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ELECTRONIC MAIL AND ELECTRONIC MESSAGING
RECORDS RETENTION POLICY
PURPOSE:
To update the Department of Commerce (Department) retention
policy for electronic mail (email) and other types of electronic
messaging used to communicate business information related to the
Department and its components’ mission or functions.
SCOPE:
All Department offices and operating units; employees (regardless of
the type or duration of their employment); contractors with
Department-provided accounts; and boards and commissions;
excluding the United States Patent and Trademark Office.
ORIGINATOR:
Office of the Chief Information Officer, Office of Policy and
Governance, Departmental Records Management Officer
AUTHORITY:
a. 44 U.S.C. Chapters 21, 29, 31, and 33
b. 36 CFR Chapter XII, Subchapter B – Records Management
c. OMB/NARA Memorandum M-19-21, Transition to Electronic
Records, dated June 28, 2019, updated by OMB/NARA
Memorandum M-23-07, Update to Transition to Electronic
Records, dated December 23, 2022
d. Presidential Memorandum, Managing Government Records, dated
November 28, 2011
e. General Records Schedules, including GRS 6.1: Email and Other
Electronic Messages Managed under a Capstone Approach, if
applicable
f. NARA Bulletins 2009-02, 2013-02, 2013-03, 2015-02, 2020-01,
2022-02, 2023-02, and 2023-04
g. Department Organizational Order 15-23, Chief Information Officer,
dated July 13, 2017
h. Department Administrative Orders 205-1, Records Management,
dated June 26, 1992; 205-3, Removal of Records and Other
Documents, dated August 25, 1978; and 205-16, Managing
Electronic Records, dated May 12, 1987
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i. Department of Commerce Enterprise Cybersecurity Policy § 4.1.1
(dated September 2022) and Rules of Behavior for Non-Privileged
Users (dated March 2023)
CANCELLATION:
This policy supersedes the Department’s Records Management
Capstone Email Policy, dated December 9, 2016.
DISTRIBUTION:
Electronically distributed to those referenced in the “SCOPE” section and
posted on the Department’s Office of Policy and Governance at Policies |
U.S. Department of Commerce.
DEFINITIONS
Term
Definition
Component
Any Departmental office or operating unit.
Department-Provided
or Approved
Communications
System
An email or electronic messaging system that is either
provided by the Department or one of its components, or that
the Department or one of its components has approved for
official business.
Electronic Messaging
For the purpose of this Policy, electronic systems or applications
(other than official email) that are used for communicating between
individuals, including text messages (defined below) or messages and
chats delivered through Microsoft Teams, Google Workspace, or other
similar systems.
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Email
One form of asynchronous communication that permits
electronic messages to be distributed by electronic means from
one computer user account to one or more recipients via a
network. Email includes email messages, email attachments,
and calendar-related communications (invitations and
responses). Email does not include other electronic messaging
functions, such as text messages, chat, or third-party messaging
applications.
Exigent
Circumstances
An unplanned event that (1) requires immediate or urgent response
or communication by an employee who is not in current possession
of a Department-issued mobile communications device or whose
Department-issued device is not able to effectively communicate
with an intended recipient via an official email account, or (2) a
communication is received from outside the Department via text or
other messaging system and the totality of the circumstances do not
permit the user to respond via an official email account.
Federal Records
A Federal record is “all recorded information, regardless of form or
characteristics, made or received by a Federal agency under
Federal law or in connection with the transaction of public business
and preserved or appropriate for preservation by that agency or its
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44 U.S.C. § 2911.
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Term
Definition
legitimate successor as evidence of the organization, functions,
policies, decisions, procedures, operations, or other activities of the
United States Government or because of the informational value of
data in them.”
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Federal records do not include reference materials or duplicate
copies retained solely for convenience. Additionally, purely
personal materials are not Federal records.
There are several factors to consider when determining if recorded
information, such as emails or other electronic messages, are
considered a Federal record. However, if the answer to any of the
following questions is “yes,” the item is a Federal record:
• Did the agency require the creation or submission of the
information?
• Do regulations or laws require the creation and
maintenance of the information?
• Was the information used to conduct agency business or
accomplish its mission?
• Does the item contain unique information explaining
agency policies and decisions?
• Was the information distributed to other persons, offices,
or agencies for approval or clearance?
• Is the information covered by an item in an agency records
schedule or general records schedule?
The content of the information is determinative in deciding if it is a
Federal record, not the format of the information. Federal records
can take various forms, including electronic or hard copy.
Non-Record materials
These are federally owned informational materials that do not meet
the statutory definition of records or that have been excluded from
coverage by the definition. Excluded materials are extra copies of
documents kept only for reference, stocks of publications and
processed documents, and library or museum materials intended
solely for reference or exhibit.
Official Email
Includes only email sent or received by a user on an email system
maintained and controlled by the Department or one of its offices or
operating units.
Personal Files /
Personal Papers
These are documentary materials belonging to an individual that are
not used to conduct agency business. Personal files are excluded
from the definition of Federal records and are not owned by the
Government.
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44 U.S.C. § 3301.
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Term
Definition
Text Message
Message between phones or a fixed portable device over a network.
User
An employee (includes career civil service personnel and political
appointees), contractor, volunteer, intern, fellow, or individuals
serving in an official capacity on a Departmental board, commission,
or other group, or any other person who is authorized to use a
Commerce email or electronic messaging system.
POLICY
I. Policy Statement
A. Reasons for Policy
Department of Commerce employees, contractors, and other users (“users”)
routinely create, send, and receive official electronic mail or electronic messages to
communicate information related to the mission or administrative matters of the
Department.
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Emails that contain federal record content must be retained in
approved electronic systems that provide the capability to identify, retrieve, and
retain the records for as long as they are needed for statutory, regulatory, and
business purposes, in accordance with recordkeeping requirements for retention and
disposition.
As forms of electronic messaging and communication capabilities other than email
are becoming part of the modern Commerce office, Commerce employees are using
electronic messaging, such as desktop and mobile messaging applications, tools, and
services. These electronic messaging applications, when “used for purposes of
communicating between individuals,”
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in the context of Commerce missions or
business functions, may include federal record content that must be managed in
accordance with the Federal Records Act and regulatory requirements for
recordkeeping.
It is the policy of the Department to manage the use, maintenance, retention,
preservation, and disposition of records created, captured, or shared using email or
other electronic messaging while conducting departmental business, in accordance
with Federal recordkeeping, statutory, and regulatory requirements. Users may use
email and electronic messaging applications for Departmental business
communications only in the manner permitted by this Policy Statement and any
applicable component-level policy or guidance.
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The Department of Commerce also permits users, on a limited basis, to use email for personal communication as long
as it complies with the Department’s requirements of acceptable uses, does not interfere with DOC work and individual
duties, and does not increase costs and risks to the government or to the Department.
Department of Commerce
Enterprise Cybersecurity Policy § 4.1.1 (dated September 2022), Rules of Behavior for Non-Privileged Users
(dated March 2023, section 3.1.2).
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44 U.S.C. § 2911.
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B. Policy
Users must use Department-provided or approved communications systems for
all work-related communications absent exigent circumstances. The Department
provides email systems (e.g., Outlook or Gmail) and electronic messaging systems
(e.g., Teams) for users to perform their duties. Users must use these systems for
work-related communications.
Users must ensure that federal record content in text messages is archived.
Department-provided phones generally allow text messaging. In some cases,
Department systems automatically archive text messages sent and received on
Department phones. If a user’s text messages are not automatically archived, the
user should only use text messaging in exigent circumstances or for transitory, non-
substantive communications (e.g., “running late”). If such a user does send or
receive Federal record content in a text message, they should ensure that the text
message is archived (e.g., by emailing a screenshot to their official account).
Users must ensure record material from loaner equipment is archived. If a user
is utilizing a loaner phone, tablet, laptop, or other government-furnished electronic
equipment, whether due to foreign travel or other technical issues, the user is
responsible for coordinating with the Bureau/office and OCIO to ensure that any
records are retrieved and stored in the user’s email or other electronic messaging
account.
Users must only use third-party electronic messaging systems for work-related
communications when specifically approved by the Department. In some
circumstances, the Department will specifically approve the use of an electronic
messaging system not routinely provided by the Department for work-related
communications, such as Signal or WhatsApp. This permission will be granted for a
limited time based on Departmental needs. Additionally, users are responsible for
archiving these messages following Department guidance included with the
approval.
For example, the Department might approve the use of an end-to-end encrypted
electronic messaging system during foreign travel because of security concerns.
In exigent circumstances, users may use other communications systems, but
must ensure that any Federal records are archived. If a user conducts any
official business using a personal email account, text messaging on a personal
device, or other communications system that has not been provided or approved by
the Department, the user must ensure that any Federal records are archived. Where
feasible, the user must archive the record by copying their official email account
when the message is sent, or by forwarding a complete copy of the email with all
attachments to their official email account not later than 20 days after the original
creation or transmission of the record. Once the user has archived the record, the
original should be removed from the personal account (unless subject to a litigation
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hold). This policy also applies to calendar appointments.
Failure to comply with this policy may result in disciplinary action against an
agency officer or employee for an intentional violation of this prohibition.
II. Department-Provided Electronic Mail
A. Emails That Are Federal Records
Email containing content that is evidence of the organization, functions, policies,
decisions, procedures, operations, or other activities of the Department are Federal
records and must be maintained in accordance with statutory, regulatory, and
departmental policies. Any litigation hold notices, as well as records retention
schedules, are approved by the National Archives and Records Administration (NARA).
All components of the Department that have implemented a Capstone Program pursuant
to express authorization from NARA are to follow the email retention schedules issued
by NARA for that Program. Any component that has not received NARA approval to
implement a Capstone Program or follows a NARA-approved alternative records
retention program will continue to follow its current records retention schedules for the
relevant category of records, as appropriate.
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Components shall ensure that Department-provided email systems automatically archive
messages and calendar items sent and received on those systems in a manner that allows
the Department and its components to retain, retrieve, and dispose of that information in
accordance with legal and regulatory requirements.
B. Non-record Emails
Non-record emails are emails that do not meet the criteria of a Federal record. Non-
record emails should be deleted when no longer needed (unless subject to a litigation
hold). Examples of emails that are typically non-record include, but are not limited
to:
• Emails where no substantive action is called for or taken but are maintained
solely for reference or convenience (e.g., downloaded legal opinions or
resource articles).
• Routine announcements of Departmental events.
• Trade journals and other publications.
• Mass informational emails (e.g., “All Hands” broadcasts).
• Duplicates of email threads.
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If you have any questions, please contact your office’s records officer or the Department’s Departmental Records
Management Officer (DRMO) at DOC-DRMO_RecordsManagement@doc.gov.
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• News clips.
• Read/delivery receipts (unless a user considers a read or delivery receipt a record
in a case or project file).
C. Personal Emails
Email messages that are not related to Commerce business are considered personal and
therefore are not subject to the Department’s recordkeeping requirements. Users should
delete personal emails as soon as possible after receipt or save to a folder marked
“Personal” in their electronic mailbox.
III. Department-Provided or Approved Electronic Messaging
A. Electronic Messages That Are Federal Records
Electronic messages containing content that is evidence of the organization, functions,
policies, decisions, procedures, operations, or other activities of the Department are
Federal records and must be maintained in accordance with statutory, regulatory, and
Departmental policies, any litigation hold notices, as well as records retention schedules
approved by NARA.
All components of the Department that have implemented a Capstone Program for
electronic messaging in addition to email, pursuant to express authorization from NARA
are to follow the electronic message retention schedules issued by NARA for that
Program. Any component, Bureau, or office that has not received NARA approval to
implement a Capstone Program or follows a NARA-approved alternative records
retention program will continue to follow its current records retention schedules for the
relevant category of records, as appropriate.
Components shall ensure that Department-provided electronic messaging systems
automatically archive messages sent and received on those systems in a manner that
allows the Department and its components to retain, retrieve, and dispose of that
information in accordance with legal and regulatory requirements. However, if such
measures are not yet implemented, components shall provide guidance to users on how
to archive electronic messages consistent with legal and information technology
requirements.
B. Non-record Electronic Messages
Non-record electronic messages are messages that do not meet the criteria of a
Federal record. Non-record electronic messages may be deleted when no longer
needed (unless subject to a litigation hold) and do not need to be copied to your
official email account. Examples of electronic messages that are typically non-
record include, but are not limited to:
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• Messages where no substantive action is called for or taken, but are instead
sent or received solely for logistical purposes or maintained solely for
reference or convenience; or
• Messages containing codes for two-factor authentication.
C. Personal Electronic Messages
Electronic messages that are not related to Commerce business are considered personal.
Users may delete personal messages after receipt.
IV. Preservation Management
Upon notice of a legal requirement to hold or preserve email or electronic messaging
content, users and components should: (1) be capable of suspending disposition, and (2)
retain any email or electronic messages that exist and relate to the request, regardless of
record status, until the obligation to preserve ends.
Effective date: This policy is effective upon the date of signature.
For Additional Information Contact, the Department of Commerce’s Departmental Records
Officer at [email protected].
APPROVED BY:
_____________________ ____________
Brian Epley Date
Chief Information Officer
BRIAN EPLEY
Digitally signed by BRIAN EPLEY
Date: 2024.06.14 08:38:15 -04'00'
