光存储技术-值得信赖的存储与电子记录管理

WhitePaperApril2003TrustworthyStorageandManagementofElectronicRecords_________________________________________________________TheRoleofOpticalStorageTechnologyCohassetAssociates,Inc.3806LakePointTower505NorthLakeShoreDriveChicago,Illinois60611Tel.[phone]CohassetAssociates,Inc.COHASSETASSOCIATES,INC.iTableofContentsIntroduction....................................................................................................................1EstablishingTrusworthiness..........................................................................................2TheRiskandCost..................................................................................................................3ChallengestoTrustworthiness.......................................................................................5DurableMedium....................................................................................................................6ChainofCustodyorAuditTrail...........................................................................................7TrustworthinessOverTime............................................................................................8AccessabilityOverTime......................................................................................................10StorageCostversusAccessPerformance............................................................................10DisasterRecovery................................................................................................................12Migration.............................................................................................................................13ElectronicRecordsChainofTrust...............................................................................14Summary......................................................................................................................15AppendixA.LegalandRegulatoryReferenceMaterial...............................................17UnitedStates........................................................................................................................17International........................................................................................................................18COHASSETASSOCIATES,INC.1IntroductionCompaniesandpublicentitiesmustretainrecordsforavarietyofreasons:?Tocomplywithlawsandregulationsthatmandaterecordsretention,?Toretainthe“corporatememory”ofactivitiesandeventsthatmayberequiredtomeetongoingbusinessandhistoricalneeds,and?Toprovideevidenceintheeventofaninvestigationorlawsuitinbothregulatedandnon-regulatedindustries.Increasingly,electronicrecordsaredefinedinlawsandregulationsasbeingequaltotraditionalpaperandmicrographicrecords.Thislegalandregulatoryevolutionisrecognitionthatthegreatmajorityofcontemporaryfixedcontentbusinessandpublicrecordsarenow“born”electronicorconvertedtoanelectronicformat.Asecondfactoristhatthevolumeofthisfixed-contentor“reference”informationisgrowingat50-80%orsoperyear–agrowththatiswellbeyondtheabilityofanever-expandingnumberoforganizationstocontinuerelyingonmanualintensivepaperandmicrographicformatsasofficialrecords.Themajorityofelectronicfixed-contentandreferencerecords(liketheirnon-electronicpredecessors)mustberetainedinaccordancewithlegalandregulatoryrequirementsaswellasforbusinessneeds.TherisksofimproperretentionandmanagementofrecordshasgrownsubstantiallywiththenewlypassedlawsthatembodypenaltiesconsistingofgreaterfinesandjailtermssuchasismanifestedintheSarbanes-OxleyActof2002.Privateandpublicentitiesmustunderstandandmeettheformidableandcriticallyimportantchallengeofbothunderstandingandoperatinginaccordancewiththeapplicablelawsandregulations.Tothatend,theymustreducethelegal,regulatoryandbusinessrisksinvolvedinthecapture,storage,managementandreproductionoftheirelectronicrecords.Thelegalandregulatoryacceptanceofelectronicrecordsispredicatedontheserecordsmeetingcertainwellestablishedrequirements.Theoverridingrequirementisthattheyareauthenticandcanbedeemedtobeaccurate,reliableandtrustworthy.Opticaldiskstorage,likeallformsofdigitalstoragehasaveryimportantroleinestablishingandmaintainingtheaccuracy,reliabilityandtrustworthinessofelectronicrecords.Todate,opticaldiskstoragehasachievedthiswithoutanyknownlegalexceptions.Thedurability,robustness,removeability,longevity(includingbackwardreadcompatibility)andflexibilityofaccess(innear-line,off-lineandselectedon-lineapplications)suggestthatopticaldiskstoragewillcontinuetoplayanimportantroleforstoringelectronicrecordsinatrustworthymanner.ThepurposeofthisWhitePaperistoexaminetheroleofdigitalopticalstorageasitrelatestoestablishingandmaintainingthetrustworthinessofelectronicrecords.Thefocusofthispaperisoncartridge-based,5¼inchwrite-once,read-many(WORM)opticaldiskstoragethatisusedinCOHASSETASSOCIATES,INC.2mainstreamcommercialandpublicsectorapplications,whichproduceelectronicrecords.DVDandCDtechnologies,becausetheyaremostoftenusedforconsumerorpersonalstoragepurposes,arenot