1、ERPA Workshop Antwerp - April 15, 2004,1,All the Presidents Email: Electronic Recordkeeping Policies and Practices in the Executive Office of the President,Jason R. BaronDirector of Litigation Office of General CounselU.S. National Archives and Records Administration,ERPA Workshop Antwerp - April 15
2、, 2004,2,OVERVIEW,Litigation concerning the record status of email & rules on retention Armstrong v. Exec. Office of the President ERK at the White House Monitoring Schemes Anomalies & Audits - General Accounting Office - Congressional - Litigation Lessons Learned,ERPA Workshop Antwerp - April 15, 2
3、004,3,Email & The U.S. Federal Government,Mid-1980s “early adopters” of email by theWhite House National Security Council staff End of 1990s: 32 million White House email messages preserved as records of the William J. Clinton Administration 2004: tens of billions email messages created each year by
4、 Federal government employees,ERPA Workshop Antwerp - April 15, 2004,4,THE PROFS DECADE BEGINS: ARMSTRONG v. EXECUTIVE OFFICE OF THE PRESIDENT,Filed: January 19, 1989 The last day of the Reagan Administration,ERPA Workshop Antwerp - April 15, 2004,5,THE THREE ARMSTRONG INJUNCTIONS,The initial tempor
5、ary restraining order covered Reagan Admin. PROFS tapes (1989) The second temporary restraining order covered Reagan and Bush era PROFS and All-in-1 tapes (1992) The district courts permanent injunction covered all “electronic communications systems” and their backups (1993),ERPA Workshop Antwerp -
6、April 15, 2004,6,THE ARMSTRONG ORDER January 6, 1993,“ * * * ORDERED that Defendants are enjoined from removing, deleting, or altering information on their electronic communications systems until such time as the Archivist takes action pursuant to . . . the Federal Records Act to prevent the destruc
7、tion of federal records, including those records saved on backup tapes.”,ERPA Workshop Antwerp - April 15, 2004,7,Armstrong Backup Tapes Retained at NARA,ERPA Workshop Antwerp - April 15, 2004,8,ISSUES ADDRESSED IN ARMSTRONG,Email messages can be “federal records” under U.S. law - 44 USC 3301 Agenci
8、es must manage the unique “electronic” email record, as it is only a “kissing cousin” of a hard-copy printout Agencies must provide for some form of periodic audit/monitoring by records managers to ensure correct application of guidance,ERPA Workshop Antwerp - April 15, 2004,9,ISSUES ADDRESSED IN AR
9、MSTRONG (contd) “Who Knew What When”,Transmission and receipt data must be managed along with content Names of senders, recipients Distribution lists User directories Receipt data, including acknowledgements of receipt, where requested,ERPA Workshop Antwerp - April 15, 2004,10,An Aside: A Sea of Met
10、adata,* Hidden email header information * Proprietary features of wordprocessing, e.g., summary fields * Hidden codes of all types * Embedded data * Ability to undelete * Tracking information * Spreadsheet formulas,ERPA Workshop Antwerp - April 15, 2004,11,How the EOP Implemented Armstrong,Issued re
11、cordkeeping guidance covering applications on existing email systems Customized existing proprietary software to perform electronic recordkeeping functions (ARMS) Introduced front-end prompts Built in automatic monitoring functions Restored and reconstructed email residing on backup tapes,ERPA Works
12、hop Antwerp - April 15, 2004,12,Auditing the End User By Way of Records Management Monitoring,Monitoring program by EOP componentbased on statistical sampling methods Record/nonrecord designations Policy Evolution Due to Audit function: default to “record”,ERPA Workshop Antwerp - April 15, 2004,13,A
13、RMS Anomalies & Audits,General Accounting Office Investigation into Email Anomalies Congressional Investigation into Missing Email Litigation: Spoliation, Sanctions, and Beyond,ERPA Workshop Antwerp - April 15, 2004,14,ARMS Anomalies, Contd,MAIL2 server / Mail2 server Letter D MultiHost Anomaly VP e
14、mail,ERPA Workshop Antwerp - April 15, 2004,15,Findings of the GAO,“Monitoring program did not ensure effective management of e-mail records” Incomplete monitoring of presidential records Lack of controls over incoming e-mail Lack of documentation & testing of records management controls Management
15、control weaknesses,ERPA Workshop Antwerp - April 15, 2004,16,Additional Rounds of Oversight Activity,4 days of Congressional hearings50+ days of evidentiary hearings in litigation brought by private party against the White House,ERPA Workshop Antwerp - April 15, 2004,17,Aftermath of Audit,Restoratio
16、n project at $25 million expense Thousands of backup tapes restored as part of “Calverton project” Need for special memorandum of understanding between White House and Archivist covering post-Administration work,ERPA Workshop Antwerp - April 15, 2004,18,Lessons Learned,The need for QC checks and con
17、trols on softwareprograms and processesThe need for clear communication channelsbetween IT staff, records managers,and the lawyersIntegrating lessons learned in next generation ERKsystem at the White House: building in auditfunctions and procedures,ERPA Workshop Antwerp - April 15, 2004,19,ERPA Work
18、shop Antwerp - April 15, 2004,20,For further reading: Armstrong v. Executive Office of the President, 1 F.3d 1274 (D.C. Cir. 1993), available at http:/www.citizen.org/litigation/briefs/ERecords/articles.cfm?ID=620 Baron, Jason R., “The PROFS Decade: NARA, E-mail and the Courts,“ in Thirty Years of E
19、lectronic Records, Bruce Ambacher, ed. (Scarecrow Press 2003). -, “Email Metadata In A Post-Armstrong World, 3rd IEEE Metadata Conference (1999), available at http:/puter.org/proceedings/ meta/1999/papers/83 /jbaron.html “Clinton Administrations Management of Executive Office of the Presidents E-Mai
20、l System,” U.S. General Accounting Office Report, GAO-01-446 (April 2001), available at http:/www.gao.gov/new.items/d01446.pdf,ERPA Workshop Antwerp - April 15, 2004,21,Further Reading (Cont),Memorandum of Understanding on the Clinton-Gore E-mail Records, available at http:/www.archives.gov/presiden
21、tial_libraries/presidential_records/clinton_gore_email_records_memo.html“Missing White House E-mails: Mismanagement of Subpoenaed Records,” Hearings before the Committee on Government Reform, U.S. House of Representatives, 106th Cong, 2d Sess., Serial No. 106-179 (March 23, March 30, May 3, and May
22、4, 2000) The Sedona Principles: Best Practices Recommendations & Principles forAddressing Electronic Document Production (Jan. 2004), available athttp:/www.thesedonaconference.orgThe Sedona Guidelines: Best Practices for Managing Information and Records in the Digital World (draft forthcoming 2004), at http:/www.thesedonaconference.org,ERPA Workshop Antwerp - April 15, 2004,22,Jason R. Baron Director of Litigation, NARA 8601 Adelphi Rd, Suite 3110 College Park, MD 20740 USA telephone (301) 837-1499 email: jason.baronnara.gov,
