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SI 655 - Management of Electronic Records

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Term: Winter 2009
Published: September 10, 2010
Revised: September 24, 2010

Week 01: Introduction, Course Logistics, Key Concepts

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Week 01: Introduction, Course Logistics, Key Concepts
David A. Wallace
Margaret Hedstrom
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Topics

What is an electronic record? The difference between recordkeeping systems and information systems. Why do electronic records present special challenges? Issues, problems and principles of electronic records management.

Readings

Bantin, Philip. “Electronic Records Management: A Review of the Work of a Decade and a Reflection of Future Directions,” In Encyclopedia of Library and Information Science (New York: Marcel Dekker, 2002): pp. 47-81.
www.indiana.edu/~libarch/ER/encycloarticle9.doc
 

Week 02: Recordkeeping Requirements in Law, Policy, and Practice

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Week 02: Recordkeeping Requirements in Law, Policy, and Practice
David A. Wallace
Margaret Hedstrom
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Topics

This session will examine the labyrinth of laws, policies, and practices that provide the warrant and justification for creation, retention, and use of electronic records.

Readings

Duff, Wendy, “Harnessing the Power of Warrant," American Archivist 61 (No. 1, 1998): 88-105.

Lemieux, Victoria L. “Two Approaches to Managing Information Risks” Information Management Journal 38 (September/October 2004): 56-63.

The Sedona Conference, THE SEDONA GUIDELINES: Best Practice Guidelines & Commentary for Managing Information & Records in the Electronic Age (September 2005.) (Pages i-12).

Friedman, Lee S. and Linda Forst, “The Impact of OSHA Recordkeeping Regulation Changes on Occupational Injury and Illness Trends in the US: A Time-Series Analysis,” Occupational and Environmental Medicine 64 (2007): 454-460.

Week 03: Trust in Records and Recordkeeping Systems

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Week 03: Trust in Records and Recordkeeping Systems
David A. Wallace
Margaret Hedstrom
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Topics

Digital records are easy to alter, but people using records need to trust that the records are reliable and authentic evidence of transactions and communications. In this session we will discuss the concepts authenticity, reliability, and trust, and examine various methods to support trusted repositories.

Readings

MacNeil, Heather. “Providing Grounds for Trust: Developing Conceptual Requirements for the Long-Term Preservation of Authentic Electronic Records” Archivaria 50 (Fall 2000): 52-78.

Cliff Lynch, “Authenticity and Integrity in the Digital Environment: An Exploratory Analysis of the Central Role of Trust.” In Authenticity in a Digital Age (Washington: CLIR, 2000): 32-50 http://www.clir.org/pubs/reports/pub92/lynch.html

Dennis D. Steinauer, Shukri A. Wakid, Stanley Rasberry, "Trust and Traceability in Electronic Commerce," StandardsView 5 (No. 3, September 1997): 118-25.

Trusted Digital Repositories: Attributes and Responsibilities An RLG-OCLC Report (2002).

Moore, Reagan W. and MacKenzie Smith, “Automated Validation of Trusted Digital Repository Assessment Criteria,” Journal of Digital Information 8 (No. 2, 2007). http://journals.tdl.org/jodi/article/view/198/181
 

Assignments

Short Essay Assignment Due

Week 04: Evidence, Discovery, and Admissibility

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Week 04: Evidence, Discovery, and Admissibility
David A. Wallace
Margaret Hedstrom
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Topics

Legal and auditing procedures set rules for what constitutes evidence, which practices are permissible for discovering evidence during an investigation. Forensic evaluation of evidence also determines its reliability and how much weight the evidence may hold in an investigation, hearing, or legal case. This session will explore the general rules and practices for defining admissible evidence in a variety of investigation procedures.

Readings

The Sedona Conference, The Sedona Principles: Second Edition - Best Practices Recommendations & Principles for Addressing Electronic Document Production (June 2007): i-10. (Review Principles and Commentaries).

The Sedona Conference, Commentary on ESI Evidence & Admissibility (March 2008).

Adam Wolfson, "Electronic Fingerprints: Doing Away with the Conception of Computer-Generated Records as Hearsay,” Michigan Law Review 104 (No. 1, Oct 2005): 151-73.

Lynn III, Cecil and Alexandra Hicks, “E-Discovery Rulings: 2008 in Review, Law Technology News 
(January 9, 2009). http://www.law.com/jsp/legaltechnology/pubArticleLT.jsp?id=1202427312737
 

Week 05: Promoting Accountability: Standards and Best Practices

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Week 05: Promoting Accountability: Standards and Best Practices
David A. Wallace
Margaret Hedstrom
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Topics

Standards and Best Practices offer critical guidance for electronic records management and they offer a framework for program development and compliance auditing.

Readings

Pember. Margaret, “Sorting Out the Standards: What Every Records and Information Professional Should Know,” Records Management Journal 16 (No. 1, 2006): 21-33.

Lavoie, Brian F., The Open Archival Information Systems Reference Model: Introductory Guide (Dublin, Ohio: OCLC, January 2004).

The Sedona Conference, THE SEDONA GUIDELINES: Best Practice Guidelines & Commentary for Managing Information & Records in the Electronic Age (September 2005.): 13-50.

McLeod, Julie and Sue Childs, “Consulting Records Management Oracles—a Delphi in Practice,” Archival Science 7 (No. 2, 2007):147–166.

Week 06: Promoting Accountability: Tools and Technology

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Week 06: Promoting Accountability: Tools and Technology
David A. Wallace
Margaret Hedstrom
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Topics

This session will examine some of the tools and technologies available to support accountability and electronic records management. We will also discuss the limitations of available tools.

Reading

Margaret L. Hedstrom, “Building Recordkeeping Systems: Archivists Are Not Alone on the Wild Frontier, “ Archivaria 44 (Fall 1997): 44-71.

Ugonwa Ekweozor; Babis Theodoulidis, "Review of Retention Management Software Systems," Records Management Journal 14 (No. 2, 2004): 65-77.

Sprehe, J. Timothy, A Framework for EDMS/ERMS Integration," Information Management Journal 38 (No. 6, Nov/Dec 2004): 54-61.

Chet Hosmer, “Proving the Integrity of Digital Evidence with Time,” International Journal of Digital Evidence 1 (No.1, Spring 2002): 1-7.

U.S. National Archives and Records Administration, Recommended Practice: Analysis of Lessons Learned for Enterprise-wide ERM Projects (June 2006). http://www.archives.gov/records-mgmt/policy/lessons-learned.html

Assignments

Midterm Exam Distributed
 

Week 07: Promoting Accountability: Compliance and Audit

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Week 07: Promoting Accountability: Compliance and Audit
David A. Wallace
Margaret Hedstrom
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Topics

Standards, policies, and guidelines are of little value if there is no way to monitor compliance. This session will cover some of the methodologies for monitoring compliance with electronic recordkeeping requirements.

Reading

Williams, Robert F. and Lori J. Ashley, 2005 Electronic Records Management Survey: Call for Collaboration (Chicago: Cohasset Assoc., 2007).

Gable, Julie, “Navigating the Compliance Landscape,” Information Management Journal 39 (No. 4, July/August 2005): 28+.

Gable, Julie, “Compliance: Where Do We Go From Here?,” Information Management Journal (May/Jun 2006): 29+.

Randolph A Kahn. "Records Management & Compliance: Making the Connection," Information Management Journal 38 (No. 3, May/June 2004): 28+.

Assignments

Midterm exam due
 

Week 08: Promoting Accountability: Social Demands and Incentives for Accountability

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Week 08: Promoting Accountability: Social Demands and Incentives for Accountability
David A. Wallace
Margaret Hedstrom
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Topics

Numerous forces are creating a social demand for increased accountability and new accountability mechanisms. Three important factors are 1) reestablishing the legitimacy of institutions following a series of scandals and malfeasance, 2) globalization and the ineffectiveness of national regulatory mechanisms; 3) pressure from consumers and some investors for socially responsible policies and practices. This session will examine the implications of demand-driven accountability for creation and management of electronic records.

Reading

Archon Fung, Mary Graham and David Weil, Full Disclosure: The Perils and Promise of Transparency (Cambridge University Press, 2007), pp. xi-18.

Witte, Jan Martin, Multisectoral Networks in Global Governance: Towards a Pluralistic System of Accountability (Government and Opposition Ltd 2004, Malden, Mass.: Blackwell Publishing, 2004).

Allen L. White, New Wine, New Bottles: The Rise of Non-Financial Reporting, (Business for Social Responsibility, June 20, 2005).

Simon Zadek, Reinventing Accountability for the 21st Century, (openDemocracy.net, September 12, 2005). www.opendemocracy.net/globalization-accountability/peer_to_peer_2823.jsp

Global Reporting Initiative, Sustainability Reporting Guidelines, G3 Version for public comment, 2 January 2006 - 31 March 2006, (Global Reporting Initiative, 2006).

Assignments

Problem Solving Assignment Distributed
 

Week 09: Sorting Out Contradictions: Freedom of Information, Privacy, Security, and Accountability

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Week 09: Sorting Out Contradictions: Freedom of Information, Privacy, Security, and Accountability
David A. Wallace
Margaret Hedstrom
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Topics

Access to records is an essential tool for holding organizations and individuals accountable. But free access to information is complicated by legal requirements and ethical concerns over personal privacy, national security, trade secrets, and other restrictions on access. In this session we will discuss the labyrinth of regulations that govern rights to access information, require disclosure, and likewise restrict access to records.

Reading

Vaughn, Robert G., “Transparency -- The Mechanisms:
 Open Government and Accountability,” Issues of Democracy 5 (U.S. Department of State, International Information Programs, no. 2, August 2000).
http://web.archive.org/web/20080205000249/http://usinfo.state.gov/journals/itdhr/0800/ijde/vaughn.htm

Leahy, Patrick, "Recent Developments in the Electronic Freedom of Information Act," 50 Administrative Law Review 339 (1998): 339-344.

Aftergood, Steven, “The Age of Missing Information: The Bush
Administration's Campaign Against Openness,” Slate Magazine
(Posted Thursday, March 17, 2005, at 7:23 AM ET). http://www.slate.com/id/2114963/

Jaeger, Paul T., John Carlo Bertot, and Charles R. McClure, “The Impact of the USA Patriot Act on Collection and Analysis of Personal Information under the Foreign Intelligence Surveillance Act,” Government Information Quarterly 20 (2003): 295–314.

Albert Jacob Meijer, “Trust This Document: ICTs, Authentic Records, and Accountability,” Archival Science 3 (2003): 275-290.
 

Week 10: Electronic Recordkeeping Environments: Government; International Organizations and Human Rights

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Week 10: Electronic Recordkeeping Environments: Government; International Organizations and Human Rights
David A. Wallace
Margaret Hedstrom
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Topics

This session will focus on the mechanisms that are intended hold governments accountabe to their citizens. It will also explore breeches in this process. Records play an increasingly important role in monitoring human rights violations and in supporting truth and reconciliation processes. This session will also cover the policies and practices for electronic recordkeeping in international organizations and in support of human rights.

Reading

O’Shea, Greg, The Transition to Electronic Government: The Challenge for Records Management (IRMT Case Studies).

The Victorian Electronic Records Strategy (VERS), Management of Electronic Records PROS 99/007, Version 2 (July 2003).
http://www.prov.vic.gov.au/vers/standard/

Citizens for Responsibility and Ethics in Washington, Record Chaos: The Deplorable State of Electronic Record Keeping in the Federal Government (April 16, 2008) http://www.citizensforethics.org/files/FINAL%20REPORT.pdf

Trudy Huskamp Peterson. Final Acts: A Guide to Preserving Records of Truth and Reconciliation Commissions (Washington, D.C. Woodrow Wilson Center Press, 2005). Read pages 1-73. Skim remainder
 

Week 11: Records and Accountability Environments: Corporate Sector

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Week 11: Records and Accountability Environments: Corporate Sector
David A. Wallace
Margaret Hedstrom
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Topics

After countless corporate scandals, regulatory agencies and governments have implemented more rigorous accounting standards with records management implications. This session will examine records and accountability in the corporate sector.

Reading

Lemieux, Victoria, “Let the Ghosts Speak: An Empirical Exploration of the Nature of the Record,” Archivaria 51 (2001): 81-111.

Patzakis, John, "New Accounting Reform Laws Push For Technology-Based Document Retention Practices," International Journal of Digital Evidence 2 (No. 1, Spring 2003).

Lansing, Paul, and Christopher Grgurich, "The Sarbanes-Oxley Act: New Securities Disclosure Requirements in the United States," International Journal of Management 21 (No. 3, September 2004): 292-99.

Montaña, John C., J. Edwin Dietel, and Cristine S. Martins, “Strategies for RIM Program Compliance with Sarbanes-Oxley,” Information Management Journal (November/December 2006): 54+

Assignments

Problem Solving Assignment Due
 

Week 12: Records and Accountability Environments: Healthcare Sector

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Week 12: Records and Accountability Environments: Healthcare Sector
David A. Wallace
Margaret Hedstrom
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Topics

Electronic medical records hold out the promise of reducing health care costs, improving medical decision making, and enhancing patient’s access to their own medical information. However, the promise of electronic recordkeeping in health care has been hard to realize. This session will examine some of the particular requirements that make electronic medical records difficult to implement.

Reading

Heath, Christian, and Paul Luff. “Documents and Professional Practice: ‘Bad’ Organisational Reasons for ‘Good’ Clinical Records,” In Mark S. Ackerman (ed.) Proceedings of the ACM 1996 Conference on Computer Supported Cooperative Work November 16-20, 1996 Boston, Massachusetts, (New York: ACM Press, 1996), 354-363.

Baumer, David, Julia Brande Earp, and Fay Cobb Payton, “Privacy of Medical Records: IT Implications of HIPAA,” Computers and Society (December 2000): 40-47.

Choi, Young B., Kathleen E. Capitan, Joshua S. Krause and Meredith M. Streeper, “Challenges Associated with Privacy in Health Care Industry: Implementation of HIPAA and the Security Rules,” Journal of Medical Systems 30 (No. 1, February 2006): 57-64.
 

Week 13: Wrap Up: Towards Transparency, Accountability, and Governance

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Week 13: Wrap Up: Towards Transparency, Accountability, and Governance
David A. Wallace
Margaret Hedstrom
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Topics

Summary of themes and ideas in the course.

Assignments

Course Project Paper Due
 

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