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Questions and Answers
What was established by the National Archives Act of 1934?
What was established by the National Archives Act of 1934?
Who signed the Presidential and Federal Records Act Amendments of 2014?
Who signed the Presidential and Federal Records Act Amendments of 2014?
What is the primary goal of the Federal Records Act of 1950?
What is the primary goal of the Federal Records Act of 1950?
What is the burden of proof in the Freedom of Information Act (FOIA) of 1966?
What is the burden of proof in the Freedom of Information Act (FOIA) of 1966?
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What is the purpose of the Electronic Freedom of Information Act Amendments of 1996?
What is the purpose of the Electronic Freedom of Information Act Amendments of 1996?
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What is the effect of Public Law 116-283 on the Federal Records Act?
What is the effect of Public Law 116-283 on the Federal Records Act?
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What is the most recent amendment to the Freedom of Information Act (FOIA)?
What is the most recent amendment to the Freedom of Information Act (FOIA)?
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What is required of agencies according to Public Law 116-283?
What is required of agencies according to Public Law 116-283?
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What is the primary purpose of the Privacy Act of 1974?
What is the primary purpose of the Privacy Act of 1974?
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Which act requires agencies to obtain approval from the Office of Management and Budget before requesting most types of information from the public?
Which act requires agencies to obtain approval from the Office of Management and Budget before requesting most types of information from the public?
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What is the primary purpose of the Presidential Records Act (PRA) of 1978?
What is the primary purpose of the Presidential Records Act (PRA) of 1978?
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What is the purpose of the U.S. Electronic Signatures in Global and National Commerce (ESIGN) Act of 2000?
What is the purpose of the U.S. Electronic Signatures in Global and National Commerce (ESIGN) Act of 2000?
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What is the primary purpose of the E-Government Act of 2002?
What is the primary purpose of the E-Government Act of 2002?
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What is the purpose of the amendment to the Freedom of Information Act (FOIA) mentioned in the content?
What is the purpose of the amendment to the Freedom of Information Act (FOIA) mentioned in the content?
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Which act requires agencies to conduct privacy impact assessments (PIAs) for information technology (IT) systems?
Which act requires agencies to conduct privacy impact assessments (PIAs) for information technology (IT) systems?
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What is the purpose of the systems of records listing maintained by the Department of Justice?
What is the purpose of the systems of records listing maintained by the Department of Justice?
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What is the purpose of the chief information officer (CIO) designated by the head of each agency under the Paperwork Reduction Act of 1995?
What is the purpose of the chief information officer (CIO) designated by the head of each agency under the Paperwork Reduction Act of 1995?
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Which act modernized the Presidential Records Act of 1978?
Which act modernized the Presidential Records Act of 1978?
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What is the primary function of the Office of the Federal Register?
What is the primary function of the Office of the Federal Register?
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Which of the following is NOT a topic addressed in Title 36 of the United States Code?
Which of the following is NOT a topic addressed in Title 36 of the United States Code?
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What is the primary purpose of the Federal Records Act of 1950?
What is the primary purpose of the Federal Records Act of 1950?
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Which government agency is responsible for administering the Sarbanes-Oxley Act of 2002?
Which government agency is responsible for administering the Sarbanes-Oxley Act of 2002?
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What is the codification of the general and permanent rules published in the Federal Register by executive offices and agencies of the Federal Government?
What is the codification of the general and permanent rules published in the Federal Register by executive offices and agencies of the Federal Government?
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Which of the following is a topic addressed in Title 44 of the United States Code?
Which of the following is a topic addressed in Title 44 of the United States Code?
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What is the purpose of the Privacy Act of 1974?
What is the purpose of the Privacy Act of 1974?
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Which of the following is a system of records as defined by the Privacy Act of 1974?
Which of the following is a system of records as defined by the Privacy Act of 1974?
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What is the primary function of the Government Publishing Office's GovInfo website?
What is the primary function of the Government Publishing Office's GovInfo website?
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Which of the following is NOT a topic addressed in 44 USC Chapters 21, 22, 29, 31, and 33?
Which of the following is NOT a topic addressed in 44 USC Chapters 21, 22, 29, 31, and 33?
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Which act facilitates the use of electronic records and signatures?
Which act facilitates the use of electronic records and signatures?
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What is the minimum retention period for records storage according to SOX?
What is the minimum retention period for records storage according to SOX?
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What type of industry is heavily regulated by the Health Insurance Portability and Accountability Act?
What type of industry is heavily regulated by the Health Insurance Portability and Accountability Act?
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What is the purpose of the Financial Industry Regulatory Authority?
What is the purpose of the Financial Industry Regulatory Authority?
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What is the consequence for noncompliance with SOX?
What is the consequence for noncompliance with SOX?
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What is the purpose of Regulatory Notice 22-29?
What is the purpose of Regulatory Notice 22-29?
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What is required from consumers under the Electronic Signatures in Global and National Commerce Act?
What is required from consumers under the Electronic Signatures in Global and National Commerce Act?
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What type of record is recommended to be maintained under the Electronic Signatures in Global and National Commerce Act?
What type of record is recommended to be maintained under the Electronic Signatures in Global and National Commerce Act?
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What is the purpose of the National Credit Union Administration's checklist of questions?
What is the purpose of the National Credit Union Administration's checklist of questions?
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What is the purpose of Rule 30 of the U.S. SEC Regulation S-P?
What is the purpose of Rule 30 of the U.S. SEC Regulation S-P?
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What is the primary focus of Rule 37(f) in the Federal Rules of Civil Procedure?
What is the primary focus of Rule 37(f) in the Federal Rules of Civil Procedure?
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What is essential for companies operating internationally?
What is essential for companies operating internationally?
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What is the purpose of monitoring court rulings?
What is the purpose of monitoring court rulings?
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What concept is supported by the Stephan Zouras LLP v. Marrone case?
What concept is supported by the Stephan Zouras LLP v. Marrone case?
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What is the primary focus of Rule 37e of the Federal Rules of Civil Procedure?
What is the primary focus of Rule 37e of the Federal Rules of Civil Procedure?
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What is the role of the Magistrate Judge in the Stephan Zouras LLP v. Marrone case?
What is the role of the Magistrate Judge in the Stephan Zouras LLP v. Marrone case?
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What principle did the Court rely on in the Stephan Zouras LLP v. Marrone case?
What principle did the Court rely on in the Stephan Zouras LLP v. Marrone case?
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What is the significance of Rule 26(b)(1) of the Federal Rules of Civil Procedure?
What is the significance of Rule 26(b)(1) of the Federal Rules of Civil Procedure?
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What is one of the strategies suggested by the Court to ease the discovery burden in the Stephan Zouras LLP v. Marrone case?
What is one of the strategies suggested by the Court to ease the discovery burden in the Stephan Zouras LLP v. Marrone case?
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What is the purpose of Rule 26(a) of the Federal Rules of Civil Procedure?
What is the purpose of Rule 26(a) of the Federal Rules of Civil Procedure?
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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?
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?
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What is the purpose of the Sedona Conference?
What is the purpose of the Sedona Conference?
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What is the significance of Rule 26(b)(2) of the Federal Rules of Civil Procedure?
What is the significance of Rule 26(b)(2) of the Federal Rules of Civil Procedure?
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What is the website for accessing laws and regulations in France?
What is the website for accessing laws and regulations in France?
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What is the purpose of Rule 34(b)(2) of the Federal Rules of Civil Procedure?
What is the purpose of Rule 34(b)(2) of the Federal Rules of Civil Procedure?
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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?
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?
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What is the significance of Rule 26(b)(5) of the Federal Rules of Civil Procedure?
What is the significance of Rule 26(b)(5) of the Federal Rules of Civil Procedure?
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What is the primary focus of the Federal Rules of Civil Procedure?
What is the primary focus of the Federal Rules of Civil Procedure?
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What is the significance of the 2015 amendments to the Federal Rules of Civil Procedure?
What is the significance of the 2015 amendments to the Federal Rules of Civil Procedure?
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What is the primary focus of Rule 37(f) of the Federal Rules of Civil Procedure?
What is the primary focus of Rule 37(f) of the Federal Rules of Civil Procedure?
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What is a major challenge faced by organizations today in implementing effective Records and Information Management (RIM) programs?
What is a major challenge faced by organizations today in implementing effective Records and Information Management (RIM) programs?
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What is a critical aspect of Records and Information Management (RIM) programs that involves ensuring the preservation of records?
What is a critical aspect of Records and Information Management (RIM) programs that involves ensuring the preservation of records?
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What is the primary objective of the various records management lifecycle models?
What is the primary objective of the various records management lifecycle models?
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Which of the following is NOT a core element of Records and Information Management (RIM) programs?
Which of the following is NOT a core element of Records and Information Management (RIM) programs?
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What is the main challenge in responding to e-Discovery requests in the context of Records and Information Management (RIM) programs?
What is the main challenge in responding to e-Discovery requests in the context of Records and Information Management (RIM) programs?
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Which of the following is a benefit of implementing an Information Governance approach?
Which of the following is a benefit of implementing an Information Governance approach?
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What is the main objective of the Sedona Conference TAR Case Law Primer, Second Edition?
What is the main objective of the Sedona Conference TAR Case Law Primer, Second Edition?
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What is the primary focus of the Electronic Discovery Reference Model (EDRM)?
What is the primary focus of the Electronic Discovery Reference Model (EDRM)?
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Which of the following laws or regulations is most relevant to international business organizations implementing Records and Information Management (RIM) programs?
Which of the following laws or regulations is most relevant to international business organizations implementing Records and Information Management (RIM) programs?
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What is a critical success factor in implementing effective Records and Information Management (RIM) programs?
What is a critical success factor in implementing effective Records and Information Management (RIM) programs?
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What is the acronym ICPAP a simple way to summarize?
What is the acronym ICPAP a simple way to summarize?
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What is the main challenge posed by the volume, velocity, and variety of data created today?
What is the main challenge posed by the volume, velocity, and variety of data created today?
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What is the primary benefit of an information governance program built upon a solid RIM foundation?
What is the primary benefit of an information governance program built upon a solid RIM foundation?
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What is the primary focus of the Information Governance Reference Model (IGRM)?
What is the primary focus of the Information Governance Reference Model (IGRM)?
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What is the primary purpose of reviewing material before it is turned over in eDiscovery?
What is the primary purpose of reviewing material before it is turned over in eDiscovery?
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What is the main characteristic of the eDiscovery process?
What is the main characteristic of the eDiscovery process?
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What is the primary challenge posed by the fact that much of the data is being created outside of the organization's firewalls?
What is the primary challenge posed by the fact that much of the data is being created outside of the organization's firewalls?
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What is the primary benefit of an accountability framework in an information governance program?
What is the primary benefit of an accountability framework in an information governance program?
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Study Notes
Key U.S. Federal Statutes Related to Records Management
- 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.