\ n C' H I ' .

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October 24, 20 ll
Dear Agr:::ncy Records Officer:
Thank you i(Jr attending this informational meeting f(Jr the Email iv!anagcmcnt 2.0 Pilot Projcc1
Your agency's robust records management progran1 and technical capabilities make it an ideal
candidate to participate ln this important project. The Email tA:anagernern 2.0 project team l1ope::
that your a.gency ,;.,ill join vvith NAR/\ Lo develop and test nc:\v strategies fox the capture,
managenenl, and transfer of ernail fn.JJn Federal agencies ..
follovving the meeting please rc'llCVv' the information in this packet and commlt \Vith 8ppH)priatr::
stakeholders about your agency's participation in the pilot. lf your agency \Vould like to take
part in the pilot you should contact your apprmsal archivist to schedule a follow-u p rneeting vvill1
NAR.A vvbere your ernail administratcw. Records OfTicer,. and general council represcntati,re wi11
n1eet v.'ith the Email .lv1anagement 2.0 project team. Vv'e also ask for your agency to cornplete
and return the enclosed Pilot Participant Questionnaire prior to the meeting with NAR/\..
Due to the time constrainLs orthe pdot vve \Viii need agencies to have completed the follmv-up
meeting and begLLn !(Jm1a1 prnject participation by December 30, 2011. 1f you have any questions
please send <:ul email to Jill Sbav-eY (jill.shaver@nara.gov).
Again, thank you for your consideration.
Sincerely,
The Email IVianagement 2.0 Project Team
N !\ T I 0 r--._: ;., I 1\ R C: H I V r <; tl n d
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c!c't\l.fit 1:C< tJ.re F"?'Jk('i.. hy
1. 1->leaiie yow point of ccmi:a::t fot the followirg (name, phone anri .snail address):
Agencv Name:
Chief I nformat io i1 Off icer :
Records Officer:
Emai i Administrator:
? . How are em<lil records curr;ont'iy on 1our agency (e.g., as -.:::;m:sponden.;;e, c:;;.:;;e fi1es,
per GRS}l'
3. 01.1 you malntain agency email: Electronically ()
-
As paper U Both Q
4. De; you use <m c-vault, RMA {Records Applicat1oni or CMS (Content Man?.lgemer;t
System}, at any pc\nt in the Yes Q i\lo Q If Ves, name of system:
. i': !
.<.1 ..
L Whi:.: hr app!kati on/cper:ot.i ng syst em are you using for your ema.i l :system (e.g., cli ent on
Windows ;{P, fli''Jni '1g S?. rver 20:J3 ami VVindows
2. Do you use anv dcud-based email (e.g., Gmai l, Yes Q No Q If Yes, 11amc:
3. Where is the email located? {5eleci: all a!)plyj:
Deskt op/Local Q Serve Q Client Q l ocal Appli cation 0 {specif y}:
4. Do you have a centra!h:ed abiHty to export ali ema il?
5. Wf->at fmma:s a re you ah;e t o export from vour syste m"? (Check a ll t hat apph; ):
Nati ve fom1ut ( ) PDF 0 Te>.1 0 RTF 0
EML ('""'\ PST r'\ MBOX ( ""'\ Other o (specif y}:
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Page 1 of Z
A GREEi\:lENT
Email 2.0 "Pilot
BACKGROLND
This is (ln informal agreem.ent between ---- - (the agency ini tlals- henceforth AI)
and the Office of !.he Chief Records Offi cer, Fational A ..rchi ves and Records Administration (Ni\Rl\).
AI agrees to NAJZA in testing nev..- approaches to managing Federal Records crca1cd, maintained ,
and stored in emai l systems. Thi s pi.lot is known as Email Management 2.0 Project (Email 2 .. 0). Onc.c
cornpleted, Email 2.0 will help determine if preser ving all oC or a subset, of the email or selected
personnel will meet Fcdcr<:tl recordkeeping responsibilities. The proj ect \vill also seek to help
determine hovv Al might select imlividual mail boxes for permanent retention, and how .A. I implements
the new email management policy.
AGENCY RESPONSD.HLTIES
i \l will be responsible for any costs associated with managing its email for the duration of the pilot. AI
wi ll notif'y NAR.t\ of the scenario that will be implemented ai1d t he date the agency \.vj]l begin
implementing policies, procedures, and technologies relevant to that scenario. The AT's Records
Officer (RO) w1ll identify agency stakeholders that should be invol ved in the pi1ot and will ensure
appropriate agency management are informed ofthc pilot. The RO will act as the primary poinr of
contact for the agency and will attend meetings with NARA and provide feedback as need.ed. The RO
will also noti fy the senior officials and programmatic statT they' ve identified for the pllot that their
email vvill be captured for the purposes of the pilot.
NARA
1
RESPONSIBILITIES
NARA '0-'ill assist AI thoughout the pi lot. NARA will provide information concerning the project to
AI upon request within a amount of time, depending on the nature ofthe request. NARA
also !:, 'l.l ar antees confidentiality of any email included in a tcsl transfer.
At. the conclusion of the pilot , NARi\ will:
e Analyze the results of the questi onnaires and any other infonnat ion Al provides.
J Anal yze r eports about Lhe kst transfers and any issues regarding the preservation and potei1tial
archival use of email formats.
<i: Arial yz:e any other informalion gleaned from AJ or other parti cipating agencies.
Once the analysis is complete, NARA will deliver a reporL to AJ. This report will include the findings
of the analysis.
1
I'U\.10\ expects thai policy guidanre, in some form, will be issued as a result of the project. Unless the
results of the pilot mdicate thal guidance will not be developed, KARA \Vill circulate a draft oCthe
guidance to AI and other partici pants for review and comment.
TEST
With your concurrence, NARA may request a teni porary test transfer of a copy or a select set of email
from your agency in order for NAR!\.' s electronic: records mchivists to analyze the archival value of
the information it contains and to review technic<J l issues regarding emai l formals. The test transfci
emai1s do not necessarily have to contempon:meous emails captured during the pilot. The transfer may
include personally identifiable information and other sensitive information that would routinely be
included in agency emails, but in no cast: will a rest transfer contai n security classified information.
'The transfer(s) could occur at mklcproject, at the end of the proj ect, or at both times.
The records !iom the test transfers will remain in the legal custody of your agency, and therefore
Nl\Ri\ wi ll forward any access request we receive back to your Only NARA's electronic
records archivists will be able to view any content within the email transfers. Nl\RA will report its
fi ndings to Jd on the volum(: of emai l, arch_1val value, tcclmical 1ssues, and related in!<mnati on. NARA
will not discl ose any content thal \Vould make email identifiable as to its scnclcr, reerpie.nt, or content,
beyond archi val value.
At the end of the project, 1'\JA.R.!\.
Return
Destroy
(circle choice) ihe <:ontents of the test transfer and ensure they do not reside on any media or storage
device wit hin N.A.RA.
This agreement is rna.de between:
. .
Printed Name and Title
AI
Date:
---- -
Poul M. Wester , Jr .
Chief Records Office of the United States
National Archives and Records
Administration
Date:
2
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Email Manager11ent 2.0
Kickoff Briefing
National Archives and Records .Administration
Office of t he Chief Records Cffrcer
24 October 2011
l
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History
"' Since the Armstrong case in 1993, NARA has been
providing guidance on managing email efectronicaliy.
1. Revised GRS 20 in 1995 to authorize the disposal of emails
from live desktop email applications, once the emails have
been transferred (with sender and recipient information) to an
appropriate paper or electronic recordkeeping system
2. Revised its regulations in 1995 to address the management
of email records.
3. Endorsed the DOD 5015.2 standard for electronic records
management software applications that could be used to
electronically manage email records.
4 Revised GRS 23, item 7, and parallel regulations, for
managing ven; short term, i.e , transitory, email records on
the desktop application.
Archives and Records Adrninis\ra:io_,,
--- - - - - -..1
10/24/2011
1

3
P.H Feder-al email must be managed in acccrdance
with the Federal Records Act.
., Generally, user intervention is necessary to ensure
email records are retained tor as long as required.
:$ Vo!L1rne of email has rnade comoliance
,. Of greatest concern to NJ\RA is ensuring that email
records appraised as permanent are preserved by
agencies and transferred to NARA.
(&Agencies aiso have an interest in ensuring that emall
is maintained for a sufficient period of time to conduct
their business.
N3\icnal t'.rchtves and Reco:ds Adrnintsiralion
Current Situation
., Verv few agencies manaoe their ernaii records
ele.ctronically. -
e Most agencies rely on a print-and--file strategy for emai l.
"' Several agencies are alieady captudng and storing
emails in some type of repository, even if not for
recordk:eeping purposes.
@> Use of some DOD 5015.2-STD certi fi ed systems
can be no less burdensome than "print and file",
because they may sti!l require employees to "click
and file" individual emai l .
Agencies are asking NARA for pract1ca1 guidance
on hovv to manage their email.
L Nationa! ana Recorcs Acrninistralion
! .
I
10/24/2011
2
Response
NARA is committed to f!nc::i ng a better solution for
manaqina email eiectmnica. lly.
-
The "Emai l Capstone Pilot Project" vvas :aunched
A.pril to develop a pikA now
, !I ,... '' C ,..,:r il. jc . . . t "'" 0 P' ,,
.... d t lc L m .. -u 1\ :c:<nagemen I:. !
A(;-,ives a1d Records
5
!__ _ ... - .... - . .......... ..... ,. ................. - --- - - - --- ------- - - .. ..
E

Email Management 2"0
15 Seeks to capita!rze on exrstrng technologies that
many agency IT offices are already using, for
non--records management purposes, to
automatically save all agency ernaHs in a
repository for a set period of time.
$ Represents a new approach to managing emails
electronically that NARA wHI pilot.
iJ Consists of validatirtg difFerent appraisal
scenari os for determining whtch, tf any; improve
agencies' abrlity to manage and transfer email
records to N.ARt\ _
Nat'onc;l A:',i ves and Records
'------------ - ---- - ---------- ---- ----- ------------
10/24/2011
3
7 i
The Pilot
"' N.J.\RA will involve up to thitieen agencies to test various
appraisal scenarios over the next four months .
., The pilot wi!l focus on agency officials whose emaif will
be designated as presumptively permanent for the
duration of the project
The pilot scenarios wiH explore different technologies
and permutations, mcluding some that allow agency
officials an opportunity to sort out non-record,
and other temporary record ernai!s .
., Email copies submi tted are test data only
* /\gencies are required to manage thei r email accord1ng
to !\lARA requirements and agency policy.
J\rs'lives ar.d Re88rd2- A(..!minrstrator
Example Scenario
Senior Officials' Email :;;;; Permanent

bm .ail c;q:'cur.ed o-. .
- z:t credlcro: ' . .
... t -..;;;, [mml slortc
c

F.ma'l tmr<fc:ned
t: NARA
8
'-lARA
Automatic capture of' without action
(senior officials only}
Naiional /\rcr.ives a1d Hecords Adrn,"istra:ion
. ""l
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"0'"'4/' -01
l . 1 !. L 1
4
9 )
', ..
.,, Frame subsequent guidance trom NARA about
email.
"'' May change hcvv ernaH records are electronical ly
managed in an agency.
N8ticnal Arnives Acmir.ist:ation

r-.... - .. ----- ---
' Caveats for in1plementation of the
Approach
o
! '.
"'Th:s approach is based on the notion that most of
the permanent emaii created by lower level staff will
filter up to higher level staff .
... VVe are exploring thi s approach as an alternative to
the current practice, where very few permanent
federal record emails are being preserved
i llv
-..J t ! I 1 '-" )
41
Email records may also need to be preserved in
other existing recordkeeping or business information
systems.
N;;tional Archives ard Recods Admmstration
5
---- ... .----- --------
; 11 /
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Risks
NARA recognizes the follov.ting risks for Agenci es
<& J.\qenci es rnav have increased stixag_e costs
.. ,
may be keepi ng Pi! beyond the
appiOved retention ci ted in the SOHN
@ i\gencies may have more records to search for
FOIA., Privacy, e-Drscovery and other
information requests
,.
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N" '" " A<ehh" ,-d Recccd Ad'"'"'""'ioo . J
---------------..
Risks
NARA recognizes the following risks for NARA:
'"'\!Ve could potentially miss permanent ernails .
from lower ievel officials whose em.ai!s are not
captured.
VVe may receive a large volume of otherwise
temporary, low-value records.
may include duplicates for the officials
whose ernails are designated as permanent
NaTional Archives 2'1d Records Acministr;;tion
10/2lJ2011
6
; 13
Potential Benefits of Participatior-1
(" will update email guidance.
@ A;ency experiences wi ll !nform guidance.
"' ernai[ rnanagement .
.., R.educed rlsk of unauthorized destruction of
records.
National ArchivE:s and Rcwrcs Adrnints'ratton
--..
What we need from Agencies
/\greement to participate .
... Begin formi'3i pilot participation no iater than
December 30, 2011.
Fo!low-up meeting wlth NARA that includes: IT
representative responsrble for email , the Records
officer, and a representatrve from general counsei
before December 30, 2011.
'" /\gency-specif!c meetrngs as necessary.
II! Complete pilot by March 30, 2012.
1!l Provide feedback to NARL\. by Apri l 6, 2012.
Archrves and f\clrnin:st-at:cr'
10/24/2011
7
Next .Steps for Agencies
ll Review information in the prov:ded packet
Consv.:t vvith appropriate stakeholders about yow
par ticipation in the p!:ot.
'" Complete and return the Pilot Participant
Questionnaire.
8 VVork with your appraisal archivist to schedule a
follow-up meetf!ig.
l!l Return the .l\greement it your agency agrees to
participate.
!
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10/2.4/2011
8
.... Pie3Js.e list your of ccntal.:t the followi ng {name, phone ancl em all address):
Agency f\lame:
Chief Information Officer:
Records Offtcer:
email Administtator:
2. How emai l recon;ls currently scheduled in yovr (e.g., as general com:'!spondence, f iles,
per GRS)'?
3. Do vou maintain agem::v email: Electronically ()
' --'
As paper ()
-.;...
Both t=\
\ .. .J
4. Do you use am Eva;;lt, RM!4. (necords Management Applkat1onl or CMS (Content
' ' I f
1
Yf'S r- ... ). N'o . .
at any poi nt in tHe em;n l i _ . 1\ , _ _ , ,
""-"/ ' .... _1
;-
1. Whi ch ap!)lkatlon/operatlng systetil ;:;re ym! ustng f or your em'-li! {e.g., Outlm;k ZmB dient m;
l.'\flndnw;; XP, n.mnir:g Ex-;hange Server zoo:; ar.d '.;VindClWS
Z. Do you. any dou;J,f:Jased em.aii produ:::ts (e.g., Gmai i_. Hotmai!)? Yes f) !\lo If Yes, nc:me:
....J. ...........
3. \$ the email located? {Si;;lec:t. aF that apply};
Desktcp/Locai f""') Server f) Client (''\ Locai ,ll..iJplicat ion ('') (specify):
\_._...,. . \.._;'>l . .. --
\/p.o:.; (
-- ._ l
l .. , ....._,./
S. What frJmaats :ne vou ;:,!Jle t:J f rom you1 '>yst em? {Check ::111 that
NaLive fermat r'\, PDF (""\, Text () RF ("")
............. . j ..,...........,...
EML
PST l"'"') MBOX
1
7"'\ Other ('"\
\ . ___,) ..... ''\..
(specify):
Page 1 of Z
Your Title:
Your Emai l .C;ddress:
ioaay's Date:
If Y c ~ (specify):
Page 2 oi 2
2
National Archives and Records Administration
Office of the Chief Records Officer
24 October 2011
History
@ Since the Armstrong case in 1993, N/\RA !las been
providing guidance on managing email electronicaHy.
F{evised GRS 20 1n "1995 to authorize the disposal of emails
fmrn live desktop email applications, once the ernails have
been transferred (vvith sender and recipient information) to an
appropriate paper or electionic recordkeeping system.
2. Revised 1ts regulations in 1995 to address the management
of email records.
3. Endorsed the DOD 50 15.2 standard for electronic records
management software applications that could be used to
electronically manage email records.
4. Revised GRS 23, item 7, and par-allel regulations for
managing very short term. i.e., transitory, email records on
the desktop application.
f'i<JtiOna .A:c"iieS <Jrd Records A:Jministrar .ior:
10/24/2011
1
3
, ... ,.,. ....................... _. ---- _. ...... ....... ---1
Challenge
tJ AJ! Federa: email must be managed in accordance
with the Federal ReccYds A.ct.
C:lenem.ily, user irrte:rventton is necessary to ensure
thai email records ;;;:re retained for as -long as reqU!red.
'll Volume of erna'l has made compUance difficuli:
"' Of greatest concern to t-1/\RA is that email
records Eippraised as permanent e:ue preserved by
and to 1\JJ\RJ\.
"' i\gencies also have an interest in ensuring that email
is iT!a.i ntained for a sufficient period of time to conduct
their business.
Natonal Ar,;hives Reco:ds 1\(imims>m:ion
I
'

..
4
Current Situation
" Very few agencies manage the[r email records
electronically .
., Most agencies rety on a print-and--file strategy for email.
., Severa! agencies are already capturing and storing
emails in some type of repository, even if not for
recordkeeping purposes.
ij\ Use of some DOD 5015.2-STD cert ified !..;ystems
can be no iess burdensome than "print and fne",
because they may still require employees to "cffck
and file" individual email.
@ Agencies are asking NARA for practical guidance
on how to manage thei r ernaiL
Nat'onal 8nd
10/211/2.011
..------- -"''' '' ------------ ----- --------------- ------- ....
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NA.RA Response
1> NI\RA ls con1mitted to finding a better sot ; tion for
n-:anagi ng email efectronicaliy.
"' The "Emc.1ii Capstone Pilot Project" \.hfas launched in
Aprn to develop a workable p:lot oroject, now
:enamed the "Emai l f'v1anagernent 2.C Proj ect."
Natbnal A<'chivcs anc Rcc,xds /\dmin,strat'on
:------------- --. .... ___ ,. ___ __
- ~ - - - - - - - - - - - - - - - - - - - ... -.....
I
5 .
En1aH IV1an.agement 2.0
~ Seeks to capital ize on existing technologies that
many agency IT offices are already using. for
non-records management purposes, to
autornatically save all agency emails in a
repository for a set period of time.
Represents a new approach to managing erna!fs
electronically that NA.RA will pHot.
t'>' Consists of validating different appraisal
scenarios for determini ng which, if any, improve
agenci es' abiilty to manage and transfer email
records to NARA.
Na.tioral Archives and Records A.dmnistra:ion
J.0/24./20:(.1
3
..
The Pilot
12 N.L\HA wrll involve up to thirteen agencies to test various
appr-aisal scenarios over the next four rnonths.
"' rhe pilot will focus on agency officials whose email vviil
be designated as presurnpti\ie!y permanent for the
duration of the project.
'" The pi!ct scenarios wlil explore di'fferent tedmologieE
ana permutations; induding some that ailow agency
o-Fficials an opportunity to sort out non-record, transitory.
and other ternpmary record ernails.
"' Emai! copies subrnitted are test data only
"' Agencies are required to manage thei r ernaii according
to NARA requirements and agency pol icy.
I
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..
Exan1ple Scenario
Senior Officials' Email:;;;;;;
f-:ma;l
to l\ARi\
Automatic capture of email without action
(senior officials only}
\l at,8t'al l\ rchives ,,.,d Recuds f,jm:" .. istratton I
'-------- --- .... . .. -- - .. .. .. - - --"- .... - - -- - ........... , .......... , ...... ... - - .. . ..____i
10/24/2011

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Pilot Results
"' Frarne subs(::quent guidance from N.AHt\ about
'"'n- -11 .
"' May change hovv email records are electronically
in an agency.
Caveats for I r11plementation of the
.t\pproach
@ This approach is based on the notion that most of
the permanent emafl created by fower level staff \Mil l
fiiter up :o htgher level staff.
@ We are exploring this appmach as an alternative to
the current practice, where ve:y few permanent
federal record emaHs are being preserved
eiectronicaliy.
Email records may also need to be preserved in
other existing recordkeeping or business information
systems.
Acc'1ives 5nc Records Ad":" nis'ra1ic.
10/2Lt/2011
l
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5
Risks
. .. . .. ---1
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N.A.R/-\ recognizes the foHowing risk3 for .Agencies:
'"' Agencies rnay have rncre:21sed storage c:.Jsts
;,; Agenci es may be !.zeepin&; Plr beyond the
approved retenti on cited in the SORN
.1\genci es rnay have more n;;;ccrds to search tor
F
-"" lA F'rivacv ;::'"'c ,-,ther
""-J :' . .. ..,1 _'! ; - - ..... .,.) [ .. ' f .!' < ,
requests
Nati::; r al /\rc'rives and Records f'dmil'lotrstic.
I ,
L.... .. .
---- --- -- ........
12
Risks
t>.JARA recognizes the following risks for 1\l.ARA:
<l VVe could potent!aily miss permanent emaits
from lower level officials whose emails are not
captured
"'We may receive a iarge vol ume of otherwise
temporary, low-value records.
may incl ude duplicates for the officials
whose emar!s are designated as permanent.
Nation ill />,rdl!/es and Reccd s Adrninstaticc:
10/24/2011
6
. 14
.. ...... .
PtJte Bt"">n e,_- cJ-t P--a c; pa ..
_.c:; , L t
. . . . ' N''RA . '
"' Agency ex:oenences wrn 1rnorrn \- . gwaance.
,., Simpl ifiecl emai: rranagement
Reduced risk of una.utho1tz:f:d d(-;:strucbon of
records ..
Natona11;rchives Acministraticr .
1
... ... ...... -.. ___ ,.,,.,,. _______ .. _, __________ .. . . ... --- ... ---.. .. ........... .. ......
\/Vhat vve need from Agencies
Agreement to participate.
"' Begin formal pilot par-ticipation no later than
December 30. 2011
iit Follow-up rneeting with N/\RA th;:;1t includes: IT
representative responsibfe for email, the Records
officer, and a representative from genera! counsel
before December 30, 2..011.
,t.:..gency--spedfic meetings as necessary.
'" Comp!ete pilot by March 30, 201 2.
Provide feedback to f\JARA by April 6, 2012 .
!
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Next -Steps for
.. Review information in the provided packet.
Consult with aporonriate stakeholders about vcur
I J
. agency's participation in the pilot.
;:. Complete and return the Pilot Participant
Questionnaire.
'v'Vcrk with ycur appraisal archi vist to a
follcw-up meeting.
Return tt1e if your agency agrees to
par1:icipate.
Arch'ves and Recc'ds Ad-c.;nistratlon
------ _ __ _j
10/24/2011
8