NARA s Electronic Records Archives Program

Transcription

1 NARA s Electronic Records Archives Program Briefing for Joint Staff and Combatant Commands November 19, 2003 Ken Thibodeau Director ERA Program Management Office

2 NARA s Electronic Records Challenge Take any type of record, Created using any type of application, On any computing platform, From any entity in the Federal Government and any donor. Provide discovery and delivery to anyone with an interest and legal right of access, Now and for the life of the republic Guide and assist other agencies in managing their records For successful transition to e-government

3 Exploiting the Enterprise Bandwidth Expansion Global Information Grid Unit of Employment (Operational Level) Joint, Interagency, & Multi-National Interoperability En-Route Mission Planning Unit of Employment Unit (Strategic of Employment Level) (Strategic Level) Joint Data Net Joint Common Relevant Operational Picture Home Station Operations Center & Industrial Base UA (X) Comanche UE (XXX/XXXX) UA (X) Future Combat System Network w/ JTRS Predator Global Hawk UE (XX) WIN-Tactical Network w/ JTRS Space to Mud Unit(s) of Action (Tactical Level) Unit of Employment (Tactical Level) Factory to Foxhole 3

4 A (Federal) Record? Information made or received in the course of business Kept, or should be kept As evidence of functions, organization, policies, decisions, actions, etc. Because it contains valuable information Regardless of form or characteristics An electronic record is a record in a form suitable for processing by a computer

5 Does an Electronic Record Have to be Kept in Electronic Form? If there is no other way to keep it If there is a business need to do so E.g., in order to continue to use it in the system in which it was created If the evidential or o informational value o would be diminished o by converting it to o another form.

6 Keep a Record In Electronic Form if it has essential properties which cannot exist in any other form. Properties All Records Electronic Records Context Structure Content Behavior

7 Properties Context Structure Content Behavior All Records Provenance Activity Filing system Document structure Static, physical inscription Physical position Electronic Records = Conceptual & logical data models Hyperlinks Process records Virtual Reality Active reproduction Interaction Selective, variable presentation

8 A Record in the Form of a Geographic Information System (GIS) Application Data Layers Roads Land Use Population Density Administrative Boundaries Evacuation Routes Remote Sensing Imagery Rivers Geography, Geology et al. Behaviors Cartographic Display Overlaying of Data Layers Feature Selection

9 Evidence Enduring Values Emphasis on Authenticity Enhanced by proximity to event, originality, quality Information Emphasis on richness, completeness, etc. Enriched by linkage with other information Enhanced by authenticity

10 Preserving an Electronic Record Preservation of electronic records is the end-to-end process which enables re- production of an authentic copy of the record Goddard Space Flight Center Scientific Visualization Studio Image: zoomdcstill.tif 01/04/2001

11 Electronic Record Behaviors

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13 E-transactions Citizen System Assets Agency System Assets XML Business System Assets Government System Assets

14 E-transactions: Basic Assumptions Different systems interact in e-transactions. The only thing one system needs to know about another is that it can use the same intermediary. Anything which must be true about an information asset in one system must be true about that asset in another system involved in the e-transaction.

15 Electronic Records Archives: Basic Assumptions The ERA system must be able to interact with different systems. At any time, the only thing the ERA system needs to know about another is that it can use the same intermediary. Over time, the ERA system cannot know what mediators other systems will use. Any record in the ERA system must be an authentic copy of that record. Any record delivered from ERA to another system must be an authentic copy.

16 NARA s Strategy Attack the critical preservation problem Make information assets independent of information technology infrastructure Define the requirements in terms of the lifecycle management of records Find solutions in mainstream technologies being developed to support e-commerce and e-government Align with overall direction of IT in the U.S. Government

17 System acquisition NARA s Response: The ERA Program The ERA system will Support NARA s end-to-end lifecycle management of all records Preserve and provide access to electronic records Organizational change management Ensure NARA can successfully implement the system Research and Exploratory Development Address new challenges posed by continuing change in IT and its use in government Capitalize on opportunities offered by technological progress

18 Partnerships National Science Foundation Global Grid Forum National Computational Science Alliance San Diego Supercomputer Center Army Research Laboratory NIST National Partnership for Advanced Computational Infrastructure

19 Strategies to assure long- S a eg es o assu e o g term preservation of digital records constitute another particularly pressing issue for research...

20 Knowledge-Based Persistent Archives Ingest Services Maintenance Access Services Knowledge Relationships Between Concepts Knowledge Repository for Rules Knowledge or Topic-Based Query / Browse Domain to Information Mapping Information Data Attributes Semantics Fields Containers Folders Encodin ng Information Repository Data Grid Storage (Replicas, Persistent IDs) Access s Method ds Attribute- based Query Feature-based Query National Partnership for Advanced Computational Infrastructure

21 Electronic Records Archives: Virtual Workspaces ERA Virtual Workspace Model Tapes Accessioning Archival Reference Work bench Repository Work bench Accession Collection Query Disks Verif y Collection Collection Rebuild Internet Transform Describe Metadata Present Records Schedules Archival Research Catalog Order Fulfillment System

22 Acquisition of the ERA System Release RFP: Current Quarter Contract tfor Competing Designs: Q 3 FY 2004 Select single developer Q3 FY 2005 Initial Operating Capability: FY 2007 Full Operating Capability FY 2011

23 To Manage Electronic Records Efficiently and Effectively Automate processing Incorporate laws, regulations, policies, and sound archival and records management principles in the system. Make electronic records self-describing and self-validating to facilitate processing and management

24 Self-presenting documents

25 Plain text view of self presenting Document

26 Self-describing Electronic Records Document Type: Transmittal Memorandum Document Date Directive Addressees Status Subject Legal Basis Message Body Action Officers Author

27 Sample Self-Describing Document <Document type: transmittal memorandum> <Document Date:> February 10, 1998</> <Directive Transmitted:> Circular A-119</> <Addressees:>Heads Of Executive Departments And Agencies</> <Subject:>Federal Participation in the Development and Use of Voluntary Consensus Standards and Conformity Activities </> < Message Body:>Revised OMB Circular A-119 establishes policies on federal use

28 Automated Controls: Template An abstraction or articulation of the properties of a record, set of records, or a transaction involving records, which must be controlled. The template for all records requires that the provenance, date, and archival bond be specified. The template for State Dept. diplomatic messages requires that all content be plain text. The template for all transfers of records to the e te pate o a t a s e s o eco ds to t e National Archives is the S.F. 258

29 Self-validating Electronic Records A self-describing document has meaningful indicators of what the document is and/or contains Ideally, the indicators ( tags ) are simple and clear enough to be correctly interpreted by any computer or by a person When the tags can be used to compare a self-describing document to a model ( template ) of what it should be, it can be a self-validating lid document

30 Template Example Document Type: Transmittal Memorandum Document Date Addresse es Author Directi ve Statu s Subjec t Messag e Body A Transmittal Memorandum must contain Reference to the directive which h it transmits A subject header Indication of addressees Identity of the transmitting official Date transmitted by the official A message body The message body may identify the legal basis and one or more action officers If the template is in executable form, the computer can determine automatically if a record is what it should be.

31 Geography Markup Language g

32 G u i d e l i n e s Hierarchy of Controls Tier I: NARA STANDARDS Apply to Abstract Classes of Records and Sets of Records and to Lifecycle Transactions Create: Preserver Register: Preserver Conform to NARA standards Tier II: Top Level Producer Templates Apply to either abstract or real Classes & Sets of Records Create: Record Producer Register: Appraiser Conform to Tier II templates Tier III: Subsidiary Producer Templates Apply to real Classes of Records and Sets of Records Create: Record Producer Register: Record Producer S p e c i f i c s

33 Records Template Hierarchy Record NARA Textual Record Sound Recording Report Correspondence Central Files Dept. of State Consular Correspondence Diplomatic Correspondence Miscellaneous Correspondence Communications Letters of Diplomatic from Heads of State Credence Instructions..

34 Files Template Hierarchy NARA STANDARDS File Tier I Subject File Case File Chron File NIH Grant Files Tier II NIH Medical Records DoD OMPF Project Grant Center Grant Army OMPFs Air Force OMPFs Masrines OMPFs Navy OMPFs Tier III

35 File Case File Standard Case File File Required Elements Optional Elements Identifier Location Coverage Required Records Dates Disposition Authority Case Identifier Subseries of Nature of case Case Opening Record Case Closing Record Case Start Date Case End Date Disposition Authority. Producer Required Records Producer Optional Records Producer Prohibited Records Cross Reference Unspecified Records...

36 Case File: d-ompf Example NARA Standard DoD Template Instance Case File Official Military Personnel File Header: SSN=xxx-xx-xxxx i File Identifier SSN Doc Class=DD Record Date=dd/mm/yyyy Closing Record Certificate of Release or Discharge from Active Duty. Document Class: Form F l e R e c o r d Form Number DD 214 Form Owner DoD Form Version nn Version Issue Date 198x Version End Date 199x Form specification Digital Component Header label Component Name ASCII Data type Page image TIF IV

37 Virtual DD 214 Database Logical Model Position Position Document Organization Document Role Document Identification Document Status Document Type Person Document Role Document Person Document Person Organization Document Document Segment Pagination Record Representation Document Segment Association Document Representation Certification Person Document Representation Organization Organization Document Representation Organization Document Representation Reason Representation Status Person Document Representation Reason

38 OMPF Template Hierarchy DoD OMPF Army OMPFs Air Force OMPFs Masrines OMPFs Navy OMPFs Paper DD 214 Microform TIFF Image DIMHRS Data