erpa workshop antwerp -- april 15, 2004 1 all the president’s email: electronic recordkeeping...
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ERPA Workshop Antwerp -- April 15, 2004ERPA Workshop Antwerp -- April 15, 2004 11
All the President’s Email: All the President’s Email: Electronic Recordkeeping Electronic Recordkeeping Policies and Practices in the Policies and Practices in the Executive Office of the Executive Office of the PresidentPresident
Jason R. BaronJason R. Baron
Director of LitigationDirector of LitigationOffice of General CounselOffice of General Counsel
U.S. National Archives and U.S. National Archives and Records AdministrationRecords Administration
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OVERVIEWOVERVIEW Litigation concerning the record status of Litigation concerning the record status of
email & rules on retention email & rules on retention – Armstrong v. Exec. Office of the PresidentArmstrong v. Exec. Office of the President
ERK at the White HouseERK at the White House Monitoring SchemesMonitoring Schemes Anomalies & AuditsAnomalies & Audits - General Accounting Office- General Accounting Office - Congressional- Congressional - Litigation- Litigation
Lessons LearnedLessons Learned
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Email & The U.S. Email & The U.S. Federal GovernmentFederal Government Mid-1980s “early adopters” of email by Mid-1980s “early adopters” of email by
thethe
White House National Security Council White House National Security Council staffstaff
End of 1990s: 32 million White House End of 1990s: 32 million White House email messages preserved as records of email messages preserved as records of the William J. Clinton Administration the William J. Clinton Administration
2004: tens of billions email messages 2004: tens of billions email messages created each year by Federal government created each year by Federal government employeesemployees
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THE PROFS DECADE THE PROFS DECADE BEGINS:BEGINS:ARMSTRONG v. EXECUTIVE ARMSTRONG v. EXECUTIVE OFFICE OF THE PRESIDENTOFFICE OF THE PRESIDENT
Filed: January 19, 1989Filed: January 19, 1989
The last day of the Reagan The last day of the Reagan AdministrationAdministration
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THE THREE ARMSTRONG THE THREE ARMSTRONG INJUNCTIONSINJUNCTIONS The initial temporary restraining order The initial temporary restraining order
covered Reagan Admin. PROFS tapes covered Reagan Admin. PROFS tapes (1989)(1989)
The second temporary restraining order The second temporary restraining order covered Reagan and Bush era PROFS covered Reagan and Bush era PROFS and All-in-1 tapes and All-in-1 tapes (1992)(1992)
The district court’s permanent The district court’s permanent injunction covered all “electronic injunction covered all “electronic communications systems” and their communications systems” and their backups backups (1993)(1993)
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THE ARMSTRONG THE ARMSTRONG ORDERORDER January 6, 1993 January 6, 1993
“ “ * * * ORDERED that Defendants * * * ORDERED that Defendants are enjoined from removing, are enjoined from removing, deleting, or altering information on deleting, or altering information on their electronic communications their electronic communications systems until such time as the systems until such time as the Archivist takes action pursuant Archivist takes action pursuant to . . . the Federal Records Act to to . . . the Federal Records Act to prevent the destruction of federal prevent the destruction of federal records, including those records records, including those records saved on backup tapes.”saved on backup tapes.”
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Armstrong Backup Armstrong Backup TapesTapesRetained at NARARetained at NARA
0
2000
4000
6000
8000
10000
12000
14000
16000
1st TRO 2d TRO Jan 93 Inj.
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ISSUES ADDRESSED IN ISSUES ADDRESSED IN ARMSTRONGARMSTRONG Email messages can be “federal Email messages can be “federal
records” under U.S. law - 44 USC records” under U.S. law - 44 USC 33013301
Agencies must manage the unique Agencies must manage the unique “electronic” email record, as it is only “electronic” email record, as it is only a “kissing cousin” of a hard-copy a “kissing cousin” of a hard-copy printoutprintout
Agencies must provide for some form Agencies must provide for some form of periodic audit/monitoring by of periodic audit/monitoring by records managers to ensure correct records managers to ensure correct application of guidanceapplication of guidance
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ISSUES ADDRESSED IN ISSUES ADDRESSED IN ARMSTRONG (cont’d)ARMSTRONG (cont’d)“Who Knew What When”“Who Knew What When”
Transmission and receipt data Transmission and receipt data must be managed along with must be managed along with contentcontent– Names of senders, recipientsNames of senders, recipients– Distribution listsDistribution lists– User directoriesUser directories– Receipt data, including Receipt data, including
acknowledgements of receipt, where acknowledgements of receipt, where requestedrequested
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An Aside: A Sea of An Aside: A Sea of MetadataMetadata
* Hidden email header information* Hidden email header information
* Proprietary features of word* Proprietary features of word
processing, e.g., summary fieldsprocessing, e.g., summary fields
* Hidden codes of all types* Hidden codes of all types
* Embedded data* Embedded data
* Ability to ‘undelete’ * Ability to ‘undelete’
* Tracking information* Tracking information
* Spreadsheet formulas* Spreadsheet formulas
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How the EOP ImplementedHow the EOP ImplementedArmstrongArmstrong
Issued recordkeeping guidance covering Issued recordkeeping guidance covering applications on existing email systemsapplications on existing email systems
Customized existing proprietary software Customized existing proprietary software to perform electronic recordkeeping to perform electronic recordkeeping functions (ARMS)functions (ARMS)– Introduced front-end ‘prompts’Introduced front-end ‘prompts’– Built in automatic monitoring functionsBuilt in automatic monitoring functions
Restored and reconstructed email Restored and reconstructed email residing on backup tapesresiding on backup tapes
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Auditing the End User By Auditing the End User By Way of Records Way of Records Management MonitoringManagement Monitoring
Monitoring program by EOP Monitoring program by EOP componentcomponent
based on statistical sampling based on statistical sampling
methodsmethods Record/nonrecord designationsRecord/nonrecord designations Policy Evolution Due to Audit Policy Evolution Due to Audit
function: default to “record”function: default to “record”
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ARMS Anomalies & ARMS Anomalies & Audits Audits General Accounting Office General Accounting Office
Investigation into Email Investigation into Email AnomaliesAnomalies
Congressional Investigation into Congressional Investigation into Missing EmailMissing Email
Litigation: Spoliation, Sanctions, Litigation: Spoliation, Sanctions, and Beyondand Beyond
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ARMS Anomalies, ARMS Anomalies, Cont’dCont’d MAIL2 server / Mail2 server MAIL2 server / Mail2 server Letter DLetter D MultiHost AnomalyMultiHost Anomaly VP emailVP email
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Findings of the GAOFindings of the GAO ““Monitoring program did not Monitoring program did not
ensure effective management of ensure effective management of e-mail records”e-mail records”– Incomplete monitoring of presidential Incomplete monitoring of presidential
recordsrecords– Lack of controls over incoming e-mailLack of controls over incoming e-mail– Lack of documentation & testing of Lack of documentation & testing of
records management controlsrecords management controls– Management control weaknessesManagement control weaknesses
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Additional Rounds of Additional Rounds of Oversight ActivityOversight Activity
4 days of Congressional hearings4 days of Congressional hearings
50+ days of evidentiary hearings 50+ days of evidentiary hearings in litigation brought by private in litigation brought by private party against the White Houseparty against the White House
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Aftermath of AuditAftermath of Audit
Restoration project at $25 million Restoration project at $25 million expenseexpense
Thousands of backup tapes Thousands of backup tapes restored as part of “Calverton restored as part of “Calverton project”project”
Need for special memorandum of Need for special memorandum of understanding between White understanding between White House and Archivist covering House and Archivist covering post-Administration workpost-Administration work
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Lessons LearnedLessons Learned
The need for QC checks and controls on The need for QC checks and controls on softwaresoftware
programs and processesprograms and processes
The need for clear communication channelsThe need for clear communication channels between IT staff, records managers,between IT staff, records managers, and the lawyersand the lawyers
Integrating lessons learned in next generation Integrating lessons learned in next generation ERKERK
system at the White House: building in auditsystem at the White House: building in audit functions and proceduresfunctions and procedures
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For further reading:For further reading:Armstrong v. Executive Office of the PresidentArmstrong v. Executive Office of the President, 1 F.3d 1274 , 1 F.3d 1274 (D.C. Cir. 1993), available at (D.C. Cir. 1993), available at http://www.citizen.org/litigation/briefs/ERecords/articles.cfmhttp://www.citizen.org/litigation/briefs/ERecords/articles.cfm?ID=620?ID=620
Baron, Jason R., “The PROFS Decade: NARA, E-mail and the Baron, Jason R., “The PROFS Decade: NARA, E-mail and the Courts,“ in Courts,“ in Thirty Years of Electronic Thirty Years of Electronic Records, Bruce Records, Bruce Ambacher, ed. (Scarecrow Press 2003). Ambacher, ed. (Scarecrow Press 2003).
------------------, “Email Metadata In A Post-------------------, “Email Metadata In A Post-ArmstrongArmstrong World, World, 3rd IEEE Metadata Conference (1999), available at 3rd IEEE Metadata Conference (1999), available at http://www.computer.org/proceedings/ http://www.computer.org/proceedings/ meta/1999/papers/83 /jbaron.htmlmeta/1999/papers/83 /jbaron.html
“Clinton Administration’s Management of Executive Office “Clinton Administration’s Management of Executive Office of the President’s E-Mail System,” U.S. General Accounting of the President’s E-Mail System,” U.S. General Accounting Office Report,Office Report,GAO-01-446 (April 2001)GAO-01-446 (April 2001), , available at available at http://www.gao.gov/new.items/d01446.pdfhttp://www.gao.gov/new.items/d01446.pdf
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Further Reading (Con’t)Further Reading (Con’t)
Memorandum of Understanding on the Clinton-Gore E-mail Records, Memorandum of Understanding on the Clinton-Gore E-mail Records, available at available at
http://www.archives.gov/presidential_libraries/presidential_recordhttp://www.archives.gov/presidential_libraries/presidential_records/s/
clinton_gore_email_records_memo.htmlclinton_gore_email_records_memo.html
““Missing White House E-mails: Mismanagement of Subpoenaed Missing White House E-mails: Mismanagement of Subpoenaed Records,” Hearings before the Committee on Government Records,” Hearings before the Committee on Government Reform,Reform,U.S. House of Representatives, 106U.S. House of Representatives, 106thth Cong, 2d Sess., Serial No. Cong, 2d Sess., Serial No. 106-179 (March 23, March 30, May 3, and May 4, 2000)106-179 (March 23, March 30, May 3, and May 4, 2000)
The Sedona Principles: Best Practices Recommendations & Principles The Sedona Principles: Best Practices Recommendations & Principles forfor
Addressing Electronic Document Production (Jan. 2004), available atAddressing Electronic Document Production (Jan. 2004), available at http://www.thesedonaconference.orghttp://www.thesedonaconference.org
The Sedona Guidelines: Best Practices for Managing Information and The Sedona Guidelines: Best Practices for Managing Information and Records in the Digital World (draft forthcoming 2004), atRecords in the Digital World (draft forthcoming 2004), athttp://www.thesedonaconference.orghttp://www.thesedonaconference.org
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Jason R. BaronJason R. BaronDirector of Litigation, NARADirector of Litigation, NARA8601 Adelphi Rd, Suite 31108601 Adelphi Rd, Suite 3110College Park, MD 20740 USACollege Park, MD 20740 USAtelephone (301) 837-1499telephone (301) 837-1499email: [email protected]: [email protected]