Record Authenticity as aMeasure of Trust:

A View Across Records Professions, Sectors, and Legal Systems

Corinne RogersUniversity of British Columbia

InFuture 2015Zagreb, 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

North America; 51%

South America; 1%

Africa; 4%

Asia; 4%

Aus-tralasia; 7%

Europe; 33%

N=293

  Archivist Other RIMAfrica 33% 17% 50%Asia 58% 25% 17%Australasia 32% 16% 53%Europe 51% 23% 26%NA 45% 21% 34%SA 25% 0% 75%  46% 21% 33%

Predominant legal system

Civil22%

Common73%

Pluralistic or religious5%

Indicators of authenticity

Work practice

WORK PRACTICE - ALL RESPONDENTSRank Indicators Frequency S/T

1 Classification scheme or file plan 61% S2 Written policies - records system 60% S3 Written policies - digital records 55% S4 Standardized metadata 54% T5 Access controls/security measures 53% T6 Retention and disposition schedules 51% S7 Documentation about the system 51% S8 Archival description 49% S9 Documentation about the software 41% T

10 Information about changes over time 40% T11 Preservation actions taken 40% T12 Audit logs 30% T13 Cryptographic validation techniques 21% T

Belief

BELIEF - ALL RESPONDENTSRank Indicators Frequency S/T

1 Information about changes over time 94% T2 Access controls/security measures 88% T3 Preservation actions taken 87% T4 Documentation about the system 85% S5 Written policies - digital records 84% S6 Documentation about the software 80% T7 Written policies - records system 78% S8 Audit logs 76% T9 Standardized metadata 68% T

10 Cryptographic validation techniques 66% T11 Classification scheme or file plan 64% S12 Retention and disposition schedules 64% S13 Archival description 51% 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

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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

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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 Rogerscorinne.rogers@ubc.ca

“Some problems are so complex that you have to be highly intelligent and well informed just to be

undecided about them.”--Laurence J. Peter

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