Archives for 2015

Between 2010 and 2014, Inspectors General reports found a dozen separate instances where personal emails were being used inappropriately by State Department employees.

What this demonstrates is that a culture of unlawful email communications emerged at the State Department under former Secretary Hillary Clinton’s watch. Secretary Clinton likely drove this culture given her own use of personal email to conduct business.

In rare cases, those who violated regulations were held accountable. Yet, it’s unclear whether any action was taken to correct the widespread problem that permeated the agency.

Cause of Action President Dan Epstein released the following statement on the State Department IG’s findings:

“The failure of leadership and lack of accountability at the State Department is extremely troubling for advocates of transparency and good government. Not only did former Secretary Clinton violate record retention policies, she failed to effectively manage her department, leading to a pattern of neglect for the law by State Department employees.

 

What is the guidance Clinton’s leadership team provided to staff regarding record retention?

 

Why was guidance from the White House disregarded?

 

It is episodes like this that expose how many in government have lost sight of whom they are really accountable to: the American people.”

Background

Between 2010 and 2014, the Office of Inspector General at the U.S. Department of State Issued a Dozen Investigative Reports Finding Personal Emails Were Being Used Inappropriately by State Department Employees:

2014: “Inspection Of The Bureau Of Conflict And Stabilization Operations”

• “CSO does not have a uniform process for the storage and organization of files. Files and records are stored in several locations, including the bureau’s network shared drive, SharePoint document libraries, personal emails, and hard drives. Furthermore, official records are not always dated or marked with appropriate classification markings. As a result, staff frequently commented on the challenge of locating needed documentation for specific office assignments and engagement activities. Staff also reported difficulty discerning what actions have occurred during a clearance or review process, and how to archive the records.” (“Inspection Of The Bureau Of Conflict And Stabilization Operations,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 3/14)

• CSO contracting officer’s representatives do not maintain working files for each contract that contain all the documents required by the Foreign Affairs Handbook (FAH), 14 FAH-2 H­ 517, in an easily accessible format. Contracting officer’s representatives keep emails and other materials on their personal computers instead of using shared drives or paper files. Without complete consolidated files, important contract information may be lost and the transition to a new contracting officer’s representative may be difficult.” (“Inspection Of The Bureau Of Conflict And Stabilization Operations,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 3/14)

• CSO’s IT group lacks basic information management and security documentation, including standard operating procedures, such as access control policies, account creation and email setup procedures, system backup and restore policies, and IT change control procedures. Without such documentation, IT operations function in an ad hoc manner resulting in a reactive approach to IT operations. The lack of documented processes can exacerbate staffing shortages and absences. Since 2011, CSO management has failed to correct this shortcoming.” (“Inspection Of The Bureau Of Conflict And Stabilization Operations,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 3/14)

 

2013: “Inspection Of The Bureau Of Consular Affairs, Office Of The Executive Director”

• “CA/EX/GSD has a SharePoint site that it rarely uses. Instead, policies and guidelines are distributed by email and kept either in personal email boxes or on the division’s poorly organized shared computer drive.” (“Inspection Of The Bureau Of Consular Affairs, Office Of The Executive Director,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 6/13)

 

2013: “Inspection Of The Bureau Of East Asian And Pacific Affairs”

• “Bureau personnel are not maintaining and retiring official records in accordance with Department standards, including 5 FAM 414.4. EAP does not have established guidance and procedures for maintaining official records. EAP staff members store official records variously on personal drives, email folders, shared drives, and SharePoint. Bureau shared drive folders are not organized in accordance with Department guidance.” (“Inspection Of The Bureau Of East Asian And Pacific Affairs,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/13)

• “EAP is not making effective use of the record email function in the State Messaging and Archive Retrieval Toolset application. EAP’s desks and overseas missions exchange valuable reporting in daily official-informal messages and other emails. Many Washington end-users do not receive and cannot retrieve these messages. Offices that transmit information through email that must be preserved according to 5 FAM 443.2 are not using this system for creating and archiving record emails. Unless the bureau addresses this issue, important data needed for policy analysis and archival research will not be available in the future. Some bureau staff members are aware of this shortcoming and have tried to use record email, but they report it is too cumbersome and time-consuming to use.” (“Inspection Of The Bureau Of East Asian And Pacific Affairs,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/13)

 

2012: “Inspection Of The Bureau Of Information Resource Management, Systems And Integration Office”

• “Contract documentation is located in multiple places, including personal emails, several electronic library sites, and in hard copy.” (“Inspection Of The Bureau Of Information Resource Management, Systems And Integration Office,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 6/12)

 

2012: “Inspection Of The Bureau Of Administration, Global Information Services, Office Of Information Programs And Services”

• “Persistent neglect of fundamental leadership responsibilities and management practices has had profound consequences in IPS. The OIG team’s observations, discussions with IPS staff, and the responses to OIG’s questionnaires indicated an office with problematic morale, perceptions of favoritism, micromanagement practices, and confused lines of authority. Inspectors found failures of communication, lack of training, questionable staffing decisions, and poor time and attendance record keeping.” (“Inspection Of The Bureau Of Administration, Global Information Services, Office Of Information Programs And Services,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/12)

• “In 2011, for example, SMART captured 61,156 of an estimated 15 million record emails in the system that should be captured. The OIG team noted that confusion among Department employees and, in some cases, inadequate performance have resulted in an underuse of SMART’s record email function.” (“Inspection Of The Bureau Of Administration, Global Information Services, Office Of Information Programs And Services,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/12)

• “PRV participates in the Department’s Data Loss Prevention pilot, along with the Bureaus of Information Resource Management and Diplomatic Security. The pilot committee, formed in September 2009, works to determine possible solutions to the inappropriate use of sensitive information on email, mobile devices, and Web sites. PRV staff members assist with the development of policies and procedures for the Data Loss Prevention effort as it relates to privacy and participate in the analysis of identified incidents. The Data Loss Prevention pilot is ready to move forward as an established program within the Department; however, the Department has yet to determine where the program will reside and which bureau will have ownership of the tool. The pilot committee has discussed the possibility of PRV having ownership of the program. However, the OIG team does not agree with this plan. Although the Data Loss Prevention tool currently reviews data from a privacy perspective, its scope could easily be increased to include other information security elements, including law enforcement, financial, and consular functions—a fact confirmed by the pilot committee. The Chief Information Officer in the Bureau of Information Resource Management would be the appropriate owner of the program and tool, as that office is responsible for the information security program for the Department and administers many of the Department’s current information security programs.” (“Inspection Of The Bureau Of Administration, Global Information Services, Office Of Information Programs And Services,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/12)

 

2012: “Inspection Of Embassy Lisbon, Portugal, And Constituent Posts”

• “Embassy Lisbon has not maintained its files properly. Further, the political/economic section does not place work products in shared section folders. The Foreign Affairs Manual (FAM), in sections 5 FAM 433 a. and b., 5 FAM 443.2, 5 FAM 443.3, and 5 FAM 443.5, requires that material, including electronic mail records, is to be preserved as official records and retired in accordance with the appropriate records disposition schedule. Failure to maintain and organize work products impedes information retrieval. Retaining a large amount of work material in personal email folders is inefficient.” (“Inspection Of Embassy Lisbon, Portugal, And Constituent Posts,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/12)

 

2012: “Inspection Of Embassy Madrid, Spain, And Constituent Posts”

• “The Foreign Affairs Manual (FAM) 5 FAM 433 a. and b, 5 FAM 443.2, 5 FAM 443.3, and 5 FAM 443.5 stipulate that material, including electronic mail records, is to be preserved as official records and retired in accordance with the appropriate records disposition schedule. Embassy Madrid has not maintained its files properly. Failure to maintain and organize work products correctly impedes information retrieval. Further, the political and economic sections do not place work products in shared section folders. Retaining a large amount of work material in personal email folders is inefficient.” (“Inspection Of Embassy Madrid, Spain, And Constituent Posts,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/12)

• “As discussed in the policy and program implementation section of the report, the OIG team learned that several officers in the mission with reporting requirements do not actively use the system for creating and archiving record emails.” (“Inspection Of Embassy Madrid, Spain, And Constituent Posts,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 9/12)

 

2012: “Inspection Of Embassy Singapore, Singapore”

• “During the inspection, a Department specialist instructed the embassy’s Leahy vetting officer to drop one of the eight checks done at the embassy because the vetting was being performed in the Department. The Leahy vetting officer is storing the results of the checks in her personal email folders, which are not being saved for 3 years or 10 years in accordance with Leahy vetting guidance.” (“Inspection Of Embassy Singapore, Singapore,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 6/12)

• “Embassy personnel retain emails primarily in personal email folders and have not yet started to preserve email messages that meet the definition of records in 5 FAM 443.2. The section also has not retired files in many years, as required by 5 FAM 433b.” (“Inspection Of Embassy Singapore, Singapore,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 6/12)

 

2011: “Inspection Of Embassy Dili, Timor-Leste”

• “Officers retain information in personal email folders or electronic document folders that are not readily accessible to colleagues who may need to access the information when an officer is out absent or has been transferred.” (“Inspection Of Embassy Dili, Timor-Leste,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 3/11)

• “Embassy Dili installed the State Messaging and Archive Retrieval Toolset (SMART) software system in July 2010, which features a “record email” function by which to archive emails. This function should be used for a significant number of emails relating to schedules for visitors, steps taken to implement programs, and policy related exchanges with Department offices and other agencies.” (“Inspection Of Embassy Dili, Timor-Leste,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors,3/11)

 

2011: “Inspection Of Embassy Jakarta, Indonesia, And Constituent Posts”

• “Officers retain information in personal email folders or electronic document folders that are not readily accessible to colleagues when an officer is out of the office, away on leave, or departs from post.” (“Inspection Of Embassy Jakarta, Indonesia, And Constituent Posts,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 3/11)

 

2010: “Inspection Of Embassy Bangkok And Consulate General Chiang Mai, Thailand”

• “According to 12 FAM 541 a., information that warrants control and protection from general public disclosure should be labeled Sensitive but Unclassified. According to Executive Order 12958 and 12 FAM 513.3, information that requires protection against unauthorized disclosure in the interest of national security shall be classified with appropriate designations and be transmitted through Department information systems.” (“Inspection Of Embassy Bangkok And Consulate General Chiang Mai, Thailand,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 11/10)

• “Neither Embassy Bangkok nor Consulate General Chiang Mai is implementing Departmental procedures on records management and annual retirement of files, as required by 5 FAM 414.5 and 5 FAH-4 H-113. Email messages that meet the definition of records in 5 FAM 443.2 a. are not preserved.” (“Inspection Of Embassy Bangkok And Consulate General Chiang Mai, Thailand,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 11/10)

• Prohibited Gifts: “During the inspection, the OIG team observed an email to PAS staff levying contributions to replenish a fund used in the section for morale purposes. A follow-up email by an officer only partially rescinded the request. The Code of Federal Regulations states in 5 CFR 2635.303 (f) that such contributions be given voluntarily. This section goes on to state that a contribution is not voluntary, unless it is made in an amount determined by the contributing employee or subject to the “event” exception. The email in question required each employee to contribute a set amount, in contravention of the restrictions contained in the CFR.” (“Inspection Of Embassy Bangkok And Consulate General Chiang Mai, Thailand,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 11/10)

 

2010: “Embassy Riyadh And Constituent Posts, Saudi Arabia”

• “Officers have not implemented Departmental procedures on information sharing and document management, as is required by Foreign Affairs Manual (5 FAM 400) and the Foreign Affairs Handbook (5 FAH-1 H-300). Instead, officers retain material in personal email folders that are not accessible to colleagues when an officer is out of the office, away on leave, or departs from post.” (“Embassy Riyadh And Constituent Posts, Saudi Arabia,” Office Of Inspector General For The U.S. Department Of State And Broadcasting Board Of Governors, 3/10)