Section 8: Questions about Permanent Records Transfer
Return to the FAQ Table of Contents
1. How should agencies transfer email and other types of electronic messages to NARA?
Agencies should transfer email and electronic messages, like any other electronic records, in accordance with current NARA transfer guidelines. Up-to-date guidelines may be found on NARA’s accessioning website at http://www.archives.gov/records-mgmt/accessioning/electronic.html.
2. Will NARA accept encrypted email and other types of electronic records?
No. As outlined in NARA Bulletin 2018-01, Format Guidance for the Transfer of Permanent Electronic Records, an agency must not transfer to NARA any encrypted permanent electronic records. The Bulletin requires the transferring agency to “[d]eactivate passwords or other forms of file level encryption including digital rights management (DRM) technologies commonly used with audio, video, and some publications that impede access to record data.” Likewise, agencies must decrypt any encrypted email attachments prior to transfer.
3. What documentation must an agency submit when it transfers Capstone (permanent) records?
Please consult NARA Bulletin 2018-01, Format Guidance for the Transfer of Permanent Electronic Records, for our requirements for transferring permanent electronic records. In addition, 36 CFR 1235.48 sets out the documentation agencies must provide to transfer permanent electronic records. This documentation should be an extension of the agency’s approved form NA-1005, which documents approved permanent Capstone roles and positions. Agencies must transfer to NARA the email and other types of electronic messages of Capstone officials captured during their tenure as Capstone officials. Therefore, agencies should treat email and other types of electronic messages of a Capstone official created prior to when the agency designated that person as a Capstone official as temporary and should not transfer that previous email to NARA. For example, the agency would not include electronic messages of Capstone officials sent or received prior to their promotion into a Capstone position. The following is an example of documentation, in the form of a list, of an agency’s Capstone officials and the time period for capture of their email as permanent:
| Position title | Name of Position Holder | Emai Account/Address | Begin Date of Capture | End Date of Capture |
|---|---|---|---|---|
| Secretary of [Department] | John Smith | john.smith@agency.gov | January 22, 2013 | January 15, 2015 |
| Secretary of [Department] | John Smith (alias account) | Secretary@agency.gov | January 22, 2013 | January 15, 2015 |
| Chief Operating Officer | Mary White | mary.white@agency.gov | January 22, 2013 | June 1, 2013 |
| Chief Operating Officer | James Anderson | james.anderson@agency.gov | June 2, 2013 | December 31, 2020 |
And below is an example of documentation, in the form of a list, of an agency’s Capstone officials and the time period for capture of their other types of electronic messages as permanent:
| Position title | Name of Position Holder | Platform and identifier | Begin Date of Capture | End Date of Capture |
|---|---|---|---|---|
| Secretary of [Department] | John Smith | Phone instant messages, (555) 555-5555. | January 22, 2013 | January 21, 2015 |
| Secretary of [Department] | John Smith | WhatsApp messages | January 22, 2013 | January 21, 2015 |
| Chief Operating Officer | Mary White | Phone text messages, (444) 444-4444. | January 22, 2013 | June 1, 2013 |
| Chief Operating Officer | Mary White | MS 365, Chat Messenger | January 22, 2013 | June 1, 2013 |
| Chief Operating Officer | James Anderson | MS 365, Chat Messenger | June 2, 2013 | December 31, 2020 |
Documentation for legacy records should reflect the position title as it existed at the time the records were created. In instances where the position title may not clearly correlate to those on the form NA- 1005 (due to title changes, or positions being eliminated), you should include information on the current position title, or the category from item 010 to which it correlates, in the documentation.
For example, the current “Director of Congressional Affairs” (listed on form NA-1005 under category 6) may have previously been the “Legislative Affairs Officer.” In this case, the documentation should link to the approved NA-1005 form either by providing the current title or listing the proper category under item 010 to which the position fits.
4. How will NARA screen permanent records containing controlled unclassified information for public access?
Generally, federal agency emails and other types of electronic messages will not be transferred to us until they are between 15 and 30 years old. See Section 3: Questions Related to Permanent Records for information on how to calculate transfer dates. When an agency initiates a transfer of permanent email or other types of electronic messages, the Agency Records Officer must indicate any FOIA exemptions that might apply on the request to transfer records into the National Archives. NARA archivists conduct a careful review to determine what information can be released and what can be withheld under an applicable FOIA exemption when they process closed records for public access. Note, however, NARA generally does not apply FOIA exemption (b)(5) to archival records, which, in any event, now expires after 25 years for information subject to the deliberative process privilege. We also do not consult with the originating agency when releasing unclassified records.