A Dynamic Solution for Electronic Records: The National Archives & Records Administration’s Electronic Records Arch

1. A Dynamic Solution for Electronic Records: The National Archives & Records Administration’s Electronic Records Archives Kenneth Thibodeau, Director Electronic Records Archives Program National Archives and Records Administration

2. NARA Mission Needs for Electronic Records • Preserve any type of electronic record, • Created using any type of application, • On any computing platform • From any entity in the Federal Government, • Provide discovery and delivery • Obey laws and regulations restricting access • Now and for the life of the Republic • Guide all other agencies in lifecycle management of their e-government records

3. The ERA System Will Support: • Workflow and collaboration tools for lifecycle management of all types of records, temporary and permanent • within NARA • between NARA and other agencies • Ingestion, preservation, management, and access to electronic records • In the National Archives, • Federal Records Centers, and • Presidential Libraries

4. Facets of the Challenge of Preserving Electronic Records • Obsolescence – constantly changing technology • Variety – different types of records • Complexity – records in complex formats and with demanding behaviors • Volume – enormous numbers of records • Scope – the entire U.S. Federal Government, plus • Time Frame – from x years to forever • Authenticity – assuring the record remains as reliable as when first created • Accessibility – the public has a right of access to the records of its government

5. The Challenge: Growing Volumes • State Department: 25,000,000 electronic diplomatic messages, 1972 – 2000. • Clinton EOP: 32,000,000 email messages • Bush EOP: 150,000,000 – 200,000,000 email messages • 2000 Decennial Census: 600 to 800,000,000 image files • Department of Defense: 1,000,000,000 images of Official Military Personnel Files

6. The Challenge: Complexity & Reliability

7. NARA’s Strategy • Attack the critical preservation problem • Define the requirements in terms of the lifecycle management of records • Align with overall direction of Information Technology in the U.S. Government • Find solutions in commercially viable, mainstream technologies being developed to support e-commerce, e-government and the next generation national information infrastructure

8. ERA Virtual Workspaces Disposition Agreement FOIA Request Request to Transfer Records Request for Assistance Template Repository Records Lifecycle Data Description of Holdings Reference Workbench Public Agencies Data about Collections Business Congress Original Format Electronic Records Other Government President Persistent Format Electronic Records Federal Government Donors R e c o r d s L i f e c y c l e M a n a g e m e n t Workflow Management Accesioning Workbench R e p o s i t o r y Find Records Read Digital Media Accept Online Transfer Present Records Verify Transfers Produce Special Versions Describe Records Identify Sensitive Content Transform to Archival Format Redact Sensitive Records

9. ERA Virtual Workspaces Template Repository Records Lifecycle Data Description of Holdings Reference Workbench Public Agencies Data about Collections Business Congress Original Format Electronic Records Other Government President Federal Government Persistent Format Electronic Records Donors Increment 1 R e c o r d s L i f e c y c l e M a n a g e m e n t Disposition Agreement FOIA Request Request to Transfer Records Request for Assistance Workflow Management Accesioning Workbench R e p o s i t o r y Read Digital Media Find Records Accept Online Transfer Present Records Verify Transfers Produce Special Versions Describe Records Identify Sensitive Content Transform to Archival Format Redact Sensitive Records

10. ERA Virtual Workspaces Template Repository Records Lifecycle Data Description of Holdings Reference Workbench Public Agencies Data about Collections Business Congress Original Format Electronic Records Other Government President Federal Government Persistent Format Electronic Records Donors Increment 2 R e c o r d s L i f e c y c l e M a n a g e m e n t Disposition Agreement FOIA Request Request to Transfer Records Request for Assistance Workflow Management Accesioning Workbench R e p o s i t o r y Read Digital Media Find Records Accept Online Transfer Present Records Verify Transfers Produce Special Versions Describe Records Identify Sensitive Content Federal Agencies Transform to Archival Format Redact Sensitive Records

11. ERA Virtual Workspaces Template Repository Records Lifecycle Data Description of Holdings Reference Workbench Public Agencies Data about Collections Business Congress Original Format Electronic Records Other Government President Federal Government Persistent Format Electronic Records Donors Increment 3 R e c o r d s L i f e c y c l e M a n a g e m e n t Disposition Agreement FOIA Request Request to Transfer Records Request for Assistance Workflow Management Accesioning Workbench R e p o s i t o r y Read Digital Media Find Records Accept Online Transfer Present Records Verify Transfers Produce Special Versions Describe Records Identify Sensitive Content Federal Agencies Transform to Archival Format Redact Sensitive Records

12. ERA Virtual Workspaces Template Repository Records Lifecycle Data Description of Holdings Reference Workbench Public Agencies Data about Collections Business Congress Original Format Electronic Records Other Government President Federal Government Persistent Format Electronic Records Donors Increment 4 R e c o r d s L i f e c y c l e M a n a g e m e n t Disposition Agreement FOIA Request Request to Transfer Records Request for Assistance Workflow Management Accesioning Workbench R e p o s i t o r y Read Digital Media Find Records Accept Online Transfer Present Records Verify Transfers Produce Special Versions Describe Records Identify Sensitive Content Federal Agencies Transform to Archival Format Redact Sensitive Records

13. ERA Virtual Workspaces Template Repository Records Lifecycle Data Description of Holdings Reference Workbench Public Agencies Find Records Data about Collections Accept Online Transfer Present Records Business Congress Original Format Electronic Records Other Government President Describe Records Identify Sensitive Content X Federal Government Persistent Format Electronic Records Transform to Archival Format Redact Sensitive Records Donors Increment 5 R e c o r d s L i f e c y c l e M a n a g e m e n t Disposition Agreement FOIA Request Request to Transfer Records Request for Assistance Workflow Management Accesioning Workbench R e p o s i t o r y Read Digital Media Verify Transfers Produce Special Versions Federal Agencies

14. 6 6 Common Services Common Services Messages Messages Records & Records & Records & Records & 1 1 Metadata Metadata Metadata Metadata 3 3 3 3 5 5 SIP SIP Perform Perform Perform Perform Perform Perform Validate Validate Archival Archival Preservation Preservation Access Review Access Review Transfers Transfers Processing Processing Processing Processing & Redaction & Redaction Records Records Metadata Metadata SIP SIP & & Metadata Metadata DIP DIP Producers Producers 1 1 2 2 4 4 Consumers Consumers AIP AIP AIP AIP Manage Manage Extract Extract Archival Storage Archival Storage Access Access Metadata Metadata 3 3 Disposition Disposition Manage Manage Instructions Instructions Dispositions Dispositions Destroy/Expunge Destroy/Expunge Identify Identify Preserve Preserve Make Available Make Available Service Oriented Service Oriented Legend: Legend: OAIS Functions OAIS Functions ERA System ERA System - - Level Level Architecture Architecture Packages Packages 1 1 - - Ingest Ingest Ingest Ingest Business Application Services Business Application Services 2 2 - - Archival Storage Archival Storage Archival Storage Archival Storage 3 3 - - Data Management Data Management Records Management Records Management 4 4 - - Access Access Dissemination Dissemination 5 5 - - Preservation Preservation Preservation Preservation 6 6 Common Infrastructure Services Common Infrastructure Services - - Common Services Common Services Local Services & Control ERA Management Local Services & Control, ERA Management ERA_ENG_081c ERA_ENG_081c System Architecture

15. Lifecycle Management Planning • From the time a decision is made to transfer records to NARA, plan • How they will be transferred • How they will be preserved • How expected demand for access will be satisfied • How any legal restrictions on access will be enforced • Execution of the Lifecycle Management Plan should be automated where possible

16. Preserving Authentic Electronic Records Binary Sequence Archival Context Documentation Record Context Data Type Template Encoding Processing Record Type Template Data Format

17. ERA Development Plan 2004 2005 2006 2007 2008 2009 2010 2011 Jul Oct Jan Apr Jul Oct Jan Apr Jul Oct Jan Apr Jul Oct Jan Apr Jul Oct Jan Apr Jul Oct Jan Apr Jul Oct Jan Apr Jul Oct Jan FOC Increment 5 Preservation and Capacity Increment 4 Preservation and Capacity Increment 3 Preservation and Capacity Increment 2 Secure Facility/ Instances and Redaction Increment 1 Fully Instantiated Archives IOC SDR Analysis and Design

18. For Additional Information: www.archives.gov/era