Archiving: What to Keep, What to Purge, and How To Tell

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1 Archiving: What to Keep, What to Purge, and How To Tell Digital Government Institute E-Discovery, Records & Information Mgmt. Conference Washington, D.C. March 4, 2010 Jason R. Baron Director of Litigation Office of General Counsel National Archives and Records Administration

2 is still the 800 lb. gorilla of ediscovery (see 36 CFR (2009))

3 Beyond text messaging 3

4 Voice mail captured in Unified Messaging Systems 4

5 Emergence of Web 2.0 Social Media 5

6 The Future: Public Records in the Clouds? 6

7 Obama Administration commitment to cloud architecture Vivek Kundra, Chief Information Officer in the White House Office of Science and Technology, announces launch of Apps.gov: https://apps.gov/cloud/advantage/main/start_page.do With links to Business apps, Productivity apps, Social media apps, Cloud computing services Peter Orszag, OMB, Open Government Initiative Memorandum to Federal Agencies (Dec. 9, 2009), 7

8 Four Prior Recordkeeping Paths Print to paper (GRS 20, Item 14) Backup tapes Online user-based foldering in proprietary live systems Electronic recordkeeping under DoD

9 Impact of Technology on E-Records Management Applications: Snapshot FY2010 A universe of proprietary products exists in the marketplace: document management and RMAs DoD (version 3) compliant products However, scalability and useability issues exist Utopia is records mgmt without extra keystrokes, completely transparent to end-users Agencies must prepare to confront significant front-end process issues when transitioning to electronic recordkeeping Records schedule simplification is key 9

10 The transactional toll of userbased recordkeeping schemes 10

11 . and the need for better, automated solutions. 11

12 Electronic Archiving What is it? 100% snapshot of (typically) , plus in some cases other selected ESI applications How does it differ from an RMA? Goal is of preservation of evidence, not records management per se NARA Bulletin

13 The Future Promise of Electronic Archiving 100% archiving of & ESI on the desktop Transport out of store into generic format (e.g., XML) Use of smart filter technologies on front and back end to segregate permanent from the temporary (with capture and transfer to NARA of the permanent) Culling for non-record material using certain agreedupon protocols Default temporary record status of remaining archived materials However: all eggs in the search basket 13

14 A Possible Path Forward? archiving in short term, synced to existing proprietary software on system Designation of key senior officials as creating permanent records, consistent with existing records schedules Additional designations of permanent records by agency component Smart filters/rules built in based on content, to the extent feasible to do Default are records in designated temporary record buckets, disposed of under existing records schedules. 14

15 Keeping vs. Purging: Foundational elements of recordkeeping in government + Agency file plans and agency records schedules + Appraisal decisions signed off by Archivist on what constitute permanent records (eventually accessioned into NARA), and what constitute temporary records (stored by agencies during active use and then at offsite federal or other record centers for the duration of the retention period of the records) + Record schedules subject to public notice in Federal Register + Unscheduled records cannot be disposed of until such time as they have been scheduled + General Records Schedules for admin. records See 44 USC 3303, 3303a(a), (d)

16 H.R (111 th Congress): EMPA Electronic Message Preservation Act, formerly H.R. 5811(110 th Cong.), sponsored by Rep. Henry Waxman, passed the House on July 9, 2008 Currently reintroduced as H.R (Rep. Hodes) Would have Archivist issue regulations Requiring electronic capture, management and preservation of electronic records Requiring electronic records to be readily accessible for retrieval through electronic searches Establishing mandatory minimum functional requirements for electronic records management systems to ensure compliance 16

17 H.R. 1387: EMPA (cont d) Electronic messages means electronic mail and other electronic messaging systems that are used for purposes of communicating between individuals Electronic records management system means a software system designed to manage electronic records with an information technology system, including by (A) categorizing and locating records; (B) ensuring that records are retained as long as necessary (C) identifying records that are due for disposition; (D) the storage, retrieval and disposition of records. 17

18 H.R. 1387: EMPA (cont d) EMPA would require NARA to promulgate regulations within 18 months of enactment EMPA would require regulations to include timelines for agencies that ensure compliance as expeditiously as practicable but not later than four years after the date of enactment EMPA would require that, to the extent practicable, the regulations include requirements for the capture, management, and preservation of other forms of electronic records beyond electronic messages Reporting requirements for agencies: 4 years after enactment 18

19 Judicial second guessing of failure to use e-search capabilities: Capitol Records v. MP3 Tunes, 261 F.R.D. 44 (S.D.N.Y. 2009) In [a prior case] the Court notes its dismay that the party opposing discovery of its ESI had organized its files in a manner which seemed to serve no purpose other than to discourage audits... Similarly, in this case, [the party] host[ed] no ediscovery software on their servers and apparently are unable to conduct centralized searches of groups of users without downloading them to a separate file and relying on the services of an outside vendor. 19

20 Judicial second guessing of failure to use e-search capabilities: Capitol Records v. MP3 Tunes (con t) Court went on to add: The day will undoubtedly will come when burden arguments based on a large organization s lack of internal ediscovery software will be received about as well as the contention that a party should be spared from retrieving paper documents because it had filed them sequentially, but in no apparent groupings, in an effort to avoid the added expense of file folders or indices. 20

21 Rosetta Stone Approach: The Need To Master 3 Languages: Legal, RM, IT 21

22 What does the road ahead for your agency look like? 22

23 Additional Resources (NARA) Title 44 U.S. Code, Chaps 21, 29, 31, C.F.R. Part 1236 E-Records Mgmt NARA Bulletin Guidance concerning the use of archiving applications to store (comprehensive records management website, with bulletins and a toolkit of best practice white papers, including on transitioning to electronic recordkeeping; FAQs on many subjects, including scanning documents, instant messaging, wikis, RSS feeds, cloud computing) 23

24 Additional resources (NARA publications) September 2004 Expanding Acceptable Transfer Requirements for Permanent Electronic Records Web Content January 2005 NARA Guidance on Managing Web Records September Implications of Recent Web Technologies for NARA Web Guidance June 2009 Guidance Concerning Managing Records in a Multi-Agency Environment 24

25 Jason R. Baron Director of Litigation Office of General Counsel National Archives and Records Administration (301)

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