The goal of the Authenticity Task Force was to identify conceptual requirements for assessing and maintaining the authenticity of electronic records. Its primary purpose was to establish "the reality of the rights or the truth of the facts"5 contained in such documents. However, as the research progressed, the task force found it necessary to narrow the scope of the term.
Such redefinition is illustrative of how diplomacy continues to evolve in response to the changing nature of the record. The elements of an electronic record identified in the UBC project provided the starting point for the identification of the InterPARES template elements. Intrinsic elements are the discursive parts of the record that communicate the action the record is participating in and the immediate context.
It is assumed to be neutral with respect to the record's authenticity, at least from the perspective of the record creator and the record custodian. As a result of the grounded theory approach, researchers used theoretical rather than statistical sampling in the selection of case studies. The diplomatic analysis of first and second round case studies indicated that few of the systems contained records within close range of the ideal proclaimed in the template (some systems turned out to be information systems containing no records at all; some contained records which were able to achieve their goal but were not intrinsically very good records).
Given the nature and function of the system, there is a presumption of authenticity. Achieving that understanding required a detailed knowledge of the electronic system and the record keeping environment that was difficult to achieve. To fill in the gaps in their knowledge, the research assistants enlisted the help of the interviewers who conducted the case studies.
The TEDGIs then became the basis for the preparation of draft versions of the diplomatic analyzes of the case studies, which. 31 The procedural rules can be found on the UBC Project website at. In the case studies analyzed, it was often difficult to determine the significance of the presence or absence of notes or specific elements of the documentary form.
In undertaking the diplomatic analysis of the case studies, the researchers had begun with the assumption that the diplomatic elements of electronic records would be the same (or at least the basic elements would be the same) as those of traditional records. Operational-level systems: information systems that monitor the organization's elementary activities and transactions. The purpose of conducting the InterPARES analysis was to describe—unequivocally for non-archivists, especially system designers—the nature of the system's records function.
Research Findings
After the authenticity of the creator's electronic documents is established during the review process and the documents are transferred from the creator to the custodian, the custodian must maintain the authenticity of the documents. To support its attestation of the authenticity of copies of electronic documents, the custodian must also produce and maintain documentation regarding the manner in which it has retained the documents over time, as well as the manner in which it has reproduced them. In light of the above, the Authenticity Taskforce has developed two sets of requirements.
The first set, called "benchmark requirements," includes requirements that support the presumption of authenticity of the originator's electronic records before they are transferred to the custody of the custodian. The second group, "baseline requirements," includes requirements that support the production of authentic copies of electronic records transferred to the custody of the custodian. The benchmark requirements specifically draw on the notion of reliable record keeping system, and the baseline requirements are based on the role of the custodian as a reliable custodian.
Specific conceptual framework for the benchmark requirements for assessing the authenticity of the creator's electronic documents. Therefore, the custodian's conclusion on the authenticity of electronic documents must be further supported by evidence. If this is the case, further analysis may be required to verify the authenticity of the documents.
Unlike the standards requirements, all of the requirements contained in the baseline requirements must be met before the custodian can certify the authenticity of the electronic copies in custody (hence the word "baseline"). Traditionally, the official custodian of records has been the person entrusted with issuing authentic copies of such records. Such certification is supported by the custodian's ability to demonstrate that he has met the applicable basic maintenance requirements and all requirements for the production of authentic copies.
This finding points to the limits of the known as an aid in understanding the unknown. 43 The typology of documents of the Papal Chancellery, prepared during the work of the working group for authenticity, is an example of special diplomacy. In the last two rounds of case studies, these questions were addressed by having the TEDGIs from the CSIP completed by researchers at UBC rather than individual interviewers.
Additional analysis of the transcribed tape recordings of the case studies to date should also help with this aspect.
Relationship Between Conceptual Requirements for Authenticity and Existing Standards
Rewrite the CSIP questions to include the definitions of the terms, rather than the actual glossary terms used in the Analysis Template. Conversely, by avoiding statements such as “Fulfillment of DoD provision Secondly, a specific section of the ISO standard is dedicated to emphasizing the importance of document authenticity.
Of the eight benchmark requirements, only "A.6 Validation of Records" and "A.7 Identification of Authoritative Record" were found not to have counterparts within ISO/DIS 15489. On the other hand, parallel provisions of the ISO standard were identified for each of the remaining six benchmark requirements. The so-called Design Criteria Standard, better known as DoD 5015.2, "sets forth mandatory baseline functional requirements, and identifies non-mandatory features deemed desirable" for the acquisition of records management application (RMA) software by agencies of the United States government.
These observations suggest some of the ways in which DoD 5015.2 differs from the authenticity requirements, and, for that matter, from ISO 15489: specifically, the Design Criteria devotes primary attention to software specifications over procedures and other implementation methods, and to methods over principles. The DoD standard contains provisions that can be understood as counterparts to six of the eight benchmark requirements. The so-called Model Requirements Specification, or MoReq, "focuses primarily on the functional requirements for the management of electronic records through an electronic records management system (ERMS)," and is designed for use by public and private sector organizations that are either implementing an ERMS, or assessment of one already in place.
47 United States Department of Defense, Assistant Secretary of Defense for Command, Control, Communications, and Intelligence Design Criteria, Standard for Electronic Records Management Software Applications (DoD 5015.2-STD) June 2001, “C1.1. It is the purpose of this chapter, and chapters 21, 31 and 33 of this title, to require the establishment of standards and procedures to ensure efficient and effective records management. Like DoD 5015.2, MoReq is a software specification, and accordingly differs from the InterPARES requirements in that it expressly focuses on system functionality over procedures, and on implementation methods over records management principles.
Note also that the MoReq contains a greater degree of variability than any other standard considered here, including the InterPARES requirements. Being designed to recognize that "different countries have their own different traditions, views and regulatory requirements for data management", the EC standard assumes that, before use, it will be adapted to business needs and legal-regulatory requirements related to an organization.50.
Relationship of Findings to Other Research Initiatives
The European Commission standard also has a point in common with ISO 15489, in that it directly addresses the authenticity of documents. However, MoReq defines “authenticity” in a way that may or may not match the InterPARES definition. In the remaining case, several provisions from the EC standard are mentioned, in parallel with Requirement A.1 on “Expression of record attributes and linking to record.”.
The San Diego Supercomputer Center's (SDSC) Collection-Based Persistent Archives and Archivists' Workbench projects, which focus on deriving XML information models from collections of software-dependent data objects and developing tools that can be used to to guarantee the preservation of and access to those objects over time. The Persistent Archives approach is built around the Open Archival Information System (OAIS) reference model. It supports archival processes from accession to preservation and use, and recognizes the importance of collection-based management.
The Cedars Project (CURL Specimens in Digital Archives), which seeks to address strategic, methodological and practical issues and provide guidance on best practices for digital preservation. Cedars is a UK collaboration between librarians, archivists, publishers, authors and institutions (libraries, records offices and universities). Working with digitized and born-digital materials, Cedars uses a two-track approach to evaluate different conservation strategies through demonstration projects in the U.K.
Cedars also examines other issues related to the management of digital information, including rights management and metadata.55. Only one of these research initiatives, the Persistent Archives research at SDSC, focuses specifically on the preservation of electronic records. However, the task force believes that delineating the nature of electronic records and the conceptual requirements for authenticity provide a rigorous framework for approaching issues of preserving the integrity of complex digital objects in general, and electronic records in particular. particular that can be applied in all applications. these research initiatives.
53 Cornell University, PRISM Project, available at
Conclusion
Areas for Further Research
