LBSC 708X The Record Nature of Electronic Records College of Information Studies

Key Components of an Electronic Record You must be able to prove: Authenticity Reliability Integrity Usability

Types of Electronic Records Office Automation – – attachments (in all varieties of file types, including PDF, photo, audio, and video) –Word-processing –spreadsheets –calendars –Powerpoints –Instant messaging

Types of Electronic Records Data –Structured databases –Metadata –Network activity logs and audit information –Voice mail, VOIP Web –Website –Wiki –Blog

Sources of Electronic Information Organization PCs –Desktop, networks, mainframes Mobile devices – Blackberries, Palm Pilots, laptops Storage devices –Backup tapes, CDs, Zip drives, thumb drives

Electronic Records as Evidence Legal Foundation –Rule 901 of Federal Rules of Evidence –Federal Rules of Civil Procedures 12/06 Record is what it purports to be Focus on adherence to policies and procedures –Creation, control, use, access

Electronic Records as Evidence Authentication –Method of preservation –Identity – name, date, origin, content Integrity –complete –uncorrupted –unaltered Usability –Attributes of storage – media, software –Procedural controls – access, audit, metadata, reporting, –Adherence to best practices

A Question to Ponder On average, enterprises upgrade their hardware and software every 18 months to 3 years Will the electronic record you need be there, and will it be accessible when you need it?

Volume –2005: 2.8 billion –2008: 7 billion (est.) RM Policy –50% have policy in place –30% no mention in policy –Must be addressed due to SOX, HIPPA, etc.

RM retention based on content not type –Relate content to other business records –Preserve business with related records –Metadata, indexing for retrieval –Search & retrieval from saved records not daily backup media

Long Term Impact New focus on how to manage , treat it as record being used to record substantive information Clearer, broader view on metadata and providing context for e-records/printouts

Long Term Impact Organizations –Still struggling with policy –Some have 100% capture and retention –Some have “x” days before delete –A few actually schedule by content not type

Armstrong v. EOP Core issues – Is a record or transitory communication? Does “print & file” capture full essence? What metadata is required? Differences between live system and archives Armstrong v. Executive Office of the President, 1 F.3d 1274 (D.C. Cir. 1993)

Public Citizen v. Carlin GRS 20 lawsuit (“son of PROFS”) –Does “print & file” provide surrogate? –Can GRS 20 be extended to “program” records (office automation)? –Supreme Court waived right to review Court of Appeals decision –Public Citizen v. Carlin, 184 F. 3d 900 (D.C. Cir. 1999), cert. denied, 529 U.S (2000)

Search this Date: 12/12/07 From: Employee A Subject: To: Employee B Attachment A Attachment B Attachment C

Websites Websites may be (only) source of some organization records/information Roles –Official information –Transactions – orders, payments, responses –Interactions – wikis, blogs, Common misconception – –Web information unimportant, nonrecord

Websites Websites are not recordkeeping systems –Legacy records –Litigation exposure Need to apply records management to content “Players” –Webmasters –Content managers –RM staff –Users

Websites Requirements –Official, consistent “look and feel” –Control over creation, posting, removal –Manage internal/external expectations –Records must be managed, scheduled

Wikis, Mashups, Blogs Wiki – website lets users add, evolve content Mashup – integrates content from multiple sources Blog – web journals/logs Online social networking –Based on easy to use software –Software extendable by users –Interactive, evolving, –Multi-media sources

Wikis, Mashups, Blogs Records Management Issues –Policy: custodianship, responsibility, liability –Application compatibility –Managing creation, collection, growth –What, how much is record –Intellectual property rights –Hyperlinks –Retention –System security and integrity –Legal implications –Public access

Instant Messages IM – realtime communication/collaboration Issues –Informality of messages, user names –Lack of RM control –Question of record status –Compatibility with computer systems –Back door channel for viruses, hackers –Breadth of functionality

Instant Messages Organization view should be: –The information content should be handled like all other organization information –Policies should be in place Business use only, personal, mixed use What information can be exchanged How to place information under RM control