# Presentation: 014055

## WELCOME

- Industry Day

## Slide 2

## Slide 3

## Slide 4

## Slide 5

## Welcome Message

- Mr. Reynolds Cahoon
- Chief Information Officer

## Dr. Kenneth Thibodeau Program Director

- Dr. Kenneth Thibodeau Program Director

## National Archives & Records AdministrationMission Statement

- “The National Archives .... is a public trust on which our democracy depends. It enables people to inspect for themselves the record of what government has done. It enables officials and agencies to review their actions and helps citizens hold them accountable. It ensures continuing access to essential evidence that documents:
-      the rights of American citizens
-      the actions of federal officials
-      the national experience”

**Notes:**
This is NARA's mission statement.  It tell you, in crisp and succint terms, what we are all about.

## NARA Strategic Goals

** **1:** **Essential evidence will be created, identified, appropriately scheduled, and managed for as long as needed.
- 2: Essential evidence will be easy to access regardless of where it is or where users are for as long as needed.
- 3: All records will be preserved in an appropriate environment for use as long as needed.
- 4: NARA's capabilities for making changes necessary to realize our vision will continuously expand.

**Notes:**
NARA has examined in depth what it will take to accomplish our mission.  We have set out the results of that examination in our Strategic Plan.  We have set 4 strategic goals for ourselves, which you see here.

All of these goals apply to electronic records, and electronic records create some significant problems for achieving these goals.

## NARA’s Vision of the Electronic Records Archives

**NARA’s Vision of**** the Electronic Records Archives**

**Notes:**
The electronic records challenge is formidable, but as an agency we are committed to addressing this challenge head on.  We've stated what we want to accomplish in a single sentence:

## Record

**Documentary material of any form**
- Made or received in the course of business or under law, and
- Kept because it
- provides evidence of organization, functions, policies, decisions, procedures, operations, or other activities of their creators, or
- contains valuable information
- Electronic Record
- A record in a form that requires the use of a computer for access.

**Notes:**
NARA is in the records business.  So, let's be clear about what records are, how they differ from other forms of information.

First and foremost, we should note that a record is not any specific type of information.  It can be any type:  Any way you can write, inscribe, or capture information can be a record.  To paraphrase, "You can't tell a book by its cover," you can't tell a record by looking at it.  To tell a record, you need to know its context.  You need to know whose record it is; the activity in which it was created and used; and its relationship to other records of that creator and activity.

## NARA’s Electronic Records Challenge

- Preserve 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

**Notes:**
So, in considering what's involved in getting access to electronic records, you can see there are significant challenges.  NARA faces a major, multifaceted challenge in trying to accomplish its mission in the digital era.  We can sum up this challenge:

Now and for the life: not just delivering the records being created on computers today, but new types of records that will be created on computers that haven't been produced yet.

## NARA’s Electronic Records Challenge

- Diversity
- Complexity
- Open-ended Growth
- Obsolescence
- Continuing change
- Durability

**Notes:**
So, in considering what's involved in getting access to electronic records, you can see there are significant challenges.  NARA faces a major, multifaceted challenge in trying to accomplish its mission in the digital era.  We can sum up this challenge:

Now and for the life: not just delivering the records being created on computers today, but new types of records that will be created on computers that haven't been produced yet.

## What is the ERA system?An Open Archival Information System

- OAIS

**Archival**
**Information**
**Packages**

**Consumer**

**Query**

**Order**

**Response**

**Submission**
**Information**
**Packages**

**Dissemination**
**Information**
**Package**

**What is the ERA system?**An Open Archival Information System

**Notes:**
The ERA project was launched in 1998.  We spent the first 3 years essentially doing research; research in order to understand the problems better, and to see what might be possible.  Our research activities have all been collaborative: with other agencies in the FG, with counterparts in state governments and other national archives, with academics, and private industry. 

One of these collaborations was in the development of the OAIS standard.

ERA will be an OAIS, but the OAIS standard addresses any kind of information kept for any length of time.  It doesn't say anything specific about records.  We have to add the requirements for records and archives.

## ERA Scope

- Producers
- All agencies of the Federal Government
- The President
- The Congress
- The Supreme Court
- Private Donors
- Consumers
- The producers themselves
- Any member of the public
- Businesses
- Other governments

## Lines of Business

**National Archives**
**Presidential Libraries**
**Federal Records Centers**

## Lines of Business

**National Archives**
- Permanent preservation & sustained access
- Open ended clientele
**Presidential Libraries**
- Permanent preservation & sustained access
- Open ended clientele
- Presidential Records Act provisions
- Donated Materials
**Federal Records Centers**
- Finite time preservation
- Services required by federal agencies
- Access controlled by agencies
- National Personnel Records Centers

## Customer Services

- Store electronic records for producers and provide access and other services they require for specified periods of time
- Bring electronic records into the National Archives and the Presidential Libraries, preserve them and provide access, respecting legal restrictions, forever
- Help customers discover and access holdings
- Provide authentic copies of electronic records which will support exercise of property and other rights and hold up in court, if needed.
- Guide and assist federal agencies in lifecycle management of their records
- Support the transition to e-government

## Realizing NARA’s Vision

- 1. We will be a leader in innovation in electronic records archiving.
- 2. In coordination with our Federal partners we will develop policy and technical guidance to enable responsible electronic records creation and management.
- 3. With help from our research partners, we will develop and maintain the technical capability to capture, preserve, describe, access and appropriately dispose of any government electronic record.
- 4. We will manage a coherent, nationwide, and sustainable system for permanent electronic records of the Federal Government.

**Notes:**
There are a lot of things we have to do to realize this vision.  NARA's leadership has spelled out what this vision means: 

## Realizing the Vision

- 5. We will develop the capability to manage Federal agency electronic records within the NARA records center system.
- 6. We will ensure that anyone, at anytime, from any place, has access to the best tools to find and use the records we preserve.
- 7. Our staff will be capable and consistent users of the electronic tools at every point of the life cycle.
- 8. We will sustain widespread support from all our stakeholders and customers by listening to their needs, meeting their requirements, and seeking their feedback.

**Notes:**
With respect to statement # 8, today is a major step starting an open discussion on how to improve ERA.  Today is an opportunity for you to tell us your interests, your concerns, your questions.  And today is an opportunity for us to obtain insights that will be very valuable in helping us to developing ERA that responds to your interests and needs.

This will not be the only opportunity you have.  There is a form in your package that can be used to provide written comments, and we welcome your input at any time.  You can send them to: ERA.Comments@nara.gov 

## Knowledge Base: Computer Science & Information Technology

**National Science Foundation**
- National Computational Science Alliance
- National Partnership for Advanced Computational Infrastructure
**U.S. Army Research Laboratory**
- Computational and Information Sciences Directorate
- Georgia Tech Research Institute
**National Institute of Standards and Technology**
- Information Technology Laboratory
**Defense Technical Information Center**
- Corporation for National Research Initiatives
**National Aeronautics & Space Administration**
- National Space Science Data Center
- Consultative Committee on Space Data Systems

## Knowledge Base: Archival Science, Records Management, & Information Science

- International Research on Preservation of Authentic Records in Electronic Systems (INTER PARES) project
- 11 National Archives, 8 state, provincial, and city archives
- 34 Universities
- 8 corporations, 6 institutes, 3 associations
- Africa, Asia, Australia, Europe, North America
- ISO TC 46, SC 11, Archives/Records Management
- Library of Congress
- National Digital Information Infrastructure and Preservation Program
- Digital Library Federation
- Defense Information Systems Agency
- Joint Interoperability Test Command

## “Strategies to assure long-term preservation of digital records constitute another particularly pressing issue for research...”

- “Strategies to assure long-term preservation of digital records constitute another particularly pressing issue for research...”

## Action Base

**The Administration and the Congress**
**NARA**
- Leadership Team
- Committee on Archival Requirements
- Integrated Product Teams
- ERA Program Management Office
- Program Office Support Team
**Stakeholders**
**General Accounting Office, Information Technology Team**
- “Identifying the challenges associated with managing and preserving electronic records to help the government improve development of an advanced electronic records archive”

## Technical Overview

- Mr. Jon Valett Technical Expert

## Agenda

- Challenges and Constraints
- OAIS System Features
- Other System Features
- Characteristics and Criteria

## Technical Challenges of ERA

- Receives, stores, preserves, and provides access to electronic records, regardless of type, format, or media.
- Receives, preserves, and stores electronic records in a manner and environment appropriate to their sensitivity level.
- Stores electronic records in a manner that allows for maximum possible independence from specific hardware and software infrastructures.
- Supports high availability.
- Provides viable long-term storage for electronic records.

## Critical System Constraints

- ERA must be policy neutral
- ERA must be in compliance with NARA’s Target Architecture
- ERA’s architecture must be adaptable to changes in hardware, software, and communications technology
- ERA’s electronic holdings must be preserved in a state that is independent of specific hardware and software
- ERA’s design must balance the use of COTS, NDI, and newly developed software

## Open Archival Information System (OAIS) Features

## ERA Context - OAIS Reference Model

**MANAGEMENT**

**Ingest**

**Data**

** **

**Management**

**queries**

**result sets**

**Access**

**P**

**R**

**O**

**D**

**U**

**C**

**E**

**R**

**C**

**O**

**N**

**S**

**U**

**M**

**E**

**R**

**orders**

**Administration**

**Preservation Planning**

## Preservation Planning

- Use of templates
- Transfer of sample records
- Determine preservation characteristics

## Ingest

- Disposition agreements
- Transfer of records
- Verification of transfer
- Archival descriptions
- Transform records into persistent formats

## Archival Storage

- Reliable storage of records - media, copying, inventory...

## Data Management

- Information about records
- Disposition of electronic records
- Relationships among electronic records

## Access

- Review for sensitive information
- Redaction of electronic records
- Search
- Output

## Administration

- User accounts
- User assistance
- Communications with users
- Event logs
- Reporting

## Other System Features

## User Interface

- Electronic access to ERA services
- User interface - workbenches, customization,...

## Security

- Security of the electronic records
- Security of the system

## Workflow

- Workflow management tools - forms, customization,...

## System Characteristics

- Subscriptions to services
- Service management
- Performance requirements
- Response times
- Volumes
- Access
- Loads
- Comply with NARA’s Target Architecture

## Characteristics & Criteria

## Ingest Characteristics

- Expect Wide Variety of Formats (dbs, audio, maps, office automation, ...)
- Expected yearly ingest volume
- 50 TeraBytes in 2005
- 5,000 TeraBytes in 2014
- Total archive volume
- 50 TeraBytes in 2005
- 11,000 TeraBytes in 2014

## Architectural Evaluation Criteria

- Scalable
- Adding hardware horizontally
- Evolvable
- Technology insertion through standard APIs
- Extensible
- New record types, data types, and services on these various types can be added to the system without redesign or extensive software engineering

## Acquisition Strategy

- Mr. Rick Brunner Acquisition Expert

## Agenda

- Objective of Briefing
- Acquisition Approach
- Program Milestones
- Contractor Requirements
- Request for Proposal - Prime Contractor Proposal Requirements
- Selection Criteria
- Contracting Process & Schedule
- Questions

## Objective of Briefing

- Bring Bidders up to speed on the Current ERA Acquisition Approach :
**DRAFT - Subject to change**
- Present the current Acquisition Approach
- Inform Bidders of Key Evaluation Criteria
- Inform Bidders of Scheduled Events

## Acquisition Approach

## General Acquisition Approach

- Early and Frequent Industry Involvement
- Full and Open Competition
- Government provided with a Statement of Objectives (SOO) and Requirements Document
- Contractor provides Performance Work Statement (PWS), which will be incorporated into the contract
- Contractor provides first Award Fee Plan integrated with their PWS

**Notes:**
 BULLET 1: The primary purpose (or objective) to the presentation today
 To provide you with a basic understanding of the ERA program

 BULLET 2: We seek your help in making the ERA Program successful because the benefits will are the ERA will allow:

 NARA to be regarded as an expert in Electronics Archiving worldwide strengthening our role in the Federal Government
 NARA to become more efficient and we will be able to provide a wider scope of services to our customers.
 ERA to automate many of the now paper driven processes freeing our people to focus in on the important tasks that computers can’t replace

 ASK: What are your concerns or worries regarding the ERA Program?

Enhance the services offered by NARA to other agency records managers.

## General Acquisition Approach (cont’d)

- Award 1 or 2 Base Contracts for System Analysis/Design
- Based on Performance and Price Down-select to one Contractor to Develop ERA
- Procure through contract options included in contract five Optional Increments
- Intend to use Fixed Price + Award Fee

## Incremental Approach/Program Milestones

**Notes:**
 BULLET 1: The primary purpose (or objective) to the presentation today
 To provide you with a basic understanding of the ERA program

 BULLET 2: We seek your help in making the ERA Program successful because the benefits will are the ERA will allow:

 NARA to be regarded as an expert in Electronics Archiving worldwide strengthening our role in the Federal Government
 NARA to become more efficient and we will be able to provide a wider scope of services to our customers.
 ERA to automate many of the now paper driven processes freeing our people to focus in on the important tasks that computers can’t replace

 ASK: What are your concerns or worries regarding the ERA Program?

Enhance the services offered by NARA to other agency records managers.

## The ERA Incremental Contracting Process

**Increment N**

**....**

**Notes:**
 BULLET 1: The primary purpose (or objective) to the presentation today
 To provide you with a basic understanding of the ERA program

 BULLET 2: We seek your help in making the ERA Program successful because the benefits will are the ERA will allow:

 NARA to be regarded as an expert in Electronics Archiving worldwide strengthening our role in the Federal Government
 NARA to become more efficient and we will be able to provide a wider scope of services to our customers.
 ERA to automate many of the now paper driven processes freeing our people to focus in on the important tasks that computers can’t replace

 ASK: What are your concerns or worries regarding the ERA Program?

Enhance the services offered by NARA to other agency records managers.

## Prime Contractor - Terms and Conditions

- Government Purpose Data Rights
- Progress Payments
- SW CMM Level 3 for the unit performing the work

## Performance Based Management

- NARA will ask Bidders to extend NARA’s supplied Work Breakdown Structure (WBS) and incorporate hours and cost distributed over scheduled performance activities and milestones.
- NARA will ask Bidders to supply Bases of Estimates, Ground Rules, and Assumptions used for pricing and scheduling.

## Performance Based Management(cont’d)

- Contractor will implement a Performance Based Management System (Earned Value Management System)
- Bidders will propose Key Metrics in their PWS.  NARA will monitor Program Performance against these Key Metrics.

**Notes:**
 BULLET 1: The primary purpose (or objective) to the presentation today
 To provide you with a basic understanding of the ERA program

 BULLET 2: We seek your help in making the ERA Program successful because the benefits will are the ERA will allow:

 NARA to be regarded as an expert in Electronics Archiving worldwide strengthening our role in the Federal Government
 NARA to become more efficient and we will be able to provide a wider scope of services to our customers.
 ERA to automate many of the now paper driven processes freeing our people to focus in on the important tasks that computers can’t replace

 ASK: What are your concerns or worries regarding the ERA Program?

Enhance the services offered by NARA to other agency records managers.

## Award Fee Plan (AFP)

- Award Fee
- Cost, Schedule, Performance
- Fee Determination Every 6 Months
- Proposers Submit 1st Award Fee Plan with proposal to integrate with their PWS
- Government will provide weightings
- Looking for an effective non-complex plan

## Evaluation Criteria

## Source Selection in Accordance with FAR 15

- Best Value Competition
- All evaluation factors other than price, when combined, are significantly more important than price.
- Technical competition where price will be integrated into the award decision.

**Notes:**
 BULLET 1: The primary purpose (or objective) to the presentation today
 To provide you with a basic understanding of the ERA program

 BULLET 2: We seek your help in making the ERA Program successful because the benefits will are the ERA will allow:

 NARA to be regarded as an expert in Electronics Archiving worldwide strengthening our role in the Federal Government
 NARA to become more efficient and we will be able to provide a wider scope of services to our customers.
 ERA to automate many of the now paper driven processes freeing our people to focus in on the important tasks that computers can’t replace

 ASK: What are your concerns or worries regarding the ERA Program?

Enhance the services offered by NARA to other agency records managers.

## Evaluation Criteria

- Mission Capability (Technical/Management)
- Past Performance
- Proposal Risk
- Price

## Mission Capability Criteria

- Key Personnel
- Project Management Methodology
- Architecture
- Design
- Systems Engineering Methodology
- Understanding of the Problem
- Cost realism

## Past Performance Criteria

- Prior success on similar programs
- Successful record of addressing and resolving issues/problems
- Successful record of clear, effective, and cooperative communications with the government
- Successful accomplishment of program phase transitions

## Proposal Risk Criteria

- NARA will evaluate the risk associated with each Bidder’s proposal.

## Contracting Process & Schedule

## Contracting Process 

- Released RFI #1 and #2
- Conduct Industry Conference
- Release Draft RFP for Industry Comments (1 week later Vendor’s Conference) - 3rd quarter FY03
- Release Final RFP (1 week later Bidder’s Conference) - 4th quarter FY03
- Conduct Orals with Vendors in Competitive Range - 1st quarter FY04
- Negotiation with Apparent Winner(s)
- Award of Contract - 2nd quarter FY04

**Notes:**
 BULLET 1: The primary purpose (or objective) to the presentation today
 To provide you with a basic understanding of the ERA program

 BULLET 2: We seek your help in making the ERA Program successful because the benefits will are the ERA will allow:

 NARA to be regarded as an expert in Electronics Archiving worldwide strengthening our role in the Federal Government
 NARA to become more efficient and we will be able to provide a wider scope of services to our customers.
 ERA to automate many of the now paper driven processes freeing our people to focus in on the important tasks that computers can’t replace

 ASK: What are your concerns or worries regarding the ERA Program?

Enhance the services offered by NARA to other agency records managers.

## Next Steps

- 1 on 1 COTS SW Vendor Discussions, presentations to be scheduled on the following categories:
**XML Products**
**Translators, Viewers, Management Tools/Repositories, Authoring Tools**
**Web Services and Middleware Integration Products**
**Storage Management Systems**
**Database Management System (DBMS)****	**
**Relational, XML, Object Oriented**
**Workflow**
**Searching/Indexing Schemes and Products**
- NARA will allow up to the release of Draft RFP
- First come, first serve - as it applies to the NARA’s need
- NARA will call vendors as well
- Contact name and phone number will be available after Industry Day

## Break

- Panel discussion will begin in 15 minutes.
- Please return promptly.