What Guidance Identifies Federal Information

What Guidance Identifies Federal Information? A Comprehensive Guide

The identification of federal information is crucial for ensuring compliance with numerous laws and regulations governing its creation, management, and dissemination. This complex process involves understanding various guidelines, directives, and standards issued by different federal agencies. This comprehensive guide explores the key pieces of guidance that help identify what constitutes federal information and the implications of proper identification. Failing to correctly identify federal information can lead to significant legal and security consequences.

What is Federal Information?

Before delving into the guidance, it's essential to define "federal information." This broadly refers to any information created, received, or possessed by federal government agencies or their contractors in the course of their official duties. This includes a vast range of data formats, such as:

• Documents: Letters, memos, reports, policy documents, emails, etc.
• Databases: Structured collections of data maintained by federal agencies.
• Records: Official documentation of government activities and decisions.
• Software: Applications and programs developed or used by federal agencies.
• Multimedia: Images, videos, audio recordings, etc.
• Websites: Information published and maintained on government websites.

Key Guidance Documents and Regulations:

Several key documents and regulations provide guidance on identifying federal information. Understanding these documents is crucial for ensuring compliance and responsible management of government data.

1. The Federal Records Act (FRA) of 1950 (44 U.S. Code § 3101 et seq.): This foundational law establishes the framework for managing federal records. While it doesn't explicitly define "federal information," it sets the stage for its identification and preservation. The FRA mandates the creation and maintenance of records documenting agency activities and decisions. Information that is created to support these activities and decisions would be considered federal information, subject to the requirements of the FRA. This includes establishing schedules for the retention and disposal of records. The FRA, though not offering a precise definition, underpins all other guidelines by establishing the need for federal recordkeeping.

2. Office of Management and Budget (OMB) Circulars: OMB issues circulars that provide detailed guidance on various aspects of federal management, including information management. These circulars offer practical interpretations of laws like the FRA and provide specific instructions for agencies. For instance, OMB Circular No. A-130, Management of Federal Information Resources, is a cornerstone document. While superseded by M-21-20, it remains an important historical text highlighting the principles of effective federal information management, including the necessity of identifying and classifying federal information appropriately. The newer M-21-20 provides updated guidance that builds upon the principles outlined in Circular A-130. This is crucial because it clarifies how digital technologies are handled in compliance with the FRA.

3. National Archives and Records Administration (NARA) Guidance: NARA, responsible for preserving federal records, provides numerous resources and guidance documents clarifying the FRA and offering practical advice on identifying and managing federal information. Their bulletins, FAQs, and training materials offer detailed examples and best practices, making them essential tools for anyone involved in federal information management. They specifically address recordkeeping practices for digital information, a critical consideration in the modern digital age. NARA provides training resources and frequently updated information which provides a wealth of detail to support agencies.

4. Agency-Specific Policies and Procedures: Individual federal agencies often develop their own internal policies and procedures that elaborate on the broader guidance provided by OMB and NARA. These internal policies typically provide agency-specific details on classifying information based on sensitivity, security requirements, and retention schedules. They offer examples specific to their mission and type of information commonly held. It is therefore crucial to familiarize yourself with your specific agency's directives and policies in addition to broader government guidelines.

Identifying Information as Federal: A Practical Approach

Identifying federal information requires a comprehensive approach encompassing several considerations:

• Source of Creation: Was the information created by a federal employee or contractor in the performance of their official duties? If so, it is highly likely that the information is federal.
• Purpose of Creation: Was the information created to support agency operations, record decisions, or fulfill statutory responsibilities? The answer to this can help clarify whether the information falls under federal regulations.
• Content and Subject Matter: Does the information relate to agency programs, policies, activities, or transactions? The content's pertinence to federal operations plays a crucial role.
• Format and Medium: Federal information can exist in various formats, from traditional paper documents to digital databases and multimedia files. The format does not determine its federal nature.
• Location of Storage: Where is the information stored? Even if created outside of official channels, the location of the information on agency systems could necessitate classification as federal.
• Ownership and Control: Does the federal government have ownership or control over the information? This might involve contractual arrangements or other stipulations dictating the information's status.

Challenges in Identifying Federal Information

Despite the guidance available, identifying federal information can be challenging for several reasons:

• Evolution of Technology: The rapid advancement of technology continuously presents new challenges in identifying and managing federal information, particularly concerning cloud computing and big data. Adapting guidance to these emerging technologies requires ongoing efforts.
• Hybrid Work Environments: The increasing prevalence of hybrid work environments blurs the lines between official and personal use of devices and information, adding complexity to proper identification. Clear guidelines on handling information in diverse work contexts are essential.
• Collaboration and Data Sharing: The need for collaboration across agencies and with external partners can make it difficult to track and manage information's federal status, particularly when sharing occurs across different systems and platforms. Robust data management systems are necessary to handle shared data.
• Informal Communication: Information often is exchanged informally via email or messaging apps. It can be difficult to definitively categorize this communication as official or unofficial, and establishing clear policies for managing this is crucial.

Implications of Misidentifying Federal Information

Misidentifying federal information can have serious consequences, including:

• Legal Penalties: Failure to comply with the FRA and other relevant regulations can result in fines and other legal repercussions for both individuals and agencies.
• Security Breaches: Improperly identifying sensitive federal information can lead to data breaches and compromise national security.
• Loss of Information: Failure to properly manage and preserve federal information can result in the loss of valuable records and institutional memory.
• Reputational Damage: Public disclosure of mismanaged federal information can cause significant reputational harm to the agency involved.

Conclusion

Identifying federal information is a multifaceted process requiring a thorough understanding of various guidelines, regulations, and agency-specific policies. While clear guidance exists, challenges arise from evolving technologies, hybrid work environments, and collaborative data sharing. Agencies must proactively address these challenges to ensure compliance and protect the integrity of federal information. The consequences of misidentification are significant, underscoring the need for comprehensive training, robust systems, and vigilant oversight in managing government information resources. By diligently adhering to the guidance outlined in this article, federal agencies can minimize risks and effectively manage this crucial national asset.