Record Authenticity as a Measure of Trust: A View Across Records Professions, Sectors, and Legal Systems Corinne Rogers University of British Columbia InFuture 2015 Zagreb, Croatia November 11-13, 2015

What are authentic digital records? The concept of authenticity of records has ancient roots Authenticity of records is fundamental to archival theory and practice, reified in laws, standards, codes of practice, research recommendations Despite clear guidance from archival science, research, and law, known recommendations are not consistently applied in practice

Authenticity – the “ideal” Establish identity Demonstrate integrity – Of the record(s) – Of the system(s)

Authenticity – the “real” Research questions How do records professionals approach the concept of authenticity in the digital environment? – What indicators do they apply to ensure authenticity? – What indicators do they rely on when required to make an assessment of authenticity? – What indicators would they rely on if required to make an assessment of authenticity?

Focus of inquiry Work practice: Experience: Beliefs: What indicators are used most, least? Does experience authenticating records alter work practice? Does belief in perceived value of indicators differ from work practice; is there a difference based on experience? And, what, if any, differences can be observed between professions, sectors, and legal systems?

Survey – variables Profession – Archivists – Records managers – Other Sector – Government/public administration – Cultural industries Predominant legal system – Civil law – Common law – Pluralistic or religious law

Location & profession N=293 ArchivistOtherRIM Africa33%17%50% Asia58%25%17% Australasia32%16%53% Europe51%23%26% NA45%21%34% SA25%0%75% 46%21%33%

Predominant legal system

Indicators of authenticity

Work practice WORK PRACTICE - ALL RESPONDENTS RankIndicatorsFrequencyS/T 1 Classification scheme or file plan61% S 2 Written policies - records system60% S 3 Written policies - digital records55% S 4 Standardized metadata54% T 5 Access controls/security measures53% T 6 Retention and disposition schedules51% S 7 Documentation about the system51% S 8 Archival description49% S 9 Documentation about the software41% T 10 Information about changes over time40% T 11 Preservation actions taken40% T 12 Audit logs30% T 13 Cryptographic validation techniques21% T

Belief BELIEF - ALL RESPONDENTS RankIndicatorsFrequencyS/T 1 Information about changes over time94% T 2 Access controls/security measures88% T 3 Preservation actions taken87% T 4 Documentation about the system85% S 5 Written policies - digital records84% S 6 Documentation about the software80% T 7 Written policies - records system78% S 8 Audit logs76% T 9 Standardized metadata68% T 10 Cryptographic validation techniques66% T 11 Classification scheme or file plan64% S 12 Retention and disposition schedules64% S 13 Archival description51% S

Emergent themes A significant difference exists between practice and belief of records professionals regarding different indicators for ensuring or assessing authenticity, A significant difference in reliance on technical versus social factors in ensuring or assessing authenticity either in practice or belief, and Experience in making attestations of authenticity affects practice and belief

Differences Do significance tests indicate differences in work practice and belief based on variables?

What role does legal system play? No statistical difference based on questions in the survey… what would interviews reveal?

Common law Authenticity part of the foundation of admissibility of documentary and real evidence Proven through authentication of documents when introduced into evidence – Through testimony – Expert analysis – Non-expert opinion – In certain cases, circumstances of creation or preservation

Admissibility in court: identity and integrity Authentication establishes the record’s identity “Best evidence” traditionally satisfied by production of an original Hearsay rule and its exceptions for documentary evidence

Civil law Greater procedural formalism through bright- line rules: – Clearly defined rules – Based on objective factors – Little room for interpretation

Conclusions What mechanisms do records professionals use and rely on in order to determine and manage authenticity? 1.records professionals are strategic, realistic, pragmatic given resources, expectations, and requirements 2.social mechanisms ensure authenticity, while technical mechanisms prove authenticity at a moment in time 18

Conclusions Is the traditional model of authenticity of records used in the digital environment and if so, to what degree? And, Is the traditional model of authenticity sufficient? 1.It still forms the foundation, but requires development 2.In practice, the concept of authenticity is tied to purpose (focus of creator) or use (focus of user); getting the job done 3.Theoretical models may be accepted in principle, but ignored in practice

Conclusions Work practice and belief (perceived value) in indicators of authenticity are qualitatively different The focus is on integrity: Security has become the “new authenticity” Complexity and ambiguity are driving pragmatic responses to a latent problem situation

Questions remain… The role of the legal system: – Patchwork of legislation – Underlying assumptions and values – Unintended consequences An area ripe for further investigation

Thank you Corinne Rogers “Some problems are so complex that you have to be highly intelligent and well informed just to be undecided about them.” --Laurence J. Peter 22