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

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

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

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

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

6. 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

7. 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

8. 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?

9. Email 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.

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

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

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

13. Armstrong v. EOP Core issues – Is e-mail 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)

14. 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. 1003 (2000)

15. Search this e-mail Date: 12/12/07 From: Employee A Subject: To: Employee B Attachment A Attachment B Attachment C

16. 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

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

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

19. 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

20. 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

21. 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

22. 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