Electronic Recordkeeping and the Federal Government

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Questions and Answers

What event in 1987 led to the preservation of billions of email records in federal agencies?

The Iran Contra affair investigation

The Clinton Administration's archiving policy

Lt. Col. Oliver North's deletion of PROFS notes (correct)

The introduction of email in the federal government

What was the outcome of the 1993 court ruling in the D.C. Circuit?

Emails are considered federal records and must be managed to preserve certain forms of metadata (correct)

Emails are only federal records if they are printed and stored in physical form

Emails are considered federal records, but metadata is not required to be preserved

Emails are not considered federal records

How many e-mails and attachments have been transferred to NARA as permanent records as a result of the Clinton Administration's archiving policy?

Over 2 billion

Over 1 billion

Over 100 million

Over 600 million (correct)

What is the name of the case that led to the preservation of National Security Council backup tapes?

The PROFS case Signup and view all the answers

What is the significance of Lt. Col. Oliver North's actions in 1987?

He deleted PROFS notes, leading to a lawsuit and changes in the federal government's management of electronic records Signup and view all the answers

What is the name of the professor who wrote about the federal government's transition to electronic recordkeeping?

Jason R. Baron Signup and view all the answers

What is the name of the agency responsible for archiving presidential e-mail records?

National Archives and Records Administration (NARA) Signup and view all the answers

What is one of the challenges that agencies are facing with managing new forms of communication technologies?

Determining what constitutes a federal 'record' Signup and view all the answers

What is the estimated number of FOIA requests filed with government agencies in fiscal year 2022?

Over 900,000 Signup and view all the answers

What is one of the advantages that litigants in court have in FOIA cases?

Rulings imposed by federal judges in e-discovery cases Signup and view all the answers

What was the main consequence of the government's win in the 1998 court battle?

Agencies continued to rely on policies allowing email to be printed out in paper form. Signup and view all the answers

What is the purpose of Capstone email archiving?

To enable more efficient search and review of email records Signup and view all the answers

What was the main reason for the noncompliance with NARA regulations?

The burden of printing obligations and the increasing use of non-textual attachments. Signup and view all the answers

What is 'technologically assisted review'?

A form of artificial intelligence used in e-discovery Signup and view all the answers

What was the goal of the 2011 presidential memorandum?

To transition federal agencies to electronic recordkeeping by a specific deadline. Signup and view all the answers

What is one of the challenges of employing AI methods in recordkeeping and access contexts?

The need for human review to segregate exempt content Signup and view all the answers

What is the estimated percentage of records created by federal agencies that will be born digital and managed electronically in the next decade?

99.99% Signup and view all the answers

What was the deadline for federal agencies to transition to electronic recordkeeping?

June 30, 2024 Signup and view all the answers

What is one of the types of records that government archives and agency repositories will consist of in the next decade?

Literally billions of electronic records of all types Signup and view all the answers

What is the main purpose of the Capstone approach to email?

To eliminate the need for agencies to schedule and manage email records. Signup and view all the answers

What is the result of the policy changes on government recordkeeping?

Agencies have initiated large-scale digitization efforts to convert paper records to electronic form. Signup and view all the answers

What is the importance of keeping up with technology to assist in records management in the future?

Critically important Signup and view all the answers

What is one of the promising developments in AI technologies for records management?

The ability to mitigate the burden of human review in connection with access requests Signup and view all the answers

What has been the impact of the 2012 Directive on agency IT departments?

They have become more aware of the need to build preservation requirements into future procurements. Signup and view all the answers

What is a result of the changes in recordkeeping practices?

NARA has now 'gone digital'. Signup and view all the answers

What is the main reason for the continued use of paper records?

There is still a considerable amount of legacy paper records within the government. Signup and view all the answers

How many agency components of government have adopted Capstone policies for the archiving of email?

250 Signup and view all the answers

Study Notes

The Federal Government's Transition to Electronic Recordkeeping

In 1987, Lt. Col. Oliver North deleted PROFS notes, leading to a lawsuit and a permanent injunction to preserve National Security Council backup tapes, known as the "PROFS case".
The PROFS case ruled that email communications can be federal records and must be managed to preserve metadata, including sender and recipient information.
In 1994, the Clinton Administration initiated the archiving of all presidential email records, resulting in over 600 million emails and attachments being transferred to the National Archives and Records Administration (NARA) as permanent records.
In 1995, NARA issued email regulations requiring agencies to capture metadata, but allowed for paper print-outs of email as a default means of preserving records.

The Shift to Electronic Recordkeeping

In 2011, the Archivist of the United States, David Ferriero, initiated a shift towards electronic recordkeeping with President Obama's presidential memorandum, "Managing Government Records".
The memorandum called for federal agencies to transition to electronic recordkeeping by December 31, 2019, which was later extended to June 30, 2024.
NARA and the Office of Management and Budget (OMB) jointly issued a "Managing Government Records Directive" in 2012, directing agencies to transition to electronic recordkeeping.
Under the directive, agencies must change their print-to-paper recordkeeping practices for email by December 31, 2016.

The Capstone Approach and Implications

NARA created a voluntary policy known as the "Capstone approach" to email, allowing agencies to treat all email of senior officials as permanent records and dispose of email records of lower-level staff within seven years.
Over 250 agency components of government have adopted Capstone policies for archiving email.
The transition to electronic recordkeeping has resulted in:
- Large-scale digitization efforts to convert paper records to electronic form
- Increased awareness of preservation requirements in IT departments
- Managing new forms of communication technologies, including text messaging and ephemeral messaging apps
- Transforming how the government responds to Freedom of Information Act (FOIA) requests and litigation

eDiscovery and AI

Lawyers have been using artificial intelligence and machine learning methods in e-discovery to search for responsive documents.
These methods can be applied to access requests of all kinds, including FOIA requests, to increase efficiency and reduce labor-intensive human review.
AI technologies hold promise in mitigating the burden of segregating exempt content from responsive records.

Looking to the Future

By the next decade, 99.99% of records created by federal agencies will be born digital and managed electronically.
Government archives and agency repositories will consist of billions of electronic records of all types, including structured and unstructured data, collaborative software apps, audio and video files, and more.
Senior officials and records management staff must advocate for agency deployment of technologies to assist in records management and enhance government transparency and accountability.

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Description

Learn about the transition to electronic recordkeeping in the Federal Government and its implications. This topic explores the history and consequences of digitizing government records.