Managing Electronic Messages from High-Level Officials Through Capstone

Managing Electronic Messages from High-Level Officials Through Capstone

June 15, 2023
Managing Electronic Messages from High-Level Officials
Through Capstone
In the course of their official duties, federal employees
to implement a role-based method of managing electronic
regularly create federal records and, therefore, have records
materials known as “Capstone.” In particular, agencies are
management responsibilities. The Federal Records Act
required to maintain records created by certain high-level
(FRA; 44 U.S.C. Chapters 21, 29, 31, and 33) requires
agency officials in the method described by the Capstone
federal agency heads to “make and preserve records
approach.
containing adequate and proper documentation of the
organization, functions, policies, decisions, procedures, and
In Bulletin 2013-02, NARA explains that agencies using
essential transactions of the agency” (44 U.S.C. §3101).
the Capstone approach “can categorize and schedule email
based on the work and/or position of the email account
On January 5, 2023, the National Archives and Records
owner. The Capstone approach allows for the capture of
Administration (NARA) expanded its existing guidance on
records that should be preserved as permanent from the
retaining the emails of high-level officials (known as
accounts of officials at or near the top of an agency or an
Capstone officials) to similarly apply to other electronic
organizational subcomponent.” These permanent records
messages for preservation, such as messages affiliated with
are to be preserved while in agency custody until they are
email, text messages, and messages from third-party
transferred to NARA. (36 C.F.R. §1220.18)
applications.
Identifying Capstone Officials
Since 2014, federal and presidential records have been
To identify officials subject to the Capstone approach,
defined not by the media used to store the information but
agencies first submit NARA form NA-1005. The form
rather by the content of the information itself. Federal
allows agencies to list multiple types of officials for
records are defined at 44 U.S.C. §3301 as
Capstone, including the agency head, such as a Secretary or
Administrator; principal assistants to the agency head;
recorded information, regardless of form or
directors of significant program offices; and roles or
characteristics, made or received by a Federal
positions that routinely and directly advise such positions,
agency under Federal law or in connection with the
such as General Counsels, Chiefs of Staff, and Inspectors
transaction of public business … as evidence of the
General, among others.
organization,
functions,
policies,
decisions,
Scheduling Permanent Records
procedures, operations, or other activities of the
United States Government or because of the
In cooperation with NARA, agencies determine whether or
informational value of data in them.
not specific information meets the definition of a federal
record. If the information is a federal record, agencies work
In 2023, NARA, in cooperation with federal agencies,
with NARA to create a records schedule providing
updated and implemented guidance on the preservation of
disposition authority for a certain series of records (36
permanent materials in digital form (see OMB and NARA
C.F.R. Part 1225). Disposition authority is the legal
Memorandum M-23-07 and 36 C.F.R. Part 1236 Subpart
authorization for the retention and disposal of records (36
E). These processes related to the preservation and
C.F.R. §1220.18). An agency may have many separate
archiving of electronic messages created by Capstone
records schedules governing different series of records.
officials may be of interest to multiple audiences, including
Congress. The ability of Capstone officials to comply with
Depending on their informational value, some records may
federal recordkeeping laws and the consequences of
warrant temporary retention or permanent preservation.
incomplete or unclear recordkeeping guidance may impact
Based upon a timeline specified in the records schedule, the
the ability of Congress to conduct oversight of executive
record is either destroyed, if it is a temporary record, or sent
branch activities.
to NARA for preservation, if it is a permanent record. In
2010, NARA estimated that less than 3% of records are
This In Focus explains the Capstone approach, the records
designated as permanent records (GAO-11-15). For more
scheduling process, and guidance updates to capture a
information on how temporary and permanent records are
broader range of electronic messages, and concludes with
treated, see CRS In Focus IF11119, Federal Records: Types
issues for Congress.
and Treatments, by Meghan M. Stuessy.
What Is “Capstone”?
General Records Schedules (GRS)
In recognition of the increasing and overwhelming volume
Agencies implementing Capstone use the General Records
of emails and other electronic records that federal agencies
Schedules (GRS) 6.1 in whole or in part to provide
produce, in 2013 NARA offered federal agencies the option
disposition authority for email and/or electronic messaging
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Managing Electronic Messages from High-Level Officials Through Capstone
accounts associated with Capstone officials. Instead of
independently from the email (such as Google Chat,
agencies using multiple records schedules to determine how
Microsoft Outlook Chat);
to maintain various types of records, NARA issues the GRS
to provide disposition authority for records common to
• Messages from messaging services provided on mobile
several or all agencies of the federal government. In the
devices (such as messages on iOS or Android devices);
event an agency does not have an existing, separate records
and
schedule for a series of records, the agency must either
follow the GRS or apply for a separate records schedule (36
• Messages from messaging services on third-party
C.F.R. §1227.12).
applications (such as WhatsApp, Signal, Telegram,
WeChat, and SnapChat).
Implementing GRS 6.1
In addition to identifying Capstone officials, an approved
Other types of electronic messages are excluded from
NA-1005 will indicate what items on GRS 6.1 that agency
coverage, including:
will follow for emails and electronic messages. An agency
may select only certain items, indicating that the agency
• Messages affiliated with social media accounts or
will instead follow an agency-specific records schedule for
associated direct messaging services (such as Facebook
those items, or the agency may select “all” items, indicating
Messenger, Twitter);
that the agency will implement all items listed on GRS 6.1.
Agencies must obtain NARA’s approval of its NA-1005
• Messages affiliated with video conferencing
prior to implementing associated Capstone records
applications (such as Zoom, Google Meet/Hangouts,
schedules, and are required to resubmit the form “at least
and Cisco WebEx);
every four years.”
• Messages affiliated with collaboration platforms (such
Corresponding to the information provided on the agency’s
as Microsoft Teams and SharePoint); and
NA-1005, generally, the email and other electronic
messages of Capstone officials are considered permanent
• Messages affiliated with applications whose primary
records and are to be transferred to NARA for continuing
purpose is not communications.
preservation. For more information on electronic messaging
recordkeeping requirements for federal employees
Issues for Congress
generally, see also CRS In Focus IF11220, Electronic
The ability of Capstone officials to properly maintain their
Messaging Recordkeeping Requirements, by Meghan M.
federal records has direct implications for the ability of
Stuessy.
Congress to conduct oversight. As a result, Congress may
wish to examine whether such records policies are being
Updating NARA Guidance to Include
clearly implemented at the governmentwide and agency
Electronic Messages
level. Specifically, Congress may wish to consider the
Under NARA Bulletin 2013-02, agencies were able to
following:
apply the Capstone approach to certain officials’ email
accounts. However, this bulletin did not directly
Whether Capstone officials are aware of their records
contemplate using the Capstone approach for other types of
management responsibilities. Because electronic
electronic messages.
messages from Capstone officials are considered
permanent, Congress may inspect whether agency records
In response to concerns that other types of electronic
officers and Capstone officials themselves are sufficiently
messages were being treated differently than emails for
trained and informed about records management protocols.
retention and preservation purposes, in 2021, Congress
required the Archivist to promulgate similar regulations
Whether agency records officials are accurately
governing the preservation of records materials formatted
completing NA-1005. Agencies are required to update NA-
as electronic messages through the Electronic Message
1005 every four years; however, some agencies, like the
Preservation Act (44 U.S.C. §2912; P.L. 116-283).
Department of Homeland Security, last submitted their NA-
1005 in 2018. This ambiguity may cause confusion
Under NARA Bulletin 2023-02, NARA expanded the use
surrounding which officials and what materials are to be
of the Capstone approach to include certain types of
retained through the Capstone approach.
electronic messages in accordance with the newly codified
Title 44 U.S. Code Section 2912. Agencies may now
If current definitions of qualifying electronic messages
similarly apply GRS 6.1 to Capstone official emails and
sufficiently capture evidence of federal activities. Under
certain other types of electronic messages.
the revised definitions in GRS 6.1, certain electronic
messages are excluded from the Capstone approach.
In its FAQ on GRS 6.1, NARA explains the types of
Congress may consider whether the current definitions
electronic messages that are in scope for the Capstone
appropriately prioritize the retention of certain electronic
approach, including:
messages over others.
• Messages affiliated with email system chat or messaging Meghan M. Stuessy, Analyst in Government Organization
functions, and where the messages are managed
and Management
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Managing Electronic Messages from High-Level Officials Through Capstone

IF12432

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