Electronic Records Archives: Building the Archives of the Future: An Update Fynnette Eaton Change Management Officer BRIDG Meeting June 17, 2004

6/7/2004National Archives and Records Administration 2 Agenda The Challenges of Electronic Records NARA’s Solution ERA Research ERA Independent Verification and Validation Support Services Services ERA will provide to different types of users Current status of ERA Request for Help

6/7/2004National Archives and Records Administration 3 About NARA The Challenges Scope – The Entire Federal Government Variety – Different Types of Records Complexity – Records in Different Formats Volume – Enormous Amounts of Records Obsolescence – Constantly Changing Technology

6/7/2004National Archives and Records Administration 4 About NARA Our Solution The Archivist’s Directive: ERA is NARA’s Strategic Response The Electronic Records Archives (ERA) is a comprehensive, systematic, and dynamic means of preserving and providing continuing access to authentic electronic records over time. The goal of ERA is to enable NARA to preserve and provide access to any type of electronic record created anywhere in the Federal Government. ERA’s Vision Statement "ERA will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out its mission into the future." John W. Carlin, Archivist of the United States

6/7/2004National Archives and Records Administration 5 ACCESSPROCESSMANAGE Preserver Undertakes activities that ensure the reproducibility of the essential characteristics of electronic records over time Administrative User Handles such activities as registering or authorizing users, enforcing access controls, tracking and scheduled reports NARA Manager Interfaces with NARA personnel and makes decisions including approval of workflow processes Records Processor Undertakes the processing of a transfer Access Reviewer Conducts access review of electronic records in NARA custody Appraiser Makes recommendations on materials that will be transferred to NARA assets or will be disposed of by Transferring Entity Transferring Entity Provides the records For example: - Executive Branch Agency -Presidential Administration -Legislative Branch Agency -Judicial Branch Agency Consumer Searches ERA for information about records and within records ERA User Classes Our Solution

6/7/2004National Archives and Records Administration 6 ERA Research Current Activities: Data Grid Enabled “Transcontinental” Persistent Archives Prototype 2.5M+ files distributed across NARA, SDSC, U of MD, Stanford/SLAC, NNSA KCP Users can access files without knowing where or how they are stored Latest Grid Technology Applications of advanced data management and I/O techniques to address the challenges of managing electronic records – NCSA, U of IL – Urbana-Champaign Knowledge-based technologies enabling preservation of electronic records collections

6/7/2004National Archives and Records Administration 7 ERA Research Other NARA Active Collaborations: U.S. Army Research Laboratory & Georgia Tech Research Institute - Decision Support Systems for Presidential Electronic Records/Information Assurance NIST/ITL - Investigation of Cryptographically Strong Technologies to Support Authenticity Requirements for Presidential Electronic Records NNSA - Preservation of complex CAD/CAE objects NASA - Open Archives Information System Reference Model (ISO 14721:2003) DOD - Information Assurance Department of State – Knowledge Based Technology

6/7/2004National Archives and Records Administration 8 ERA Research Test Collections Executive Office of the President (ONDCP) OMB E-gov Digital Photographs, Document Images & Geospatial Records (OMB & multiple agencies) CAD/CAE solid model design records (NNSA) Senate Legislative Activities (U.S. Senate) Presidential Libraries Materials (Presidential Libraries) Federal Agencies Web Materials (multiple agencies) 2M Patents (USPTO & DARPA) Stanford Linear Accelerator Research Records (DOE) Microcomputer files from Administration of President George H.W. Bush

6/7/2004National Archives and Records Administration 9 ERA IV&V Support Services What is IV&V Independent Verification & Validation IV&V Verifies that the appropriate processes have been adhered to and Validates that the resulting product or service complies with the customer’s requirements

6/7/2004National Archives and Records Administration 10 ERA IV&V Support Services Independence Technical independence Managerial independence Financial independence

6/7/2004National Archives and Records Administration 11 ERA IV&V Support Services IV&V provides :  Objective assessment of software products and processes throughout the development life cycle  Objective assessment that requirements (system and software) are correct, complete, accurate, consistent, and testable  Early detection and correction of software errors  Management insight into process and product risk  Objective evidence of compliance (or non-compliance) with program performance, schedule and budget requirements

6/7/2004National Archives and Records Administration 12 ERA IV&V Support Services Benefits of IV&V IV&V Services will provide resources and data to help the PMO make timely, correct decisions regarding system development and implementation. Early detection of unusual conditions or products. Enhanced management insight into process and product risk.

6/7/2004National Archives and Records Administration 13 ERA IV&V IV&V Acquisition Activities Contracting out IV&V services Using GSA small business contracts Contract selection based on best value Contract will parallel the development contract - - Base Year + 7 option years - - Ensures continuity of IV&V expertise and knowledge throughout the development effort

6/7/2004National Archives and Records Administration 14 What services will ERA provide? Store electronic records for producers and provide access and other services for specified periods of time. Bring electronic records into NARA & the Presidential Libraries, preserve them & provide access respecting legal restrictions. Help customers discover and access holdings. Provide authentic copies of electronic records exercising property & other rights that will hold up in court, if needed. Guide & assist federal agencies in lifecycle management of their records. Support transition to e-government.

6/7/2004National Archives and Records Administration 15 What will the system do for Originators? Implement record schedule functionality. Support appraisal of electronic records. Support disposition of electronic records. Support transfer of electronic records to NARA Provide for accessioning of electronic records. Provide for review and redaction of sensitive information by authorized personnel.

6/7/2004National Archives and Records Administration 16 What will the ERA system do for Record Users? Find records based on searches of descriptions of records. Search the electronic records themselves. Accurately reproduce and output electronic records. Provide certified copies of electronic records. Manage requests for review of restricted materials. Implement the results of electronic records reviews. Enable users to request and receive assistance from NARA staff.

6/7/2004National Archives and Records Administration 17 Release of RFP – 12/03 Award up to Two Design Contracts – 4th Qtr. FY04 Select Single Development Contractor – 3 rd /4 th Qtr. FY05 Five Increments (Inc) w/ Multiple Releases Initial Operating Capability – FY 2007 Full Operating Capability – 2011 FY /03 Release of the Request for Proposal Contract Award Select Single Developer Initial Operating Capability (IOC) Full Operating Capability (FOC) 2011 The Electronic Records Archives Program Where are we now? Inc 1 4th Qtr rd /4thQtr Inc 2Inc 3Inc 4 Inc 5 2 years1 year

6/7/2004National Archives and Records Administration 18 We Need Your Help NARA is looking for records managers who are interested in participating in a User Group Program. Participants will interact with development contractors to enable contractors to gain valuable user information that can be applied during design and development of ERA. You will be able to provide feedback on prototype developments that will serve as the foundation for the ERA System.

6/7/2004National Archives and Records Administration 19 How to Participate If you would like to participate in the ERA User Working Group the ERA Program Office at With the subject line of “User Working Group” OR Contact us by phone

6/7/2004National Archives and Records Administration 20 ERA Main Phone Number: (301) ERA PMO ERA Website: Electronic Records Archives Program Management Office Information