Electronic Mail Systems

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1234

RIN 3095-AA58

Electronic Mail Systems

AGENCY: National Archives and Records Administration.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The National Archives and Records Administration (NARA) is

developing standards for management of Federal records created or

received on electronic mail (E-mail) systems. These standards will be

published as an appendix to regulations on electronic records in 36 CFR

part 1234 and will supplement the NARA instructional guide, Managing

Electronic Records. The standards would affect all Federal agencies.

DATES: Comments must be submitted by June 22, 1994.

ADDRESSES: Submit comments to Director, Records Appraisal and

Disposition Division, National Archives at College Park, 8601 Adelphi

Road, College Park, MD 20740-6001. Comments may be faxed to (301) 713-

6852 or (301) 713-6850. Comments also may be sent to the following

Internet address: [email protected]

FOR FURTHER INFORMATION CONTACT: James J. Hastings, Director, Records

Appraisal and Disposition Division, (301) 713-7096.

SUPPLEMENTARY INFORMATION:

Background

NARA has been working with components of the Executive Office of

the President to develop specific records management policies and

procedures for their E-mail records, pursuant to court rulings in

Armstrong v. Executive Office of the President, 1 F.3d 1274 (D.C. Cir.

1993). Because nearly all Federal agencies now use E-mail, NARA

recognizes that there also is the need for Government-wide standards on

managing E-mail records. Consequently, NARA has drafted the following

standards for all Federal government agencies on the proper means of

identifying, maintaining, and disposing of Federal records created or

received on an E-mail system. These standards reflect the legal

definition of records in the Federal Records Act (44 U.S.C. 3301) and

supplement NARA records management guidance previously issued under the

law (44 U.S.C. 2904 and 2905; 36 CFR Chapter XII Subchapter B).

When finalized, these general standards will be used by Federal

agencies to develop specific recordkeeping policies, procedures, and

requirements to fulfill their obligations under the statute and

regulations. Agencies that already have specific E-mail recordkeeping

policies, procedures, and requirements in place should review them to

ensure that they are consistent with these general NARA standards. In

addition, agencies are encouraged to submit their directives

implementing these standards to NARA for review and comment.

NARA has already issued regulations on electronic recordkeeping (36

CFR part 1234), and an instructional guide, Managing Electronic

Records. In addition, General Records Schedules 20, Electronic Records,

and 23, ``Records Common to Most Offices,'' provide disposition

authority for some types of records created or received in electronic

form. These proposed new E-mail standards will expand this general

guidance on managing electronic records.

In developing these standards NARA has recognized that agency E-

mail systems have different characteristics and agencies have differing

recordkeeping requirements. Some agencies may find that currently it is

only feasible to maintain E-mail records on paper. Other agencies may

find that currently it is possible and desirable to maintain E-mail

records electronically. While NARA recognizes the practical

considerations that may preclude electronic maintenance of E-mail

records at this time, agencies are encouraged to consider the benefits

for future use of electronically maintaining those records that are

likely to be permanently valuable. These benefits include the ease of

searching and manipulating electronic records, the availability of

electronic records to many users simultaneously, and efficient storage.

Agencies that are not now technologically able to maintain E-mail

records electronically should consider electronic maintenance when

updating or designing systems. This is particularly important for E-

mail records that are likely to be appraised as permanent by NARA, such

as records of cabinet members or other high level officials. The recent

decision of the Office of Administration of the Executive Office of the

President to begin maintaining its E-mail records in an electronic

recordkeeping system is an example of an agency updating a system that

contains permanently valuable records. NARA encourages other agencies

to consider the value of electronic maintenance of E-mail records, and

it will assist agencies in evaluating the desirability of an electronic

format.

Agencies must also determine how to manage under the Federal

Records Act the transmission and receipt information in the E-mail

system. The agency should decide how to maintain the transmission and

receipt information either as part of the E-mail communication or as a

separate record linked to the communication. Because printouts may not

contain necessary transmission and receipt information, the Court of

Appeals in Armstrong held that to comply with the Federal Records Act,

certain transmission and receipt information must be preserved along

with all E-mail messages that are Federal records.

NARA will work closely with the agencies in the implementation of

the final standards and will review, upon request, agency directives

concerning E-mail records. In addition, NARA records management

evaluations of agencies will include review and analysis of the

management of E-mail records.

Comments

In soliciting comments from Federal agencies and the public, NARA

particularly requests that agencies address the practical effects of

compliance with these standards. Specifically, NARA is interested in

how agencies manage documents with transmission and receipt information

and handle the other types of documents, such as calendars, that are

frequently part of electronic communications systems. In addition, NARA

would like to learn from agencies if they intend to maintain E-mail

records electronically now or in the future, and how they would monitor

the E-mail system for compliance with recordkeeping obligations.

Agencies are also encouraged to comment on any other aspect of this

guidance, or to request further information or clarification. NARA

encourages those submitting comments to include examples of solutions

to electronic recordkeeping problems that may be of assistance to other

agencies in developing recordkeeping requirements and programs for

these systems.

List of Subjects in 36 CFR Part 1234

Archives and records; Computer technology.

For the reasons set forth in the preamble, NARA proposes to amend

part 1234 of chapter XII of the Code of Federal Regulations as follows:

PART 1234--ELECTRONIC RECORDS MANAGEMENT

1. The authority citation for part 1234 continues to read as

follows:

Authority: 44 U.S.C. 2904, 3101, 3102, and 3105.

2. Appendix A is added to part 1234 as follows:

Appendix A to Part 1234--Managing Federal Records on Electronic

Mail Systems

1. Introduction

These standards cover documentary materials created or received

by electronic mail (E-mail) systems in Federal agencies. Because of

the widespread use of E-mail for conducting agency business, many E-

mail documents meet the definition of a ``record'' under the Federal

Records Act (44 U.S.C. chapters 29, 31, and 33).

The definition of ``record'' in the Federal Records Act

encompasses documentary materials in all media. The Act requires the

National Archives and Records Administration (NARA) to issue records

management standards for all Federal agencies (44 U.S.C. 2094 and

2905). NARA has issued records management regulations on electronic

records (36 CFR part 1234), guidance on electronic recordkeeping

entitled Managing Electronic Records (1992), and General Records

Schedules 20, Electronic Records, and 23, Records Common to Most

Offices. The standards being proposed here expand the existing

issuances and apply established records management and archival

principles and techniques to records created or received on E-mail

systems. They provide instructions to program officials, information

specialists, records managers, and other E-mail users on the proper

means of identifying, maintaining, and disposing of E-mail records.

2. Definitions

The following definitions of terms used in these standards are

included for clarity and convenience. We have provided citations to

those that are based on definitions in the Federal Records Act or

existing NARA guidance or regulations.

Electronic Mail System. A computer application used to

create, receive, and transmit messages and other documents or create

calendars that can be used by multiple staff members. Excluded from

this definition are file transfer utilities (software that transmits

files between users but does not retain any transmission data), data

systems used to collect and process data that have been organized

into data files or data bases on either personal computers or

mainframe computers, and word processing documents not transmitted

on an E-mail system.

Electronic Record. Numeric, graphic, text, and any other

information recorded on any medium that can be read by using a

computer and satisfies the definition of a Federal record in 44

U.S.C. 3301. This includes, but is not limited to, both on-line

storage and off-line media such as tapes, disks, and optical disks.

(36 CFR 1234.1)

Electronic Mail Message. A document created or received

on an E-mail system including brief notes, more formal or

substantive narrative documents, and any attachments, such as word

processing documents, which may be transmitted with the message.

General Records Schedules. Schedules authorizing the

disposal, after the lapse of specified periods of time, of records

common to several or all agencies if such records will not, at the

end of the periods specified, have sufficient administrative, legal,

research, or other value to warrant their further preservation by

the United States Government. (44 U.S.C. 3303a(d))

Nonrecord Material. Materials that do not meet the

statutory definition of records (44 U.S.C. 3301), i.e., they were

not created or received under Federal law or in connection with

Government business, or they are not preserved or considered

appropriate for preservation because they lack evidence of agency

activities or information of value. In addition, the statute

specifically excludes from coverage extra copies of documents kept

only for convenience of reference, stocks of publications and

processed documents, and library or museum materials intended solely

for reference or exhibit. (36 CFR 1220.14, 1222.34(d)) Nonrecord

materials also include personal papers and materials.

Permanent Record. Any Federal record that NARA has

determined to have sufficient value to warrant its continued

preservation by the National Archives and Records Administration.

(36 CFR 1220.14)

Preserved Record. Documentary materials that have been

deliberately filed, stored, or otherwise systematically maintained

as evidence of the organization, functions, policies, decisions,

procedures, operations, or other activities of the Government or

because of the informational value of the data in them. This applies

to documentary materials in a file or other storage system,

including electronic files and systems, and those temporarily

removed from the files or other storage system.

Records. All books, papers, maps, photographs, machine

readable materials, or other documentary materials, regardless of

physical form or characteristics, made or received by an agency of

the United States under Federal law or in connection with the

transaction of public business and preserved or appropriate for

preservation by that agency or its legitimate successor as evidence

of the organization, functions, policies, decisions, procedures,

operations, or other activities of the Government or because of the

informational value of data in them. (44 U.S.C. 3301)

Recordkeeping System. A system for collecting,

organizing, and storing records in order to facilitate their

preservation, retrieval, use, and disposition and to fulfill

recordkeeping requirements.

Records Management. The planning, controlling, directing,

organizing, training, promoting, and other managerial activities

involved with respect to records creation, records maintenance and

use, and records disposition in order to achieve adequate and proper

documentation of the policies and transactions of the Federal

Government and effective and economical management of agency

operations. (36 CFR 1220.14)

Records Schedule. A document describing, providing

instructions for, and approving the disposition of specified Federal

records. It consists of one of the following:

(a) An SF 115, Request for Records Disposition Authority, which

NARA has approved to authorize the disposition of Federal records;

(b) A General Records Schedule (GRS) issued by NARA; or

(c) A printed agency manual or directive containing the records

descriptions and disposition instructions approved by NARA on one or

more SF 115s or issued by NARA in the GRS.

(36 CFR 1220.14)

Security Backup. Copy of a record in any medium created

to provide a means of ensuring retention and access in the event the

original record is destroyed, inaccessible, or corrupted.

System Backup. Copy on off-line storage media of software

and data stored on direct access storage devices in a computer

system used to recreate a system and its data in case of

unintentional loss of data or software.

Temporary Record. Any Federal record that the Archivist

of the United States has determined to have insufficient value to

warrant its preservation by the National Archives and Records

Administration. (36 CFR 1220.14)

Transmission and Receipt Data.

(a) Transmission Data. Information in E-mail systems regarding

the identities of sender and addressee(s), and the date and time

messages were sent.

(b) Receipt Data. Information in E-mail systems regarding date

and time of receipt of a message, and/or acknowledgment of receipt

or access by addressee(s).

3. Records Management Responsibilities

Under the Federal Records Act, agencies' records management

responsibilities include creating and maintaining adequate and

proper Federal records, regardless of the medium in which the

records are created or received, and scheduling the disposition of

records no longer needed for conduct of Government business (44

U.S.C. Chapters 31 and 33). Agencies are legally obligated to ensure

creation and maintenance, for an appropriate period, of ``records

containing adequate and proper documentation of the organization,

functions, policies, decisions, procedures, and essential

transactions of the agency * * *.'' (44 U.S.C. 3101). Because E-mail

is often used to conduct Government business, it is critical that

agencies take steps to ensure that records created or received on E-

mail systems are managed according to the law. Accordingly, agencies

must develop and implement an agency-wide program for the management

of all Federal records created or received on electronic

communications systems (36 CFR 1234.10(a)). All features of E-mail

systems (including messages, calendars, directories, distribution

lists, attachments such as word processing documents, messages sent

or received over external communications systems) must be evaluated

to identify documentary materials that satisfy the definition of

Federal records. An agency's records management program should

address all Federal records in the E-mail system. The agency should

also incorporate procedures that ensure recordkeeping and

disposition requirements are met before approving a new E-mail

system or enhancements to an existing system (36 CFR 1234.10(d)).

4. What Are Federal Records?

The definition of ``records'' in the Federal Records Act

specifies the criteria under which documentary materials are to be

considered Federal records. The phrase ``regardless of physical form

or characteristics'' means that the records may be paper, film,

disk, or any other physical type or form; and that the method used

to record information may be manual, mechanical, photographic,

electronic, or any combination of these or other technologies.

Whatever the medium, the statute establishes two conditions that

must be met for a document to be a record: (1) The document is made

or received by agency personnel under Federal law or in connection

with the transaction of public business, and (2) it is preserved or

appropriate for preservation. Documentary materials, in any physical

form, are Federal records when they meet both tests. The word

``preserved'' means the deliberate act of filing, storing, or

otherwise systematically maintaining material as evidence of the

organization, functions, policies, decisions, procedures,

operations, or other activities of the Government or because of the

informational value of the data in it. ``Appropriate for

preservation'' means documentary materials made or received by an

agency which in its judgment should be filed, stored, or otherwise

systematically maintained by the agency because of the evidence of

agency activities or information they contain, even though the

materials may not be covered by its current filing or maintenance

procedures (36 CFR 1222.12). Agencies must apply carefully reasoned

judgment in deciding when E-mail documents are ``appropriate for

preservation'' and in exercising this judgment, must consider their

obligation to create and maintain records that adequately document

their policies, programs, and activities under 44 U.S.C. 3101 (see

previous section entitled Records Management Responsibilities).

5. Record Status of E-Mail Messages

It is critical that all E-mail users understand the concept of

Federal records and that agencies provide sufficient information for

users to distinguish Federal records from nonrecord materials. E-

mail messages are Federal records when they meet the criteria

specified in the statutory definition, i.e., they are made or

received under Federal law or in the conduct of agency business, and

they are preserved or are appropriate for preservation as evidence

of the agency's organization, functions, policies, decisions,

procedures, operations, or other activities, or contain information

of value. Since E-mail systems transmit a variety of messages, not

all E-mail documents will meet the statutory definition of records.

Some categories of E-mail messages or documents that would

satisfy the definition of record are those:

1. Containing information developed in preparing position

papers, reports, and studies;

2. Reflecting official actions taken in the course of conducting

agency business;

3. Conveying information on agency programs, policies,

decisions, and essential transactions;

4. Conveying statements of policy or the rationale for official

decisions or actions;

5. Documenting oral exchanges, such as meetings or telephone

conversations, during which policy was discussed or formulated or

other agency activities were planned, discussed, or transacted.

E-mail messages are not considered nonrecord materials merely

because the information they contain may also be available elsewhere

on paper or in electronic files. Separate E-mail messages that

contain the same information on Government activities may differ in

important respects and, thus, are not automatically nonrecord

materials. In addition, multiple copies of messages may all be

records if they are used for different purposes in the conduct of

official business or filed in different files. In other words, if

more than one office takes action or otherwise uses copies of a

message, copies would be records in each of those offices.

To assist in the process of determining record status, NARA

recommends that agencies consider designing into their current or

future E-mail systems a feature that helps users to identify

records. For example, agencies may want their systems to allow users

to tag messages as record or nonrecord or to automatically default

to the determination that system-produced documents are records,

requiring users to take additional steps to mark a document as

nonrecord. Another option would be to develop a system that analyzes

the contents of a message according to specified rules in order to

prompt the user with a suggested categorization.

For further information on making these distinctions between

records and nonrecord materials, see Personal Papers of Executive

Branch Officials: A Management Guide, published by NARA in 1992.

6. Transmission and Receipt Data

Besides the text of messages, E-mail systems may provide

transmission and receipt data. In some systems, transmission data is

part of the message. In other systems some transmission data is in a

separate message. Generally, receipt data is separate from the

messages.

E-mail messages require some transmission data to be

intelligible and to understand their context. It is essential that

necessary transmission data is preserved with all E-mail records.

Many E-mail systems automatically capture with an E-mail message the

identity of the sender and the addressee(s) and the date the message

was sent. Just as with a paper record, this transmission data is

necessary for an E-mail record to be complete and understandable.

Agencies should determine if any other E-mail transmission data is

needed for purposes of adequacy of documentation. Both the message

and the related transmission data are Federal records and must be

maintained in recordkeeping systems for the same retention period.

(See section entitled Maintenance of Federal Records Created by an

E-mail System, below.)

E-mail systems may provide users with the ability to request

acknowledgments or receipts showing that an E-mail message reached

the mailbox or inbox of each addressee. E-mail systems may also

provide, upon request, information about or acknowledgments of E-

mail messages that were received or viewed by the addressee. Agency

instructions to E-mail system users should specify when to request

such receipts or acknowledgments. Users should request receipt data

when it is needed for adequate and proper documentation of agency

activities, especially when it is necessary to confirm when an

addressee has received or viewed a message. Agencies should maintain

such receipts and acknowledgments associated with Federal records

for the same period as the electronic message to which they refer.

7. Draft Documents

Agency staff may use the E-mail system to circulate draft

documents created on either the E-mail system or a separate word

processing or other system. Preliminary drafts must be maintained

for purposes of adequate and proper documentation if (1) they

contain unique information, such as annotations or comments, that

helps explain the formulation or execution of agency policies,

decisions, actions, or responsibilities, and (2) they were

circulated or made available to employees other than the creator for

the purpose of approval, comment, action, recommendation, follow-up,

or to keep staff informed about agency business.

Because drafts in electronic form may be Federal records, the

record status of electronically created drafts that are transmitted

as part of, or as attachments to, E-mail messages must be evaluated

as changes are made. Successive drafts containing substantive

revisions may be Federal records; drafts containing only minor

changes are less likely to qualify as records. If the draft

qualifies as a record, the agency should save a copy before the

draft is deleted or altered.

8. Directories and Distribution Lists

Some electronic communication systems identify users by codes or

nicknames. Some identify the recipients of a communication only by

the name of a distribution list. Directories or distribution lists

linking such shorthand names or codes with the names of users must

be retained to ensure identification of the sender and addressee(s)

of messages that are records.

9. Calendars

An E-mail system may provide calendars and task lists for users.

Agencies that have such features on their E-mail system should

advise users that calendars, indexes of events, and task lists are

Federal records if they meet the criteria specified by law.

Calendars, whether individual or shared, despite the level of the

individual to whom they relate, may be Federal records or they may

be personal materials. The NARA publication Personal Papers of

Executive Branch Officials: a Management Guide provides guidance on

the record status of calendars. That publication notes that the

Freedom of Information Act case law regarding ``agency records'' is

the most pertinent guidance for deciding whether calendars are

Federal records.

Most calendars and related documents that are Federal records

are disposable under General Records Schedule 23, Item 5. Federal

record calendars that relate to the activities of high-level

officials, however, must be specifically scheduled for disposition

to allow NARA to appraise their value for future use. GRS 23

provides guidance on identifying high-level officials. Users may

delete calendars that are nonrecord materials at their discretion.

10. External Communications Systems

Some Government agencies use electronic communications systems

external to the Government, such as the Internet or other commercial

network services. These communications systems have established

protocols that are not subject to agency modification. However, the

use of external communications systems which are neither owned nor

controlled by the agency does not alter in any way the agency's

obligation under the Federal Records Act. Agencies must ensure that

Federal records sent or received on these systems are preserved and

that reasonable steps are taken to capture available transmission

and receipt data needed by the agency. As is the case with any

Federal record, those that are communicated to or received from

persons outside the agency or Government should include the identity

of the outside senders or addressees.

11. Maintenance of Federal Records Created by an E-Mail System

Agencies must ensure that all E-mail records are maintained in

appropriate recordkeeping systems. Such recordkeeping systems must

meet the following requirements: (1) Permit easy and timely

retrieval; (2) facilitate the distinction between record and

nonrecord materials (if such distinctions were not made previously);

(3) retain the records in a usable format until their authorized

disposition date; and (4) permit transfer of permanent records to

the National Archives and Records Administration (see 36 CFR

1228.188, 36 CFR 1234.28(a)).

Agencies should consider the advantages of maintaining their

records electronically. An electronic system may be more easily

searched and manipulated than records in paper files. An electronic

file may also be available for simultaneous use by multiple staff

members and may provide a more efficient method to store records. In

addition, future use of permanently valuable E-mail records for

agencies and for historical research could be enhanced by storing

them electronically.

System backup tapes normally are not suitable for recordkeeping

purposes because they are merely mirrors of storage disks with data

and documents scattered throughout as they are on the disks

themselves. They are meant to provide only a means of recreating a

system and its data in case of emergency. Agencies should have a

separate system that is appropriate for recordkeeping. In all cases

when records are maintained electronically, agencies should provide

for regular backups to guard against system failures or loss through

inadvertent erasures (36 CFR 1234.30).

A. Maintenance on the E-Mail System

E-mail systems are generally designed for convenient and

efficient agency communications and not as a system for storing

agency records for their entire life cycle. To maintain

instantaneous communications capability without increasing hardware

capacity, these systems often limit the number of messages that can

accumulate on the system and may automatically delete messages after

a short period. If an E-mail system is not designed for or adaptable

to use as a recordkeeping system, E-mail records must be copied or

moved to an appropriate recordkeeping system for maintenance and

disposition.

B. Maintenance in an Electronic Recordkeeping System Other Than the E-

Mail System

Some agencies store their E-mail records on an electronic system

separate from the E-mail system. Agencies that maintain their

records in this way must move or copy all E-mail records to the

electronic recordkeeping system. The recordkeeping system must allow

segregation of permanent and temporary records and have sufficient

capacity to store records for their authorized retention periods (36

CFR 1234.10).

Agencies may retain records from E-mail systems in an off-line

electronic storage format (such as optical disk or magnetic tape)

that meets the requirements described above (36 CFR 1234.28(a)).

Factors to be considered in selecting a storage medium or converting

from one medium to another are identified in 36 CFR 1234.28(b)).

Agencies may use optical disk systems for the storage and retrieval

of permanent records while the records remain in the agency's legal

custody, but NARA currently does not accession permanent records

stored on optical disks. Permanent records stored on optical disk

must be converted to a medium acceptable to NARA at the time of

transfer to NARA's legal custody, as specified in 36 CFR 1228.188.

C. Maintenance in Paper Recordkeeping Systems

Agencies that do not have the technological capability to

maintain E-mail records in an electronic recordkeeping system must

print their E-mail records. In such instances, agencies must also

print related transmission and receipt data and maintain it together

with the printed communications according to the same procedures as

other paper records.

Other agencies may have the technological capability to maintain

E-mail records electronically but, nevertheless, determine that

current agency use is best served by also printing them on to paper.

While it is the agency's responsibility to determine whether its

current needs are best served by one or both formats, an electronic

format may be in the best interest of future use. Accordingly,

agencies must schedule and NARA must appraise both formats before E-

mail records are deleted from the electronic recordkeeping system.

This ensures the opportunity for NARA to determine the best format

for the preservation of records of potential historical or other

research value. (See the section below for instructions on the

disposition of records.)

Any agencies that maintain E-mail records only on paper even

though they have the technology to maintain them electronically are

strongly encouraged to consider the benefits of an electronic

format. NARA will assist such agencies in evaluating the advantages

of maintaining E-mail records electronically.

Those agencies that have no plans for implementing an electronic

recordkeeping system are also encouraged to consider this format

when their current systems are redesigned or replaced.

12. Disposition of E-Mail Records

E-mail records may not be deleted or otherwise disposed of

without prior disposition authority from NARA (44 U.S.C. 3303a).

This applies to all versions of E-mail records, including the

original record that is on the E-mail system and all copies that

have been forwarded to a recordkeeping system. NARA authorizes

records disposition through two mechanisms; issuance of the General

Records Schedules developed by NARA for temporary records common to

most or all Federal agencies, and approval of schedules developed by

agencies for records unique to the agency. The authorization process

employed by NARA involves appraisal, which is the determination of

the historical or other value of the records including the most

appropriate format for future use when the same information is

captured in records on different physical formats.

Electronic records must be scheduled even if the same

information is available in another medium, including paper

printouts of electronically stored records. Information in

electronic records may have greater research utility than similar

information stored on another medium because it is easier to access

and manipulate. Also, it may be more efficient to capture

transmission and receipt data in electronic systems. Thus, the

disposition of electronic records may differ from the disposition of

paper records with the same information. The disposition of all

records, regardless of medium (paper, magnetic, microform, etc.)

must be in accordance with an approved schedule.

A. Records on the E-Mail System

If an agency has an E-mail system that is designed for or is

adaptable for use as an agency recordkeeping system as well as a

communications system, users must be instructed on the required

steps to be taken to ensure that the record on the user's screen or

in his or her mailbox is forwarded to the recordkeeping feature of

the system. If, on the other hand, an agency has an E-mail system

that cannot also serve as a recordkeeping system, users should be

instructed to forward all records from the E-mail system to an

appropriate recordkeeping system to ensure that the records are

preserved and the E-mail system continues to operate efficiently.

When the necessary steps have been taken to preserve the record by

using the recordkeeping feature or by forwarding it to an

appropriate recordkeeping system, the identical version that remains

on the user's screen or in the user's mailbox has no continuing

value to the agency or for future research. Therefore, NARA

considers the version of the record on the ``live'' E-mail system

appropriate for deletion after it has been preserved on a

recordkeeping system along with all appropriate transmission data.

NARA will revise General Records Schedule 23 to authorize deletion

of the copy of the record on the ``live'' E-mail system after the

necessary preservation steps have been taken. This general

authorization will apply only to the E-mail record on the ``live''

E-mail system. There is no formal authorization at this time for

agencies to delete E-mail records from the E-mail system if they are

stored only on the system itself or if they have been transferred to

an electronic recordkeeping system. The revised General Records

Schedule will extend the authorization to these categories of

records.

B. Records in Recordkeeping Systems

Because E-mail records must be maintained for varying retention

periods and, when appraised as permanent, transferred to NARA, it is

not appropriate for NARA to issue a General Records Schedule that

pertains to all E-mail records in recordkeeping systems.

Consequently, those E-mail records that have been incorporated into

a recordkeeping system that includes records from other sources or

systems must be managed in accordance with the records schedule of

the recordkeeping system in which they are filed. Alternatively,

those E-mail records that are maintained as a separate system must

be separately scheduled. Agencies must develop and submit to NARA

schedules that identify the categories of E-mail records in their

systems if they are maintained separately so that NARA can appraise

the records and provide appropriate disposition authority.

As indicated previously, it is established NARA policy that

agencies that maintain records in paper and electronic formats must

receive the approval of NARA before disposing of either format. This

will ensure that future use considerations enter into determinations

of the most appropriate format for the preservation of permanent

records.

13. Security of E-Mail Records

Agencies must take adequate measures to protect records in E-

mail systems (36 CFR 1234.26). Security measures must protect E-mail

records from unauthorized alterations or deletions. Agencies should

regularly back up messages stored on-line to off-line media to guard

against system failures or inadvertent erasures.

14. Training Employees

Agencies must ensure that all employees are familiar with the

legal requirements for creation, maintenance, and disposition of

records on E-mail systems. The agency's directives must provide

sufficient guidance so that agency personnel are familiar with the

agency's specific recordkeeping requirements and can distinguish

between records and nonrecord materials on E-mail systems (36 CFR

1222.30). Because Federal records may be created using an E-mail

system, each agency using an E-mail system should provide records

management training and guidance for all employees which includes

criteria for determining which E-mail messages are records. As

indicated above, it may be useful for agencies to have designed into

their E-mail systems a feature that helps users to identify Federal

records.

15. Monitoring Implementation of Recordkeeping Guidance for the E-

Mail System

Agencies are responsible for monitoring the implementation of

records management guidance to ensure that E-mail users are

accurately identifying records and properly maintaining them. Each

agency must ensure that the implementation of directives concerning

records on its E-mail system is carried out by reviewing the systems

periodically for conformance to established agency procedures. These

reviews should consist of auditing or reviewing representative

samples of all electronic communications, conducting periodic staff

interviews, and internal records management evaluations. The purpose

of these reviews is to ensure that E-mail users properly determine

record status and that record messages are being properly

maintained. These reviews would determine whether permanent and

temporary records are segregable and schedules are being implemented

properly. Such reviews should be used to correct errors when they

are found, and to evaluate, clarify, and update agency recordkeeping

directives, disposition schedules, and training for agency staff (36

CFR 1234.10(l)). Reports concerning the results of the reviews

should be made available to NARA upon request and when it conducts

evaluations of the agency's records management program.

16. Conclusion

E-mail systems provide unprecedented communications convenience.

However, agencies must take the necessary measures to ensure that

there is no diminution of their records resulting from the use of E-

mail systems. E-mail systems have become important tools for the

transmission of substantive information, and, therefore, they are

used to create Federal records. Agencies must take special care that

employees understand their responsibilities when using E-mail to

ensure the adequate creation and proper maintenance and disposition

of Federal records.

As specified in 44 U.S.C. 3102, NARA and the agencies shall

cooperate in the implementation of NARA standards. Agencies should

amend their recordkeeping policies and procedures where necessary to

meet these standards. NARA will assist agencies in implementing

these standards by reviewing agency directives concerning E-mail and

by participating in agency considerations of maintaining permanent

E-mail records electronically. NARA and the agencies will work

together to ensure that recordkeeping policies and programs for E-

mail records serve the needs of the agencies and the needs of future

researchers.

Dated: March 18, 1994.

Trudy Huskamp Peterson,

Acting Archivist of the United States.

[FR Doc. 94-6939 Filed 3-23-94; 8:45 am]

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