[Federal Register Volume 59, Number 57 (Thursday, March 24, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-6939]


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[Federal Register: March 24, 1994]


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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