# Electronic Mail Systems

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URL: https://www.frixlaw.com/law-library/documents/fr%3A94-6939

## Record

- **Collection:** Federal Register
- **Document type:** Uncategorized Document
- **Published:** March 24, 1994

## Text

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]
BILLING CODE 7515-01-P

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A94-6939. Public record. Not legal advice.