Scientific Records: Preserving the Past to Protect the Future National Archives and Records Administration April 11, 2011 Herbert Grove Dorsey - chief physicist of the Coast and Geodetic Survey. With Dorsey Fathometer - Dorsey came to work with C&GS in 1926 Image ID: theb2152, NOAA's Historic Coast & Geodetic Survey (C&GS) Collection Photo Date: 1930? Credit: Family of Rear Admiral Paul A. Smith, C&GS Category: Charting/Soundings/Electronic/ NOAA Photo Library

About NARA National Archives and Records Administration provides for timely access to and preservation of governmental records is also responsible for ensuring good management of modern records in all three branches of Government.

Where would you be without records? Well-kept records are especially important to agencies with scientific missions. Many scientific observations performed by Federal agencies are of events that can never be repeated exactly. Once lost, such data can never be replaced. Observed data provides a baseline to determine rates of change and frequency of occurrence of unusual events. Data can be used in the future for different purposes than they were created for. This characteristic can be due to (a) new scientific concepts that involve using data and (b) new technologies for manipulating data. Reanalysis of data, even in the distant future, may bring new understanding. Observational data is both a history of natural occurrences and a record of human accomplishment. Transient natural phenomena [e.g., floods, earthquakes, etc.] are not reproducible. As a young scientist, Siegfried Bethke, current head of the Max Planck Institute for Physics in Munich, Germany, participated in 1986 experiment involving high-energy physics called JADE. For current studies on coupling strength Bethke went back to glean important information about the strong interactions that bind quarks and gluons together to form hadrons from records associated with the original JADE experiment in which her participated. While the result was great, Bethke had a tough time obtaining and using the old data, as it was disorganized and scattered from Heidelberg to Tokyo. One data set existed only as printed ASCII text. Outside of data rescue, software was another issue. Modern computers could no longer run the MORTRAN code used in the 1980s, so a graduate student spent a year to recreate old code before the data could be fully analyzed. Bethke’s experience highlights a significant problem in science recordkeeping that serves as a cautionary tale for current work. That is, without appropriate attention paid to records management at the time science records are created, whole data collections could become orphaned once science teams complete their works, meaning it will be extremely difficult for future generations to reuse data from experiments that cannot be readily produced. [From “Science’s Burden: Storing Terabytes of Research Data for Decades” by Yun Xie, Science, 2011 . ] LOS ANGELES REACTIVE POLLUTANT PROGRAM (LARPP), A UNIQUE MULTI-AGENCY AIR POLLUTION RESEARCH STUDY SPONSORED BY THE COORDINATING RESEARCH COUNCIL, A GOVERNMENT-INDUSTRY RESEARCH GROUP: 09/1973 ARC Identifier 552356 / Local Identifier 412-DA-9871 National Archives and Records Administration

And... Records contain information critical for conducting research and development. Their systematic management is essential to protect and preserve records as evidence of actions. Information contained in scientific records is a strategic, operational asset. Yet, too many Federal agencies that create these kind of records lack effective policies and procedures for systematic control of recorded information. We have to get away from just thinking of the here and now, the short term and the near term, and also think about long term needs for science records and how these can be preserved and made accessible decades or centuries from now to researchers and scientists. The track of Hurricane Donna as tracked by radar. NOAA photo library. National Archives and Records Administration

Furthermore... Managing this information is critical because it Supports the most important scientific functions of your program/agency Affects other scientific entities Provides accountability for you, your agency, and the Federal government Records provide the critical information you need to do your day-to-day work and allow your program to operate smoothly and efficiently. They provide background information on contracts, data on scientific experiments, and transcripts of interactions with the public and other governmental entities. Certain records are also critical to other entities who may also have a stake in your work and the resulting records. Many agencies, for example, are working with the Department of Justice to provide documentation in support of tobacco-related litigation. INS, the Customs Service, the FAA, DOD, and other agencies are exchanging and coordinating information to work together to address national security issues. And finally the general public has a stake in Federal records. For example, documentation of military service allows veterans to use VA hospitals; Social Security Administration records ensure entitlements to disabled citizens. Records contain the information that can protect you, your program, and your agency against litigation and liability involving accusations of misconduct, non-compliance, or waste, fraud, or abuse. AQUARIUS watch desk keeps 24 hr. watch on saturation operations. Image ID: nur08057, Voyage To Inner Space - Exploring the Seas With NOAA Collect Location: St. Croix, USVI Credit: OAR/National Undersea Research Program (NURP); Fairleigh Dickinson Univ. Category: Undersea Technologies/Undersea Labs (Habitats) & Obs/ National Undersea Research Program (NURP); NOAA Library National Archives and Records Administration

Major Categories of Science Records Observational Research and Development Environmental Health & Safety The records produced by Federal agencies with science missions generally, but not exclusively, fall into three major categories. Research and Development (R&D) records derive from applied science and technology (e.g., space vehicles, military hardware, fossil fuel and nuclear energy applications). R & D records include those that document the formulation of goals, evaluation and selection of proposals, and oversight and quality control. They include data collection and observation, analysis, and project administration, and are often maintained at a variety of sites in different formats, as a major project may be subdivided into specific pieces. Environmental health and safety records can originate from processes such as the disposal and monitoring of hazardous and toxic wastes and the cleanup and restoration of damaged sites. Observational data from the physical sciences consists of information about our physical universe (e.g., atmospheric storms, deep ocean currents, earthquakes, and energy emitted by a supernova). Observational data is often maintained centrally in data centers (e.g., NOAA’s National Climactic Data Center ).

Records include: Here are some examples of what we are dealing with. Traditional records, such as this paper lab notebook. National Archives and Records Administration

Records include: 3-D Model - NOAA Exclusive Economic Zone Mapping Project – 1985. NOAA Photo Library National Archives and Records Administration

Ishinomaki, Japan, before/after March 11, 2011 Tsunami Records include: Digital Satellite Imagery—USGS EROS. EROS has accumulated over 1.5 petabytes of digital records since 1972 that they have to manage to carry out their science mission. Ishinomaki, Japan, before/after March 11, 2011 Tsunami National Archives and Records Administration

Geographic Information System Data Records include: A particularly complicated technology – GIS – much of which is created using proprietary commercial software. Geographic Information System Data National Archives and Records Administration

Records include: Website content can also be a record. And Web 2.0 tools such as blogs, wikis and other social media tools are being exploited by agencies to get the word out about their programs. Some of the information must be maintained and preserved as records. National Archives and Records Administration

National Weather Service computer - Suitland, MD - 1965 Records include: Of course, most information is now created electronically. The concern is here is not only dealing with present technologies but also with legacy formats and media on which are stored electronic records of continuing value. National Weather Service computer - Suitland, MD - 1965 National Archives and Records Administration

Medium Practical Physical Lifetime Avg. Time ’til Obsolete* Optical (CD) 10–30 years 5 years Magnetic Disk 5–10 years 5 years Digital Tape 1–50 years** 5 years Analog Videotape 1–10 years** 5 years * For a particular format of the given type ** Tape lifetime is highly variable, depending on storage conditions Source: Jeff Rothenberg, RAND Corporation Sustainability Issue Medium Practical Physical Lifetime Avg. Time ’til Obsolete* Optical (CD) 10–30 years 5 years Magnetic Disk 5–10 years 5 years Digital Tape 1–50 years** 5 years Analog Videotape 1–10 years** 5 years * For a particular format of the given type ** Tape lifetime is highly variable, depending on storage conditions Source: Jeff Rothenberg, RAND Corporation The term “sustainable format” refers to the ability to access an electronic record throughout its lifecycle, regardless of the technology used when it was created. Agencies select electronic formats based on business need and current technical requirements. Those formats must be accessible both throughout their lifecycle and as technology evolves. Formats that are sustainable increase the likelihood of a record being accessible in the future. Formats that are not sustainable cause records to become obsolete and inaccessible before they are eligible for deletion as authorized in the approved records schedule. National Archives and Records Administration

Problems A 2006 NARA study of Federal research and development agency programs mentioned that scientists and engineers in laboratories have a history of managing their records however they see fit; in some cases this involves the scientists taking records with them when they retire or go to another job. One of the reasons given for this behavior was that scientists and engineers do not view their work as something they only do at the office; many think of their work as their ‘lives’ and the records they create are part of that life. Scientists sometimes spend years on a specific project and do not wish to give up the records they create to the Federal government when they retire. As a result, records become alienated from offices and sometimes end up in the attics, garages or home offices of the scientists, or are carried off to the scientist’s next job at a private research laboratory, educational institution, or at another government agency. Scientific records that are removed from laboratories and offices may suffer damage, loss, or misuse. Here are records of a retired scientist.

Problems In instances where science records are turned over to the government at the end of a project or career, they are sometimes left in disarray for others to sort through and process. Some are ‘given away’ to other institutions or entities, without NARA ever having been consulted or in any way involved in the transfer of custody. Here are scientists records – the top scene shows records in an old closet where low-level radioactive minerals were maintained. The lower picture are scientists records left in a box with only their name on the outside. For more information, see our newsletter article from last year (handout).

Personal vs. Government Records Professional files created before entering Government service; Files created during or relating to previously held positions, and reference files Private files brought into, created, or received in the office; Family and personal correspondence Materials documenting professional activities and outside scientific pursuits, including manuscripts and drafts for articles One of the issues brought out in our newsletter article concerns the confusion by some scientists regarding ownership of records created on behalf of a Federally-funded science program. Here are examples of personal records which fall under the control of the individual scientist. Enrico Fermi - 1950 National Archives and Records Administration

Handling Personal Files Maintain personal files separately from the records of the agency. Consult the agency records officer, legal counsel, or other designated official to help determine whether files are personal or Federal records. Obtain permission to remove copies of records. Here are recommendations for dealing with personal records situations. Pribilof Island Logbook, St. Paul Island: 08/24/1890 - 09/14/1890 ARC Identifier 297036 / MLR Number 756, 757 (...) National Archives and Records Administration

Strategies Some government science agencies have developed ways and means for properly caring for their records that can serve as ‘best practices’ for other such agencies. For example, USGS has implemented a written procedure for scientific records appraisal to help ensure early identification of important data and classification of that data under established retention guidelines.

Strategies The USGS in Denver has also developed a “Collection Policy and Deposit Form” for its scientists to use when closing out project records that says what constitutes Federal scientific records and provides a protocol on how to arrange, describe, and deliver the closed records to the designated archives and records function for continued maintenance and eventual transfer to NARA. Other science agencies are currently undertaking large scale digitization projects to selectively preserve and distribute science data that now appears only in older paper records that are unindexed or are in danger of deterioration .

NARA Study Interagency Science Working Group Open Archival Information System (OAIS) Standard Reference Model NOAA Best Practice NARA has a long history of involvement with the development of international standards related to electronic records and other digital information. With the cooperation of the scientific community it recently developed a high-level discussion guide for agencies about the Open Archival Information System (OAIS) standard to aid in the development of trustworthy digital repositories that acquire and preserve data so that long term access to that data can be achieved. The OAIS model is based on six business processes including ingest, archival storage, data management, administration, preservation planning, and access. Ingest – accepting information from creators/producers – identifying and receiving archival data, quality checking it as it is received, and generating descriptive information. Archival storage – providing services and functions for the storage, maintenance, and retrieval of data objects in the repository. Data Management – populating, maintaining, and accessing indexes and catalogs for the archival data – maintaining databases, generating reports, etc. Administration – archive policies and procedures, identifying new data submissions, physical security, providing customer reference services, etc. Preservation Planning – making sure the records in the repository remain accessible to data user communities over the long-term even if the original computing environment becomes obsolete. The NARA study group also built a best practice that NOAA developed to comply with the OAIS standard and NARA regulations, called “NOAA Procedure for Scientific Records Appraisal and Archival Approval: A Guide for Data Managers”. This guide represents an appraisal procedure for the management of environmental and geospatial records. What you see here is the NOAA Procedure for Identifying , Appraising , Approving and Implementing the Accession and Disposal of NOAA Scientific Records. http://www.nosc.noaa.gov/docs/products/NOAA_Procedure_document_final_12-16-1.pdf

Manage Records throughout their “Life Cycle” Creation/ Receipt Active Office use Inactive use Records Storage Area Permanent: 2 - 5% Temporary: 95 - 98% This simple diagram emphasizes what Records Management is all about – that is the cradle-to-grave management of records throughout their life-cycle. National Archives and Records Administration

Scheduling scientific records 1406-01 In Situ and Remotely Sensed Environmental Data: The data record environmental phenomena near to, and distant from, the location of the instrument. Metadata about the station's location and instrumentation are also included These data are a source of information on environmental parameters, such as weather patterns, vegetation and land cover, human activity, ocean climates, and geophysical descriptions of Earth phenomena. Authorized Disposition: Cut -off file( s) at end of calendar year in which the data are no longer needed for immediate/current research purposes Destroy/delete 75 years after cutoff upon approval by NOAA and NESDIS stakeholders Another way to properly manage and preserve scientific records is to ensure they are captured in a Federal records retention schedule for your agency. This shows an excerpt from a NOAA schedule covering science records created by NGDC. EXPLORER record from near Cape Hatteras. September 7, 1964 - Hurricane Dora NOAA Photo Library Image ID: theb2148, NOAA's Historic Coast & Geodetic Survey (C&GS) Collection NOAA Photo Library National Archives and Records Administration

The Future of Recordkeeping: Electronic Records Archives (ERA) GOALS: Access to historical electronic records by researchers Electronic records repository run by NARA All types of electronic records Preserved and accessible forever Department of Commerce will begin using in May 2011 The Government has an obligation to provide an historical record for future generations. Some records are valuable for a number of reasons: they offer an historical context for events, provide lessons learned, and are the basis upon which historians interpret our country's past. The Electronic Records Archives (ERA) is NARA's new system that allows Federal agencies to perform critical records management transactions with NARA online for the first time. Agency records management staff will use ERA to draft new records retention schedules for records in any format, officially submit those schedules for approval by NARA, request the transfer of records in any format to the National Archives for accessioning or pre-accessioning, and submit electronic records for storage in the ERA electronic records repository. National Archives and Records Administration

The Future of Recordkeeping: Electronic Federal Records Center GOALS: Storage and preservation of temporary electronic records owned by agencies Portal access to temporary files by record creators Migration services Compliant with Federal regulations ITS--NARA Partnership NARA is also exploring technologies that will allow agencies to preserve their temporary electronic records. “Temporary” can mean anywhere from a year to hundreds of years; USGS water resources raw data is kept for 100 years and much of it is electronic. In fact we are proud to mention that the Institute for Telecommunications Sciences here in Boulder has been instrumental in the development and testing of an electronic, portal-based solution for the storage, servicing, and management of Federal electronic records. [Photo courtesy http://www.flickr.com/photos/techenet/5438415237/] National Archives and Records Administration

“But I am a scientist, NOT a records manager!” National Archives and Records Administration

NARA can work with you... Rocky Mountain Region— Denver, CO: Records Management: 303-407-5720 Regional Archives: 303-407-5740 NARA can work with you and has a number of resources to help you. CLICK to end slide Watson & Crick and the double helix DNA model. National Archives and Records Administration

More help is available from your records officers... NTIA - Tony Calza / Sandra Ryan (acalza@ntia.doc.gov / sryan@ntia.doc.gov) NIST – Donna Miller (donna.miller@nist.gov) NOAA – Andre Sivels (andre.sivels@noaa.gov) You have many resources for assistance right in your own agency. READ text from slide, then CLICK to end slide National Archives and Records Administration

Organize, and protect your records to ensure the preservation of scientific accomplishments of the past……. National Archives and Records Administration

…and leave a trail of evidence for scientists of the future……... National Archives and Records Administration

TRANSFERRED NIST SCIENTIFIC RECORDS IN NARA Records of the Central Radio Propagation Laboratory (CRPL) and its Predecessors , 1875-1965. Radio Section established in Electricity Division, 1913. During World War II, Radio Section established Interservice Radio Propagation Laboratory (IRPL) to study effect of ionosphere on radio communication. CRPL established, May 1, 1946, absorbing the Radio Section and functions of IRPL. CRPL moved to Boulder, CO, 1954. Transferred to Environmental Sciences Services Administration, Department of Commerce, October 11, 1965. NBS residual functions vested in Radio Standards Laboratory and Radio Standards Physics Division in Institute for Basic Standards. Textual Records: Central decimal files of the Radio Section ("Radio Dewey Decimal Files"), 1912- 46. CRPL project and program records, 1932-65 (bulk 1954-65). CRPL quarterly reports, 1946-54. CRPL monthly activity reports, 1950-54. Records of J. Howard Dellinger, Chief of the Radio Section and CRPL, 1922-51. Photographs : CRPL photographic collection, arranged by office division, and including equipment, experiments, and research stations and sites, 1914-65 (6,258 images) National Archives and Records Administration

TRANSFERRED NOAA SCIENTIFIC RECORDS IN NARA Records of the National Climatic Center Textual Records: Meteorological records, collected or acquired by the National Climatic Center and its predecessor, the National Weather Records Center, between 1951 and 1979, of the First Byrd Antarctic Expedition ("BAE I"), 1928-30; the Second Byrd Antarctic Expedition ("BAE II"), 1933-35; the U.S. Antarctic Service, 1939-41; and the Ronne Antarctic Research Expedition, 1947-48. National Archives and Records Administration

TRANSFERRED NTIA SCIENTIFIC RECORDS IN NARA RECORDS OF THE INTERDEPARTMENT RADIO ADVISORY COMMITTEE (IRAC) 1922-74 Established as an independent agency, 1922, to provide advice to the President and other Executive branch agencies in areas relating to frequency allocation and electromagnetic spectrum management. Assigns radio frequencies to U.S. Government radio stations and implements international telecommunications treaties. National Archives and Records Administration

Preserving the Past We thought you’d be interested in seeing a little clip called “Scatter radar: Space research from the ground,” produced in 1963 by the National Bureau of Standards. The full film, now accessioned in the holdings of the National Archives, tells the story of the Jicamarca Observatory, at the time, a new National Bureau of Standards facility near Lima, Peru, and its fascinating new research projects. [NOTE: The observatory used a 22 acre antenna to probe the upper atmosphere to measure electron densities, make observations of planets, and studies solar coronas and solar gases. The scatter radar technique is explained in simple animation sequences: high frequency radio waves penetrate the ionosphere; free electrons in the upper atmosphere respond by oscillating and scattering their energy incoherently; the ultra-powerful Jicamarca antenna picks up this faint incoherent scatter. Analysis of this new data, yielding information heretofore concealed, provides the basis for calling this new technique "space research from the ground.“ ARC Identifier 37826 / Local Identifier 167.85 ] [Go to C:\Documents and Settings\mferguso\Desktop\NBS Scatter Radar 1963 33938] http://arcweb.archives.gov/arc/action/ShowFullRecordDigital?tab=showFullDescriptionTabs/digital&%24searchId=5&%24partitionIndex=0&%24digiSummaryPageModel.targetModel=true&%24DateFilter.detailId=-1&%24singleHierarchy.search=true&%24resultsDetailPageModel.search=true&%24singleHierarchy.partitionIndex=0&%24locationFilter.name=locationFilter&%24showArchivalDescriptionsTabs.selectedPaneId=digital&%24resultsSummaryPageModel.targetModel=true&%24resultsPartitionPageModel.search=true&%24highlight=false&%24levelOfDescriptionFilter.name=levelOfDescriptionFilter&%24levelOfDescriptionFilter.detailId=-1&%24singleHierarchy.name=singleHierarchy&%24showFullDescriptionTabs.selectedPaneId=scope&%24digiDetailPageModel.currentPage=0&%24digiViewModel.detailId=1&%24resultsPartitionPageModel.targetModel=true&%24resultsSummaryPageModel.pageSize=10&%24DateFilter.name=DateFilter&%24submitId=4&%24singleHierarchy.recordId=37826&%24digiViewModel.name=digiViewModel&%24digiDetailPageModel.resultPageModel=true&%24resultsDetailPageModel.currentPage=0&%24documentTypeFilter.detailId=0&%24resultsDetailPageModel.pageSize=1&%24sort=RELEVANCE_ASC&%24documentTypeFilter.name=documentTypeFilter&%24locationFilter.detailId=-1 Scatter radar: Space research from the ground, 1963 National Bureau of Standards