Key U.S. Federal Statutes for Records Management

Questions and Answers

What was established by the National Archives Act of 1934?

The Presidential and Federal Records Act

The Freedom of Information Act

The Federal Records Act

The National Archives to centralize federal recordkeeping (correct)

Who signed the Presidential and Federal Records Act Amendments of 2014?

Barack Obama (correct)

Franklin D. Roosevelt

The Archivist of the United States

A Federal Agency

What is the primary goal of the Federal Records Act of 1950?

To provide a framework for records management programs in federal agencies (correct)

To preserve permanent records

To establish the National Archives

To ensure public access to U.S. government records

What is the burden of proof in the Freedom of Information Act (FOIA) of 1966?

On the government to demonstrate why information may not be released Signup and view all the answers

What is the purpose of the Electronic Freedom of Information Act Amendments of 1996?

To require agencies to release records in electronic form on request Signup and view all the answers

What is the effect of Public Law 116-283 on the Federal Records Act?

It expanded the definition of federal records to include electronic records Signup and view all the answers

What is the most recent amendment to the Freedom of Information Act (FOIA)?

Public Law 114-185— FOIA Improvement Act of 2016 Signup and view all the answers

What is required of agencies according to Public Law 116-283?

To electronically capture, manage, and preserve electronic message records and make those messages readily accessible through electronic searches Signup and view all the answers

What is the primary purpose of the Privacy Act of 1974?

To establish safeguards for the protection of records collected and maintained by the federal government Signup and view all the answers

Which act requires agencies to obtain approval from the Office of Management and Budget before requesting most types of information from the public?

Paperwork Reduction Act of 1995 Signup and view all the answers

What is the primary purpose of the Presidential Records Act (PRA) of 1978?

To govern the official records of Presidents and Vice Presidents Signup and view all the answers

What is the purpose of the U.S. Electronic Signatures in Global and National Commerce (ESIGN) Act of 2000?

To grant electronic signatures the same legal status as handwritten signatures Signup and view all the answers

What is the primary purpose of the E-Government Act of 2002?

To promote the use of the Internet and electronic government services Signup and view all the answers

What is the purpose of the amendment to the Freedom of Information Act (FOIA) mentioned in the content?

To make records that have been released previously and requested three or more times available to the public in electronic format Signup and view all the answers

Which act requires agencies to conduct privacy impact assessments (PIAs) for information technology (IT) systems?

E-Government Act of 2002 Signup and view all the answers

What is the purpose of the systems of records listing maintained by the Department of Justice?

To publish systems of records in the Federal Register Signup and view all the answers

What is the purpose of the chief information officer (CIO) designated by the head of each agency under the Paperwork Reduction Act of 1995?

To carry out the responsibilities outlined in the Paperwork Reduction Act of 1995 Signup and view all the answers

Which act modernized the Presidential Records Act of 1978?

H.R.1233, the Presidential and Federal Records Act Amendments of 2014 Signup and view all the answers

What is the primary function of the Office of the Federal Register?

To codify the general and permanent rules published in the Federal Register Signup and view all the answers

Which of the following is NOT a topic addressed in Title 36 of the United States Code?

Federal Laws on Immigration Signup and view all the answers

What is the primary purpose of the Federal Records Act of 1950?

To ensure adequate documentation of federal agency activities Signup and view all the answers

Which government agency is responsible for administering the Sarbanes-Oxley Act of 2002?

Securities and Exchange Commission (SEC) Signup and view all the answers

What is the codification of the general and permanent rules published in the Federal Register by executive offices and agencies of the Federal Government?

Code of Federal Regulations (CFR) Signup and view all the answers

Which of the following is a topic addressed in Title 44 of the United States Code?

Records Management by Federal Agencies Signup and view all the answers

What is the purpose of the Privacy Act of 1974?

To protect individual privacy Signup and view all the answers

Which of the following is a system of records as defined by the Privacy Act of 1974?

A group of records under the control of any agency from which information is retrieved by the name of the individual Signup and view all the answers

What is the primary function of the Government Publishing Office's GovInfo website?

To provide access to official publications of all three branches of the Federal Government Signup and view all the answers

Which of the following is NOT a topic addressed in 44 USC Chapters 21, 22, 29, 31, and 33?

Federal Laws on Immigration Signup and view all the answers

Which act facilitates the use of electronic records and signatures?

Electronic Signatures in Global and National Commerce Act Signup and view all the answers

What is the minimum retention period for records storage according to SOX?

Five years Signup and view all the answers

What type of industry is heavily regulated by the Health Insurance Portability and Accountability Act?

Healthcare industry Signup and view all the answers

What is the purpose of the Financial Industry Regulatory Authority?

To ensure the broker-dealer industry operates fairly and honestly Signup and view all the answers

What is the consequence for noncompliance with SOX?

Fines, imprisonment, or both Signup and view all the answers

What is the purpose of Regulatory Notice 22-29?

To alert firms to increased ransomware risks and provide strategies to defend against threats Signup and view all the answers

What is required from consumers under the Electronic Signatures in Global and National Commerce Act?

Electronic consent or confirmation to receive information electronically Signup and view all the answers

What type of record is recommended to be maintained under the Electronic Signatures in Global and National Commerce Act?

Audit trail Signup and view all the answers

What is the purpose of the National Credit Union Administration's checklist of questions?

To ensure compliance with the Electronic Signatures in Global and National Commerce Act Signup and view all the answers

What is the purpose of Rule 30 of the U.S. SEC Regulation S-P?

To safeguard customer records and information Signup and view all the answers

What is the primary focus of Rule 37(f) in the Federal Rules of Civil Procedure?

To recognize that companies cannot preserve all the data they produce Signup and view all the answers

What is essential for companies operating internationally?

To become familiar with legal requirements and codes of practice in countries where business is conducted Signup and view all the answers

What is the purpose of monitoring court rulings?

To better understand the risks involved Signup and view all the answers

What concept is supported by the Stephan Zouras LLP v. Marrone case?

Proportionality Signup and view all the answers

What is the primary focus of Rule 37e of the Federal Rules of Civil Procedure?

The failure to preserve Electronically Stored Information Signup and view all the answers

What is the role of the Magistrate Judge in the Stephan Zouras LLP v. Marrone case?

To rule on the motion to compel production of additional documents Signup and view all the answers

What principle did the Court rely on in the Stephan Zouras LLP v. Marrone case?

Sedona Principles Signup and view all the answers

What is the significance of Rule 26(b)(1) of the Federal Rules of Civil Procedure?

It introduces the concept of proportionality in electronic discovery Signup and view all the answers

What is one of the strategies suggested by the Court to ease the discovery burden in the Stephan Zouras LLP v. Marrone case?

Using search terms and/or technology-assisted review (TAR) and sampling Signup and view all the answers

What is the purpose of Rule 26(a) of the Federal Rules of Civil Procedure?

To establish electronically stored information as a category to be disclosed Signup and view all the answers

What is the consequence of failing to take reasonable steps to preserve Electronically Stored Information under Rule 37(e) of the Federal Rules of Civil Procedure?

The court may issue an adverse inference instruction Signup and view all the answers

What is the purpose of the Sedona Conference?

To study law and policy related to antitrust law, complex litigation, and intellectual property rights Signup and view all the answers

What is the significance of Rule 26(b)(2) of the Federal Rules of Civil Procedure?

It acknowledges that some Electronically Stored Information may be unduly burdensome to produce Signup and view all the answers

What is the website for accessing laws and regulations in France?

<a href="https://www.legifrance.gouv.fr/">https://www.legifrance.gouv.fr/</a> Signup and view all the answers

What is the purpose of Rule 34(b)(2) of the Federal Rules of Civil Procedure?

To require greater specificity in objections to requests for production Signup and view all the answers

What is the name of the law firm that was entrusted with the award and obligated to disburse payment to its co-counsel in the Stephan Zouras LLP v. Marrone case?

Marrone Signup and view all the answers

What is the significance of Rule 26(b)(5) of the Federal Rules of Civil Procedure?

It relates to claiming privilege or protecting trial-preparation materials Signup and view all the answers

What is the primary focus of the Federal Rules of Civil Procedure?

Civil proceedings in federal courts Signup and view all the answers

What is the significance of the 2015 amendments to the Federal Rules of Civil Procedure?

They introduced the concept of proportionality in electronic discovery Signup and view all the answers

What is the primary focus of Rule 37(f) of the Federal Rules of Civil Procedure?

The procedures for resolving e-discovery disputes Signup and view all the answers

What is a major challenge faced by organizations today in implementing effective Records and Information Management (RIM) programs?

The rapid proliferation of data across all roles and departments Signup and view all the answers

What is a critical aspect of Records and Information Management (RIM) programs that involves ensuring the preservation of records?

Retention and disposition Signup and view all the answers

What is the primary objective of the various records management lifecycle models?

To ensure compliance with governing laws and regulations Signup and view all the answers

Which of the following is NOT a core element of Records and Information Management (RIM) programs?

Marketing and public relations Signup and view all the answers

What is the main challenge in responding to e-Discovery requests in the context of Records and Information Management (RIM) programs?

The complexity and diversity of enterprise technology employed Signup and view all the answers

Which of the following is a benefit of implementing an Information Governance approach?

Maximizing the value of information while minimizing associated risks and costs Signup and view all the answers

What is the main objective of the Sedona Conference TAR Case Law Primer, Second Edition?

To assist courts and practitioners in staying abreast of evolving eDiscovery case law Signup and view all the answers

What is the primary focus of the Electronic Discovery Reference Model (EDRM)?

The e-Discovery process Signup and view all the answers

Which of the following laws or regulations is most relevant to international business organizations implementing Records and Information Management (RIM) programs?

The laws and regulations of the countries in which they operate Signup and view all the answers

What is a critical success factor in implementing effective Records and Information Management (RIM) programs?

Participation and collaboration among representatives of various departments and stakeholders Signup and view all the answers

What is the acronym ICPAP a simple way to summarize?

The duties of the party receiving the eDiscovery request Signup and view all the answers

What is the main challenge posed by the volume, velocity, and variety of data created today?

Effective governance of records and information Signup and view all the answers

What is the primary benefit of an information governance program built upon a solid RIM foundation?

Protection of essential records and those of historical importance Signup and view all the answers

What is the primary focus of the Information Governance Reference Model (IGRM)?

The activities carried out during the records and information lifecycle Signup and view all the answers

What is the primary purpose of reviewing material before it is turned over in eDiscovery?

To identify and redact personal identifiable information (PII) or confidential information Signup and view all the answers

What is the main characteristic of the eDiscovery process?

It involves any process in which data is sought, located, secured, and searched with the intent of using it as evidence Signup and view all the answers

What is the primary challenge posed by the fact that much of the data is being created outside of the organization's firewalls?

Controlling data creation outside organizational firewalls Signup and view all the answers

What is the primary benefit of an accountability framework in an information governance program?

Effective control, appropriate security, and management over the creation, maintenance, use, and disposition of records Signup and view all the answers

Study Notes

National Archives Act of 1934:
- Established the National Archives to centralize federal recordkeeping
- Archivist of the United States is the chief administrator
Federal Records Act of 1950:
- Establishes framework for records management programs in federal agencies
- NARA is the primary agency for records management oversight
- Includes appraisal, disposal, and preservation of federal records
Presidential and Federal Records Act Amendments of 2014:
- Expanded definition of federal records to include electronic records
- Grants the Archivist final determination on what constitutes a federal record
Freedom of Information Act (FOIA) of 1966:
- Ensures public access to U.S. government records
- Carries a presumption of disclosure
- Agencies must disclose records unless exempt
Electronic Freedom of Information Act Amendments of 1996:
- Requires agencies to release records in electronic form on request
FOIA Improvement Act of 2016:
- Requires agencies to make previously released records available in electronic format
- Establishes a minimum 90-day appeal period for adverse determinations
- Provides dispute resolution services throughout the FOIA process

Privacy Act of 1974

Establishes safeguards for protection of records collected on U.S. citizens
Mandates disclosure of information collection and use
Bars agencies from maintaining unnecessary information
Allows individuals to access and amend their records

Presidential Records Act (PRA) of 1978

Governs official records of Presidents and Vice Presidents created or received after January 20, 1981
Establishes a new statutory structure for presidential records management
Transfers presidential records to the National Archives when the President leaves office

Other Key Acts

Paperwork Reduction Act of 1995:
- Requires agencies to obtain OMB approval before requesting information from the public
- Establishes chief information officers (CIOs) to carry out records management responsibilities
U.S. Electronic Signatures in Global and National Commerce (ESIGN) Act of 2000:
- Grants electronic signatures the same legal status as handwritten signatures
- Standardizes electronic records and signatures in interstate and international commerce
E-Government Act of 2002:
- Promotes the use of the Internet and electronic government services
- Enhances access to government information and services
- Requires agencies to conduct privacy impact assessments (PIAs) for IT systems

Code of Federal Regulations (CFR) and United States Code (USC)

CFR codifies general and permanent rules published in the Federal Register
Title 36 of the CFR is most relevant to RIM
USC is the consolidation and codification of general and permanent laws of the United States
Title 44 of the USC is most relevant to RIM on the federal level

Industry-Specific Regulations

Sarbanes-Oxley Act of 2002 (SOX):
- Administered by the Securities and Exchange Commission (SEC)
- Applies to public companies, international companies, and accounting firms
- Regulates destruction, alteration, or falsification of records
Financial Industry Regulatory Authority (FINRA):
- Requires firms to have written policies and procedures to safeguard customer records and information
Health Insurance Portability and Accountability Act of 1996 (HIPAA):
- Establishes privacy and security standards to protect individually identifiable health information
- Applies to healthcare-related organizations and employers outside the healthcare sector
Electronic Signatures in Global and National Commerce Act (E-SIGN):
- Facilitates the use of electronic records and signatures
- Ensures validity and legal effect of contracts entered into electronically

Federal Rules of Civil Procedure (FRCP) and Implications for Records Management

FRCP governs civil actions brought into federal district courts
Rules 26 and 37 impact RM programs
Rule 26(a): Defines electronically stored information and disclosure requirements
Rule 26(b)(1): Changes the scope of discovery and proportionality
Rule 26(b)(2): Acknowledges undue burden of production
Rule 26(b)(5): Relates to claiming privilege or protecting trial-preparation materials
Rule 34(b)(2): Specifies need for greater specificity in objections to requests for production
Rule 37(e): Authorizes courts to issue sanctions for failure to preserve ESI
Rule 37(f): Recognizes routine, good-faith operation of electronic information systems### Discovery
In a court case, the plaintiff produced over 73,000 pages of documents, while the defendants produced only 13 documents for a six-year period.
The court agreed that additional documents were relevant and should be produced by the defendants.
The Sedona Principles emphasize the importance of reciprocal responsibilities in discovery, including:
- Discovery requests must be appropriately tailored.
- Discovery should be directly proportional to the stakes.
The court suggested using search terms, technology-assisted review (TAR), and sampling to ease the discovery burden.

The Sedona Conference

The Sedona Conference is a non-profit research and educational institute that focuses on law and policy related to antitrust law, complex litigation, and intellectual property rights.
The institute publishes research products on eDiscovery, including:
- The Sedona Conference TAR Case Law Primer, Second Edition (2023).
- The Sedona Conference Commentary on Information Governance, 2nd ed. (2019).
- The Sedona Principles, Third Edition: Best Practices, Recommendations & Principles for Addressing Electronic Document Production (2018).

Electronic Discovery

Electronic discovery (eDiscovery) refers to the process of locating, securing, searching, and producing electronic data as evidence in a legal case.
eDiscovery involves identifying, collecting, preserving, analyzing, and producing electronic stored information (ESI).
The Electronic Discovery Reference Model (EDRM) outlines the eDiscovery process in five areas: identification, preservation/collection, processing/review/analysis, production, and presentation.
The acronym ICPAP summarizes the duties of the party receiving the eDiscovery request: identify, collect, preserve, analyze, and produce.

Information Governance

Information Governance is essential to the five areas of the EDRM.
The Information Governance Reference Model (IGRM) includes activities such as create/receive, protect, retain, dispose, and transfer, as well as policies and processes developed with input from various stakeholders.
Information Governance is critical for organizations to effectively govern their records and information, and to mitigate risks such as lost files, high costs, and compliance violations.
Benefits of an information governance program include the protection of essential records, preservation of corporate memory, and effective control and management of records within the organization.

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Description

Quiz on important U.S. federal statutes related to records management, including the National Archives Act of 1934 and the Federal Records Act of 1950. Learn about the framework for records management programs in federal agencies and the role of NARA.