estimates/error budget for AVHRR Pathfinder can be found in [ Baker-Yeboah, 2016] and are available online https://www1.ncdc.noaa.gov/pub/data/sds/cdr/CDRs/Sea_Surface_Temperature_Pathfinder/AlgorithmDescription.pdf</li>
        <li>All GHRSSST collections have enhanced online capability (e.g., visualization, multiple data formats): TDS, DAP; access from metadata main landing page.</li>
        <li>A GHRSSST User Guide, Quick Start Guide, GHRSSST Data Specification (GDS) manual, and other relevant documents describing GHRSSST data sets can be found in the archive accession, Documentation for The Group for High Resolution Sea Surface Temperature (GHRSSST) data archived at NODC (NODC Accession 0123222), https://www.ncei.noaa.gov/access/metadata/landing-page/bin/iso?id=gov.noaa.nodc:0123222</li>
        <li>Data flow diagram is available: https://www1.ncdc.noaa.gov/pub/data/sds/cdr/CDRs/Sea_Surface_Temperature_Pathfinder/DataFlowDiagram.pdf</li>
        <li>Algorithm documents are available:
          <ul>
            <li>[Sea Surface Temperature - Pathfinder - Climate Algorithm Theoretical Basis Document, 2016] available online https://www.ncei.noaa.gov/sites/default/files/2020-04/AlgorithmDescription.pdf</li>
            <li>[Casey, 2010] available online https://www.nodc.noaa.gov/SatelliteData/pathfinder4km/OFs_21_Cas_09Dec2009.pdf</li>
            <li>No external ranking</li>
            <li>*Ranking was done for the previous version, Found previous version, 4 km AVHRR Pathfinder Version 5.2 Public Review Results: https://www.ncei.noaa.gov/products/avhrr-pathfinder-sst</li>
          </ul>
        </li>
      </ul>
      Comments:
      About AVHRR Pathfinder 5.3:https://www.nodc.noaa.gov/satellitedata/pathfinder4km53/
    </td>
  </tr>
  <tr>
    <td>Level 5
      <ul>
        <li>The dataset is currently supported.</li>
        <li>Pathfinder is an Ad Hoc product. It receives updates with every version change.</li>
        <li>Changes for technology planned</li>
        <li>This is a NOAA NCEI product, under long-term institutional/national commitment</li>
      </ul>
      Comments:
    </td>
  </tr>
</table>
<table>
  <tr>
    <th>DSMM Key Component</th>
    <th>Stewardship Maturity Rating, Justification, and Comments</th>
  </tr>
  <tr>
    <td>Data Quality Assurance</td>
    <td>Level 4<br>
      • DQA procedure defined, documented and fully implemented based on the following documentation:<br>
      • [Sea Surface Temperature - Pathfinder - Climate Algorithm Theoretical Basis Document, 2016] available online https://www.ncei.noaa.gov/sites/default/files/2020-04/AlgorithmDescription.pdf<br>
      • [Casey, 2010] is available online https://www.ncei.noaa.gov/products/avhrr-pathfinder-sst<br>
      • [ Kilpatrick , 2001] is available online https://doi.org/10.1029/1999jc000065<br>
      • File level quality flags exist which can be considered limited data quality assurance metadata.<br><br>
      Comments:<br>
      Public review results for previous version only:https://www.nodc.noaa.gov/SatelliteData/pathfinder4km/pfv52_public_review_results.html
    </td>
  </tr>
  <tr>
    <td>Data Quality Control/Monitoring</td>
    <td>Level 3<br>
      • Limited Quality Control metrics are available based on publications<br>
      • [Sea Surface Temperature - Pathfinder - Climate Algorithm Theoretical Basis Document, 2016] available online https://www.ncei.noaa.gov/sites/default/files/2020-04/AlgorithmDescription.pdf<br>
      • [Casey, 2010] is available online https://www.ncei.noaa.gov/products/avhrr-pathfinder-sst<br>
      • [ Kilpatrick , 2001] is available online https://doi.org/10.1029/1999JC000065<br>
      • Sampling and analysis are frequent and systematic but not automatic<br>
      • Procedure documented and available online<br>
      • Community metrics defined and partially implemented<br><br>
      Comments:<br>
      NCEI Product description page:https://www.nodc.noaa.gov/satellitedata/pathfinder4km53/
    </td>
  </tr>
  <tr>
    <td>Data Quality Assessment</td>
    <td>Level 3<br>
      • Algorithm Based Documentation (ATBD)<br>
      • [Sea Surface Temperature - Pathfinder - Climate Algorithm Theoretical Basis Document, 2016] available online https://www.ncei.noaa.gov/sites/default/files/2020-04/AlgorithmDescription.pdf<br>
      • Research product assessed in literature:<br>
      • [Sea Surface Temperature - Pathfinder - Climate Algorithm Theoretical Basis Document, 2016] available online https://www.ncei.noaa.gov/sites/default/files/2020-04/AlgorithmDescription.pdf<br>
      • [Casey, 2010] is available online https://www.ncei.noaa.gov/products/avhrr-pathfinder-sst<br>
      • [ Kilpatrick , 2001] is available online https://doi.org/10.1029/1999JC000065<br>
      • Operational product is assessed based on this publication:<br>
      • [ Kilpatrick , 2001] and is available online https://doi.org/10.1029/1999JC000065<br><br>
      Comments:
    </td>
  </tr>
</table>
<table>
  <tr>
    <th>DSMM Key Component</th>
    <th>Stewardship Maturity Rating, Justification, and Comments</th>
  </tr>
  <tr>
    <td rowspan="1">Transparency / Traceability</td>
    <td>Level 2.75<br>
      • Limited product information available, metadata only on the AVHRR_Pathfinder_L3C_V5.3landing page: https://www.ncei.noaa.gov/access/metadata/landing-page/bin/iso?id=gov.noaa.nodc:AVHRR_Pathfinder-NCEI-L3C-v5.3<br>
      • GHRSSST datasets are under Configuration Management principles: https://doi.org/10.5281/zenodo.4700465<br>
      • Product information is available in literature:<br>
      [ Baker-Yeboah , 2016]<br>
      [Casey, 2010] is available online https://www.ncei.noaa.gov/products/avhrr-pathfinder-sst<br>
      [ Kilpatrick , 2001] is available online https://doi.org/10.1029/1999JC000065<br>
      [Sea Surface Temperature - Pathfinder - Climate Algorithm Theoretical Basis Document, 2016] available online https://www.ncei.noaa.gov/sites/default/files/2020-04/AlgorithmDescription.pdf<br>
      • DOI is assigned - 10.7289/V52J68XX<br>
      Comments:
    </td>
  </tr>
  <tr>
    <td rowspan="1">Data Integrity</td>
    <td>Level 3<br>
      • Data archive integrity verifiable - Checksum technology is available, each AVHRR Pathfinder package is accompanied by a manifest in XML format containing hash digests generated using various algorithms, including MD5, SHA-1, SHA-384, etc. That includes checksums (.md5) for every file package. https://www.nodc.noaa.gov/archive/arc0095/0129789/0129789.1.1.xml<br>
      • Data authenticity is verifiable (since data can be downloaded via HTTPS and HTTPS uses certificates to prove site authenticity)<br>
      • NCEI-MD does not provide digital signatures for data dissemination<br>
      Comments:
    </td>
  </tr>
</table>
3. Acknowledgment

This work is supported by the NOAA OneStop Project.

We thank the dataset POCs for their valuable input, as well as the collaborative efforts of the OneStop teams, especially the Metadata team. We would also like to show appreciation to Ge Peng for her contributions.

The draft of this data stewardship maturity report is systematically generated by a tool created by Kieran Hodnett and populated with the stewardship maturity assessment done by the author(s) of this report. The tool was developed based on a Word template created collaboratively by Robert Partee II, Raisa Ionin, Paul Lemieux III, Ge Peng, Don Collins, and Sonny Zinn with helpful input from the NOAA Central Library and the NCEI Communication Team.
4. References

Casey, K. (2016), The NOAA OneStop data discover and access framework project, Version:June 3, 2016. https://cdn.ioos.noaa.gov/media/2017/12/OneStop-IOOS-DMAC-03-June-2016.pdf

Peng, G. (2015) The scientific data stewardship maturity assessment model template, Version: NCDC-CICS-SMM-0001-Rev.1 v4.0 6/23/2015. doi:10.6084/m9.figshare.1211954.

Peng, G., J.L. Privette, E.J. Kearns, N.A. Ritchey, and S. Ansari (2015), A unified framework for measuring stewardship practices applied to digital environmental datasets, Data Science Journal, 13, 231-253, doi: 10.2481/dsj.14-049.

Peng, G., J. Lawrimore, V. Toner, C. Lief , R. Baldwin, N. Ritchey, D. Brinegar, and S. A. Delgreco (2016) assessing stewardship naturity of the global historical climatology network-monthly (GHCN-M) dataset: use case study and lessons learned, D-Lib Magazine, 22, doi:10.1045/november2016-peng.

GHRSSST User Guide version 9.1, 2011, retrieved online: https://www.nodc.noaa.gov/archive/arc0072/0123222/1.1/data/0-data/GHRSSSTUserGuidev91.pdf (Accessed December 14, 2016)

The Recommended GHRSSST Data Specification (GDS) GDS 2.0 revision 5, 2011, retrieved online: https://www.nodc.noaa.gov/archive/arc0072/0123222/1.1/data/0-data/GDS20r5.pdf (Accessed 12 December 2016)

Baker-Yeboah, S., K. Saha, (2016), Climate Data Record (CDR) Program, Climate Algorithm Theoretical Basis Document (C-ATBD). Sea Surface Temperature – Pathfinder, _Rep. CDRP-ATBD-0099_, retrieved online: https://www1.ncdc.noaa.gov/pub/data/sds/cdr/CDRs/Sea_Surface_Temperature_Pathfinder/AlgorithmDescription.pdf (Accessed 15 March 2017)

Sea Surface Temperature - Pathfinder - Climate Algorithm Theoretical Basis Document, NOAA Climate Data Record Program CDRP-ATBD-0099 Rev.3 (2016). Available from https://www.ncei.noaa.gov/sites/default/files/2020-04/AlgorithmDescription.pdf . (Accessed 13 October 2021)

Casey, K. S., T. B. Brandon, P. Cornillon, and R. Evans (2010), The Past, Present, and Future of the AVHRR Pathfinder SST Program, _Oceanography from Space_, 273–287, doi:10.1007/978-90-481-8681-5_16
Appendix I: The Scientific Data Stewardship Maturity Matrix (DSMM)

Table A1: This matrix (Version: NCDC-CICS-SMM-0001-Rev.1. 12/09/2014) describes the criterion used to evaluate data stewardship maturity for each of the nine DSMM key components [Peng et al., 2015].

<table>
  <tr>
    <th>DSMM Component</th>
    <th>Level 1<br><i>Ad hoc</i><br>Little or no management</th>
    <th>Level 2<br><i>Minimal</i><br>Limited management</th>
    <th>Level 3<br><i>Intermediate</i><br>Defined management, partially implemented</th>
    <th>Level 4<br><i>Advanced</i><br>Well-defined management, fully implemented</th>
    <th>Level 5<br><i>Optimal</i><br>Full management, audited, measured, controlled</th>
  </tr>
  <tr>
    <td rowspan="2"><i>Preservability</i><br>(<i>The state of being preservable</i>)</td>
    <td>Any storage location<br>Data only</td>
    <td>Non-designated repository<br>Redundancy<br>Limited archiving metadata</td>
    <td>Designated archive<br>Redundancy<br>Community-standard archiving metadata<br>Conforming to limited archiving standards</td>
    <td>Level 3 +<br>Conforming to community archiving standards</td>
    <td>Level 4 +<br>Archiving process performance controlled, measured, and audited<br>Future archiving standard changes planned</td>
  </tr>
  <tr>
    <td colspan="5"></td>
  </tr>
  <tr>
    <td rowspan="2"><i>Accessibility</i><br>(<i>The state of being searchable and accessible publicly</i>)</td>
    <td>Not publically available person-to-person</td>
    <td>Publically available direct file download (e.g., via anonymous FTP server)<br>Collection or dataset level searchable online</td>
    <td>Level 2 +<br>Non-standard data service<br>Limited data server performance<br>Granule/file level searchable<br>Limited search metrics</td>
    <td>Level 3 +<br>Community-standard data service<br>Enhanced data server performance<br>Conforming to community search metrics<br>Dissemination report metrics defined and implemented internally</td>
    <td>Level 4 +<br>Dissemination reports available online<br>Future technology and standard changes planned</td>
  </tr>
  <tr>
    <td colspan="5"></td>
  </tr>
</table>
<table>
  <tr>
    <th><i>Usability<br>(The state of being easy to use)</i></th>
    <td>Extensive product-specific knowledge required<br>No documentation online</td>
    <td>Non-standard data format<br>Limited documentation (e.g., user’s guide online)</td>
    <td>Community standard-based interoperable format & metadata<br>Documentation (e.g. source code, product algorithm document, processing or/and data flow diagram) online</td>
    <td>Level 3 +<br>Basic capability (e.g., subsetting, aggregating) & data characterization overall/global, e.g., climatology, error estimates) available online</td>
    <td>Level 4 +<br>Enhanced online capability (e.g., visualization, multiple data formats)<br>Community metrics of data characterization (regional/cell) online<br>External ranking</td>
  </tr>
  <tr>
    <th><i>Production Sustainability<br>(The state of data production being sustainable and extendable)</i></th>
    <td>Ad Hoc or Not applicable<br>To obligation or deliverable requirement</td>
    <td>Short-term Individual PI’s commitment (grant obligations)</td>
    <td>Medium-term Institutional commitment (contractual deliverables with specs and schedule defined)</td>
    <td>Long-term Institutional commitment<br>Product improvement process in place</td>
    <td>Level 4 +<br>National or international commitment<br>Changes for technology planned</td>
  </tr>
  <tr>
    <th><i>Data Quality Assurance<br>(The state of data quality being assured)</i></th>
    <td>Data quality assurance (DQA) procedure unknown or none</td>
    <td>Ad Hoc and random<br>QA procedure not defined and documented</td>
    <td>DQA procedure defined and documented and partially implemented</td>
    <td>DQA procedure well documented, fully implemented and available online with master reference data<br>Limited data quality assurance metadata</td>
    <td>Level 4 +<br>DQA procedure monitored and reported<br>Conforming to community quality metadata & standards<br>External review</td>
  </tr>
</table>
<table>
  <tr>
    <th>Data Quality Control/ Monitoring<br><i>The state of data quality being controlled and monitored</i></th>
    <th>None or Sampling unknown or spotty<br>Analysis unknown or random in time</th>
    <th>Sampling and analysis are regular in time and space<br>Limited product-specific metrics defined & implemented</th>
    <th>Level 2 +<br>Sampling and analysis are frequent and systematic but not automatic<br>Community metrics defined and partially implemented<br>Procedure documented and available online</th>
    <th>Level 3 +<br>Anomaly detection procedure well-documented and fully implemented using community metrics, automatic, tracked and reported<br>Limited quality monitoring metadata</th>
    <th>Level 4 +<br>Cross-validation of temporal & spatial characteristics<br>Physical consistency check<br>Conforming to community quality metadata & standards</th>
  </tr>
  <tr>
    <th>Data Quality Assessment<br><i>(The state of data quality being assessed)</i></th>
    <th>Algorithm/ method/model<br>Theoretical basis assessed (methods and results online)</th>
    <th>Level 1 +<br>Research product assessed (methods and results online)</th>
    <th>Level 2 +<br>Operational product assessed (methods and results online)</th>
    <th>Level 3 +<br>Quality metadata assessed<br>Limited quality assessment metadata</th>
    <th>Level 4 +<br>Assessment performed on a recurring basis<br>Conforming to community quality metadata & standards<br>External ranking</th>
  </tr>
  <tr>
    <th>Transparency/ Traceability<br><i>(The state of being transparent, trackable, and traceable)</i></th>
    <th>Limited product information available<br>Person-to-person</th>
    <th>Product information available in literature</th>
    <th>Algorithm Theoretical Basis Document (ATBD) & source code online<br>Dataset configuration managed (CM)<br>Unique Object Identifier (OID) assigned (dataset, documentation, source code)<br>Data citation tracked (e.g., utilizing Digital Object Identifier</th>
    <th>Level 3 +<br>Operational Algorithm Description (OAD) online, OID assigned, and under CM</th>
    <th>Level 4 +<br>System information online<br>Complete data provenance online</th>
  </tr>
</table>
<table>
  <tr>
    <th>Data Integrity<br>(The state of data integrity being verifiable)</th>
    <th>Unknown or no data ingest integrity check</th>
    <th>Data ingest integrity verifiable (e.g., checksum technology)</th>
    <th>(DOI) system Level 2 + Data archive integrity verifiable</th>
    <th>Level 3 + Data access integrity verifiable<br>Conforming to community data integrity technology standard</th>
    <th>Level 4 +<br>Data authenticity verifiable (e.g., data signature technology)<br>Performance of data integrity check monitored and reported</th>
  </tr>
</table>