Building an Electronic Records Archive at the National Archives and Records Administration

Recommendations for a Long-Term Strategy

Committee on Digital Archiving and the National Archives and Records Administration

Computer Science and Telecommunications Board

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

Robert F. Sproull and Jon Eisenberg, Editors

THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.edu



The National Academies | 500 Fifth St. N.W. | Washington, D.C. 20001
Copyright © National Academy of Sciences. All rights reserved.
Terms of Use and Privacy Statement



Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy Building an Electronic Records Archive at the National Archives and Records Administration Recommendations for a Long-Term Strategy Committee on Digital Archiving and the National Archives and Records Administration Computer Science and Telecommunications Board NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES Robert F. Sproull and Jon Eisenberg, Editors THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by the National Archives and Records Administration under Contract No. NAMA-02-C-0012. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-09696-0 Cover design by Jennifer M. Bishop. Copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2005 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy This page intentionally left blank.

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy COMMITTEE ON DIGITAL ARCHIVING AND THE NATIONAL ARCHIVES AND RECORDS ADMINISTRATION ROBERT F. SPROULL, Sun Microsystems, Chair HOWARD BESSER, University of California, Los Angeles JAMIE CALLAN, Carnegie Mellon University CHARLES DOLLAR, Dollar Consulting STUART HABER, Hewlett-Packard Laboratories MARGARET HEDSTROM, University of Michigan MARK KORNBLUH, Michigan State University RAYMOND LORIE, IBM Almaden Research Center CLIFFORD LYNCH, Coalition for Networked Information JEROME H. SALTZER, Massachusetts Institute of Technology MARGO SELTZER, Harvard University ROBERT WILENSKY, University of California, Berkeley Staff JON EISENBERG, Study Director and Senior Program Officer STEVEN WOO, Program Officer (through August 2004) DAVID PADGHAM, Research Associate JENNIFER M. BISHOP, Senior Project Assistant

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy COMPUTER SCIENCE AND TELECOMMUNICATIONS BOARD JEANNETTE M. WING, Carnegie Mellon University, Chair ERIC BENHAMOU, Benhamou Global Ventures, LLC DAVID D. CLARK, Massachusetts Institute of Technology, CSTB Chair Emeritus WILLIAM DALLY, Stanford University MARK E. DEAN, IBM Almaden Research Center DEBORAH ESTRIN, University of California, Los Angeles JOAN FEIGENBAUM, Yale University HECTOR GARCIA-MOLINA, Stanford University KEVIN KAHN, Intel Corporation JAMES KAJIYA, Microsoft Corporation MICHAEL KATZ, University of California, Berkeley RANDY H. KATZ, University of California, Berkeley WENDY A. KELLOGG, IBM T.J. Watson Research Center SARA KIESLER, Carnegie Mellon University BUTLER W. LAMPSON, Microsoft Corporation, CSTB Member Emeritus TERESA H. MENG, Stanford University TOM M. MITCHELL, Carnegie Mellon University DANIEL PIKE, GCI Cable and Entertainment ERIC SCHMIDT, Google, Inc. FRED B. SCHNEIDER, Cornell University WILLIAM STEAD, Vanderbilt University ANDREW J. VITERBI, Viterbi Group, LLC CHARLES BROWNSTEIN, Director KRISTEN BATCH, Research Associate JENNIFER M. BISHOP, Program Associate JANET BRISCOE, Manager, Program Operations JON EISENBERG, Senior Program Officer RENEE HAWKINS, Financial Associate MARGARET MARSH HUYNH, Senior Program Assistant HERBERT S. LIN, Senior Scientist LYNETTE I. MILLETT, Senior Program Officer JANICE SABUDA, Senior Program Assistant GLORIA A. WESTBROOK, Senior Program Assistant BRANDYE WILLIAMS, Staff Assistant For more information on CSTB, see its Web site at http://www.cstb.org; write to CSTB, National Research Council, 500 Fifth Street, N.W., Washington, DC 20001; call at (202) 334-2605; or e-mail the CSTB at cstb@nas.edu.

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy Preface Just as its constituent agencies and other organizations do, the federal government generates and increasingly saves a large and growing fraction of its records in electronic form. Recognizing the ever-greater importance of these electronic records for its mission of preserving “essential evidence,” the National Archives and Records Administration (NARA) launched a major new initiative, the Electronic Records Archives (ERA) initiative, in 1998. NARA subsequently requested that the National Research Council’s Computer Science and Telecommunications Board conduct a two-phase study to provide NARA with advice as it develops the ERA program. Phase one of the study resulted in the preparation of two reports by the Committee on Digital Archiving and the National Archives and Records Administration. The committee’s first report, Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for Initial Development,1 focused on design and engineering issues related to NARA’s Electronic Records Archives program. Also, the committee issued a letter report2 in October 2003 that elaborated on issues discussed in its first report, tying these issues specifically to NARA’s draft request for proposals for the ERA. Although some of the conclusions in these two reports relate to specific development initiatives and early design ideas, most of the 1   National Research Council. 2003. Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for Initial Development, Robert F. Sproull and Jon Eisenberg (eds.). The National Academies Press, Washington, D.C. The “Summary and Recommendations” chapter of the 2003 study is reprinted in Appendix B of the present report. 2   National Research Council. 2003. “Letter Report on Building an Electronic Records Archive at the National Archives and Records Administration.” The National Academies Press, Washington, D.C., October 16. The letter report is reprinted in Appendix C of this report.

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy observations about archive system design are not tied to these specifics and are intended to remain useful to NARA as it develops, refines, and iterates the ERA program. This final report is the result of phase two of the study. Prepared by the same committee (see Appendix D for biographical information), it examines longer-term, more strategic issues related to electronic records archiving at NARA. These issues include technology and other trends that shape the context in which the ERA exists, the archival processes of the ERA itself, and the future evolution of the ERA system. This final report also discusses record integrity, which the committee’s first report did not address in detail. The committee thanks the many people who made this report possible, although of course responsibility for the final result is its own. The support and assistance of the ERA program staff, especially Kenneth Thibodeau, Robert Chadduck, and Richard Steinbacher, are greatly appreciated. A number of individuals from NARA, other federal agencies, and the private sector, listed in Appendix A, provided valuable input to the committee during the course of its work. Jennifer M. Bishop, CSTB program associate, facilitated our work throughout the course of this project. David Padgham conducted background research and made a number of contributions to the committee’s reports. Robert F. Sproull, Chair Committee on Digital Archiving and the National Archives and Records Administration

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: William Y. Arms, Cornell University, Paul Conway, Duke University, W. Bruce Croft, University of Massachusetts, Amherst, Hector Garcia-Molina, Stanford University, James Gray, Microsoft Bay Area Research Center, Michael E. Lesk, Rutgers University, Charles McClure, Florida State University, Mark Seiden, MSB Associates, and J. Timothy Sprehe, Sprehe Information Management Associates. Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Robert

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy J. Spinrad, Xerox Corporation (retired). Appointed by the National Research Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy Contents     SUMMARY AND RECOMMENDATIONS   1 1   ONGOING TECHNOLOGY CHANGE AND RISING USER EXPECTATIONS   18      An Avalanche of Digital Information,   18      Planning for Continued Technology Change,   21      Long-Term Preservation,   23      Growing User Expectations,   31      Other Technology Trends,   32 2   REENGINEERING PROCESSES TO MEET THE ELECTRONIC RECORDS CHALLENGE   35      Recent Initiatives of the National Archives and Records Administration Related to Electronic Records,   35      Process Reengineering to Realize ERA Goals,   40 3   PARTNERING WITH OTHER INSTITUTIONS   46      Application Programming Interfaces,   46      Federation,   47 4   BROADENING RESEARCH INTERACTIONS   50      Rationale for Supporting Research,   50      Research Management for Agencies Without a Track Record in Sponsoring Research in Information Technology,   52

OCR for page R1
Building an Electronic Records Archive at the National Archives and Records Administration: Recommendations for a Long-Term Strategy      Engaging the Research Community Through Means Other Than Funding Research,   54      Research Challenges Facing the National Archives and Records Administration,   55      Concluding Remarks,   58 5   RECORD INTEGRITY AND AUTHENTICITY   59      Digital Assurance Tools and Principles,   60      Assurance at Record Ingest,   62      Assurance During Retention,   63      Assurance at Delivery to Archive Users,   68      Assurance for Additional Information,   68      Threat Modeling and Threat Countering,   69      Evolution of Assurance of Records,   69     APPENDIXES         A  BRIEFERS TO THE STUDY COMMITTEE   73     B  “SUMMARY AND RECOMMENDATIONS” CHAPTER FROM THE COMMITTEE’S FIRST REPORT   76     C  OCTOBER 16, 2003, LETTER REPORT TO THE NATIONAL ARCHIVES AND RECORDS ADMINISTRATION   87     D  COMMITTEE MEMBER AND STAFF BIOGRAPHIES   94